Office of Hearing and Appeals, Department of Energy.
Final rule; correction.
The Department of Energy published a final rule on February 9, 2000, to amend 10 CFR Part 708, the DOE contractor employee protection program (“whistleblower”) regulations. DOE previously adopted an interim final rule amending Part 708, which was published on March 15, 1999, and amended on July 12, 1999. This document corrects an error in the final rule.
This final rule is effective on March 10, 2000.
Roger Klurfeld, or Thomas O. Mann, telephone: (202) 426-1449; e-mail: roger.klurfeld@hq.doe.gov, thomas.mann@hq.doe.gov.
This document makes a correction to a final rule that was published in the
In rule FR document 00-2797, beginning on page 6314, in the issue of Wednesday, February 9, 2000, make the following correction:
Federal Election Commission.
Final rules and statement of basis and purpose.
The Electronic Freedom of Information Act Amendments of 1996, which amended the Freedom of Information Act, were designed to make government documents more accessible to the public in electronic form. The amendments also expedite and streamline the process by which agencies disclose information generally. The Commission is revising its Freedom of Information Act regulations both to comply with these new requirements and to address issues that have arisen since the rules were originally adopted.
These rules will become effective on March 27, 2000
Ms. Rosemary C. Smith, Assistant General Counsel, or Ms. Rita A. Reimer, Attorney, 999 E Street, NW, Washington, DC 20463, (202) 694-1650 or (800) 424-9530 (toll-free).
The Freedom of Information Act (“FOIA”) provides for public access to all federal agency records except those that are protected from release by specified exemptions. 5 U.S.C. 552. In 1996, Congress enacted the “Electronic Freedom of Information Act Amendments of 1996” (“EFOIA”), Public Law 101-231, 110 Stat. 2422. EFOIA extended coverage of the FOIA to electronic records and made other changes in FOIA procedures that expedite and streamline the process by which agencies disclose information. The revisions to the Commission's FOIA rules published today in part conform these rules to the new EFOIA requirements and in part reflect issues that have arisen since the rules were originally adopted.
The Commission's FOIA rules are found at 11 CFR Part 4, while access to documents made public by the Commission's Public Disclosure Division is governed by 11 CFR Part 5. The revisions published today affect 11 CFR 4.1, 4.4, 4.5, 4.7, 5.1 and 5.4. In addition, the Commission is making technical amendments to 11 CFR 2.2 and 2.5, sections of its Government in Sunshine regulations.
The Notice of Proposed Rulemaking (“NPRM”) on these rules was published in the
EFOIA requires agencies to make covered records available by electronic means. The Commission fully supports this goal and fulfills the bulk of its FOIA requests electronically. For example, during calendar year 1998, of the 462 FOIA requests that the Commission granted in their entirety, 424 were for on-line computer access.
The Commission's home page on the World Wide Web, www.fec.gov, contains a wide range of information on Commission policies and procedures, as well as campaign finance data. The material available includes summaries and searchable databases of campaign contributions; the FEC newsletter, the
The revised site includes a Site Index (alphabetical listing of information on the site), a “What's New” scrolling menu, daily highlights, and publications written in Spanish. The site also includes the Commission's annual FOIA Report, submitted to Congress pursuant to 5 U.S.C. 552(e), detailed information on how to submit a FOIA request, and a publication,
The Commission is continuing to add information to this site. For example, campaign finance reports filed by Senate candidates and committees that support them will be added as soon as copies of those reports, which are filed with the Secretary of the Senate pursuant to 2 U.S.C. 432(g)(1), are made available to the Commission in a form that can be imaged onto the site.
The Commission recently redesigned its web site by reorganizing the available information in a more efficient presentation. It has also implemented Media-Independent Presentation Language, technology designed to allow persons with special needs to access many types of information using a wide variety of hardware and software solutions.
The Commission's 1999 publication,
The Commission also makes numerous documents available through its electronic FAXLINE, 202-501-3413. Information on documents available through the FAXLINE can be found in a FAXLINE menu (document #411), on the Commission's web site, in the above publication, or by calling the Commission's Public Records Office at 1-800-424-9530, extension #3 (toll free) or 202-694-1120. That Office also responds to E-mail requests at pubrec@fec.gov. The Commission's Information Division can be reached at 1-800-424-9530, ext. #1 (toll free), or 202-694-1100.
The Commission is revising paragraph 2.2(b), a part of its Government in the Sunshine regulations, to delete an obsolete reference to the Secretary of the Senate, the Clerk of the House, or their designees
The Commission is also deleting a phrase referring to these
The Commission is revising paragraph 4.1(b) to delete an obsolete reference to congressional officials who no longer serve on the Commission.
Consistent with EFOIA, the Commission is revising the definition of
The Commission is a full disclosure agency that routinely places numerous categories of records on the public record, consistent with the rights of individuals to privacy; the rights of persons contracting with the Commission with respect to trade secret and commercial or financial information; and the need for the Commission to promote free internal policy deliberations and to pursue its official activities without undue disruption. Examples of categories of records made publicly available by the Commission that do not require a FOIA request include campaign finance reports, which are placed on the public record within 48 hours of receipt at the Commission, as required by 2 U.S.C. 438(a)(4); investigative files in closed enforcement matters, which are placed on the public record within 30 days of the date of the close-out letter, as required under 2 U.S.C. 437g(a)(4)(B)(ii) and 11 CFR 111.20(a); and requests for advisory opinions pursuant to 2 U.S.C. 437f(d) and 11 CFR 112.2. Because these records are made publicly available pursuant to the Federal Election Campaign Act (“FECA”), requests for them generally are not processed under FOIA—requesting them under FOIA may even cause the requester to lose time in gaining the needed information. Consequently, the Commission has restructured and revised parts of paragraph 4.4(a), which deals with the availability of records under FOIA, to reflect this situation.
Section 4.4(a) as formerly written covered both FOIA sections 5 U.S.C. 552(a)(2) and 552(a)(3). Section 552(a)(2) encompasses final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; statements of policy and interpretations which have been adopted by the Commission but are not published in the
Paragraphs 11 CFR 4.4(a)(1)-(3), which are largely unchanged, refer to material covered by 5 U.S.C. 552(a)(2), while former paragraphs 4.4(a)(4)-(15) listed other agency documents. The NPRM noted that this latter listing might not have included all covered documents. It was also overinclusive, since it covered materials that are also available from the Commission's Public Disclosure Division.
The Commission is not revising paragraphs (a)(1) or (a)(2) of section 4.4. The Commission is revising paragraph (a)(3), however, to delete language referring to Commission votes to take no further action in an enforcement action, which sometimes but not always occurs in connection with a decision to close a file. For example, if the Commission votes to accept a conciliation agreement, this serves to end the matter—there is no vote as such to take no further action in the case. A further revision clarifies that all respondents must be notified of the Commission's action before this 30-day period for the Commission to make these records public begins to run.
In addition, the material in former paragraphs 4.4(a)(4), dealing with letter requests for guidance
Consistent with new 5 U.S.C. 552(1)(2)(D) and (E), the Commission is revising paragraphs (a)(4) and (5) of section 4.4 to include new material that will be made available under EFOIA. The new categories include copies of all records that have been released to any person in response to a previous FOIA request and that the Commission determines have become, or are likely to become, the subject of subsequent requests for substantially the same records; and a general index of these records. The Commission is also revising the first sentence of paragraph 4.4(c), to include within the listing of indexes and supplements it makes available to the general public the additional documents referenced in EFOIA at 5 U.S.C. 552(a)(2)(E). In particular, the Commission's publication,
In addition to the above activity, the comment urged the Commission to put in place the Government Information Locator System required by the Paperwork Reduction Act of 1995 at 44 U.S.C. 3511. The Commission declines to do this, because it is statutorily exempt from coverage under that Act.
As requested by the comment, the Commission is adding new paragraph 4.4(g) to alert the public to the Commission's web site and the wealth of information it contains. However, the Commission is not providing in its regulations a detailed listing of available material, as suggested by the commenters, since new information is added to the web site on an ongoing basis, and because the Commission's 1999 brochure,
EFOIA at 5 U.S.C. 552(a)(6)(F) requires that agency responses denying exempt information include an estimate of the volume of any responsive documents the agency is withholding. It also requires that when an agency withholds only a portion of a record, the response indicate the amount of information deleted from the released record; and that, where possible, this be noted at the place of the deletion. 5 U.S.C. 552(b)(9). Paragraph 4.5(c) of the Commission's regulations has been revised to implement this new requirement.
The NPRM proposed no changes to the Commission's rules at 11 CFR 4.5(d), which address other agencies' records or subject matter to which a government agency other than the Commission has exclusive or primary jurisdiction. This regulation states that, when a FOIA request seeking such records is received, the request “shall be promptly referred by the Commission to that agency for disposition or guidance as to disposition.”
The joint comment cites
EFOIA requires covered agencies to provide requested records in any form or format requested, if the record is readily reproducible by the agency in that form or format. Each agency must make reasonable efforts to maintain its records in forms or formats that are reproducible electronically, and to search for requested records in electronic form or format, except when such efforts would significantly interfere with the operation of the agency's automated information system. 5 U.S.C. 552(a)(3)(B), (C).
The Commission is removing and reserving former paragraph 4.7(a), which advises interested parties on how to obtain records from the Commission's Public Records Office, since those records are no longer covered by 11 CFR part 4. Identical information is contained in 11 CFR 5.5, which concerns access to records that may be obtained from the Commission's Public Disclosure Division. That language has not been revised.
The Commission is redesignating former paragraph 4.7(b), addressing what must be contained in a FOIA request, as paragraph 4.7(b)(1) and adding new paragraph 4.7(b)(2) to comply with this new requirement. The new language requires requests for Commission records to specify the preferred form or format, including electronic formats, for the agency's response. The Commission will accommodate requesters as to form or format if the record is readily available in that form. If a requester does not specify the form or format of the response, the Commission will respond in the form or format in which the
EFOIA lengthened the time within which agencies must determine whether to comply with a FOIA request from ten to twenty working days. 5 U.S.C. 552(a)(6)(A)(i). Paragraph 4.7(c) has been revised to conform the Commission's regulations to this new time limit.
In addition, the Commission is revising the first sentence of paragraph 4.7(c) to conform with 5 U.S.C. 552(a)(6)(A). The statutory language provides that each agency shall determine within twenty days after the receipt of a FOIA request whether to comply with the request. However, the former regulation stated that the Commission would provide the requested records within ten days. Given the Commission's workload and the volume of FOIA requests, the Commission believes the statutory timeframe is more realistic than that included in the former rule. Accordingly, the revised regulation states that the Commission will determine within 20 days after receiving a FOIA request whether to comply with that request.
The FOIA at 5 U.S.C. 552(a)(6)(B) permits agencies, upon written notice to the requester, to extend the time limit for responding to a request or deciding an appeal of a denial of a request for not more than ten working days, if “unusual circumstances” exist for the extension. EFOIA did not revise the definition of “unusual circumstances,” but it did revise that section to permit agencies to further extend the response time by notifying the requesters and providing them with an opportunity to either limit the scope of the request so that no extension is needed, or to arrange with the agency an alternative time frame for processing the request. 5 U.S.C. 552(a)(6)(B)(ii). New paragraph 4.7(d) implements this statutory procedure.
EFOIA authorizes agencies to promulgate regulations providing for the aggregation of related requests by the same requester or a group of requesters acting in concert when the requests would, if treated as a single request, present “unusual circumstances.” 5 U.S.C. 552(a)(6)(B)(iv). Such circumstances include the need to search for and collect the requested records from diverse locations; the need to search for, collect, and examine voluminous separate and distinct records which are demanded in a single request; and the need to consult with another agency or among two or more Commission offices that each have a substantial subject matter interest in the records. 5 U.S.C. 552(a)(6)(B)(iii) [former section 552(a)(6)(B)].
New paragraph 4.7(e) implements this statutory provision. As EFOIA requires, the regulation provides that requests will be aggregated only when the Commission “reasonably believes that such requests actually constitute a single request” and the requests “involve clearly related matters.” 5 U.S.C. 552(a)(6)(B)(iv).
EFOIA authorizes agencies to promulgate regulations providing for multitrack processing of requests for records based on the amount of work and/or time involved in processing requests. 5 U.S.C. 552(a)(6)(D)(i). Under this approach, requests for records where little work or time is required will be placed on a faster track, and therefore handled more quickly, than those which entail more work. The statute further permits agencies to include in their regulations a provision granting a FOIA requester whose request does not qualify for the fastest multitrack processing an opportunity to limit the scope of the request in order to qualify for faster processing. 5 U.S.C. 552(a)(6)(D)(ii).
The Commission believes that multitrack processing is the most efficient and fair way to process FOIA requests. If requests are processed on a strict first in, first out basis, easily filled requests will be processed only after earlier received, complex requests for dozens of documents located in offices throughout the Commission. Accordingly, the Commission is adopting new paragraph 4.7(f) to provide for multitracking and to establish a mechanism whereby requesters may seek to have their requests processed more rapidly.
The commenters urged the Commission to not only adopt a multitrack processing system, but also to specify the guidelines it will follow in placing requests on the various tracks. Contrary to the commenters' assertion, the adoption of a multitrack system itself is discretionary, as is the inclusion of specific standards in the regulatory text. The Commission rarely encounters difficulties in meeting FOIA deadlines and believes a flexible approach is the best way to address this situation.
EFOIA requires each agency to promulgate regulations providing for the expedited processing of FOIA requests in cases of “compelling need” and in other cases, if any, determined by the agency. 5 U.S.C. 552(a)(6)(E)(i). The statute specifies two categories of “compelling need.” The first is where a failure to obtain requested records on an expedited basis could reasonably be expected to pose an imminent threat to the life or physical safety of an individual. The second involves a request made by a person primarily engaged in disseminating information who shows there is an urgent need to inform the public concerning actual or alleged federal government activity. 5 U.S.C. 552(a)(6)(E)(v). The statute also sets out procedures for handling requests for expedited processing and for the judicial review of agency denials of such requests. 5 U.S.C. 552(a)(6)(E)(ii)-(iv).
New paragraph 4.7(g) implements EFOIA's expedited processing requirements. The Commission emphasizes that, in keeping with Congress' express intent that the specified criteria for compelling need “be narrowly applied,” expedited processing will be granted only in those truly extraordinary cases that meet the specific statutory requirements. H.R. Rep. No. 795, 104th Cong., 2d Sess. 26 (1996) (“House Report”). The legislative history makes it clear that “the expedited process procedure is intended to be limited to circumstances in which a delay in obtaining information can reasonably be foreseen to cause a significant adverse consequence to a recognized interest.”
A requester seeking expedited processing under the “imminent threat” category of the “compelling need” definition will have to show that the failure to obtain expeditiously the requested information threatens the life or safety of an individual, and that the threat is “imminent.” The fact that an individual or his or her attorney needs information for an approaching litigation deadline is not a “compelling need” under this provision.
A requester seeking expedited processing under the second, “urgency to inform,” category will have to show that he or she is “primarily engaged in disseminating information;” there is an “urgency to inform the public” about the information requested; and the information relates to an “actual or alleged federal government activity.”
To meet the first “urgency to inform” criterion, the requester must show that his or her principal occupation is disseminating information to the public. As the legislative history makes clear, “[a] requester who only incidentally engages in information dissemination,
To meet the second “urgency to inform” criterion, the requester must show more than a general interest in the “public's right to know.”
The final “urgency to inform” criterion makes it clear that the information must relate to the activities of the Commission and Commission staff. A request for expedited processing can thus be considered for information relating, for example, to a Commission decision. The Commission generally will not, however, grant a request for expedited processing of information that the Commission has collected regarding specific candidates, campaigns or political committees.
EFOIA also authorizes agencies to expand the categories of requests qualifying for expedited processing beyond the two specified in the statute. 5 U.S.C. 552(a)(6)(E)(i)(II). The joint comment urged the Commission to provide expedited service whenever it receives five or more requests for substantially the same records, and gave the hypothetical of fifty or more requesters waiting their turn to receive identical or nearly-identical information.
It is clear from the legislative history that Congress intended to narrowly limit the “compelling need” standard. The House Report gives as an example of such need Department of Justice procedures that permit expedited access “if a delay would result in the loss of substantial due process rights and the information sought is not otherwise available in a timely manner.” House Report at 26, n. 39. As that Report further explains, “Given the finite resources generally available for fulfilling FOIA requests, unduly generous use of the expedited processing procedure would unfairly disadvantage other requesters who do not qualify for its treatment.” House Report at 26. Consequently, the Commission does not believe the receipt of five similar requests is sufficient to trigger this process.
The Commission notes that it rarely receives more than a single request for the same records. It has never received five, much less 50, requests for the same material. Should that occur in the future, this may be a factor used to advance processing of such requests under the multitrack system.
As required by EFOIA at 5 U.S.C. 552(a)(6)(E)(iii), the Commission's rules at 11 CFR 4.7(g)(5) state that the Commission will process requests to grant expedited processing “as soon as practicable.” The Commission will also give priority to these requests.
The Commission is redesignating former section 4.7(d) as new section 4.7(h) and former section 4.7(e) as new section 4.7(i). The paragraphs set forth appeal rights of persons denied access to records, and the date of receipt of a request, which is the date on which the Commission's FOIA officer actually receives the request, respectively. The text of these paragraphs has not been changed.
The Commission is revising paragraph (b) of section 5.1 to delete an obsolete reference to congressional officials who no longer serve as
This section lists the types of records that are available from the Commission's Public Records Office. Paragraph (a)(4) has been revised to clarify that Opinions of Commissioners rendered in enforcement cases, as well as non-exempt General Counsel's Reports, and investigatory materials will be placed on the public record no later than 30 days from the date on which all respondents are notified that the Commission has voted to close the file. The term “Opinions of Commissioners rendered in enforcement cases” includes not only Statements of Reasons but any other document a Commissioner might author in this regard. The revision deletes language referring to Commission votes to take no further action, which, as explained above, does not always occur in connection with a decision to close a file. It also clarifies that all respondents must be notified of the Commission's action before this 30-day period begins to run.
The remainder of the section has been revised to mirror the changes made to 11 CFR 4.4,
Please note that, in keeping with its status as a full disclosure agency, the Commission defines these terms broadly, to grant the widest possible access to Commission materials. For example, the term “campaign guidelines” includes not only those publications called “Campaign Guides,” but also other publications that contain useful information to those involved or interested in federal campaigns. These include such publications as the Commission's
The attached final rules will not have a significant economic impact on a substantial number of small entities. Most of the changes conform to statutory amendments that expand the options available to covered entities seeking to obtain records from the Commission under the Freedom of Information Act, while others clarify the Commission's current rules in this area. Therefore the rules will not have a significant economic effect on a substantial number of small entities.
Sunshine Act.
Freedom of information.
Archives and records.
Sec. 3(a), Pub. L. 94-409, 5 U.S.C. 552b.
(b)
(a)
5 U.S.C. 552, as amended.
As used in this part:
(b)
(h)
(o)
(a) In accordance with 5 U.S.C. 552(a)(2), the Commission shall make the following materials available for public inspection and copying:
(1) Statements of policy and interpretation which have been adopted by the Commission;
(2) Administrative staff manuals and instructions to staff that affect a member of the public;
(3) Opinions of Commissioners rendered in enforcement cases, General Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory materials shall be placed on the public record of the Agency no later than 30 days from the date on which all respondents are notified that the Commission has voted to close such an enforcement file;
(4) Copies of all records, regardless of form or format, which have been released to any person under this paragraph (a) and which, because of the nature of their subject matter, the agency determines have become or are likely to become the subject of subsequent requests for substantially the same records; and
(5) A general index of the records referred to in paragraph (a)(4) of this section.
(b) In accordance with 5 U.S.C. 552(a)(3), the Commission shall make available, upon proper request, all non-exempt Agency records, or portions of records, not previously made public pursuant to 5 U.S.C. 552(a)(1) and (a)(2).
(c) The Commission shall maintain and make available current indexes and supplements providing identifying information regarding any matter issued, adopted or promulgated after April 15, 1975 as required by 5 U.S.C. 552(a)(2)(C) and (E). * * *
(g) The Commission encourages the public to explore the information available on the Commission's World Wide Web site, located at http://www.fec.gov. The site includes a Commission publication,
(c) Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt. The amount of information deleted shall be indicated on the released portion of the record, unless including that indication would harm an interest protected by an exemption in paragraph (a) of this section under which the deletion is made. If technically feasible, the amount of the information deleted shall be indicated at the place in the record where such deletion is made.
(a) [Reserved]
(b) (1) * * *
(2) Requests for Commission records and copies thereof shall specify the preferred form or format (including electronic formats) of the response. The Commission shall accommodate requesters as to form or format if the record is readily available in that form or format. When requesters do not specify the form or format of the response, the Commission shall respond in the form or format in which the document is most accessible to the Commission.
(c) The Commission shall determine within twenty working days after receipt of a request, or twenty working days after an appeal is granted, whether to comply with such request, unless in
(d) If the Commission determines that an extension of time greater than ten working days is necessary to respond to a request satisfying the “unusual circumstances” specified in paragraph (c) of this section, the Commission shall so notify the requester and give the requester an opportunity to limit the scope of the request so that it may be processed within the time limit prescribed in paragraph (c) of this section, or arrange with the Commission an alternative time frame for processing the request or a modified request.
(e) The Commission may aggregate and process as a single request requests by the same requester, or a group of requesters acting in concert, if the Commission reasonably believes that the requests actually constitute a single request that would otherwise satisfy the unusual circumstances specified in paragraph (c) of this section, and the requests involve clearly related matters.
(f) The Commission uses a multitrack system to process requests under the Freedom of Information Act that is based on the amount of work and/or time involved in processing requests. Requests for records are processed in the order they are received within each track. Upon receipt of a request for records, the Commission shall determine which track is appropriate for the request. The Commission may contact requesters whose requests do not appear to qualify for the fastest tracks and provide such requesters the opportunity to limit their requests so as to qualify for a faster track. Requesters who believe that their requests qualify for the fastest tracks and who wish to be notified if the Commission disagrees may so indicate in the request and, where appropriate and feasible, shall also be given an opportunity to limit their requests.
(g) The Commission shall consider requests for the expedited processing of requests in cases where the requester demonstrates a compelling need for such processing.
(1) The term compelling need means:
(i) That a failure to obtain requested records on an expedited basis could reasonably be expected to pose an imminent threat to the life or physical safety of an individual; or
(ii) With respect to a request made by a person primarily engaged in disseminating information, urgency to inform the public concerning actual or alleged Federal government activity.
(2) Requesters for expedited processing must include in their requests a statement setting forth the basis for the claim that a “compelling need” exists for the requested information, certified by the requester to be true and correct to the best of his or her knowledge and belief.
(3) The Commission shall determine whether to grant a request for expedited processing and notify the requester of such determination within ten days of receipt of the request. Denials of requests for expedited processing may be appealed as set forth in § 4.8. The Commission shall expeditiously determine any such appeal. As soon as practicable, the Commission shall process the documents responsive to a request for which expedited processing is granted.
2 U.S.C. 437f(d), 437g(a)(4)(B)(ii), 438(a), and 31 U.S.C. 9701.
(b)
(a) * * *
(4) Opinions of Commissioners rendered in enforcement cases and General Counsel's Reports and non-exempt 2 U.S.C. 437g investigatory materials shall be placed on the public record of the Agency no later than 30 days from the date on which all respondents are notified that the Commission has voted to close such an enforcement file.
(5) Letter requests for guidance and responses thereto.
(6) The minutes of Commission meetings.
(7) Material routinely prepared for public distribution, e.g. campaign guidelines, FEC Record, press releases, speeches, notices to candidates and committees.
(8) Audit reports (if discussed in open session).
(9) Agendas for Commission meetings.
Board of Governors of the Federal Reserve System.
Final rule; determination of applicability of regulations.
The List of Foreign Margin Stocks (Foreign List) is composed of certain foreign equity securities that qualify as
March 1, 2000.
Peggy Wolffrum, Securities Regulation Analyst, Division of Banking Supervision and Regulation, (202) 452-2837, or Scott Holz, Senior Counsel, Legal Division, (202) 452-2966, Board of Governors of the Federal Reserve System, Washington, D.C. 20551. For the hearing impaired
Listed below is a complete edition of the Board's Foreign List. The Foreign List was last published on August 26, 1999 (64 FR 46559), and became effective September 1, 1999.
The Foreign List is composed of foreign equity securities that qualify as margin securities under Regulation T by meeting the requirements of § 220.11(c) and (d). Additional foreign securities qualify as margin securities if they are deemed by the Securities and Exchange Commission (SEC) to have a “ready market” under SEC Rule 15c3-1 (17 CFR 240.15c3-1) or a “no-action” position issued thereunder. This includes all foreign stocks in the FTSE World Index Series.
It is unlawful for any creditor to make, or cause to be made, any representation to the effect that the inclusion of a security on the Foreign List is evidence that the Board or the SEC has in any way passed upon the merits of, or given approval to, such security or any transactions therein. Any statement in an advertisement or other similar communication containing
There are no additions to the Foreign List. The following seven stocks are being removed because they no longer substantially meet the provisions of § 220.11(d) of Regulation T:
50 par common
50 par common
50 par common
50 par common
50 par common
50 par common
The requirements of 5 U.S.C. 553 with respect to notice and public participation were not followed in connection with the issuance of this amendment due to the objective character of the criteria for inclusion and continued inclusion on the Foreign List specified in § 220.11(c) and (d). No additional useful information would be gained by public participation. The full requirements of 5 U.S.C. 553 with respect to deferred effective date have not been followed in connection with the issuance of this amendment because the Board finds that it is in the public interest to facilitate investment and credit decisions based in whole or in part upon the composition of the Foreign List as soon as possible. The Board has responded to a request by the public and allowed approximately a one-week delay before the Foreign List is effective.
Brokers, Credit, Margin, Margin requirements, Investments, Reporting and recordkeeping requirements, Securities.
Ordinary shares, par DM 50
By order of the Board of Governors of the Federal Reserve System, acting by its Director of the Division of Banking Supervision and Regulation pursuant to delegated authority (12 CFR 265.7(f)(10)), February 17, 2000.
Federal Aviation Administration, DOT.
Final rule; request for comments.
This amendment adopts a new airworthiness directive (AD) that is applicable to certain Airbus Model A319, A320, and A321 series airplanes. This action requires a revision to the Limitations and Normal Procedures Sections of the FAA-approved Airplane Flight Manual (AFM) to limit the use of the radio altimeter of the flight management guidance system (FMGS) during the approach phase of flight. This action also provides for an optional terminating modification, which, if accomplished, would terminate the requirement for the AFM revision. This amendment is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified in this AD are intended to prevent erroneous display of decision height information to the flight crew during final approach, which could result in an increased risk of collision with the terrain.
Effective March 10, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 10, 2000.
Comments for inclusion in the Rules Docket must be received on or before March 27, 2000.
Submit comments in triplicate to the Federal Aviation Administration (FAA), Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 2000-NM-51-AD, 1601 Lind Avenue, SW., Renton, Washington 98055-4056.
The service information referenced in this AD may be obtained from Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. This information may be examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the
Norman B. Martenson, Manager, International Branch, ANM-116, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
The Direction Ge
The manufacturer has issued Airbus A319/A320/A321 Airplane Flight Manual (AFM) Temporary Revision (TR) 2.05.00/43, dated September 16, 1999. The temporary revision provides information for the flight crew concerning the use of the radio altimeter of the flight management guidance system (FMGS) during the approach phase of flight. The TR revises the AFM to limit the use of the automatic flight system for certain types of instrument landing system (ILS) approaches. The DGAC classified this TR as mandatory and issued airworthiness directive 2000-004-142(B), dated January 12, 2000, in order to assure the continued airworthiness of these airplanes in France.
Airbus also has issued Service Bulletin A320-31-1106, Revision 04, dated December 21, 1999, which describes procedures for modification of the flight warning computers (FWC). The modification involves incorporating software changes into the onboard replaceable modules of the FWC's. Accomplishment of the modification would terminate the requirement for the AFM temporary revision.
These airplane models are manufactured in France and are type certificated for operation in the United States under the provisions of section 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the applicable bilateral airworthiness agreement. Pursuant to this bilateral airworthiness agreement, the DGAC has kept the FAA informed of the situation described above. The FAA has examined the findings of the DGAC, reviewed all available information, and determined that AD action is necessary for products of this type design that are certificated for operation in the United States.
Since an unsafe condition has been identified that is likely to exist or develop on other airplanes of the same type design registered in the United States, this AD is being issued to prevent erroneous display of decision height information to the flight crew during final approach, which could result in an increased risk of collision with the terrain. This AD requires a revision to the Limitations and Normal Procedures Sections of the FAA-approved AFM to limit the use of the radio altimeter of the FMGS during the approach phase of flight. This action also provides for an optional terminating modification, which would eliminate the need for the AFM revision. The optional terminating modification is to be accomplished in accordance with the service bulletin described previously.
This is considered to be interim action until final action is identified, at
Since a situation exists that requires the immediate adoption of this regulation, it is found that notice and opportunity for prior public comment hereon are impracticable, and that good cause exists for making this amendment effective in less than 30 days.
Although this action is in the form of a final rule that involves requirements affecting flight safety and, thus, was not preceded by notice and an opportunity for public comment, comments are invited on this rule. Interested persons are invited to comment on this rule by submitting such written data, views, or arguments as they may desire. Communications shall identify the Rules Docket number and be submitted in triplicate to the address specified under the caption “
Comments are specifically invited on the overall regulatory, economic, environmental, and energy aspects of the rule that might suggest a need to modify the rule. All comments submitted will be available, both before and after the closing date for comments, in the Rules Docket for examination by interested persons. A report that summarizes each FAA-public contact concerned with the substance of this AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to this rule must submit a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket Number 2000-NM-51-AD.” The postcard will be date stamped and returned to the commenter.
The regulations adopted herein will not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
The FAA has determined that this regulation is an emergency regulation that must be issued immediately to correct an unsafe condition in aircraft, and that it is not a “significant regulatory action” under Executive Order 12866. It has been determined further that this action involves an emergency regulation under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979). If it is determined that this emergency regulation otherwise would be significant under DOT Regulatory Policies and Procedures, a final regulatory evaluation will be prepared and placed in the Rules Docket. A copy of it, if filed, may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been otherwise modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (c) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To prevent erroneous display of decision height information to the flight crew during final approach, which could result in an increased risk of collision with the terrain, accomplish the following:
(a) Within 10 days after the effective date of this AD, revise the Limitations and Normal Procedures Sections of the FAA-approved AFM by inserting a copy of Airbus Temporary Revision (TR) 2.05.00/43, dated September 16, 1999, into the AFM.
When the Temporary Revision required by paragraph (a) of this AD has been incorporated into the general revisions of the AFM, the general revisions may be inserted into the AFM, provided that the information contained in the general revisions is identical to that specified in the Temporary Revision.
(b) In lieu of accomplishing the requirements of paragraph (a) of this AD, modify the flight warning computers, in accordance with Airbus Service Bulletin A320-31-1106, Revision 04, dated December 21, 1999. After accomplishment of the modification, the AFM temporary revision required by paragraph (a) of this AD may be removed from the AFM.
Accomplishment of the modification specified by paragraph (b) of the AD, prior to the effective date of this AD, in accordance with Airbus Service Bulletin A320-31-1106, Revision 01, dated April 16, 1997; Revision 02, dated January 20, 1998; or Revision 03, dated July 9, 1999; is considered acceptable for compliance with the applicable actions specified in paragraph (b) of this AD.
(c) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the International Branch, ANM-116.
(d) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(e) The revision to the Airplane Flight Manual shall be done in accordance with
The subject of this AD is addressed in French airworthiness directive 2000-004-142(B), dated January 12, 2000.
(f) This amendment becomes effective on March 10, 2000.
Federal Aviation Administration, DOT.
Final rule.
This amendment adopts a new airworthiness directive (AD), applicable to all Fokker Model F.28 Mark 0070 and 0100 series airplanes, that requires a measurement of the resistance of the electrical connectors of the auxiliary power unit (APU) to detect a short circuit; an inspection to determine if the grommets or shrink sleeves are present; and modification, if necessary. This amendment is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified by this AD are intended to detect and prevent a short circuit of a fire extinguisher electrical system due to a lack of shrink sleeves or grommets, and consequent disabling of the affected fire extinguisher system.
Effective March 30, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 30, 2000.
The service information referenced in this AD may be obtained from Fokker Services B.V., P.O. Box 231, 2150 AE Nieuw-Vennep, the Netherlands. This information may be examined at the Federal Aviation Administration (FAA), Transport Airplane Directorate, Rules Docket, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
Norman B. Martenson, Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
A proposal to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) to include an airworthiness directive (AD) that is applicable to all Fokker Model F.28 Mark 0070 and 0100 series airplanes was published in the
Interested persons have been afforded an opportunity to participate in the making of this amendment. No comments were submitted in response to the proposal or the FAA's determination of the cost to the public.
The FAA has determined that air safety and the public interest require the adoption of the rule as proposed.
The FAA estimates that 123 airplanes of U.S. registry will be affected by this AD.
It will take approximately 2 work hours per airplane to accomplish the measurement specified in Part A of the referenced service bulletin, at an average labor rate of $60 per work hour. Based on these figures, the cost impact of this measurement required by this AD on U.S. operators is estimated to be $14,760, or $120 per airplane.
It will take approximately 1 work hour per airplane to accomplish the inspection specified in Part B of the referenced service bulletin, at an average labor rate of $60 per work hour. Based on these figures, the cost impact of this inspection required by this AD on U.S. operators is estimated to be $7,380, or $60 per airplane.
Should an operator be required to accomplish the modification specified in Part B of the referenced service bulletin, it will take approximately 2 work hours per airplane to accomplish, at an average labor rate of $60 per work hour. Based on these figures, the cost impact of the modification required by this AD on U.S. operators is estimated to be $120 per airplane.
The cost impact figures discussed above are based on assumptions that no operator has yet accomplished any of the requirements of this AD action, and that no operator would accomplish those actions in the future if this AD were not adopted.
The regulations adopted herein will not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
For the reasons discussed above, I certify that this action (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. A final evaluation has been prepared for this action and it is contained in the Rules Docket. A copy of it may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (b) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To detect and prevent a short circuit of a fire extinguisher electrical system due to a lack of shrink sleeves or grommets, and consequent disabling of the affected fire extinguisher system, accomplish the following:
(a) Within 12 months after the effective date of this AD, perform a measurement of the resistance of the electrical lines on the auxiliary power unit (APU) and engine fire extinguisher bottles to detect a short circuit, in accordance with Part A of the Accomplishment Instructions of Fokker Service Bulletin SBF100-26-015, dated August 15, 1999.
(1) If no short circuit is detected, at the next scheduled weight check of the fire extinguishing bottle, or within 2 years after the inspection required by paragraph (a) of this AD, whichever occurs first, perform a general visual inspection to determine if the grommets or shrink sleeves are present and installed properly. If any grommet or shrink sleeve is missing or not installed properly, prior to further flight, perform the modification of the connectors, in accordance with Part B of the Accomplishment Instructions of the service bulletin.
(2) If any short circuit is detected, prior to further flight, perform a general visual inspection to determine if the grommets or shrink sleeves are present and installed properly. If any grommet or shrink sleeve is missing or not installed properly, prior to further flight, perform the modification of the connectors, in accordance with Part B of the Accomplishment Instructions of the service bulletin.
For the purposes of this AD, a general visual inspection is defined as “A visual examination of an interior or exterior area, installation, or assembly to detect obvious damage, failure, or irregularity. This level of inspection is made under normally available lighting conditions such as daylight, hangar lighting, flashlight, or drop-light, and may require removal or opening of access panels or doors. Stands, ladders, or platforms may be required to gain proximity to the area being checked.”
(b) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the International Branch,
(c) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(d) The actions shall be done in accordance with of Fokker Service Bulletin SBF100-26-015, dated August 15, 1999. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from Fokker Services B.V., P.O. Box 231, 2150 AE Nieuw-Vennep, the Netherlands. Copies may be inspected at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
The subject of this AD is addressed in Dutch airworthiness directive 1999-110, dated August 31, 1999.
(e) This amendment becomes effective on March 30, 2000.
Federal Aviation Administration, DOT.
Final rule.
This amendment adopts a new airworthiness directive (AD), applicable to certain Airbus Model A319, A320, and A321 series airplanes, that requires modification of the forward and aft evacuation slide systems by replacing the Velcro restraints for the support logs with frangible link restraints. This amendment is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified by this AD are intended to prevent the ingestion of sill support-log material into the aspirator of the escape slide, which could result in failure of the escape slide to inflate.
Effective March 30, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 30, 2000.
The service information referenced in this AD may be obtained from Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. This information may be examined at the Federal Aviation Administration (FAA), Transport Airplane Directorate, Rules Docket, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
Norman B. Martenson, Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
A proposal to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) to include an airworthiness directive (AD) that is applicable to certain Airbus Model A319, A320, and A321 series airplanes was published in the
Interested persons have been afforded an opportunity to participate in the making of this amendment. Due consideration has been given to the single comment received.
The commenter supports the proposed rule.
After careful review of the available data, including the comment noted above, the FAA has determined that air safety and the public interest require the adoption of the rule as proposed.
The FAA estimates that 202 airplanes of U.S. registry will be affected by this AD, that it will take approximately 1 work hour per airplane to accomplish the required modification, and that the average labor rate is $60 per work hour. Required parts for the modification of the evacuation slide are available from the evacuation slide vendor without charge. Based on these figures, the cost impact of the AD on U.S. operators is estimated to be $12,120, or $60 per airplane.
The cost impact figure discussed above is based on assumptions that no operator has yet accomplished any of the requirements of this AD action, and that no operator would accomplish those actions in the future if this AD were not adopted.
The regulations adopted herein will not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
For the reasons discussed above, I certify that this action (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. A final evaluation has been prepared for this action and it is contained in the Rules Docket. A copy of it may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (c) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To prevent the ingestion of sill support-log material into the aspirator of the escape slide which could result in failure of the escape slide to inflate, accomplish the following:
(a) Within three years after the effective date of this AD, modify the forward and aft emergency evacuation slides by replacing the Velcro restraints for the support logs with frangible link restraints, in accordance with Airbus Service Bulletin A320-25-1215, dated April 29, 1999.
Airbus Service Bulletin A320-25-1215 refers to Air Cruisers Service Bulletin S.B. 004-25-51, dated February 26, 1999, as an additional source of service information for accomplishment of the modification.
(b) As of the effective date of this AD, no person shall install on any airplane an emergency evacuation slide, P/N D31516-103, D31516-105, D31516-107, D31516-109, D31517-103, D31517-105, D31517-107, or D31517-109.
(c) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the International Branch, ANM-116.
(d) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(e) The modification shall be done in accordance with Airbus Service Bulletin A320-25-1215, dated April 29, 1999. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. Copies may be inspected at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
The subject of this AD is addressed in French airworthiness directive 1999-356-136(B), dated September 8, 1999.
(f) This amendment becomes effective on March 30, 2000.
Federal Aviation Administration, DOT.
Final rule.
This amendment adopts a new airworthiness directive (AD), applicable to all British Aerospace BAe Model ATP airplanes, that requires a one-time detailed visual inspection to detect incorrect installation or discrepancies (damage, bending, overheating, discoloration) of the circuit breaker and the cable terminations of the circuit breaker of the engine de-ice panel. This amendment is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified by this AD are intended to prevent failure of the engine intake de-icing system, which could result in loss of engine intake de-icing capability, accretion of ice in the intake duct, ice ingestion, and consequent engine flameout.
Effective March 30, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 30, 2000.
The service information referenced in this AD may be obtained from British Aerospace Regional Aircraft American Support, 13850 Mclearen Road, Herndon, Virginia 20171. This information may be examined at the Federal Aviation Administration (FAA), Transport Airplane Directorate, Rules Docket, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
Norman B. Martenson, Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
A proposal to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) to include an airworthiness directive (AD) that is applicable to all British Aerospace BAe Model ATP airplanes was published in the
Interested persons have been afforded an opportunity to participate in the making of this amendment. No comments were submitted in response to the proposal or the FAA's determination of the cost to the public.
The FAA has determined that air safety and the public interest require the adoption of the rule as proposed.
The FAA estimates that 10 airplanes of U.S. registry will be affected by this AD, that it will take approximately 2 work hours per airplane to accomplish the required inspection, and that the average labor rate is $60 per work hour. Based on these figures, the cost impact of the AD on U.S. operators is estimated to be $1,200, or $120 per airplane.
The cost impact figure discussed above is based on assumptions that no operator has yet accomplished any of the requirements of this AD action, and that no operator would accomplish those actions in the future if this AD were not adopted.
The regulations adopted herein will not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
For the reasons discussed above, I certify that this action (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. A final evaluation has been prepared for this action and it is contained in the Rules Docket. A copy of it may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (b) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To prevent failure of the engine intake de-icing system, which could result in loss of engine intake de-icing capability, accretion of ice in the intake duct, ice ingestion, and consequent engine flameout, accomplish the following:
(a) Within 3 months after the effective date of this AD: Perform a one-time detailed visual inspection to detect incorrect installation or discrepancies (damage, bending, overheating, discoloration) of the circuit breaker and the cable terminations of the circuit breaker of the engine de-ice panel, in accordance with Part 5 of the Accomplishment Instructions of British Aerospace Service Bulletin ATP-30-52, Revision 1, dated June 12, 1998. If any incorrect installation or discrepancy is
For the purposes of this AD, a detailed visual inspection is defined as: “An intensive visual examination of a specific structural area, system, installation, or assembly to detect damage, failure, or irregularity. Available lighting is normally supplemented with a direct source of good lighting at intensity deemed appropriate by the inspector. Inspection aids such as mirror, magnifying lenses, etc., may be used. Surface cleaning and elaborate access procedures may be required.”
(b) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the Manager, International Branch, ANM-116.
(c) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(d) The inspection and repair shall be done in accordance with British Aerospace Service Bulletin ATP-30-52, Revision 1, dated June 12, 1998. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from British Aerospace Regional Aircraft American Support, 13850 Mclearen Road, Herndon, Virginia 20171. Copies may be inspected at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
The subject of this AD is addressed in British airworthiness directive 007-01-98.
(e) This amendment becomes effective on March 30, 2000.
Federal Aviation Administration, DOT.
Final rule; request for comments.
This amendment adopts a new airworthiness directive (AD) that is applicable to certain Boeing Model 737-200C series airplanes. This action requires repetitive inspections to detect cracking in the lower skin at the stringer 4R lap joint, and certain fuselage frames; and corrective actions, if necessary. This amendment also provides for optional terminating action for the repetitive inspections. This amendment is prompted by a report of a fractured frame located at body station (BS) 480. The actions specified in this AD are intended to detect and correct cracking in certain frames, which, in conjunction with multiple site cracking in the lower skin of the lap joint, could result in failure of certain lap joints, and consequent rapid decompression of the airplane fuselage.
Effective March 10, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 10, 2000.
Comments for inclusion in the Rules Docket must be received on or before April 24, 2000.
Submit comments in triplicate to the Federal Aviation Administration (FAA), Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 99-NM-352-AD, 1601 Lind Avenue, SW., Renton, WA 98055-4056.
The service information referenced in this AD may be obtained from Boeing Commercial Airplane Group, PO Box 3707, Seattle, WA 98124-2207. This information may be examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, WA; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
James G. Rehrl, Aerospace Engineer, Airframe Branch, ANM-120S, FAA, Transport Airplane Directorate, Seattle Aircraft Certification Office, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2783; fax (425) 227-1181.
The FAA has received a report indicating that a cracked fuselage frame was detected at body station (BS) 480, common to the stringer 5R integral shear tie stringer cutout on a Model 737-200C series airplane. Subsequent investigation revealed that the z-frame and integral-shear-tie at the stringer cutout were fractured. A crack also was detected in the S-5R and S-2R integral shear ties at the stringer cutout. A fractured frame at stringer 5R is a concern because it is adjacent to the stringer 4R lap joint, which is susceptible to multiple site cracking. Although the cracking was detected at BS 480 only, the frames at BS 500, 500A, 500B, and 520 have a similar design. Such cracking in these frames, in conjunction with multiple site cracking in the lower skin of the stringer 4R lap joint, could result in failure of the lap joint, and consequent rapid decompression of the airplane fuselage.
The FAA has reviewed and approved Boeing Alert Service Bulletin 737-53A1220, dated October 4, 1999, which describes procedures for a low frequency eddy current (LFEC) inspection to detect cracking in the lower skin at the stringer 4R lap joint between BS 460 and BS 540, and a detailed internal visual inspection to detect cracking in the frames at BS 480 through BS 520. The alert service bulletin also describes procedures for a preventative modification of the BS 480 frame.
Since an unsafe condition has been identified that is likely to exist or develop on other Model 737-200C series airplanes of the same type design, this AD is being issued to require repetitive inspections to detect cracking in the lower skin at the stringer 4R lap joint, and certain fuselage frames; and corrective actions, if necessary. This amendment also provides for optional terminating action for the repetitive inspections. The actions are required to be accomplished in accordance with the alert service bulletin described previously, except as discussed below.
Operators should note that, although the alert service bulletin does not
Operators also should note that, although the alert service bulletin specifies that the manufacturer may be contacted for disposition of certain repair conditions, this AD requires the repair of those conditions to be accomplished in accordance with a method approved by the FAA, or in accordance with data meeting the type certification basis of the airplane approved by a Boeing Company Designated Engineering Representative who has been authorized by the FAA to make such findings.
Since a situation exists that requires the immediate adoption of this regulation, it is found that notice and opportunity for prior public comment hereon are impracticable, and that good cause exists for making this amendment effective in less than 30 days.
Although this action is in the form of a final rule that involves requirements affecting flight safety and, thus, was not preceded by notice and an opportunity for public comment, comments are invited on this rule. Interested persons are invited to comment on this rule by submitting such written data, views, or arguments as they may desire. Communications shall identify the Rules Docket number and be submitted in triplicate to the address specified under the caption
Comments are specifically invited on the overall regulatory, economic, environmental, and energy aspects of the rule that might suggest a need to modify the rule. All comments submitted will be available, both before and after the closing date for comments, in the Rules Docket for examination by interested persons. A report that summarizes each FAA-public contact concerned with the substance of this AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to this rule must submit a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket Number 99-NM-352-AD.” The postcard will be date stamped and returned to the commenter.
The regulations adopted herein will not have substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
The FAA has determined that this regulation is an emergency regulation that must be issued immediately to correct an unsafe condition in aircraft, and that it is not a “significant regulatory action” under Executive Order 12866. It has been determined further that this action involves an emergency regulation under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979). If it is determined that this emergency regulation otherwise would be significant under DOT Regulatory Policies and Procedures, a final regulatory evaluation will be prepared and placed in the Rules Docket. A copy of it, if filed, may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
Accordingly, pursuant to the authority delegated to me by the Administrator, the Federal Aviation Administration amends part 39 of the Federal Aviation Regulations (14 CFR part 39) as follows:
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (e) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To detect and correct cracking in certain fuselage frames, which, in conjunction with multiple site cracking in the lower skin of the lap joint, could result in failure of certain lap joints, and consequent rapid decompression of the airplane fuselage, accomplish the following:
(a) Prior to the accumulation of 50,000 total flight cycles, or within 600 flight cycles after the effective date of this AD, whichever occurs later: Perform a low frequency eddy current (sliding probe) inspection to detect cracking in accordance with Part 3.A. of the Accomplishment Instructions of Boeing Alert Service Bulletin 737-53A1220, dated October 4, 1999. Repeat the inspections at intervals not to exceed 600 flight cycles until accomplishment of the requirements of paragraph (b) of this AD.
(b) Within 2,500 flight cycles following accomplishment of the initial inspection required by paragraph (a) of this AD: Perform an internal detailed visual inspection to detect cracking in accordance with the Part 3.B. of the Accomplishment Instructions of Boeing Alert Service Bulletin 737-53A1220, dated October 4, 1999. Repeat the inspection thereafter at intervals not to exceed 2,500 flight cycles until the modification required by paragraph (d) of this AD is accomplished.
For the purposes of this AD, a detailed visual inspection is defined as: “An intensive visual examination of a specific structural area, system, installation, or assembly to detect damage, failure, or irregularity. Available lighting is normally supplemented with a direct source of good lighting at intensity deemed appropriate by the inspector. Inspection aids such as mirror, magnifying lenses, etc., may be used. Surface cleaning and elaborate access procedures may be required.”
(c) Prior to further flight, repair any cracking detected by any inspection required by paragraph (a) or (b) of this AD in accordance with a method approved by the Manager, Seattle Aircraft Certification Office (ACO), FAA, Transport Airplane Directorate; or in accordance with data meeting the type certification basis of the airplane approved by a Boeing Company Designated Engineering Representative (DER) who has been authorized by the Manager, Seattle ACO, to make such findings. For a repair method to be approved by the Manager, Seattle ACO, as required by this paragraph, the approval letter must specifically reference this AD.
(d) Installation of the preventative modification of the BS 480 frame in accordance with Part 3.C. of the Accomplishment Instructions of Boeing Alert Service Bulletin 737-53A1220, dated October 4, 1999, constitutes terminating action for the requirements of this AD.
(e) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, Seattle ACO. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, Seattle ACO.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the Seattle ACO.
(f) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(g) Except as provided by paragraph (c) of this AD, the actions shall be done in accordance with Boeing Alert Service Bulletin 737-53A1220, dated October 4, 1999. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from Boeing Commercial Airplane Group, P.O. Box 3707, Seattle, WA 98124-2207. Copies may be inspected at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, WA; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
(h) This amendment becomes effective on March 10, 2000.
Federal Aviation Administration, DOT.
Final rule; request for comments.
This amendment adopts a new airworthiness directive (AD) that is applicable to certain EMBRAER Model EMB-135 and EMB-145 series airplanes. This action requires various inspections to detect discrepancies of the elevator servo tab and spring tab hinge fittings of the horizontal stabilizer, and follow-on corrective actions, if necessary. This amendment is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified in this AD are intended to prevent the linkage of the elevator servo tab or spring tab hinge fittings from separating from the horizontal stabilizer, which could result in loss of control of the airplane.
Effective March 10, 2000.
The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of March 10, 2000.
Comments for inclusion in the Rules Docket must be received on or before March 27, 2000.
Submit comments in triplicate to the Federal Aviation Administration (FAA), Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 99-NM-370-AD, 1601 Lind Avenue, SW., Renton, Washington 98055-4056.
The service information referenced in this AD may be obtained from Empresa Brasileira de Aeronautica S.A. (EMBRAER), P.O. Box 343—CEP 12.225, Sao Jose dos Campos—SP, Brazil. This information may be examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the FAA, Small Airplane Directorate, Atlanta Aircraft Certification Office, One Crown Center, 1895 Phoenix Boulevard, suite 450, Atlanta, Georgia; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
Satish Lall, Aerospace Engineer, Airframe and Propulsion Branch, ACE-117A, FAA, Small Airplane Directorate, Atlanta Aircraft Certification Office, One Crown Center, 1895 Phoenix Boulevard, suite 450, Atlanta, Georgia 30337-2748; telephone (770) 703-6082; fax (770) 703-6097.
The Departmento de Aviacao Civil (DAC), which is the airworthiness authority for Brazil, notified the FAA that an unsafe condition may exist on certain EMBRAER Model EMB-135 and EMB-145 series airplanes. The DAC advises that it has received a report of looseness of the hinge fitting attachment of the elevator spring tab of the horizontal stabilizer. The configuration of the hinge fitting attachment of the elevator servo tab is similar in design to that of the elevator spring tab. Therefore the elevator servo tab may be subject to the same unsafe condition reported on the elevator spring tab. The looseness was attributed to the incorrect installation of the attachment fasteners (two) to the tab upper skin. The loss of the fitting rigidity may cause damage to the other attachment fasteners (four) in the tab spar, which could cause the linkage of the elevator servo tab or spring tab hinge fittings to separate from the horizontal stabilizer. This condition, if not corrected, could result in loss of control of the airplane.
The manufacturer has issued Embraer Alert Service Bulletin S.B. 145-55-A022, Change 02, dated October 8, 1999, which describes procedures for various inspections to detect discrepancies of the elevator servo tab and spring tab hinge fittings of the horizontal stabilizer, and corrective actions, if necessary.
• Part I of the Accomplishment Instructions: Repetitive visual inspections to detect proper attachment (as specified in the alert service bulletin) of the left-and right-hand elevator servo tab and spring tab hinge fittings of the horizontal stabilizer, and follow-on corrective actions, if necessary. The corrective actions involve replacing all affected tabs with new or serviceable tabs or accomplishing Part II of the Accomplishment Instructions.
• Part II of the Accomplishment Instructions: One-time visual inspection to detect relative movement between the servo tab center hinge fitting and the tab lower skin and spar, and between the spring tab inboard hinge fitting and the tab upper skin and spar, and corrective
The DAC classified this alert service bulletin as mandatory and issued Brazilian airworthiness directive 1999-09-01R1, dated October 25, 1999, in order to assure the continued airworthiness of these airplanes in Brazil.
These airplane models are manufactured in Brazil and are type certificated for operation in the United States under the provisions of section 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the applicable bilateral airworthiness agreement. Pursuant to this bilateral airworthiness agreement, the DAC has kept the FAA informed of the situation described above. The FAA has examined the findings of the DAC, reviewed all available information, and determined that AD action is necessary for products of this type design that are certificated for operation in the United States.
Since an unsafe condition has been identified that is likely to exist or develop on other airplanes of the same type design registered in the United States, this AD is being issued to prevent the linkage of the elevator servo tab or spring tab hinge fittings from separating from the horizontal stabilizer, which could result in loss of control of the airplane. This AD requires accomplishment of the actions specified in the alert service bulletin described previously, except as discussed below.
This is considered to be interim action. The manufacturer has advised that it currently is developing a modification that will positively address the unsafe condition addressed by this AD. Once this modification is developed, approved, and available, the FAA may consider additional rulemaking.
Operators should note that the parallel Brazilian airworthiness directive and the manufacturer's alert service bulletin allow the repetitive inspection interval to be increased from 100 flight hours to 400 flight hours after accomplishing Part II (one-time detailed visual inspection and boroscopic inspection) of the Accomplishment Instructions of the alert service bulletin. However, this AD would allow the repetitive inspection interval to be increased to 400 flight hours following replacement of all elevator servo and spring tabs.
In addition, the FAA has determined that it is not necessary to accomplish the rework and boroscopic inspection recommended by Part II of the Accomplishment Instructions of the alert service bulletin on any elevator servo and spring tabs which have been replaced in accordance with this AD. The FAA has determined that replacement of affected elevator servo and spring tabs adequately addresses the unsafe condition and ensures operational safety of the affected airplanes until final action can be identified.
Since a situation exists that requires the immediate adoption of this regulation, it is found that notice and opportunity for prior public comment hereon are impracticable, and that good cause exists for making this amendment effective in less than 30 days.
Although this action is in the form of a final rule that involves requirements affecting flight safety and, thus, was not preceded by notice and an opportunity for public comment, comments are invited on this rule. Interested persons are invited to comment on this rule by submitting such written data, views, or arguments as they may desire. Communications shall identify the Rules Docket number and be submitted in triplicate to the address specified under the caption
Comments are specifically invited on the overall regulatory, economic, environmental, and energy aspects of the rule that might suggest a need to modify the rule. All comments submitted will be available, both before and after the closing date for comments, in the Rules Docket for examination by interested persons. A report that summarizes each FAA-public contact concerned with the substance of this AD will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to this rule must submit a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket Number 99-NM-370-AD.” The postcard will be date stamped and returned to the commenter.
The regulations adopted herein will not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this final rule does not have federalism implications under Executive Order 13132.
The FAA has determined that this regulation is an emergency regulation that must be issued immediately to correct an unsafe condition in aircraft, and that it is not a “significant regulatory action” under Executive Order 12866. It has been determined further that this action involves an emergency regulation under DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979). If it is determined that this emergency regulation otherwise would be significant under DOT Regulatory Policies and Procedures, a final regulatory evaluation will be prepared and placed in the Rules Docket. A copy of it, if filed, may be obtained from the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Incorporation by reference, Safety.
49 U.S.C. 106(g), 40113, 44701.
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (c) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To prevent the linkage of the elevator servo tab or spring tab hinge fittings from separating from the horizontal stabilizer, which could result in loss of control of the airplane, accomplish the following:
(a) Within 10 flight hours after the effective date of this AD, perform a detailed visual inspection to verify proper attachment, as specified in the alert service bulletin, of the left- and right-hand elevator servo tab and spring tab hinge fittings of the horizontal stabilizer, in accordance with Part I of the Accomplishment Instructions of Embraer Alert Service Bulletin S.B. 145-55-A022, Change 02, dated October 8, 1999.
For the purposes of this AD, a detailed visual inspection is defined as: “An intensive visual examination of a specific structural area, system, installation, or assembly to detect damage, failure, or irregularity. Available lighting is normally supplemented with a direct source of good lighting at intensity deemed appropriate by the inspector. Inspection aids such as mirrors, magnifying lenses, etc., may be used. Surface cleaning and elaborate access procedures may be required.”
(1) If all elevator servo tab and spring tab hinge fittings are properly attached, as specified in the alert service bulletin, repeat the detailed visual inspection thereafter at intervals not to exceed 100 flight hours until the requirements of paragraph (b) of this AD are accomplished.
(2) If any elevator servo tab or spring tab hinge fitting is improperly attached, as specified in the alert service bulletin, prior to further flight, accomplish the requirements of either paragraph (a)(2)(i) or (a)(2)(ii) of this AD.
(i) Replace the affected tab with a new or serviceable tab in accordance with Part I of the Accomplishment Instruction of the alert service bulletin. Thereafter, repeat the detailed visual inspection required by paragraph (a) of this AD at intervals not to exceed 100 flight hours until the requirements of paragraph (b) of this AD are accomplished. Following replacement of all tabs, repeat the inspection required by paragraph (a) of this AD at intervals not to exceed 400 flight cycles; or
(ii) Accomplish the requirements of paragraphs (b) of this AD.
(b) For airplanes that have not replaced all elevator servo tabs and spring tabs: Within 400 flight hours after the effective date of this AD, perform a one-time detailed visual inspection to detect relative movement between the servo tab center hinge fitting and the tab lower skin and tab spar, and between the elevator spring tab inboard hinge fitting and the tab upper skin and tab spar, in accordance with Part II of the Accomplishment Instructions of Embraer Alert Service Bulletin S.B. 145-55-A022, Change 02, dated October 8, 1999.
(1) If no relative movement is detected, prior to further flight, rework the elevator servo tabs and spring tabs and perform a boroscopic inspection to verify correct installation, as specified in the alert service bulletin, of the fasteners attaching the elevator servo tab and spring tab hinge fittings to the elevator servo tab and spring tab, in accordance with Part II of the Accomplishment Instruction of the alert service bulletin.
(i) If all fasteners attaching the elevator servo tab and spring tab hinge fittings are installed correctly, repeat the inspection required by paragraph (a) of this AD at intervals not to exceed 400 flight cycles.
(ii) If any fastener attaching the elevator servo tab or spring tab hinge fittings is incorrectly installed, as specified in the alert service bulletin, prior to further flight, replace, one at a time, each affected fastener with a new fastener and washer, and prior to further flight, repeat the boroscopic inspection required by paragraph (b)(1) of this AD. When correct fastener installation is verified, repeat the inspection required by paragraph (a) of this AD at intervals not to exceed 400 flight cycles.
Replacement of the attaching fasteners one at a time will avoid the loss of the servo tab or spring tab hinge fittings position.
(2) If any relative movement is detected, prior to further flight, replace the affected tab with a new or serviceable tab, in accordance with Part II of the Accomplishment Instructions of the alert service bulletin. Following replacement of all tabs, repeat the inspection required by paragraph (a) of this AD at intervals not to exceed 400 flight cycles.
Accomplishment of the actions required by this AD prior to the effective date of this AD, in accordance with Embraer Alert Service Bulletin S.B. 145-55-A022, dated September 24, 1999, or Revision 01, dated October 7, 1999, is considered acceptable for the compliance with the applicable actions specified by this AD.
(c) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, Atlanta Aircraft Certification Office (ACO), FAA, Small Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, Atlanta ACO.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the Atlanta ACO.
(d) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
(e) The actions shall be done in accordance with Embraer Alert Service Bulletin S.B. 145-55-A022, Change 02, dated October 8, 1999. This incorporation by reference was approved by the Director of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained from Empresa Brasileira de Aeronautica S.A. (EMBRAER), P.O. Box 343—CEP 12.225, Sao Jose dos Campos—SP, Brazil. Copies may be inspected at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington; or at the FAA, Small Airplane Directorate, Atlanta Aircraft Certification Office, One Crown Center, 1895 Phoenix Boulevard, suite 450, Atlanta, Georgia; or at the Office of the Federal Register, 800 North Capitol Street, NW., suite 700, Washington, DC.
The subject of this AD is addressed in Brazilian airworthiness directive 1999-09-01R1, dated October 25, 1999.
(f) This amendment becomes effective on March 10, 2000.
Internal Revenue Service (IRS), Treasury.
Correction to final regulations.
This document contains corrections to Treasury Decision 8847, which was published in the
These corrections are effective December 15, 1999.
Matthew Lay, (202) 622-3050 (not a toll-free number).
The final regulations that are the subject of these corrections are under sections 743, 754, and 755 of the Internal Revenue Code.
As published, TD 8847 contains errors which may prove to be misleading and are in need of clarification.
Accordingly, the publication of the final regulations (TD 8847), which were the subject of FR Doc. 99-32400, is corrected as follows:
1. On page 69904, column 1, in the preamble under the paragraph heading “Explanation of Revisions and Summary of Contents”, paragraph 1.(c), the last line, the language “after December 15, 1999.” is corrected to read “on or after December 15, 1999.”.
2. On page 69905, column 2, in the preamble under the paragraph heading “
3. On page 69906, column 2, in the preamble under the paragraph heading “Special Analyses”, the paragraph is corrected to read as follows:
“It has been determined that these final regulations are not a significant regulatory action as defined in Executive Order 12866. Therefore, a regulatory assessment is not required. It has been determined that a final regulatory flexibility analysis is required for the collection of information in this Treasury decision under 5 U.S.C. 604. This analysis is set forth below under the heading “Final Regulatory Flexibility Act Analysis.” Pursuant to section 7805(f) of the Internal Revenue Code, the notice of proposed rulemaking preceding these regulations was submitted to the Chief Counsel for Advocacy of the Small Business Administration for comment on their impact on small business. No comments were received regarding the impact of the regulations on small business.”
4. On page 69906, column 2, in the preamble, the paragraph heading “Summary of Final Regulatory Flexibility Act Analysis” is corrected to read “Final Regulatory Flexibility Act Analysis”.
(h) * * *
(2) * * *
(iv) * * *
(ii) * * * Under paragraph (h)(2)(i) of this section, X's basis in Asset 1 equals $90 (PRS's common basis in the asset, $60, plus the gain recognized by PRS under section 351(b)(1), $15, plus A's basis adjustment under section 743(b), $20, less the portion of the adjustment which reduced A's gain, $5).
Coast Guard, DOT
Final rule.
The Coast Guard is amending the permanent regulations for floating safety zones around Anhydrous Ammonia (NH3) vessels transiting the waters of Tampa Bay. These revisions will allow for nighttime vessel transits, and will replace the requirement for a safety zone at the berth, with a requirement to provide 30 minute advanced notice to the NH3 vessel or facility. Safety improvements in Tampa Bay have alleviated the need for such restrictions.
This section becomes effective March 27, 2000.
Lieutenant Warren Weedon, Chief, Waterways Management Branch at (813) 228-2189.
On August 31, 1999, the Coast Guard published a notice of proposed rulemaking on this amendment to the permanent safety zones around Anhydrous Ammonia (NH3) vessels transiting Tampa Bay in the
After extensive discussions from the Tampa Bay Harbor Safety Committee and the formation of a Safety Zone Subcommittee consisting of Coast Guard representatives, vessel agents, pilots, tug operators and port authority representatives, recommendations were forwarded to the Coast Guard Captain of the Port to amend the regulations for NH3 vessels transiting the Port of Tampa.
In 1991, Coast Guard Marine Safety Office Tampa temporarily amended the transit requirements for Anhydrous Ammonia (NH3) vessels, through Port Community Information Bulletin (PCIB) 6-91 which allowed NH3 vessels to enter and transit the Port of Tampa during the nighttime with a minimum of three mile visibility. It also replaced the safety zone extending 150 feet waterside while the vessel is moored, with a requirement calling for vessels over 5000 gross tons to provide a 30 minute notification allowing the NH3 vessel time to take appropriate safety precautions. PCIB 6-91 has been replaced with a case by case waiver from the current regulations, utilizing the operational restriction initially identified in the PCIB. The Captain of the Port is now incorporating these proven operational guidelines into the permanent regulations.
In the late 1980's and early 1990's, many safety changes were made to the port, including the widening and deepening of the shipping channels, installation of centerline range marks, inbound and outbound, an increased brightness in range lights and a new Vessel Traffic Advisory System (VTAS). These changes have enhanced the level of safety on the navigable waters of Tampa Bay.
This rule is not a significant regulatory action under section 3(f) of Executive Order 12866 and does not require an assessment of potential costs and benefits under section 6(a)(3) of the order. It has been exempted from review by the Office of Management and Budget under that order. It is not significant under the regulatory policies and procedures of the Department of Transportation (DOT) (44 FR 11040; February 26, 1979). The Coast Guard expects the economic impact of this rule to be so minimal that a full Regulatory Evaluation under paragraph 10e of the regulatory policies and procedures of DOT is unnecessary. This regulation already exists. The amended rule will have minimal effects on vessel traffic as it will only extend the hours of operation to include the nighttime.
Under the Regulatory Flexibility Act (5 U.S.C. 601
Therefore, the Coast Guard certifies under section 605(b) that this rule will not have a significant effect upon a substantial number of small entities, as this regulation will only be in effect approximately twice a week for two hours in a limited area of the Port of Tampa.
This rule contains no collection of information requirements under the Paperwork Reduction Act (44 U.S.C. 3501
This action has been analyzed in accordance with the principles and criteria contained in Executive Order 13132, and it has been determined that the rulemaking does not have sufficient Federalism implications under that order.
The Coast Guard has considered the environmental impact of this action and has determined under Figure 2-1, paragraph (34)(g) of Commandant Instruction M16475.1C, that this rule is categorically excluded from further environmental documentation. A Categorical Exclusion Determination has been prepared and is available in the docket for inspection and copying.
Harbors, Marine safety, Navigation (water), Reports and recordkeeping requirements, Security measures, Waterways.
33 U.S.C. 1231; 50 U.S.C. 191; 33 CFR 1.05-1(g), 6.04-1, 6.04-6, and 160.5; 49 CFR 1.46.
(b) All vessels over 5000 gross tons intending to pass anhydrous ammonia vessels moored in Port Sutton, and all vessels intending to moor in the R. E. Knight facilities at Hookers Point while an anhydrous ammonia vessel is moored in this facility, must give 30 minutes notice to the anhydrous ammonia vessel so it may take appropriate safety precautions.
(g) Vessels carrying anhydrous ammonia are permitted to enter and transit Tampa and Hillsborough Bay and approaches only with a minimum of three miles visibility.
Environmental Protection Agency (EPA).
Direct final rule; correcting amendment.
This document corrects an error in the amendatory instruction in a direct final rule pertaining to the Buffalo, Iowa, PM
February 24, 2000.
Edward West at (913) 551-7330.
EPA published a document on March 18, 1999 (64 FR 13343), inadvertently omitting a revision to the nonregulatory table in paragraph (e). This document adds that revision.
Under Executive Order 12866 (58 FR 51735, October 4, 1993), this action is not a “significant regulatory action” and is therefore not subject to review by the Office of Management and Budget. In addition, this action does not impose any enforceable duty or contain any unfunded mandate as described in the Unfunded Mandates Reform Act of 1995 (Public Law 104-4), or require prior consultation with state officials as specified by Executive Order 12875 (58 FR 58093, October 28, 1993), or involve special consideration of environmental justice related issues as required by Executive Order 12898 (59 FR 7629, February 16, 1994).
Because this corrective rulemaking action is not subject to notice-and-comment requirements under the Administrative Procedure Act or any other statute, it is not subject to the provisions of the Regulatory Flexibility Act (5 U.S.C. 601
The Congressional Review Act, 5 U.S.C. 801
Environmental protection, Air pollution control, Carbon monoxide, Hydrocarbons, Incorporation by reference, Intergovernmental relations.
42 U.S.C. 7401
(e) * * *
Farm Credit Administration.
Proposed rule; comment period extension.
The Farm Credit Administration (FCA) Board extends the comment period on the proposed rule that would establish risk-based capital requirements for the Federal Agricultural Mortgage Corporation (Corporation) to June 12, 2000, so interested parties have additional time to provide comments.
Please send your comments to us on or before June 12, 2000.
You may mail or deliver comments to Carl A. Clinefelter, Director, Office of Secondary Market Oversight, Farm Credit Administration, 1501 Farm Credit Drive, McLean, Virginia 22102-5090 or send them by facsimile transmission to (703) 734-5784. You may also submit comments via electronic mail to “reg-comm@fca.gov” or through the Pending Regulations section of the FCA's interactive Web site at “www.fca.gov.” Copies of all communications received will be available for review by interested parties in the Office of Policy and Analysis, Farm Credit Administration.
Carl A. Clinefelter, Director, Office of Secondary Market Oversight, Farm Credit Administration, McLean, VA 22102-5090, (703) 883-4280, TDD (703) 883-4444, or Dennis K. Carpenter, Senior Policy Analyst, Office of Policy and Analysis, Farm Credit Administration, McLean, VA 22102-5090, (703) 883-4498, TDD (703) 883-4444, or Joy Strickland, Senior Counsel, Office of General Counsel, Farm Credit Administration, McLean, VA 22102-5090, (703) 883-4020, TDD (703) 883-4444.
On November 12, 1999, FCA published a proposed rule in the
Federal Aviation Administration, DOT.
Notice of proposed rulemaking (NPRM).
This document proposes the adoption of a new airworthiness directive (AD) that is applicable to certain Airbus Model A300-600 series airplanes. This proposal would require modification of certain electrical looms of the nose and main landing gear and modification of the rotor shaft attachment of the nose and main landing gear tachometers. This proposal is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified by the proposed AD are intended to prevent erratic operation of the wheel tachometers, which could result in degradation of the braking performance, and possible increased landing roll.
Comments must be received by March 27, 2000.
Submit comments in triplicate to the Federal Aviation Administration (FAA), Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 99-NM-362-AD, 1601 Lind Avenue, SW., Renton, Washington 98055-4056. Comments may be inspected at this location between 9:00 a.m. and 3:00 p.m., Monday through Friday, except Federal holidays.
The service information referenced in the proposed rule may be obtained from Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. This information may be examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington.
Norman B. Martenson, Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
Interested persons are invited to participate in the making of the proposed rule by submitting such written data, views, or arguments as they may desire. Communications shall identify the Rules Docket number and be submitted in triplicate to the address specified above. All communications received on or before the closing date for comments, specified above, will be considered before taking action on the proposed rule. The proposals contained in this notice may be changed in light of the comments received.
Comments are specifically invited on the overall regulatory, economic, environmental, and energy aspects of the proposed rule. All comments submitted will be available, both before and after the closing date for comments, in the Rules Docket for examination by interested persons. A report summarizing each FAA-public contact concerned with the substance of this proposal will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to this notice must submit a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket Number 99-NM-362-AD.” The
Any person may obtain a copy of this NPRM by submitting a request to the FAA, Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 99-NM-362-AD, 1601 Lind Avenue, SW., Renton, Washington 98055-4056.
The Direction Ge
• Moisture, dirt, and subsequent corrosion of the electrical connectors of the nose and main landing gears; and
• Fracture of the coupling pins between the rotor shaft attachment and the drive coupling of the tachometer.
These conditions, if not corrected, could result in erratic operation of the tachometers, which could cause a significant degradation of the braking system performance. Furthermore, if a tachometer on an aft wheel of the main landing gear is not operating correctly, this condition could affect the control logic of the spoiler extension and could result in an increased landing roll.
The manufacturer has issued Airbus Service Bulletin A300-32-6069, Revision 01, dated December 29, 1999, which describes procedures for modification of certain electrical looms of the nose and main landing gears. The modification involves installing heat-shrinkable sheaths on the ground/flight detection loom connectors and strut-locking switches, and draining the looms of certain locking switches.
The manufacturer also has issued Airbus Service Bulletin A300-32-6077, Revision 01, dated September 25, 1999, which describes procedures for modification of the rotor shaft attachment of the nose and main landing gear tachometers. This modification involves machining the rotor assembly and either machining or replacing the drive coupling with a new drive coupling, and attaching the rotor shaft to the drive coupling with a rivet.
Accomplishment of the actions specified in the Airbus service bulletins is intended to adequately address the identified unsafe condition. The DGAC classified these service bulletins as mandatory and issued French airworthiness directive 1999-428-295(B), dated November 3, 1999, in order to assure the continued airworthiness of these airplanes in France.
The Airbus service bulletins reference Messier-Dowty Service Bulletin 470-32-779, dated April 14, 1997; Messier-Dowty Service Bulletin 470-32-777, dated July 1, 1997; and Messier-Bugatti Service Bulletin C20105-32-782, dated October 17, 1996, as additional sources of service information for accomplishing the requirements of this proposed AD.
This airplane model is manufactured in France and is type certificated for operation in the United States under the provisions of section 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the applicable bilateral airworthiness agreement. Pursuant to this bilateral airworthiness agreement, the DGAC has kept the FAA informed of the situation described above. The FAA has examined the findings of the DGAC, reviewed all available information, and determined that AD action is necessary for products of this type design that are certificated for operation in the United States.
Since an unsafe condition has been identified that is likely to exist or develop on other airplanes of the same type design registered in the United States, the proposed AD would require accomplishment of the actions specified in the Airbus service bulletins described previously.
The FAA estimates that 79 airplanes of U.S. registry would be affected by this proposed AD.
It would take approximately 7 work hours per airplane to accomplish the proposed modification of the electrical looms, at an average labor rate of $60 per work hour. Required parts would cost approximately $687 per airplane. Based on these figures, the cost impact of the proposed AD on U.S. operators is estimated to be $87.453, or $1,107 per airplane.
It would take approximately 13 work hours per airplane to accomplish the proposed modification of the rotor shaft attachment, at an average labor rate of $60 per work hour. Required parts would cost approximately $169 per airplane. Based on these figures, the cost impact of the proposed AD on U.S. operators is estimated to be $74,971, or $949 per airplane.
The cost impact figures discussed above are based on assumptions that no operator has yet accomplished any of the proposed requirements of this AD action, and that no operator would accomplish those actions in the future if this AD were not adopted.
The regulations proposed herein would not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this proposal would not have federalism implications under Executive Order 13132.
For the reasons discussed above, I certify that this proposed regulation (1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under the DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) if promulgated, will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. A copy of the draft regulatory evaluation prepared for this action is contained in the Rules Docket. A copy of it may be obtained by contacting the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Safety.
Accordingly, pursuant to the authority delegated to me by the Administrator, the Federal Aviation Administration proposes to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) as follows:
1. The authority citation for part 39 continues to read as follows:
49 U.S.C. 106(g), 40113, 44701.
2. Section 39.13 is amended by adding the following new airworthiness directive:
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been otherwise modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (b) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To prevent erratic operation of the wheel tachometers, which could result in degradation of the braking performance, and possible increased landing roll, accomplish the following:
(a) Within 18 months after the effective date of this AD, accomplish the requirements of paragraphs (a)(1) and (a)(2) of this AD.
(1) Modify the electrical looms of the nose and main landing gear, in accordance with Airbus Service Bulletin A300-32-6069, Revision 01, dated December 29, 1999; and
(2) Modify the rotor shaft attachment of the nose and main landing gear tachometers, in accordance with Airbus Service Bulletin A300-32-6077, Revision 01, dated September 25, 1999.
Messier-Dowty Service Bulletins 470-32-779, dated April 14, 1997, and 470-32-777, dated July 1, 1997, are referenced in Airbus Service Bulletin A300-32-6069. Messier-Bugatti Service Bulletin C20105-32-782, dated October 17, 1996, is referenced in Airbus Service Bulletin A300-32-6077. The Messier-Dowty and Messier-Bugatti service bulletins are additional sources of service information for accomplishing the applicable actions required by this AD.
Accomplishment of the modifications required by paragraph (a) of this AD, prior to the effective date of this AD, in accordance with Airbus Service Bulletin A300-32-6069, dated June 13, 1997, or A300-32-6077, dated May 28, 1999, is considered acceptable for compliance with the applicable requirements specified by this AD.
(b) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their requests through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the International Branch, ANM-116.
(c) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
The subject of this AD is addressed in French airworthiness directive 1999-428-295(B), dated November 3, 1999.
Federal Aviation Administration, DOT.
Notice of proposed rulemaking (NPRM).
This document proposes the supersedure of an existing airworthiness directive (AD), applicable to all Airbus Model A319, A320, and A321 series airplanes, that currently requires repetitive inspections for discrepancies of the lock bolt for the pintle pin on the main landing gear (MLG), and follow-on corrective actions, if necessary. This action would require additional follow-on actions for certain airplanes. This proposal is prompted by issuance of mandatory continuing airworthiness information by a foreign civil airworthiness authority. The actions specified by the proposed AD are intended to detect and correct a rotated, damaged, or missing lock bolt, which could result in disengagement of the pintle pin from the pintle fitting bearing, and consequent collapse of the MLG during landing.
Comments must be received by March 27, 2000.
Submit comments in triplicate to the Federal Aviation Administration (FAA), Transport Airplane Directorate, ANM-114, Attention: Rules Docket No. 99-NM-28-AD, 1601 Lind Avenue, SW., Renton, Washington 98055-4056. Comments may be inspected at this location between 9:00 a.m. and 3:00 p.m., Monday through Friday, except Federal holidays.
The service information referenced in the proposed rule may be obtained from Airbus Industrie, 1 Rond Point Maurice Bellonte, 31707 Blagnac Cedex, France. This information may be examined at the FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington.
Norman B. Martenson, Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (425) 227-2110; fax (425) 227-1149.
Interested persons are invited to participate in the making of the proposed rule by submitting such written data, views, or arguments as they may desire. Communications shall identify the Rules Docket number and be submitted in triplicate to the address specified above. All communications received on or before the closing date for comments, specified above, will be considered before taking action on the proposed rule. The proposals contained in this notice may be changed in light of the comments received.
Comments are specifically invited on the overall regulatory, economic, environmental, and energy aspects of the proposed rule. All comments submitted will be available, both before and after the closing date for comments, in the Rules Docket for examination by interested persons. A report summarizing each FAA-public contact concerned with the substance of this proposal will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments submitted in response to this notice must submit a self-addressed, stamped postcard on which the following statement is made: “Comments to Docket Number 99-NM-28-AD.”
The postcard will be date stamped and returned to the commenter.
Any person may obtain a copy of this NPRM by submitting a request to the
On June 29, 1998, the FAA issued AD 98-14-11, amendment 39-10644 (63 FR 36834, July 8, 1998), applicable to all Airbus Model A319, A320, and A321 series airplanes, to require repetitive inspections for discrepancies of the lock bolt for the pintle pin on the main landing gear (MLG), and follow-on corrective actions, if necessary. That action was prompted by two reports indicating that the forward pintle pin of the MLG had migrated forward toward the wing rear spar. In both instances, the lock bolt and associated MLG barrel bushings securing the pintle pin were missing, which allowed the pintle pin to migrate forward, although further movement was prevented by the incrementally tapered diameter of the pintle pin. Backward migration of the pintle pin also could occur, which would allow the pintle pin to become disengaged and separate from the pintle fitting bearing. The requirements of that AD are intended to detect and correct a rotated, damaged, or missing lock bolt, which could result in disengagement of the pintle pin from the pintle fitting bearing, and consequent collapse of the MLG during landing.
Since issuance of AD 98-14-11, Airbus issued Service Bulletin A320-32-1187, dated June 17, 1998, and Revision 01, dated February 17, 1999. The original and revised service bulletin describe procedures for repetitive detailed visual inspections for discrepancies (rotation, wear, and missing or broken parts) of the lock bolt for the MLG pintle pin, and follow-on corrective actions, if necessary. The corrective actions include replacement of a discrepant lock bolt with a new or serviceable part, and relubrication of the pintle fitting bearing. The inspection procedure of the service bulletin is different from that described in Airbus All Operator Telex (AOT) 32-17, Revision 01, dated November 6, 1997 (which was cited in AD 98-14-11 as the appropriate source of service information). The service bulletin includes procedures for additional follow-on and corrective actions, including a one-time retorque of the lock bolt for the pintle pin if there is no sign that the lock bolt has turned, and replacement of the lock bolt with a new lock bolt. In addition, Revision 01 of the service bulletin includes procedures for additional follow-on actions, including application of sealant to the head of the lockbolt. The Direction Ge
These airplane models are manufactured in France and are type certificated for operation in the United States under the provisions of Section 21.29 of the Federal Aviation Regulations (14 CFR 21.29) and the applicable bilateral airworthiness agreement. Pursuant to this bilateral airworthiness agreement, the DGAC has kept the FAA informed of the situation described above. The FAA has examined the findings of the DGAC, reviewed all available information, and determined that AD action is necessary for products of this type design that are certificated for operation in the United States.
Since an unsafe condition has been identified that is likely to exist or develop on other airplanes of the same type design registered in the United States, the proposed AD would supersede AD 98-14-11 to continue to require repetitive inspections for discrepancies of the lock bolt for the pintle pin on the main landing gear (MLG), and follow-on corrective actions, if necessary; and would require additional follow-on actions, including a retorque of the lock bolt for the pintle pin. In addition, the FAA has added a note to clarify the definition of a detailed visual inspection.
This is considered to be interim action until final action is identified, at which time the FAA may consider further rulemaking.
The FAA estimates that 341 airplanes of U.S. registry would be affected by this proposed AD. It would take approximately 2 work hours per airplane to accomplish the proposed inspection, at an average labor rate of $60 per work hour. Based on these figures, the cost impact of the inspection proposed by this AD on U.S. operators is estimated to be $40,920, or $120 per airplane, per inspection cycle.
The cost impact figure discussed above is based on assumptions that no operator has yet accomplished any of the proposed requirements of this AD action, and that no operator would accomplish those actions in the future if this AD were not adopted.
The regulations proposed herein would not have a substantial direct effect on the States, on the relationship between the national Government and the States, or on the distribution of power and responsibilities among the various levels of government. Therefore, it is determined that this proposal would not have federalism implications under Executive Order 13132.
For the reasons discussed above, I certify that this proposed regulation (1) is not a ‘significant regulatory action' under Executive Order 12866; (2) is not a ‘significant rule’ under the DOT Regulatory Policies and Procedures (44 FR 11034, February 26, 1979); and (3) if promulgated, will not have a significant economic impact, positive or negative, on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. A copy of the draft regulatory evaluation prepared for this action is contained in the Rules Docket. A copy of it may be obtained by contacting the Rules Docket at the location provided under the caption
Air transportation, Aircraft, Aviation safety, Safety.
Accordingly, pursuant to the authority delegated to me by the Administrator, the Federal Aviation Administration proposes to amend part 39 of the Federal Aviation Regulations (14 CFR part 39) as follows:
1. The authority citation for part 39 continues to read as follows:
49 U.S.C. 106(g), 40113, 44701.
2. Section 39.13 is amended by removing amendment 39-10644 (63 FR 36834, July 8, 1998), and by adding a new airworthiness directive (AD), to read as follows:
This AD applies to each airplane identified in the preceding applicability provision, regardless of whether it has been modified, altered, or repaired in the area subject to the requirements of this AD. For airplanes that have been modified, altered, or repaired so that the performance of the requirements of this AD is affected, the owner/operator must request approval for an alternative method of compliance in accordance with paragraph (c) of this AD. The request should include an assessment of the effect of the modification, alteration, or repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not been eliminated, the request should include specific proposed actions to address it.
To detect and correct a rotated, damaged, or missing lock bolt, which could result in disengagement of the pintle pin from the bearing, and consequent collapse of the main landing gear (MLG) during landing, accomplish the following:
(a) Perform a detailed visual inspection to detect discrepancies (rotation, damage, and absence) of the lock bolt for the pintle pin on the MLG, in accordance with Airbus All Operator Telex (AOT) 32-17, Revision 01, dated November 6, 1997, Airbus Service Bulletin A320-32-1187, dated June 17, 1998, or Airbus Service Bulletin A320-32-1187, Revision 01, dated February 17, 1999, at the latest of the times specified in paragraphs (a)(1), (a)(2), and (a)(3) of this AD. If any discrepancy is detected, prior to further flight, perform corrective actions, as applicable, in accordance with the AOT or service bulletin. Repeat the inspection thereafter at intervals not to exceed 1,000 flight cycles or 15 months, whichever occurs first. After the effective date of this AD, only Airbus Service Bulletin A320-32-1187, Revision 01, dated February 17, 1999, shall be used for compliance with this paragraph.
(1) Within 30 months since the airplane's date of manufacture or prior to the accumulation of 2,000 total flight cycles, whichever occurs first.
(2) Within 15 months or 1,000 flight cycles after the last gear replacement or accomplishment of Airbus Industrie Service Bulletin A320-32-1119, dated June 13, 1994, whichever occurs first.
(3) Within 500 flight cycles after August 12, 1998 (the effective date of AD 98-14-11, amendment 39-10644).
For the purposes of this AD, a detailed visual inspection is defined as: “An intensive visual examination of a specific structural area, system, installation, or assembly to detect damage, failure, or irregularity. Available lighting is normally supplemented with a direct source of good lighting at intensity deemed appropriate by the inspector. Inspection aids such as mirror, magnifying lenses, etc., may be used. Surface cleaning and elaborate access procedures may be required.”
(b) For airplanes on which the actions described in paragraph 2.B.(2)(c) of Airbus Service Bulletin A320-32-1187, Revision 01, dated February 17, 1999, have not been accomplished: At the time of the initial inspection or the next repetitive inspection required by paragraph (a) of this AD, perform the applicable one-time follow-on actions (including retorquing the forward pintle pin lock bolt and applying sealant to the head of the lock bolt), in accordance with section 2.B.(2)(c) of the Accomplishment Instructions of Airbus Service Bulletin A320-32-1187, Revision 01, dated February 17, 1999.
(c) An alternative method of compliance or adjustment of the compliance time that provides an acceptable level of safety may be used if approved by the Manager, International Branch, ANM-116, FAA, Transport Airplane Directorate. Operators shall submit their request through an appropriate FAA Principal Maintenance Inspector, who may add comments and then send it to the Manager, International Branch, ANM-116.
Information concerning the existence of approved alternative methods of compliance with this AD, if any, may be obtained from the International Branch, ANM-116.
(d) Special flight permits may be issued in accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR 21.197 and 21.199) to operate the airplane to a location where the requirements of this AD can be accomplished.
The subject of this AD is addressed in French airworthiness directive 97-385-112(B)R1, dated October 21, 1998.
Federal Aviation Administration (FAA), DOT.
Notice of proposed rulemaking.
This action proposes to establish Class E airspace over the Yukon-Kuskokwim (Y-K) Delta area in southwest Alaska in support of the Capstone Research and Development (R&D) project. Specifically, this action proposes to establish controlled airspace extending from 1,200 feet above ground level (AGL) upwards to the base of the existing Class E airspace of 14,500 feet above mean sea level (MSL) within an area bounded by lat. 58° 25′ 36″ N long. 158° 00′ W, to lat. 57° 50′ N long. 158° 00′ W, to lat. 57° 50′ N long. 156° 00′ W, to lat. 64° 00′ N long. 156° 00′ W, to lat. 64° 00′ N long. 161° 41′ 24″ W, then via the 12 nautical mile limit to the point of beginning. The intended effect of this proposal is to provide adequate controlled airspace for commercial air carriers conducting Instrument Flight Rules (IFR) operations over southwest Alaska and validate new operational procedures and equipment in the IFR environment.
Comments must be received on or before April 10, 2000.
Send comments on the proposal in triplicate to: Manager, Operations Branch, AAL-530, Docket No. 99-AAL-24, Federal Aviation Administration, 222 West 7th Avenue, Box 14, Anchorage, AK 99513-7587.
The official docket may be examined in the Office of the Regional Counsel for the Alaskan Region at the same address.
An informal docket may also be examined during normal business hours in the Office of the Manager, Operations Branch, Air Traffic Division, at the address shown above and on the Internet at Alaskan Region's homepage at http://www.alaska.faa.gov/at or at address http://162.58.28.41/at.
Bob Durand, Operations Branch, AAL-531, Federal Aviation Administration, 222 West 7th Avenue, Box 14, Anchorage, AK 99513-7587; telephone number (907) 271-5898; fax: (907) 271-2850; email: Bob.Durand@faa.gov.
In a February 12, 1997, report to President Clinton on aviation safety and security, Chairman Vice President Al Gore reported that satellite-based navigation and positioning is a core element of our National Airspace System (NAS) modernization plans, and is critical to achieving a seamless, efficient global aviation system. Over the period of the past few years, the FAA has been working with commercial, military, and general aviation (GA) users to develop a global satellite-based navigation system independent of conventional ground navigation aids. Alaska and Hawaii were selected to pioneer this program through a R&D demonstration program called Capstone.
The Alaskan Region's “Capstone Program” is an accelerated effort to
Under the FAA's “Safe Flight 21 Program,” some Capstone-equipped aircraft and the Capstone ground system infrastructure will be used beginning in January 2000 to validate three of the nine high priority Free Flight Operational Enhancements requested by the RTCA. Validation of other operational enhancements will be undertaken in future years. The first three enhancements to begin validation in Alaska are:
• Flight Information Services (FIS)
• Cost Effective, Controlled Flight Into Terrain (CFIT) Avoidance
• Enhanced See and Avoid
Under Capstone, most of the commercial aircraft based in the test area will be equipped, on a voluntary basis, with government-furnished avionics. Certain other commercial and government aircraft regularly operating in the test area will also be equipped. Services provided through the avionics suite will improve the pilot's flight capabilities and situational awareness. The sample size will ensure that safety improvements and operational efficiencies are demonstrated in a substantial, statistical manner with the rest of Alaska serving as the test control area. Aircraft selected for the Capstone Program will receive:
• An IFR-certified GPS navigation receiver
• Automatic Dependent Surveillance-Broadcast (ADS-B) Transmitter/Receiver
• A moving map display with Traffic Information Service-Broadcast (TIS-B) traffic and terrain advisory services
• FIS providing weather maps, special use airspace status, wind shear alerts, NOTAMs, and PIREPs
• A multi-function color display
Under the Capstone Program, the FAA will develop first-time, GPS-based, non-precision instrument approach to one or more runways at ten remote village airports. These airports were jointly recommended by the Alaska DOT/PF and the Alaska Air Carriers Association as the highest priority locations within the Capstone demonstration area for an instrument approach procedure. They are: Holy Cross, Kalskag, Kipnuk, Koliganek, Egegik, Mountain Village, Platinum, Scammon Bay, St. Michael, and Russian Mission. These airports have been GPS-surveyed for preparation for non-precision GPS instrument approach procedures. To conduct instrument approaches under FAR Part 121 or 135, weather reporting is essential. With budgetary limitations, these same airports are slated to receive automated weather reporting equipment during the Capstone program. Detailed information on the Capstone R&D program can be found on the Internet at Alaskan Region's homepage at http://www.alaska.faa.gov/capstone/.
The Capstone Program will enable delivery of improved weather products (text and graphics) to the pilot and test the GPS and data link technology as a “proof of concept” for the operational enhancements requested by RTCA. The program will also include training for pilots, operators, safety inspectors, air traffic control specialists, and technicians. The University of Alaska's Aviation Complex at Merrill Field will be used for many of these activities. The University will also be contracted to conduct an independent evaluation of system safety improvements and to document user benefits derived.
The purpose of this proposal is to create controlled airspace and infrastructure for IFR operations within the Yukon-Kushkokwim Delta area where uncontrolled airspace currently exists. This controlled airspace is needed to validate new operational procedures and equipment in the IFR environment. Additionally, this action will enhance flight safety, reduce the potential for midair collisions, improve operational efficiencies, and better manage air traffic operations.
Establishment of Class E airspace in this proposal will have an impact on pilots' flight visibility and cloud avoidance requirements when flying under Visual Flight Rules (VFR), during the day above 1,200 feet AGL and below 10,000 feet MSL. The flight visibility requirement will increase to three (3) statute miles. VFR weather minimums are shown in the following table extracted from 14 CFR 91.155 Basic VFR weather minimums:
On February 25, 1999, the FAA initiated an environmental review, 99-AAL-024-NR, seeking public comment on the proposal to establish Class E airspace to encompass the Capstone Demonstration Area. In the environmental review solicitation, the FAA stated the desire to design and establish Class E airspace that will facilitate the development of the Capstone Demonstration and the transition to the future NAS Architecture with minimum impact on the environment. Significant environmental issues were not identified during the scoping process. Thus, this activity falls within a category of actions normally categorically excluded from documentation in an Environmental Assessment (EA) or Environmental Impact Statement (EIS).
On April 7, 1999, the FAA conducted a Preliminary Environmental Review. This review was conducted in accordance with policies and procedures in Department of Transportation Order 5610.1C, Procedures for considering Environmental Impacts, Order 1050.1, and is in compliance with the National Environmental Policy Act of 1969 and in accordance with the regulations promulgated by the Council on Environmental Quality, 40 CFR 1500 et seq. Thus, on April 13, 1999, the FAA signed the Categorical Exclusion Declaration. This review enabled the FAA to exclude this proposed action from further environmental documentation according to Order 1050.1, Policies and Procedures for Considering Environmental Impacts.
Interested parties are invited to participate in this proposed rulemaking by submitting such written data, views, or arguments as they may desire. Comments that provide the factual basis supporting the views and suggestions presented are particularly helpful in developing reasoned regulatory decisions on the proposal. Comments are specifically invited on the overall regulatory, aeronautical, economic, environmental, and energy-related aspects of the proposal. Communications should identify the airspace docket number and be submitted in triplicate to the address listed above. Commenters wishing the FAA to acknowledge receipt of their comments on this notice must submit with those comments a self-addressed, stamped postcard on which the following statement is made: “Comments to Airspace Docket No. 99-AAL-24.” The postcard will be date/time stamped and returned to the commenter. All communications received on or before the specified closing date for comments will be considered before taking action on the proposed rule. The proposal contained in this notice may be changed in light to comments received. All comments submitted will be available for examination in the Operations Branch, Air Traffic Division, Federal Aviation Administration, 222 West 7th Avenue, Box 14, Anchorage, AK, both before and after the closing date for comments. A report summarizing each substantive public contact with FAA personnel concerned with this rulemaking will be filed in the docket.
An electronic copy of this document may be downloaded, using a modem and suitable communications software, from the FAA regulations section of the Fedworld electronic bulletin board service (telephone: 703-321-3339) or the Federal Register's electronic bulletin board service (telephone: 202-512-1661).
Internet users may reach the
Any person may obtain a copy of this Notice of Proposed Rulemaking (NPRM) by submitting a request to the Operations Branch, AAL-530, Federal Aviation Administration, 222 West 7th Avenue, Box 14, Anchorage, AK 99513-7587. Communications must identify the notice number of this NPRM. Persons interested in being placed on a mailing list for future NPRM's should contact the individual(s) identified in the
The FAA proposes to amend 14 CFR part 71 (part 71) by establishing Class E airspace within the Yukon-Kushkokwim Delta area in southwest Alaska. The intended effect of this proposal is to (1) provide adequate controlled airspace and infrastructure for commercial air carrier IFR operations and (2) validate new operational procedures and equipment in the IFR environment.
The area would be depicted on aeronautical charts for pilot reference. The coordinates for this airspace docket are based on North American Datum 83.
The FAA has determined that these proposed regulations only involve an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore—(1) is not a “significant regulatory action” under Executive Order 12866; (2) is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and (3) does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act.
Airspace, Incorporation by reference, Navigation (air).
In consideration of the foregoing, the Federal Aviation Administration proposes to amend 14 CFR part 71 as follows:
1. The authority citation for 14 CFR Part 71 continues to read as follows:
49 U.S.C. 106(g), 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389.
2. The incorporation by reference in 14 CFR 71.1 of Federal Aviation Administration Order 7400.9G,
That airspace extending upward from 1,200 feet above the surface within the area bounded by lat. 58°25′36″ N long. 158°00′ W, to lat. 57°50′ N. long. 158° 00′ W, to lat. 57°50′ N long. 156°00′ W, to lat. 64°00′ N long. 156°00′ W, to lat. 64°00′ N long. 161°41′24″ W, then via the 12 nautical mile limit to the point of beginning.
Food and Drug Administration, HHS.
Announcement of public meeting.
The Food and Drug Administration (FDA) is announcing a public meeting on safety issues associated with dietary supplement use during pregnancy. The purpose of this meeting is to obtain public comment on safety concerns that have been raised regarding structure/function claims for dietary supplements used during pregnancy. On January 6, 2000, FDA published a final rule on statements that may be made for dietary supplements concerning the effect of the product on the structure or function of the body. FDA has since received comments from public health professionals and others concerned about the safety of using dietary supplements during pregnancy. The public meeting is intended to give the public an opportunity to comment on these issues.
The meeting will be held on April 24, 2000, from 9 a.m. to 5 p.m. Submit written comments by April 24, 2000.
The public meeting will be held in the Crystal Ballroom at the Gaithersburg Hilton, 620 Perry Parkway, Gaithersburg, MD 20877. Submit written comments to the Dockets Management Branch (DMB) (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852. Two copies of any comments are to be submitted, except that individuals may submit one copy. Comments are to be identified with the docket number found in brackets in the heading of this document.
Rose Cunningham, Center for Drug Evaluation and Research, Food and Drug Administration, 5600 Fishers Lane (HFD-6), Rockville, MD 20857, 301-594-5468, FAX 301-594-5493, e-mail: sfp15reg@cder.fda.gov.
See
This announcement is directed to the general public. It may, however, be of particular interest to individuals or organizations concerned with public health, pregnancy, or dietary supplements. Specific groups that may want to attend include: Consumers; public health professionals, including obstetricians, gynecologists, neonatologists, pediatricians, and pediatric and obstetric nurses; dietary supplement producers, processors, distributors, and retailers; academia; and State, Tribal, and local public health agencies. Other entities or individuals may also be interested in attending.
This meeting will be held in the Crystal Ballroom at the Gaithersburg Hilton, 620 Perry Parkway, Gaithersburg, MD 20877.
This meeting will be held on March 30, 2000, from 9 a.m. to 5 p.m.
1. In person. Anyone interested in dietary supplement use during pregnancy is encouraged to attend the public meeting. Persons who wish to speak during the public meeting must file an electronic, written, or facsimile notice of participation with Rose Cunningham by March 17, 2000. To ensure timely handling, the outer envelope or facsimile cover sheet should be clearly marked with Docket No. 00N-0506. Groups should submit two copies. The notice of participation should contain the speaker's name, address, telephone number, FAX
Individuals and organizations with common interests are encouraged to consolidate or coordinate their presentations and to request time for a joint presentation. FDA may require joint presentations by persons with common interests. Participants may request a specific amount of time for their presentation. After registration has closed, FDA will inform participants of the amount of time available for their presentation.
Persons requiring a sign language interpreter or other special accommodations should notify Rose Cunningham at 301-594-5468 by March 21, 2000.
2. In writing. FDA has established a public docket for comments. Comments should be submitted by April 24, 2000. It is important that comments submitted to the docket are identified with Docket No. 00N-0506. Submit written comments to DMB (address above).
There is no registration fee for this meeting.
1. Electronically. You may obtain electronic copies of this document and other related documents on the Internet at http://www.fda.gov/ohrms/dockets/default.htm. The notice of participation form, information about the meeting, and other related documents are available at http://www.fda.gov/cder/calendar/meeting/pregsup2000/default.htm. Additional information regarding dietary supplements is available at http://vm.cfsan.fda.gov/dms/supplmnt.html.
2. By phone. If you have any questions about the public meeting, please consult the person listed under
A transcript of the public meeting will be available from DMB (address above), approximately 15 business days after the meeting at a cost of 10 cents per page. The transcript of the public meeting will also be available for public examination at the office above between the hours of 9 a.m. and 4 p.m., Monday through Friday.
FDA is holding this meeting in response to comments it received after publishing a final rule regarding claims that may be made for dietary supplements concerning the effect of the product on the structure or function of the body (65 FR 1000, January 6, 2000).
In that final rule, FDA announced that it would not treat as diseases common conditions associated with natural states or processes that do not cause significant or permanent harm and that claims about beneficial effects on such conditions would not be treated as disease claims. In the preamble to the final rule, FDA noted that pregnancy is associated with common and mild conditions such as morning sickness and leg edema that cause no permanent harm if left untreated, as well as with such serious conditions as hyperemesis gravidarum, toxemia of pregnancy, and acute psychosis of pregnancy, which can be life-threatening if not effectively treated. FDA stated that claims about common, mild conditions related to pregnancy such as morning sickness and leg edema would be considered structure/function claims. FDA also noted that claims to treat some conditions related to pregnancy would remain disease claims that could not be made without prior review, for example, toxemia of pregnancy, hyperemesis gravidarum, and acute psychosis of pregnancy.
After FDA published the final rule, it received additional comments raising safety concerns about dietary supplement use during pregnancy. As a result, on February 9, 2000, FDA issued a statement concerning the structure/function rule and pregnancy claims. That statement said:
To ensure that careful consideration is given to concerns recently raised regarding how the structure/function rule relates to pregnancy, FDA today is advising dietary supplement manufacturers not to make any claims related to pregnancy on their products based on the agency's recently issued structure/function rule. FDA will issue a
FDA is issuing this
FDA has received three letters from medical doctors, one letter from a law professor, and one letter from a citizen's group. Several newspapers have also run articles regarding the marketing of dietary supplements to pregnant women. All the incoming letters indicate opposition to classifying “ordinary morning sickness” and “leg edema associated with pregnancy” as non-diseases and express concern that use of dietary supplements during pregnancy may adversely affect the fetus. They strongly urge revising the rule so it does not allow these claims to be made in the absence of evidence of fetal safety. Several letters argue that FDA should treat as disease claims all conditions associated with pregnancy. In addition, similar safety concerns were raised about the safety of dietary supplement use in other vulnerable populations such as infants, who may be exposed thru nursing and children.
The Dietary Supplement Health and Education Act (DSHEA) allows manufacturers of dietary supplements to claim effects on the “structure or function” of the body, but not to make claims to mitigate, treat, prevent, cure, or diagnose disease (21 U.S.C. 343(r)(6)). The structure/function rule focuses on the distinction between disease claims, which require evidence of safety and efficacy to be presented to the agency before marketing, and structure/function claims. In contrast, the comments received by the agency focus primarily on the safety issues that may result from the use of dietary supplements during pregnancy. The purpose of this meeting is to obtain public comment on safety concerns that have been raised regarding structure/function claims for dietary supplements used during pregnancy. Although FDA welcomes comments on all of the issues discussed in the letters mentioned previously and on all aspects of dietary supplement use during pregnancy, FDA specifically seeks comment on the following points.
1. What are the potential hazards that may be associated with use of dietary supplements for conditions associated with pregnancy, both to the pregnant woman and the fetus? Should these hazards be considered to be different than hazards to other potential users of dietary supplements? If so, why and on what basis under DSHEA?
2. Are there certain conditions associated with pregnancy (in addition to those already identified in the final
3. What is the potential for harm that may be associated with the use of dietary supplements during pregnancy for conditions unrelated to pregnancy?
4. Are there means to address safety concerns associated with dietary supplement use during pregnancy, for example, a requirement to conduct animal studies or collect human safety information?
5. Should dietary supplements with a specific recommended use during pregnancy be required to bear specific warnings about use during pregnancy? Should all dietary supplements be required to bear such warnings?
FDA will post any additional questions to be addressed on the Internet at http://www.fda.gov/cder/calendar/meeting/pregsup2000/default.htm.
Minerals Management Service (MMS), Interior.
Proposed rule.
The MMS is proposing to remove API Specification 14A and replace it with a new document incorporated by reference in regulations governing oil and gas and sulphur operations in the Outer Continental Shelf (OCS). The addition of this document incorporated by reference will ensure that lessees use the best available and safest technologies while operating in the OCS. The proposed new document has been issued by the International Organization for Standardization (ISO) and is an international standard titled: “Petroleum and natural gas industries—Downhole equipment—Subsurface safety valve equipment” (ISO 10432:1999, otherwise known as API/ISO 10432:1999).
We will consider all comments we receive by May 24, 2000. We will begin reviewing comments then and may not fully consider comments we receive after May 24, 2000.
Mail or hand-carry comments (three copies) to the Department of the Interior; Minerals Management Service; Mail Stop 4024; 381 Elden Street; Herndon, Virginia 20170-4817; Attention: Rules Processing Team. The Rules Processing Team' e-mail address is: rules.comments@mms.gov.
Fred Gray, Operations Analysis Branch, at (703) 787-1027.
We use standards, specifications, and recommended practices developed by standard-setting organizations and the oil and gas industry for establishing requirements for activities in the OCS. This practice, known as incorporation by reference, allows us to incorporate the provisions of technical standards into the regulations without increasing the volume of the Code of Federal Regulations (CFR). The legal effect of incorporation by reference is that the material is treated as if it was published in the
The regulations found at 1 CFR part 51 govern how we and other Federal agencies incorporate various documents by reference. Agencies can only incorporate by reference through publication in the
ISO is a worldwide federation of national standards bodies (ISO member bodies). Founded in the mid 1940s, ISO is a non-profit agency based in Geneva, Switzerland, whose purpose is to promote the development of international standards and related activities to facilitate the global exchange of goods and services. The American National Standards Institute (ANSI) is the official United States member body to ISO.
The work of preparing international standards is normally carried out through an ISO technical committee (TC). Each member body interested in a subject for which a TC has been established has the right to be represented on that committee. ANSI relies on various United States trade and industry associations, such as the American Petroleum Institute (API), for support on industry specific standards. This standard was developed by ISO/TC 67, “Materials, equipment and offshore structures for petroleum and natural gas industries.” API has been appointed by ANSI to administer the U.S. ISO/TC 67 delegation, known as the U.S. Technical Advisory Group (U.S.TAG). MMS has been an active participant in the U.S. TAG since August 1998.
This second edition of the international standard cancels and replaces the first edition (ISO 10432:1993) and includes the changes in the similar API standard, API Specification 14A, Ninth edition, 1994, and its supplement dated December 15, 1997. ISO 10432:1999 was released as a Final Draft International Standard (FDIS) on June 3, 1999. Voting to advance the FDIS to a full international standard occurred on August 3, 1999, and the standard was published as an international standard in November 1999.
This standard was formulated to provide the minimum acceptable requirements for subsurface safety valve (SSSV) equipment—the SSSV is a downhole safety device used to shut off flow of hydrocarbons in the event of an emergency. MMS views this important piece of equipment as the last line of defense in securing the well and/or preventing pollution of the environment. The standard covers SSSVs, safety valve locks, safety valve landing nipples, and all components that establish tolerances and/or clearances that may affect performance or interchangeability of the SSSV equipment.
We have reviewed this document and have determined that the new edition should be incorporated into the regulations to ensure the use of the best and safest technologies. We currently incorporate by reference the ninth edition (July 1994) of API Specification 14A, without Supplement 1. Until now we have not included API Specification 14A, Supplement 1, in the documents incorporated by reference in our regulations. API Specification 14A, Supplement 1, includes editorial corrections, changes, and revisions approved by the API Subcommittee on Valves and Wellhead Equipment. The revisions strengthened guidelines for
MMS has been analyzing the potential impacts of deleting the 3-year requalification testing requirement for SSSVs and specifically requests public comment on this issue. MMS has been involved in a series of meetings and discussions with oil and gas operating companies, representatives of oil and gas associations, equipment manufacturers, quality assurance auditors, independent third-party testing and research facilities, and MMS offshore inspectors to consider the relative merits of the 3-year requalification testing requirement. Our data gathering indicates that manufacturers of SSSVs perform functional testing of each valve manufactured and each valve must pass all test criteria before shipment to a purchaser. Functionally testing every valve produces volumes of data and is a good indicator of product conformity, design efficiency, quality procedures, and safety effectiveness. The requalification testing process, conducted on a single valve once every 3 years, provides significantly less data and does not address safety considerations in each manufactured valve.
It is anticipated that API will adopt ISO 10432:1999 as the API/ISO standard. Since maintaining one standard is more resource efficient than maintaining two in parallel, it is also anticipated that all future revisions to the SSSV standard will be made to API/ISO 10432:1999. MMS sees value in developing international standards and is supportive of harmonization of technical standards worldwide where practical. If MMS issues a final rulemaking to incorporate by reference ISO 10432:1999 (API/ISO 10432:1999) into our regulations, we will simultaneously remove API Specification 14A from the documents we incorporate by reference.
Comments are sought on the suitability of including the international standard among the documents incorporated by reference in our regulations.
This is a very simple rule to add one additional document incorporated by reference. The addition of the new document, ISO 10432:1999 (API/ISO 10432:1999), will not have a significant effect on any entity (small or large). One entity which serves as a third party independent testing facility for initial design verification testing and subsequent 3-year requalification design testing will be affected. Therefore, this regulation's impact on the entire industry is minor.
Our practice is to make comments, including names and home addresses of respondents, available for public review during regular business hours. Individual respondents may request that we withhold their home address from the rulemaking record, which we will honor to the extent allowable by law. There may be circumstances in which we would withhold from the rulemaking record a respondent's identity, as allowable by the law. If you wish us to withhold your name and/or address, you must state this prominently at the beginning of your comment. However, we will not consider anonymous comments. We will make all submissions from organizations or businesses, and from individuals identifying themselves as representatives or officials of organizations or businesses available for public inspection in their entirety.
According to Executive Order 13132, this rule does not have Federalism implications. This rule does not substantially and directly affect the relationship between the Federal and State governments because it concerns the manufacturing requirements for specific equipment used in offshore oil and gas wells. The rule only affects manufacturers and users of such equipment. This rule does not impose costs on States or localities, as it only affects manufacturers and users of specific equipment used in offshore oil and gas wells.
According to Executive Order 12630, this rule does not have significant Takings Implications.
This document is not a significant rule and is not subject to review by the Office of Management and Budget under Executive Order 12866.
(1) This rule will not have an effect of $100 million or more on the economy. It will not adversely affect in a material way the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities.
The rule would have no significant economic impact because the document does not contain any significant revisions that will cause lessees or operators to change their business practices. The document will not require the retrofitting of any facilities.
(2) This rule will not create a serious inconsistency or otherwise interfere with an action taken or planned by another agency.
(3) This rule does not alter the budgetary effects or entitlements, grants, user fees, or loan programs or the rights or obligations of their recipients.
(4) This rule does not raise novel legal or policy issues.
According to Executive Order 12988, the Office of the Solicitor has determined that this rule does not unduly burden the judicial system and meets the requirements of sections 3(a) and 3(b)(2) of the Order.
This rule does not constitute a major Federal action significantly affecting the quality of the human environment. A detailed statement under the NEPA is not required.
There are no information collection requirements associated with this rule.
The Department certifies that this document will not have a significant economic effect on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601
Your comments are important. The Small Business and Agriculture Regulatory Enforcement Ombudsman and 10 Regional Fairness Boards were established to receive comments from small business about Federal agency enforcement actions. The Ombudsman will annually evaluate the enforcement activities and rate each agency's responsiveness to small business. If you wish to comment on the enforcement actions of MMS, call toll-free (888) 734-3247.
This rule is not a major rule under 5 U.S.C. 804(2), SBREFA. This rule:
(a) Does not have an annual effect on the economy of $100 million or more. The proposed rule will not cause any significant costs to lessees or operators. The only costs will be the purchase of the new document and revisions to some operating procedures. The revisions to operating procedures will actually result in significant costs savings, in that manufacturers of SSSVs will not incur the costs of requalification testing every 3-years.
(b) Will not cause a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions.
(c) Does not have significant adverse effects on competition, employment, investment, productivity, innovation, or the ability of United States-based enterprises to compete with foreign-based enterprises.
This rule does not impose an unfunded mandate on State, local, and tribal governments or the private sector of more than $100 million per year. The rule does not have a significant or unique effect on State, local, or tribal governments or the private sector. A statement containing the information required by the UMRA (2 U.S.C. 1531
Continental shelf, Environmental impact statements, Environmental protection, Government contracts, Incorporation by reference, Investigations, Mineral royalties, Oil and gas development and production, Oil and gas exploration, Oil and gas reserves, Penalties, Pipelines, Public lands—mineral resources, Public lands—rights-of-way, Reporting and recordkeeping requirements, Sulphur development and production, Sulphur exploration, Surety bonds.
For the reasons stated in the preamble, the MMS proposes to amend 30 CFR Part 250 as follows:
1. The authority citation for part 250 continues to read as follows:
43 U.S.C. 1331,
2. In § 250.198, in the table in paragraph (e), the entry for “API Spec 14A” is removed and a new entry is added in alphanumerical order to read as follows:
(e) * * *
3. In § 250.806, the last sentence in paragraph (a)(3) is revised to read as follows:
(a) * * *
(3)* * * All SSSVs must meet the technical specifications of ISO/FIS 10432 (1999) (API/ISO 10432:1999).
Environmental Protection Agency (EPA).
Proposed rule; reopening of comment period.
On October 21, 1999 (64 FR 56918), EPA reopened the comment period on the proposed rule “Standards for Pesticide Containers and Containment” (59 FR 6712, February 11, 1994) to obtain comment on four specific issues. On December 21, 1999, EPA published a notice in the
Comments, identified by the docket control number OPP-190001C, must be received on or before March 20, 2000.
Comments may be submitted by mail, electronically, or in person. Please follow the detailed instructions for each method as provided in Unit I. of the
Nancy Fitz, Field and External Affairs Division (7506C), Office of Pesticide Programs, Environmental Protection Agency, Ariel Rios Building, 1200 Pennsylvania Ave., NW., Washington, DC 20460; telephone number: (703) 305-7385; fax number: (703) 308-3259; e-mail address: fitz.nancy@epa.gov.
You may be potentially affected by this action if you are a pesticide formulator, agrichemical dealer, or an independent commercial applicator. However, the issues addressed in this action apply mainly to pesticide formulators. Potentially affected categories and entities may include, but are not limited to:
This listing is not intended to be exhaustive, but rather provides a guide for readers regarding entities likely to be affected by this action. Other types of entities not listed above could also be affected. The Standard Industrial Classification (SIC) codes and the North American Industrial Classification System (NAICS) codes have been provided to assist you and others in determining whether or not this action applies to certain entities. To determine whether you or your business is affected by this action, you should carefully examine the applicability provisions in Unit VII of the proposed rule published in the
1.
2.
As described in Unit I. of the proposed rule published in the
Do not submit any information electronically that you consider to be CBI. You may claim information that you submit in response to this document as CBI by marking any part or all of that information as CBI. Information so marked will not be disclosed except in accordance with procedures set forth in 40 CFR part 2. A copy of the comment that does not contain CBI must be submitted for inclusion in the public version of the official record. Information not marked confidential will be included in the public version of the official record by EPA without prior notice. If you have any questions about CBI or the procedures for claiming CBI, please consult with the person identified in the
We invite you to provide your views on the various options we discuss in this document, new approaches we haven't considered, the potential impacts of the various options (including possible unintended
• Explain your views as clearly as possible.
• Describe any assumptions that you use.
• Provide solid technical information and/or data to support your views.
• If you estimate potential burden or costs, explain how you arrive at the estimate.
• Tell us what you support, as well as what you disagree with.
• Provide specific examples to illustrate your concerns.
• Offer alternative ways to improve the rule.
• Make sure to submit your comments by the deadline in this notice.
• To ensure proper receipt by EPA, be sure to identify the docket control number assigned to this action in the subject line on the first page of your response. You may also provide the name, date, and
EPA is reopening the comment period for 30 days in response to two requests for additional time to prepare comments. On October 21, 1999 (64 FR 56918) (FRL-5776-3), EPA reopened the comment period on the rule “Standards for Pesticide Containers and Containment” to obtain comment on four specific issues. The October 21, 1999
EPA proposed the standards for pesticide containers and containment based on the authority in section 19 of the Federal Insecticide, Fungicide, and Rodenticide Act.
No. This action is not a rulemaking, it merely extends the date by which public comments must be submitted to EPA on a proposed rule that previously published in the
Environmental protection, Antimicrobial pesticides, Packaging and containers, Pesticides and pests.
Risk Management Agency, USDA.
Notice of availability.
This notice supersedes the Notice of Availability published on November 6, 1998 (63FR 59930-59936), which announced the availability of a new Dairy Options Pilot Program (DOPP) to be administered by the Risk Management Agency (RMA) in conjunction with the private sector. This notice extends the program to new states and counties and changes several of its provisions to enhance the educational benefits of the program to producers. The objective of DOPP is to ascertain whether put options can provide dairy producers with an effective risk management tool by providing reasonable protection from volatile dairy prices.
February 23, 2000.
For further information contact Craig Witt, Director, Risk Management Education Division, Risk Management Agency, United States Department of Agriculture, 1400 Independence Avenue, S.W., Stop 0805, Room 6749-S, Washington, DC 20250-0805.
The Office of Management and Budget (OMB) has determined this notice to be significant for the purposes of Executive Order 12866 and, therefore, has been reviewed by OMB.
RMA does not collect civil rights data on the farmers/ranchers who participate in the programs, therefore, we cannot determine if this pilot program will negatively or disproportionately affect minorities, women or persons with disabilities who are program beneficiaries or applicants for program benefits in RMA assisted programs. If DOPP becomes a permanent program, a proposed and final rule with a complete civil rights impact analysis will be submitted. For specific information on the Civil Rights Impact Analysis, contact William Buchanan, Director, USDA/RMA, Office of Civil Rights, Room 3059, South Building, Washington, D.C. 20250-0801, telephone (202) 690-6068, e-mail address—William.Buchanan@wdc.usda.gov.
The program is designed to increase the level of understanding of options contracts as risk management tools among dairy producers and to explore their specific applicability to the dairy industry. The costs to the Government of option premiums under the program are estimated to be about $10 million annually. If successful, the program will help create liquid markets in basic formula price (BFP) futures and options contracts which would be sustained, in part, by the on-going hedging of output price risk by dairy producers who have benefitted from the educational aspects of the program. Under that scenario, the benefits of the program would include furnishing producers with a viable price risk management alternative, exerting a stabilizing influence on the dairy industry, and contributing to the Department's goal of supporting market oriented reforms in the agricultural sector.
In accordance with section 3507(j) of the Paperwork Reduction Act of 1995 (44 U.S. C. 3501
The paperwork associated with the Dairy Options Pilot Program will include information to be used by RMA in: (a) establishing producer eligibility by requiring their certification and documentation of the minimum level of milk production; (b) verifying compliance of participating producers and brokers, and (c) evaluating the effectiveness of dairy put options as a risk management tool for dairy farmers. In addition, the response to voluntary surveys will allow RMA to obtain the participants' perspective on the program, and valuable information from producers who attended information presentations but elected not to participate as to why the program did not fit their needs. We are soliciting comments from the public (as well as affected agencies) concerning the program's information collection and recordkeeping requirements. We need this outside input to help us accomplish the following:
(1) Evaluate whether the collection of information is necessary for the proper performance of our agency's functions, including whether the information will have practical utility;
(2) Evaluate the accuracy of our estimate of the burden of the collection of information, including the validity of the methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to be collected; and
(4) Minimize the burden of the information collection on those who are to respond (such as through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission responses).
Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), establishes requirements for Federal agencies to assess the effects of their regulatory actions on State, local, and tribal governments and the private sector. This notice contains no Federal mandates (under the regulatory provisions of title II of UMRA) for State, local, and tribal governments or the private sector. Therefore, this notice is not subject to the requirements of sections 202 and 205 of UMRA.
It has been determined under section 1(a) of Executive Order 13132, Federalism, that this rule does not have sufficient implications to warrant consultation with the states. The provisions contained in this rule will not have a substantial direct effect on States, or on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.
This notice will not have a significant impact on a substantial number of small entities. The provisions included in this notice will not impact small entities to a greater extent than large entities. The amount of work required of brokers will only increase slightly because the information to determine the eligibility of producers and trading activities is already collected by brokers specializing in hedge positions and the only additional burden is the electronic transmittal of this information. Therefore, this action is determined to be exempt from the provisions of the Regulatory Flexibility Act (5 U.S.C. 605) and no Regulatory Flexibility Analysis was prepared.
This program is listed in the Catalog of Federal Domestic Assistance under No. 10.450.
This program is not subject to the provisions of Executive Order 12372 which require intergovernmental consultation with State and local officials. See the Notice related to 7 CFR part 3015, subpart V, published at 48 FR 29115, June 24, 1983.
This notice has been reviewed in accordance with Executive Order 12988 on civil justice reform. The provisions of this notice will not have a retroactive effect. The provisions of this notice will not preempt State and local laws. The administrative appeal provisions published at 7 CFR part 11 must be exhausted before any action for judicial review of any determination made by RMA may be brought.
This action is not expected to have any significant impact on the quality of the human environment, health, and safety. Therefore, neither an Environmental Assessment nor an Environmental Impact Statement is needed.
Section 191 of the Federal Agriculture Improvement and Reform Act of 1996 authorizes the Secretary of Agriculture (Secretary) to conduct a pilot program for one or more agricultural commodities to determine the feasibility of the use of futures and options as risk management tools to protect producers from fluctuations in price, yield and income. Accordingly, the Secretary directed RMA to develop DOPP.
The purpose of this notice is to announce the availability of DOPP in new States and counties and provide the new terms and conditions of the program.
DOPP is intended to offer an educational experience to dairy producers whose need for risk management tools has risen sharply as a result of unprecedented price volatility, the elimination of price supports, and the current unavailability of production insurance.
The program represents a joint initiative between RMA and the private sector. DOPP procedures were first proposed to RMA by the Coffee, Sugar & Cocoa Exchange (CSCE), now the New York Board of Trade (NYBOT). During the development of this program, the Chicago Mercantile Exchange (CME) provided additional recommendations. If successful, the educational benefits of DOPP will prepare producers to manage their price risk independently through the milk futures and options markets.
In the November 6, 1998, Notice of Availability (63 FR 59930-59936), DOPP was offered in 42 counties. However, DOPP did not operate in Orleans County of Vermont; and Commanche, Erath, and Van Zandt counties of Texas because no producer in those counties elected to participate by purchasing put options. DOPP will no longer be available in any of the 42 counties included in the notice of November 6, 1998.
The program will be available in the following States and counties: Maricopa County, Arizona; Marin and Sonoma counties, California; Weld County, Colorado; Gilchrist and Okeechobee counties, Florida; Morgan and Putnam counties, Georgia; Gooding, Jerome, and Twin Falls counties, Idaho; Clinton and Washington counties, Illinois; Elkhart and Marshall counties, Indiana; Clayton, Dubuque, and Winneshiek counties, Iowa; Nemaha County, Kansas; Adair and Barren counties, Kentucky; Carroll and Frederick counties, Maryland; Franklin County, Massachusetts; Allegan, Clinton, and Sanilac counties, Michigan; Fillmore and Wabasha counties, Minnesota; Webster and Wright counties, Missouri; Gage County, Nebraska; Chaves, Lea, and Roosevelt counties, New Mexico; Madison and Wyoming counties, New York; Iredell County, North Carolina; Ashtabula, Mercer, and Wayne counties, Ohio; Adair and Mayes counties, Oklahoma; Marion and Washington counties, Oregon; Lebanon and Tioga counties, Pennsylvania; Deuel and Grant counties, South Dakota; McMinn County, Tennessee; Archer County, Texas; Cache and Utah counties, Utah; Washington County, Vermont; Franklin and Rockingham counties, Virginia; Skagit, Snohomish, and Whatcom counties, Washington; Barron and Shawano counties, Wisconsin. At the discretion of the Secretary, States and counties are subject to change throughout the duration of this pilot program.
The participation limit per county is set at 100 producers, subject to adjustments as described below. Counties with a higher number of participants signing-up will have participants selected through a lottery. When a county has fewer than the maximum number of participants, the excess program vacancies will be pooled and distributed among counties where more than the maximum number has signed up. Producers wishing to participate in the program must fill out and sign an application (Form CCC-320) and a release of information from their broker to RMA (CCC-321).
The program will last a maximum of 12 months for each participating producer , commencing at the date of training through the close-out of DOPP options positions. After registration and training, producers will have up to 4 months to purchase DOPP options and all DOPP options must expire within 12 months from the month the producer attends the training session. Producers
In order to introduce the new trading volume onto the markets slowly, each round of participants will commence trading at different times by state. The two exchanges where the BFP futures and put options are currently available are NYBOT and CME. The contracts on the two exchanges differ with regard to quantity. Under the program, a participating producer will be permitted to purchase contracts to hedge between 100,000 and 600,000 pounds of milk over a period extending from a minimum of 2 months to a maximum of 12 months following the date the producer attends DOPP training. Producers will be required to submit documentation supporting their farm's production of at least 100,000 pounds of milk over a six-month period.
On November 6, 1998, RMA published a Notice of Availability in the
An assessment of the first round of the program revealed that some changes were warranted. In addition to minor reformatting and word changes for clarity, RMA has made the following changes to DOPP:
1. In section 1 of the producer contract and section 1 of the broker contract, RMA added a definition for “abandonment” to recognize this alternative which is available to a buyer of an option for resolving contractual rights and obligations associated with an option that will expire worthless; added a definition for “contract month” and deleted the definition for “strike month” to conform to the more common terminology used by brokers and hedgers; changed the definition of “futures contract” to avoid confusion regarding contract markets, wherein obligations of performance are created, and cash commodity markets, wherein the actual commodity is transferred; added a definition for “NYBOT” (the New York Board of Trade) and changed the definition of the “CSCE” to reflect the name change by that futures exchange (also, all references to the CSCE were changed to the NYBOT in both the producer and broker contracts); changed the definition of “expiration date” to reflect the possibility of selling before expiration; changed the definition for “premium” to eliminate possible confusion between the value of the option and strike price for an option; changed the definition of “round turn” to reflect the alternative of abandonment as a method of liquidating a put position and also to clarify RMA's responsibilities in the event a put buyer under DOPP wishes to exercise a put; and changed the definition of “sale” to avoid confusion between option contract markets, wherein obligations of performance are created, and asset markets, wherein titles of property are transferred.
2. In section 3(a)(1) of the producer contract and section 3(a)(1) of the broker contract, the time in which producer has to buy options in the program was changed from 2 to 4 months from the date the producer attends the training and information session. In the first round of the program, many participants indicated that 2 months did not provide sufficient time to observe the market and to implement a sound buying strategy.
3. In section 3(a)(1) of the producer contract, a phrase was added that allows producers to not fulfill their obligation to buy put options in the program if market conditions fail to provide price protection that exceeds production costs. This provision was added to ensure that producers will not be required to buy puts during periods when that strategy may not be in the producer's economic interest.
4. In section 3(a)(8) of the producer contract and section 3(a)(7) of the broker contract, the requirement that all options purchased in the program will expire no more than 6 months after the month of purchase was changed to 12 months from the month the producer attended the DOPP training session. Some participants in the first round of the program indicated that the 6 month forward limitation prevented producers from considering more favorable opportunities in contract months more than 6 months forward.
5. Section 3(a)(9) was added to the producer contract to ensure that producers are aware of their financial responsibility for any losses and brokerage commissions if they choose to exercise any put options before expiration.
6. In section 3(c) of the producer contract, the deadline for submitting a properly completed and executed application was changed from within 14 days after receiving notification and application materials from RMA through the mail to within 14 calendar days after attending a DOPP training session. An application postmarked within the deadline will be considered valid. Participants in the first round of the program indicated that requiring producers to execute the application before having the opportunity to learn about the program in the training session discouraged many prospective participants.
7. In section 6(d) of the producer contract and 5(b) of the broker contract, the description of possible program changes was revised to reflect current information regarding Federal Milk Marketing Order reform.
8. In section 3(b)(3) of the broker contract, the requirement to report the strike price, contract type, and exchange was added. This change was made to reflect that this additional information is needed to assess the program and that this information was collected during the first round of the program.
9. Section 4(d) of the broker contract was added. This change makes the financial responsibilities of the producer for futures transactions explicit, in the event a put option is exercised.
Participation in the Dairy Options Pilot Program is voluntary. Neither the United States, the Commodity Credit Corporation, the Federal Crop Insurance Corporation, the Risk Management Agency, the Department of Agriculture, nor any other Federal agency is authorized to guarantee that participants in this pilot program will be better or worse off financially as a result of participation in the pilot program than the producer would have been if the producer had not participated in the pilot program.
(a) To be eligible for any benefits under this contract, a producer must:
(1) Be eligible for a production flexibility contract, a loan deficiency payment, a non-recourse marketing assistance loan or any other assistance under title I of the Federal Agriculture Improvement and Reform Act of 1996;
(2) Operate a dairy farm located in a county selected for the pilot program;
(3) Have documented production history of at least 100,000 pounds of milk production over any consecutive six month period during the most recent 12 months; and
(4) Execute this contract and comply with its terms and conditions.
(b) This program is available to milk producers in states and counties designated.
(a) Producers who elect to participate in the program agree:
(1) To attend not less than one training session conducted by RMA to receive training on the use of put options and the program's operations;
(2) To purchase put options on a minimum of 100,000 pounds of milk on an eligible market, through an eligible broker, within 4 months after the date the producer attends the required training session, unless market conditions fail to provide an opportunity to establish price protection that exceeds production costs;
(3) To purchase put options on no more than 200,000 pounds of milk for any one contract month;
(4) To purchase put options on no more than the producer's total production over the consecutive 6-month period used to establish the producer's eligibility. (For example, if a producer has provided copies of marketing receipts for 245,000 pounds of total milk production for a consecutive 6 month period to meet the eligibility criteria of the program, only 200,000 pounds can be hedged under the program because there are no contracts equal to or less than 45,000 pounds currently available on an eligible market);
(5) To purchase only those put options that expire at least two months after the purchase date ( For example, assume the producer wants to hedge September 1999 production with BFP put options. The last date on which the producer shall be able to purchase a September put option under the program would be Tuesday, August 3, because September options expire exactly two months later, on October 4. On August 4, the producer could purchase only October or more distant options;
(6) To purchase only those put options with a strike price that is at least 10 cents out of the money;
(7) That no put option will be sold or exercised before four weeks prior to the expiration date (For example, assume the producer owns September, 1999 put options which expire on October 4, 1999. The producer would not be allowed to sell or exercise September options under the program prior to September 6);
(8) To purchase only those put That all options purchased shall expire during the month that is not more than 6 with contract months less than 12 months after the month of purchase from the month of training (For example, assume a producer is trained on June 7, 1999, and makes all purchases in the months of June and July. The most distant option contract the producer is permitted to buy is the May 2000 contract); and
(9) To assume any losses from the underlying futures contract if the producer chooses to exercise any put option rather sell the option or abandon it.
(b) The producer must open an account with an eligible broker in order to participate in the program and must do so before making any purchases.
(c) The producer must submit to RMA within 14 calendar days after attending a DOPP training session a properly completed and executed application and a copy of the marketing receipts for 6 consecutive months in the previous 12 months showing production in excess of 100,000. An application postmarked within the deadline will be considered valid.
(a) The producer will pay to the broker 20 percent of the premium for each put option purchased.
(b) RMA will pay 80 percent of the premium to the broker on behalf of the producer and will pay transaction costs not to exceed $30 per round turn for each option purchased. The producer is free to deal with brokers who charge more than $30 per round turn, but will be financially responsible for amounts that exceed $30.
(c) The producer is solely responsible for any commission cost associated with futures contracts created when put options are exercised.
(a) Except as stated herein, total program participation will be limited to 100 producers per county. If more participants are enrolled than the county limit, a lottery will be held by RMA to determine participants within a county. If fewer than 100 participants are enrolled in a county, the number of unfilled participation slots will be pooled and redistributed over counties where enrollment exceeds 100.
(b) A producer will be able to place orders for put options with a broker under DOPP only after the broker has obtained verification from RMA of the producer's selection as a program participant and the date the producer received training. RMA will notify eligible brokers electronically after their selection by a producer.
(c) No producer may participate in the program more than once.
(d) If a producer who has participated in the program is not in compliance with the provisions of this contract, the producer will be required to repay any cost sharing of option premiums and broker fees paid by RMA on behalf of the producer.
(e) The agreement is not effective until the producer executes and returns the forms CCC-320, with supporting documentation of milk marketing, and CCC-321, and the producer receives written notice from RMA that the producer has been accepted into the program.
(a) The National Futures Association, on behalf of the Commodity Futures Trading Commission, maintains a current listing of brokers and brokerage firms who are licensed to conduct futures-related business. However, only those brokers who have entered into an agreement with RMA will be eligible to execute orders on behalf of DOPP participants.
(b) To assist in the evaluation of the program, participating producers may be asked to complete entry and exit surveys by RMA. Producers are encouraged to complete these surveys to assess this program's effectiveness.
(c) There may be tax consequences with respect to participation in this program. Producers interested in the program who have questions regarding related tax issues should seek the advice of a competent tax advisor.
(d) Because of likely implementation of Federal Milk Marketing Order reform, the NYBOT or CME could replace existing BFP options contracts with options derived from other milk price indexes. DOPP will permit the trading of put option contracts on a milk price index which replaces the BFP under a new Federal Milk Marketing Order.
(a) To be eligible to execute option orders on behalf of DOPP participants under this agreement, a broker must:
(1) Be properly licensed; and in good standing with the National Futures Association;
(2) Not be suspended or debarred by any U.S. Government Agency;
(3) Attend at least one DOPP training session;
(4) Have the following hardware and software and service in order to operate the DOPP communications software: Internet Service Provider; Internet E-mail address; a Windows 95 PC; Internet Browser, either Microsoft Internet Explorer or Netscape; minimum 28.8 modem; minimum 8 meg RAM. (16 meg recommended); and
(5) Execute this agreement and comply with all its terms and conditions.
(a) Brokers who participate in the program agree to enforce the following
(1) To buy put options on a minimum of 100,000 pounds of milk on an eligible market, through an eligible broker, within 4 months after the date the producer attends the required training session, unless market conditions fail to provide an opportunity to establish price protection above production costs;
(2) To purchase put options on no more than 200,000 pounds of milk for any one contract month;
(3) To purchase put options on no more than the producer's total production over the consecutive 6-month period used to establish the producer's. (For example, if a producer has provided copies of marketing receipts for 245,000 pounds of total milk production for a consecutive 6 month period to meet the eligibility criteria of the program, only 200,000 pounds can be hedged under the program because there are no contracts equal to or less than 45,000 pounds currently available on an eligible market);
(4) To only those put options that expire at least two months after the purchase date ( For example, assume the producer wants to hedge September 1999 production with BFP put options. The last date on which the producer shall be able to purchase a September put option under the program would be Tuesday, August 3, because September options expire exactly two months later, on October 4. On August, the producer could purchase only October or more distant options;
(5) To purchase only those put options with a strike price that is at least 10 cents out of the money;
(6) That no put option will be sold or exercised before four weeks prior to the expiration date. (For example, assume the producer owns September, 1999 put options which expire on October 4, 1999. The producer would not be allowed to sell or exercise September options under the program prior to September 6); and
(7) To purchase only those put options with contract months less than 12 months from the month of training. (For example, assume a producer is trained on June 7, 1999. The most distant option contract the producer is permitted to buy is the May 2000 contract).
(b) The broker must keep detailed records on each transaction and transmit all transaction information to RMA electronically. RMA will provide the broker with communications software for this purpose. Records required to be submitted by the broker to RMA include:
(1) The purchase date, time, premium, strike price, contract type, and exchange for each put option;
(2) The expiration date and contract month for each put option;
(3) Whether the options are sold, exercised, or abandoned, and the date, time, and price of the futures contract transaction, in the event of exercise.
(c) Brokers certify that systems used to transmit data will be year 2000 compliant, i.e. be able to accurately process date and time data (including, but not limited to, calculating, comparing, and sequencing) from, into, and between the years 1999 and 2000 and leap year calculations, and to properly exchange date and time data with other information technology. Data transmission requirements and year 2000 compliance guidelines are available upon request.
(d) The broker cannot permit a producer to purchase a DOPP option until RMA has electronically notified the broker that the producer has been accepted into the program, the amount of milk for which the producer has provided production records, and the date on which the producer fulfilled the training requirement.
(e) If a broker participating in the program through this agreement is not in compliance with the provisions of this agreement, the broker will be required to repay any broker fees and premiums paid by RMA on options contracts traded by the broker under the program.
(a) Up to $30 per round turn in broker fees will be paid by RMA for each put option purchased on behalf of a producer. Any transactions costs agreed upon between the broker and a producer in excess of $30 will be the sole responsibility of the producer and not of RMA.
(b) The broker will charge the producer's account for 20 percent of the premium of each put option purchased. This 20 percent of the put option premium is the sole responsibility of the producer and not of RMA.
(c) The broker will bill transaction costs not to exceed $30 and the balance of the put option premium, 80 percent, to RMA. RMA will pay these amounts via the automated clearing house (ACH) payments process within three banking days after RMA's acceptance of the transaction. Transactions will be considered accepted after RMA systems verify that the broker and participant have been selected for participation in the program, and that the transaction does not violate the trading limitations of the program itemized in Section 3 above.
(d) The producer is solely responsible for any broker commissions or other costs associated with futures contracts when put options are exercised.
(a) The broker acknowledges that, due to the pilot nature of this program, on-going modifications may be necessary. The broker agrees to abide by reasonable changes in the program by RMA.
(d) Because of likely implementation of Federal Milk Marketing Order reform, the NYBOT or CME could replace existing BFP options contracts with options derived from other milk price indexes. DOPP will permit the trading of put option contracts on a milk price index which replaces the BFP under a new Federal Milk Marketing Order.
Barry Goldwater Scholarship and Excellence in Education Foundation.
2:00 pm, Wednesday, March 15, 2000.
U.S. Cannon House Office Building, Washington, DC 20510.
The meeting will be open to the public.
1. Review and approval of the minutes of the March 24th, 1999 Board of Trustees meeting.
2. Report on financial status of the Foundation fund.
A. Review of investment policy and current portfolio.
3. Report on results of Scholarship Review Panel.
A. Discussion and consideration of scholarship candidates.
B. Selection of Goldwater Scholars.
4. Other Business brought before the Board of Trustees.
Gerald J. Smith, President, Telephone: (703) 756-6012.
Import Administration, International Trade Administration, U.S. Department of Commerce.
Notice of Final Results of the Antidumping Duty Administrative Reviews of Certain Corrosion-Resistant Carbon Steel Flat Products and Certain Cut-to-Length Carbon Steel Plate From Canada and Determination Not to Revoke in Part.
On August 19, 1999, the Department of Commerce (the Department) published the preliminary results of its administrative reviews of the antidumping duty orders on certain corrosion-resistant carbon steel flat products and certain cut-to-length (CTL) carbon steel plate from Canada. These reviews cover four manufacturers/exporters of corrosion-resistant carbon steel and two manufacturers/exporters of CTL carbon steel plate), and the period August 1, 1997, through July 31, 1998. We gave interested parties an opportunity to comment on our preliminary results. As a result of these comments, we have made certain changes in these final results. These changes are discussed in the section on “Interested Party Comments” below.
February 24, 2000.
Sarah Ellerman at (202) 482-4106 (Continuous Colour Coat (CCC)); Michael Strollo at (202) 482-5255 (Dofasco, Inc. and Sorevco Inc. (collectively, Dofasco)); Mark Hoadley at (202) 482-0666 (Gerdau MRM Steel (MRM)) and National Steel Co. (National); Elfi Blum at (202) 482-0197 (Stelco Inc. (Stelco)); or Maureen Flannery at (202) 482-3020, Import Administration, International Trade Administration, U.S. Department of Commerce, 14th Street and Constitution Avenue, N.W., Washington, DC 20230.
Unless otherwise indicated, all citations to the Tariff Act of 1930, as amended (the Act), are to the provisions effective January 1, 1995, the effective date of the amendments made to the Act by the Uruguay Round Agreements Act. In addition, unless otherwise indicated, all citations to the Department's regulations are to 19 CFR part 351 (1998).
On September 29, 1998, we published in the
On August 19, 1999, we published in the
The products covered by these administrative reviews constitute two separate “classes or kinds” of merchandise: (1) Certain corrosion-resistant carbon steel flat products, and (2) certain CTL carbon steel plate.
The first class or kind, certain corrosion-resistant steel, includes flat-rolled carbon steel products, of rectangular shape, either clad, plated, or coated with corrosion-resistant metals such as zinc, aluminum, or zinc-, aluminum-, nickel-or iron-based alloys, whether or not corrugated or painted, varnished or coated with plastics or other nonmetallic substances in addition to the metallic coating, in coils (whether or not in successively superimposed layers) and of a width of 0.5 inch or greater, or in straight lengths which, if of a thickness less than 4.75 millimeters, are of a width of 0.5 inch or greater and which measures at least 10 times the thickness or if of a thickness of 4.75 millimeters or more are of a width which exceeds 150 millimeters and measures at least twice the thickness, as currently classifiable in the Harmonized Tariff Schedule (HTS) under item numbers 7210.30.0030, 7210.30.0060, 7210.41.0000, 7210.49.0030, 7210.49.0090, 7210.61.0000, 7210.69.0000, 7210.70.6030, 7210.70.6060, 7210.70.6090, 7210.90.1000, 7210.90.6000, 7210.90.9000, 7212.20.0000, 7212.30.1030, 7212.30.1090, 7212.30.3000, 7212.30.5000, 7212.40.1000, 7212.40.5000, 7212.50.0000, 7212.60.0000, 7215.90.1000, 7215.90.3000, 7215.90.5000, 7217.20.1500, 7217.30.1530, 7217.30.1560, 7217.90.1000, 7217.90.5030, 7217.90.5060, and 7217.90.5090. Included in this review are corrosion-resistant flat-rolled products of non-rectangular cross-section where such cross-section is achieved subsequent to the rolling process (i.e., products which have been “worked after rolling”)—for example, products which have been beveled or rounded at the edges. Excluded from this review are flat-rolled steel products either plated or coated with tin, lead, chromium, chromium oxides, both tin and lead (“terne plate”), or both chromium and chromium oxides (“tin-free steel”), whether or not painted, varnished or coated with plastics or other nonmetallic substances in addition to the metallic coating. Also excluded from this review are clad products in straight lengths of 0.1875 inch or more in composite thickness and of a width which exceeds 150 millimeters and measures at least twice the thickness. Also excluded from this review are certain clad stainless flat-rolled products, which are three-layered corrosion-resistant carbon steel flat-rolled products less than 4.75 millimeters in composite thickness that consist of a carbon steel flat-rolled product clad on both sides with stainless steel in a 20%-60%-20% ratio.
The second class or kind, certain CTL carbon steel plate, includes hot-rolled carbon steel universal mill plates (i.e., flat-rolled products rolled on four faces or in a closed box pass, of a width exceeding 150 millimeters but not exceeding 1,250 millimeters and of a thickness of not less than 4 millimeters, not in coils and without patterns in relief), of rectangular shape, neither clad, plated nor coated with metal, whether or not painted, varnished, or coated with plastics or other nonmetallic substances; and certain hot-
With respect to both classes or kinds, the HTS item numbers are provided for convenience and Customs purposes. The written description remains dispositive of the scope of these reviews.
To determine whether sales of subject merchandise from Canada to the United States were made at less than normal value (NV), we compared the Export Price (EP) or Constructed Export Price (CEP) to the NV, as described in the “United States Price” and “Normal Value” sections of the preliminary results of review notice. In accordance with section 777A(d)(2) of the Act, we calculated monthly weighted-average prices for NV and compared these to individual U.S. transaction prices.
On August 21, 1998, and August 31, 1998, respectively, MRM and Stelco submitted requests, in accordance with section 351.222(b) of the Department's regulations, that the Department revoke the order covering CTL carbon steel plate from Canada with respect to their sales of this merchandise.
In accordance with section 351.222(b)(2)(iii) of the regulations, these requests were accompanied by certifications from MRM and Stelco that they had not sold the subject merchandise at less than NV for a period of three consecutive reviews, which included this review period, and would not do so in the future. The Department conducted verifications of MRM's and Stelco's responses for this period of review. Prior to considering whether it is appropriate to revoke an order pursuant to section 351.222(b)(2) of the regulations, the Department “must be satisfied that,
On January 15, 1999, Stelco submitted comments supporting its revocation request. On January 19, 1999, petitioners submitted factual information pertaining to Stelco's performance and the data Stelco submitted to the Department in support of its revocation request.
Based on the record, we find that Stelco did not sell merchandise in the United States in commercial quantities during the current (fifth) administrative review period. During the period of review (POR) covered by the fifth administrative review (August 1997 though July 1998), Stelco made only a few sales in the United States. Moreover, Stelco's total sales volume during this POR was only 47 tons of subject merchandise.
With respect to MRM's request for revocation, we have decided not to revoke the antidumping order with respect to MRM at this time. On May 28, 1998, the Department initiated an anti-circumvention investigation of MRM based upon information that MRM was circumventing the antidumping duty order on cut-to-length plate by adding small amounts of boron to plate products covered by the order.
On October 28, 1998, petitioners in the corrosion-resistant carbon steel case requested that the Department determine whether antidumping duties had been absorbed during the POR for Dofasco, CCC, and Stelco; and petitioners in the CTL carbon steel plate case requested that such a determination be made for MRM and Stelco. Section 751(a)(4) of the Act provides for the Department, if requested, to determine during an administrative review initiated two or four years after the publication of the order, or in 1996 or 1998 for orders in effect prior to January 1, 1995 (transition orders), whether antidumping duties have been absorbed by a foreign producer or exporter, if the subject merchandise is sold in the United States through an affiliated importer. Because this review is of a transition order and was initiated in 1998, we have made a duty absorption determination in this segment of the proceeding.
In this case, Dofasco sold to the United States through an affiliated importer and also acted as its own importer. In all other cases, the producer was the importer of record. Therefore, all companies meet the definition of affiliation within the meaning of section 751(a)(4) of the Act. With respect to corrosion-resistant carbon steel, we have determined that there is a
For Stelco, 22.63 percent of its U.S. sales were made at positive dumping margins, and for CCC, 20.38 percent of its U.S. sales were made at positive margins. CCC and Stelco have provided evidence that they charged their unaffiliated customers an amount equal to the cash deposits required on individual sales. CCC and Stelco argue that this is sufficient to indicate that there has not been duty absorption. However, the documentation only indicates that the cash deposit rate was passed on to the unaffiliated customer, and no statement or agreement by the producer/importer and unaffiliated customer, indicating that the unaffiliated customer will ultimately pay all the antidumping duties due, was submitted. We presume that the duties will be absorbed for those sales which were dumped, unless there is evidence (
With respect to CTL carbon steel plate, we have determined that there are no dumping margins for MRM and Stelco. Therefore, we find that antidumping duties have not been absorbed by MRM and Stelco on their U.S. sales of CTL carbon steel plate.
CCC contends that, in determining the appropriate short-term interest rate, the Department erred in using the average U.S. prime rate as the basis upon which to calculate CCC's U.S. imputed credit expense. CCC argues that the Department's Policy Bulletin 98.2 maintains that the Department's practice is to use the Federal Reserve's weighted-average rate for commercial and industrial loans maturing between one month and one year from the time the loan is made. CCC notes that the Department has used the weighted-average rate for commercial and industrial loans in the last two administrative reviews of this case. CCC states that the interest rate it provided in its section C response, which is based on the Federal Reserve's weighted-average data for commercial and industrial loans for the POR, should be used instead of the average prime rate, in accordance with the Department's Policy Bulletin 98.2.
Petitioners argue that the average prime rate used by the Department to value CCC's U.S. credit expense is correct. Petitioners cite two cases in which the Department used the prime rate for imputing credit expense:
Dofasco argues that the Department improperly denied an offset to Dofasco's cost of production (COP) for by-product profit from sales of industrial coke. Dofasco claims that, as an integrated producer, it must produce coke to produce steel. Dofasco maintains and operates three batteries that produce industrial coke. Dofasco asserts that, in order to meet its requirements for steel production, it must operate all three batteries since operating two batteries does not produce enough coke to meet its steel production requirements. Therefore, the production of coke is an unavoidable consequence of steel-making, and as such, should be treated as a by-product in the production of subject merchandise.
Petitioners contend that coke is an intermediate product, not a by-product, in the production of subject merchandise. Petitioners assert that, in determining whether a product should be treated as an intermediate product, as opposed to a by-product, the Department, as established in
(
Dofasco argues that the Department's denial of its foreign exchange gains as an offset to net interest expense is, in effect, an improper use of facts available. Dofasco maintains that it cooperated throughout the review process by answering all questions and supplemental questions. Dofasco also contends that it cooperated with the Department during verification and answered all questions asked of it. In addition, Dofasco argues that it reported the foreign exchange gains as an offset to net interest expense early in the proceeding but the Department never once asked Dofasco to provide any additional information on the offset. Therefore, Dofasco argues, the Department should allow the offset to net interest expense for its reported foreign exchange gains.
Dofasco argues that the Department's failure to allow an offset to Dofasco's COP for profit that was remitted to Dofasco by Baycoat Partnership (Baycoat) is contrary to the dictates of the North American Free Trade Agreement (NAFTA) Panel Decision in
Dofasco maintains that, in the review that was the subject of the NAFTA Panel Decision, respondent Stelco was charged a transfer price for painting services that exceeded the actual costs of Baycoat to provide painting services, even though Baycoat, which was 50% owned by Stelco, remitted 50% of its profits at the end of each year back to Stelco. Dofasco contends that the NAFTA Panel rejected the Department's decision to use the inflated transfer price rather than the actual cost, stating that “{w}hen the transfer price is artificially high between affiliated parties, as in this case, application of the ‘highest’ standard yields a result at odds with the ‘actual cost’ object of the statute.”
Dofasco maintains that, in accordance with the NAFTA Panel's instructions, the Department recalculated Stelco's cost of production by adjusting the transfer price for Baycoat services to Stelco, in order to account for Baycoat's profit remittances to Stelco. Dofasco asserts that it is the other partner in the joint venture with Stelco; and, like Stelco, Dofasco pays Baycoat for painting services and receives a share of remittance of profit at the end of the year. Accordingly, Dofasco argues, it is entitled to the same type of adjustment to the reported Baycoat transfer price that the Department granted to Stelco, pursuant to the NAFTA Panel remand. Specifically, Dofasco claims, the Department should allocate total per-unit Baycoat profit (Dofasco's per-unit profit, as derived by Dofasco, multiplied by two), by multiplying it by the ratio of the value charged to Dofasco by Baycoat to the total value produced by Baycoat, or simply rely on the cost data already submitted by Dofasco in its response to Section D of the Department's questionnaire.
Petitioners counter that the Department properly valued the major inputs purchased from Baycoat at the transfer price. Petitioners cite subsections 773(f)(2) and (3) of the Act, which address the treatment of transactions between affiliated parties for the purpose of calculating COP or constructed value (CV). Petitioners contend that subsection 773(f)(2) permits the Department to disregard the transfer price for a transaction between a respondent and an affiliated supplier if, and only if, the transfer price does not fairly reflect the amount usually reflected in sales of merchandise under consideration in the market under consideration. Similarly, petitioners maintain subsection 773(f)(3) permits the Department to disregard the transfer price (or market price) for a major input if it has reasonable grounds to believe or suspect that such price is less than the cost of production of such input. Accordingly, petitioners argue, the statute requires in this case that the Baycoat inputs be valued at the transfer price.
Petitioners also argue that, under section 19 U.S.C. 1516a(b)(3), a court in the United States is not bound by a final decision of a binational panel. Petitioners cite
Finally, petitioners maintain that, in its remand determination, the Department reiterated its position that because the transfer price is not below cost, it should be an appropriate basis for valuing the input provided by Baycoat.
Moreover, the Department's practice of using the highest of the market price, actual transfer price, or cost of production has been upheld by the CIT in
Further, as in the
Furthermore, we agree with petitioners that a NAFTA panel decision does not constitute binding precedent upon agency determinations in subsequent administrative proceedings.
Petitioners argue that the Department should recalculate Dofasco's U.S. credit expenses based on its practice of using the respondent's own weighted-average short-term borrowing rate in the currency of the transaction. Petitioners contend that, because Dofasco had short-term borrowings in U.S. dollars, Dofasco should have used that rate for purposes of its U.S. credit expense calculation. Petitioners cite
Dofasco claims that petitioners have mischaracterized its short-term borrowings. Dofasco argues that the situation surrounding its short-term borrowing was unique and not representative of its normal commercial practices. Dofasco contends that, in previous cases, the Department has excluded aberrant rates when those rates were not representative of normal commercial borrowings by the respondent, citing the
Petitioners argue that, pursuant to section 773(f)(2) of the Act, the Department should reject the transfer price for Dofasco's purchases of iron ore from its affiliated supplier, Wabush Mines, and revalue the iron ore at market price. As the basis of market price, petitioners cite prices paid by other steel companies to a different Dofasco affiliate. For further details, see
Dofasco contends that testing the transfer price from one affiliated supplier to Dofasco against the transfer price from another of Dofasco's affiliated suppliers to its unaffiliated customers is not a valid test of a transfer price to a market price. To make such a comparison, Dofasco argues, would be tantamount to concluding that there is only one market price for any major input, regardless of the economic situation of the supplier. Dofasco also argues that the market price petitioners suggest is actually for a different kind of pellet than that purchased from Wabush. Dofasco claims that this would create an “apples to oranges” comparison. Finally, Dofasco maintains that petitioners' attempt to inflate Dofasco's true cost for Wabush iron ore would be contrary to the major input rule. In support, Dofasco cites the NAFTA panel decision discussed above, where the Panel held that it was unlawful for the Department to automatically choose the inflated transfer price over input cost. For these reasons, Dofasco argues, the Department should continue to use the reported cost/transfer price in its calculations for the final results.
Petitioners claim that the Department, in its model match and margin programs, used an incorrect or partial home market data set, and, as a result, the Department did not perform an arm's-length test. Therefore, petitioners argue, the Department should base its final results on the complete home market data set.
Dofasco agrees with petitioners' comments regarding ministerial errors.
Stelco disagrees with the Department's preliminary determination not to revoke the order on CTL carbon steel plate with regard to Stelco. Stelco states that it has fulfilled all the requirements of section 351.222(b) of the Department's regulations for revocation of the antidumping duty order in part. Stelco points out that the Department determined that Stelco did not engage in dumping of subject merchandise during the third and fourth review periods (1996-96 and 1996-1997, respectively). Stelco points out that, in the fifth review, the Department again preliminarily determined that Stelco did not dump subject merchandise. In addition, Stelco submitted the necessary certification in its request for revocation.
Stelco further states that the Department denied Stelco revocation because it did not sell to the United States in commercial quantities during the current review period. Stelco argues that the term “commercial quantities” has not been defined under the statute or regulations, and that its usage has been to confirm that sales were
Stelco asserts that it has been Department practice to consider even one single shipment to constitute commercial quantities, and that a decreased sales volume is not considered no volume at all, citing
Petitioners state that the Department was correct in finding Stelco ineligible for revocation. Petitioners argue that Stelco failed to demonstrate that it shipped CTL carbon steel plate in commercial quantities during the fifth administrative review and, therefore, failed to demonstrate that it was able to obtain zero or
Petitioners point out that section 351.222(b)(2) of the Department's regulations requires that, to establish eligibility for revocation, a company must meet two threshold requirements: (1) [o]ne or more exporters or producers covered by the order have sold the merchandise at no less than NV for a period of at least three years, and (2) it is not likely that those persons will in the future sell the subject merchandise at less than NV. Petitioners contend that it is the Department's longstanding practice to consider whether sales have been made in commercial quantities in making its revocation decision. (
Petitioners point out that Stelco made only a few sales, totaling 47 tons, during the fifth administrative review period, whereas Stelco made several thousand sales totaling approximately 30,000 tons during the six-month period of the antidumping investigation; that is, the volume sold during the fifth review period is only 0.157 percent of the sales volume during the period of the antidumping investigation. In addition, the sales quantity of the fifth administrative review period was very small in comparison with the sales quantity of the fourth review period. Petitioners point out that the Department rejected Stelco's revocation request in the fourth administrative review, because the total sales volume during the second administrative review (one of the three periods considered for a potential fourth administrative review revocation) amounted to only 36 tons, and thus did not constitute commercial quantities. (
Petitioners challenge Stelco's argument that commercial quantities constitute
Petitioners further state that Stelco mischaracterizes the Department's decision in
Petitioners disagree with Stelco's reference to
Furthermore, the two cases Stelco relies upon to build its argument,
We agree with petitioners that Stelco has not sold subject merchandise in commercial quantities at not less than NV for three consecutive years, as required by sections 351.222(b)(2)(i) and (d)(1) of the Department's regulations. A few sales totaling 47 tons of CTL carbon steel plate is so insignificant in comparison with the volume of sales prior to the imposition of the antidumping order, as well as in comparison with subsequent review periods, as to fail to constitute a commercial quantity. Therefore, we do not consider Stelco sales to have been made in normal commercial quantities. Accordingly, we are not revoking the antidumping order on CTL carbon steel plate with respect to Stelco. For further details, see the “Determination Not to Revoke” section above.
Stelco states that, in 1997-98, its plate mill underwent major modernization and upgrading, which was accompanied by planned shutdowns as well as by “substantial unanticipated and unrelated mill shutdowns.” Stelco claims that such a magnitude of plate mill shutdowns has never occurred at Stelco. These unusual occurrences, Stelco states, severely impacted its production capacity. Stelco claims that there was a severe reduction in production from the fourth to the fifth POR due to these “unusual occurrences” which resulted from the plate mill modernization. Stelco further points out that it is company policy to support the domestic market, and that the company under these unusual circumstances did make all the sales that it could to its U.S. customers. Stelco distinguishes its situation from that which occurred in the
Petitioners contend that mill upgrades as undertaken by Stelco do not constitute an unusual occurrence as defined in the Department's
Petitioners further argue that Stelco itself did not appear to consider the plate mill upgrade an unusual occurrence up to the point that it sought revocation, because, for example, Stelco did not report any closure or restructuring costs in its original section D questionnaire response with respect to a question on plant closures, shut-downs, or restructuring costs during the POR. (
Petitioners point out that, although Stelco refers to major unexpected and unrelated mill shut-downs as unusual occurrences, in fact unanticipated delays and shut-downs are not unusual, but are instead a common part of the maintenance and operation of steel mills. In support of this argument petitioners cite
Petitioners state that Stelco cannot establish a causal relationship between the planned and unplanned mill stoppages and the major reduction in shipments to the United States. Petitioners note that, in
The severe decrease in Stelco's shipments to the United States during the fifth review period was not an unavoidable consequence of Stelco's mill modernization, but, rather, the result of Stelco's choice to give priority to the Canadian market. Had it so chosen, Stelco could have participated more fully in the U.S. market, just as it continued to participate in the Canadian market. For further information see the February 15, 2000 proprietary memorandum to the file regarding Stelco's participation in the U.S. market.
In order for us to determine that there is an unusual occurrence, there should be a permanent change that is not based on an easily-altered decision. For example, in
Since the small quantity of Stelco's sales of subject merchandise to the United States during the POR cannot be attributed to an unusual occurrence, we must consider it in the context of Stelco's historical sales to the United States. Considered in this context, the small quantity of merchandise sold during this POR does not meet the commercial quantities requirement of the revocation provisions of the Department's regulations.
Stelco states that, because it has met all the requirements of section 351.222(b)(2) of the Commerce regulations, including a demonstration that it is not likely to dump in the future, and because the Department has not made a determination to the contrary, the Department must revoke the order with respect to Stelco.
Petitioners argue that Stelco failed to address factors such as domestic and home market industries, currency movements, and Stelco's competitiveness in the U.S. market in its case brief. In addition, petitioners state that Stelco did not discuss the issues of price and cost trends, investments and production capacity in its case brief.
Petitioners contend that it is likely that Stelco would sell at dumped prices upon revocation of the order because it has substantially increased its plate mill capacity due to its modernization project.
Stelco is ineligible for revocation under section 351.222(b)(2)(i), based on the fact that it has not had three consecutive years of sales in commercial quantities at not less than NV; therefore, we need not address U.S. or Canadian market conditions, or Stelco's mill expansion in process.
Stelco states that the Act requires the Department to use actual costs in the calculation of the cost of production, citing sections 773(b)(3) and 773(f)(1) of the Act. Stelco claims that, by using Baycoat's transfer price to determine Stelco's cost of coating services, the Department arrives at a cost in excess of Stelco's actual cost of production in violation of the statute. Stelco maintains that, based on the remittance of Baycoat profits to Stelco, Stelco's true costs of production will not be the same as the face value of the invoice price received from its affiliated supplier. Stelco notes that, in its cost accounting system, it records the estimated costs for coating services by Baycoat, which it adjusts based on the actual sum of all invoices. At the end of each month, Stelco adjusts its gross income by reducing its cost of sales to account for the income recognized by Baycoat. This income, Stelco explains, constitutes Stelco's 50% share of Baycoat's returned profits. Stelco explains that Baycoat is a 50/50 partnership with Dofasco, with the sole purpose of providing coating services to its owners. Therefore, Stelco maintains, valuing coating services of Baycoat without taking into account the Baycoat profits returned to Stelco, would result in a calculated cost in excess of actual cost.
Stelco further states that, with regard to the second review, the Binational Panel has ruled that the Department failed to follow the requirements of the statute by overvaluing Stelco's painting costs, noting that the Department must be mindful that the amounts used to value an input may not exceed “the costs associated with the production and sale of the merchandise.” (
Petitioners state that the Department correctly valued the input purchase from Stelco's affiliate Baycoat at transfer price. Petitioners cite section 773(f) of the Act as the Department's legal basis for its applied methodology. Petitioners state that under subsection (f)(1), cost calculations for the merchandise should be based on the exporter's/producer's records, and that subsections (f)(2) and (f)(3) address inputs purchased from an affiliated party. According to petitioners, subsection (f)(2) states that the transfer price, i.e., the price generally maintained in the producer's books and records, may be disregarded if it does not reflect market value. Subsection (f)(3) states that the Department may disregard the value of a major input in favor of the cost of production if such amount is less than cost of production or market value. Petitioners argue that these subsections, read together, provide that the Department can only reject the transfer price of a major input when such price is less than the cost of production or market value. Based on the statutory requirements, petitioners state, the Department had to use transfer price for the major input in question, since the prices Stelco paid for the painting services received from Baycoat for this major input were higher than Baycoat's cost of production.
Petitioners contend that Stelco erred when it asserted that the use of transfer price was not consistent with the statute, because the Department should have utilized the most accurate cost available in valuing such a major input. Petitioners state that Stelco ignored subsections (f)(2) and (f)(3) which regulate how “actual costs” are calculated when a major input is supplied by an affiliate. Petitioners argue that the Department used the actual cost, which is the transfer price recorded in Stelco's own books and records. Petitioners further assert that Stelco confuses its investment interest in Baycoat with its commercial relationship, which would not have any bearing on the price of the services rendered by Baycoat.
Petitioners question Stelco's assertion that its cost for Baycoat painting services should be adjusted downward for Baycoat investment profits remitted. Petitioners state that Stelco ignores the instructions of subsections (f)(2) and (f)(3) of the Act, which require the use of transfer price in transactions between affiliated parties, unless the transfer price is below the usual market price or the transfer price is below the affiliated supplier's cost of production. Petitioners further point out that these profits remitted are not attributable to individual sales and could be earned from services performed for either of the two partners. Rather, these profits are unrelated in volume and value to coating services performed for Stelco, petitioners say. Additionally, petitioners argue that adjusting transfer price by the Baycoat profits remitted would render subsections (f)(2) and (f)(3) of the Act ineffective because the adjustment for profit would convert the transfer price to Baycoat's cost of production. Petitioners further add that market value generally includes an element of profit.
Petitioners contend the Binational Panel's decision is not binding on subsequent administrative reviews. In support of their argument they cite
Moreover, the Department's practice of using the highest of the market price, actual transfer price, or cost of production has been upheld by the CIT in
Further, as stated in the
Finally, as Stelco's books and records use transfer price in recording cost of manufacturing (COM), and the transfer price is not below cost, it is an appropriate basis for valuing the input provided by Baycoat.
In addition to the propriety of using transfer price in valuing Baycoat's coating services, the Department's previous decision not to adjust transfer price to account for profit remittances was based upon the Department's finding that profit was not an element of cost. In this regard, the profit recognized by Stelco resulted from its investment in Baycoat and served to increase Stelco's equity interest in its affiliate. Baycoat's distributions to its joint venture partners are directly proportional to their ownership interests, and do not serve as price adjustments that reduce the cost of manufacturing subject merchandise. It would be inappropriate for the Department to adjust transfer prices between affiliates by the return on investment recognized due to the affiliated supplier operating at a profit or making a cash contribution. Thus, the Department would not consider this investment income to constitute an element of cost that must be accounted for in the context of section 773(f)(1)(A) of the Act. Moreover, where and to what extent affiliated companies choose to recognize profit or loss on investments is a separate and distinct business decision from the value these companies place on the inputs at issue. Affiliated companies may choose to recognize profits through one corporate entity over another for a variety of reasons, such as tax advantages, or the ability to write down losses against profits. These considerations, and the business decisions that result, however, do not alter the value of the inputs established between the parties. Our interpretation of the major input rule is that Congress intended the Department to use the transaction price between affiliated parties as the value of the input, unless that value is below cost or market price. In our view, Congress clearly did not intend that the Department examine every transfer of money between affiliated parties to determine whether the transfer price for an input is a valid reflection of its transaction value. Accordingly, we have not engaged in an examination of any money transfers between Stelco and its affiliated suppliers for purposes of valuing major inputs.
We also agree with petitioners that the final ruling of the Binational Panel applies to Stelco's 1994/95 administrative review and does not establish precedent for any subsequent cases. As stated in
Stelco asserts that, in adjusting Stelco's reported cost for Baycoat coating services up to the Baycoat transfer price, the Department double counted Baycoat's interest and general and administrative expenses (G&A), as those are already included in Stelco's consolidated financial statements. Stelco states that this is inconsistent with the Department's
Petitioners argue that Stelco's reliance on any adjustments to the Baycoat transfer price pursuant to the NAFTA Binational Panel ruling is misplaced, because in that case the adjustment was ordered by the NAFTA Binational Panel. In contrast, in the current review, the Department is not bound by any restrictions in utilizing the full transfer price, which, by its nature would include interest and G&A.
Stelco reported two categories of coating services. In the preliminary results, we adjusted Stelco's reported costs for Baycoat coating services so that they accurately reflected the transfer price for each category of services. In calculating Stelco's COP and CV, we used this transfer price rather than Baycoat's actual costs in accordance with section 773(f)(2) of the Act. However, in our COP and CV calculations for Stelco, we inadvertently added in Baycoat's interest and G&A because Stelco submitted consolidated financial statements only, which include Baycoat's and Stelco's interest and G&A combined. To avoid such double counting, we must adjust Stelco's COP and CV for G&A expenses already accounted for in our adjustments made to Baycoat coating services.
We agree with Stelco's assertion that we double counted interest and G&A expenses for the second category of coating services. For this category of merchandise, Stelco reported Baycoat's cost. In making our adjustments to Baycoat's cost as reported by Stelco in order to arrive at Baycoat's transfer price, we added in Baycoat's total profit, without adjusting for interest and G&A, which is included in the transfer price. The double counting occurred due to Stelco's consolidation of its affiliates' expenses in its financial statements, as reported to the Department.
With respect to the first category of coating services, we disagree with Stelco's comment that the Department double counted interest and G&A expenses by not subtracting these expenses from our adjustments to Stelco's costs in order to arrive at Baycoat's transfer price. In its section D questionnaire response of November 23, 1998, Stelco stated it reported the higher of Baycoat's actual cost of coating, or Stelco's net acquisition cost, which is
Because we are subtracting Baycoat's G&A from Stelco's consolidated G&A in our COP and CV calculation in the final results, we must include it in our adjustments to Stelco's reported cost. We are correcting our calculations by adding the amount of Baycoat's interest and G&A to our adjustment of the first category coating services to arrive at an adjusted transfer price. We then subtract Baycoat's G&A per net ton for all Control Numbers (CONNUM) which obtained coating services.
Due to a clerical error in the preliminary results of this review, certain sales of CCC were not considered in the preliminary results calculation. For these final results of review, the Department has rectified this error and these sales have been included. For more information, please see the
As a result of our reviews, we determine the dumping margins (in percent) for the period August 1, 1997 through July 31, 1998 to be as follows:
The Department will determine, and the U.S. Customs Service shall assess, antidumping duties on all appropriate entries. In accordance with section 351.212(b), we calculated importer-specific
Furthermore, the following deposit requirements will be effective upon publication of these final results for all shipments of the subject merchandise entered, or withdrawn from warehouse, for consumption on or after the publication date as provided by section 751(a)(1) of the Act: (1) The cash deposit rate for each reviewed company will be the rate stated above (except that no deposit will be required for firms with zero or
This notice also serves as a final reminder to importers of their responsibility under section 351.402(f) of our regulations to file a certificate regarding the reimbursement of antidumping duties prior to liquidation of the relevant entries during this review period. Failure to comply with this requirement could result in the Secretary's presumption that reimbursement of the antidumping duties occurred and the subsequent assessment of double antidumping duties.
This notice also serves as a reminder to parties subject to administrative protective orders (APOs) of their responsibility concerning the disposition of proprietary information disclosed under APO in accordance with section 353.34 (1997). Timely written notification of the return/destruction of APO materials or conversion to judicial protective order is hereby requested. Failure to comply with the regulations and the terms of an APO is a sanctionable violation.
These administrative reviews and this notice are in accordance with section 751(a)(1) of the Act (19 U.S.C. 1675(a)(1)) and sections 351.213 and 351.221(b)(5) of our regulations.
Notice of Advisory Committee meeting.
The Ballistic Missile Defense (BMD) Advisory Committee will meet in closed session at the Consolidated Support Facility, 1901 North Moore Street, Suite 750, Arlington Virginia 22209, on March 2, 2000.
The mission of the BMD Advisory Committee is to advise the Secretary of Defense and Deputy Secretary of Defense, through the Under Secretary of Defense (Acquisition, Technology, and Logistics), on all matters relating to BMD acquisition, system development, and technology.
In accordance with section 10(d) of the Federal Advisory Committee Act, Public Law No. 92-463, as amended by 5 U.S.C., Appendix II, it is hereby determined that this BMD Advisory Committee meeting concerns matters listed in 5 U.S.C., 552b(c)(1), and that accordingly this meeting will be closed to the public.
Department of Defense.
Notice of Meeting.
The Department of Defense (DoD) announces a meeting of the Defense Partnership Council. Notice of this meeting is required under the Federal Advisory Committee Act. This meeting is open to the public. The agenda will include a discussion of the Defense Labor-Management Relations Evaluation Project next steps, a partnership presentation by Fort Jackson, NFFE Local 1214 and AFGE Local 1909, and other related Partnership topics.
The meeting is to be held March 22, 2000, in room 1E801, Conference Room 7, the Pentagon, from 1:00 p.m. until 3:00 p.m. Comments should be received by March 15, 2000, in order to be considered at the March 22 meeting.
We invite interested persons and organizations to submit written comments or recommendations. Mail or deliver your comments or recommendations to Mr. Kenneth Oprisko at the address shown below. Seating is limited and available on a first-come, first-serve basis. Individuals wishing to attend who do not possess an appropriate Pentagon building pass should call the below listed telephone number to obtain instructions for entry into the Pentagon. Handicapped individuals wishing to attend should also call the below listed telephone number to obtain appropriate accommodations.
Mr. Kenneth Oprisko, Chief, Labor Relations Branch, Field Advisory Services Division, Defense Civilian Personnel Management Service, 1400 Key Blvd, Suite B-200, Arlington, Virginia 22209-5144, (703) 696-6301, select menu #3, ext. 704.
Department of Defense, Advisory Group on Electron Devices.
Notice.
Working Group B (Microelectronics) of the DoD Advisory Group on Electron Devices (AGED) announces a change to a closed session meeting.
The meeting will be held at 0900, Thursday, March 16, 2000.
The meeting will be held Palisades Instiute for Research Services, 1745 Jefferson Davis Highway, Suite 500, Arlington, VA 22202.
Elise Rabin, AGED Secretariat, 1745 Jefferson Davis Highway, Crystal Square Four, Suite 500, Arlington, Virginia 22202.
The mission of the Advisory Group is to provide advice to the Under Secretary of Acquisition and Technology, to the Director Defense Research and Engineering (DDR&E), and through the DDR&E, to the Director Defense Advanced Research Projects Agency and the Military Departments in planning and managing an effective research and development program in the field of electron devices.
The Working Group B meeting will be limited to review of research and development programs which the military proposes to initiate with industry, universities or in their laboratories. The microelectronics area includes such programs on semiconductor materials, integrated circuits, charge coupled devices and memories. The review will include classified program details throughout.
In accordance with Section 10(d) of Pub. L. No. 92-463, as amended, (5 U.S.C. App. § 10(d) (1994)), it has been determined that this Advisory Group meeting concerns matters listed in 5 U.S.C. § 552b(c)(1)(1994), and that accordingly, this meeting will be closed to the public.
Department of Defense, Advisory Group on Electron Devices.
Notice.
Working Group A (Microwave Devices) of the DoD Advisory Group on Electron Devices (AGED) announces a closed session meeting.
The meeting will be held at 0900, Tuesday, March 14, 2000.
The meeting will be held at Room 2, 14th fl. Rosslyn Plaza North, 1777 N. Kent Street, Rosslyn, VA 22209.
David Cox, AGED Secretariat, 1745 Jefferson Davis Highway, Crystal Square Four, Suite 500, Arlington, Virginia 22202.
The mission of the Advisory Group is to provide advice to the Under Secretary of Defense for Acquisition and Technology, to the Director of Defense Research and Engineering (DDR&E), and through the DDR&E to the Director, Defense Advanced Research Projects Agency (ARPA) and the Military Departments in planning and managing an effective and economical research and development program in the area of electron devices.
The Working Group A meeting will be limited to review of research and development programs which the Military Departments propose to initiate with industry, universities or in their laboratories. This microwave device area includes programs on developments and research related to microwave tubes, solid state microwave devices, electronic warfare devices, millimeter wave devices, and passive devices. The review will include details of classified defense programs throughout.
In accordance with Section 19(d) of Pub. L. 92-463, as amended, (5 U.S.C. App. 10(d) (1994)), it has been determined that this Advisory Group meeting concerns matters listed in 5 U.S.C. 552b(c)(1) (1994), and that accordingly, this meeting will be closed to the public.
Department of Defense, Advisory Group on Electron Devices.
Notice.
The DoD Advisory Group on Electron Devices (AGED) announces a closed session meeting.
The meeting will be held at 0900, Wednesday, March 15, 2000.
The meeting will be held at Palisades Institute for Research Services, 1745 Jefferson Davis Highway, Suite 500, Arlington, VA 22202.
Mr. Eliot Cohen, AGED Secretariat, 1745 Jefferson Davis Highway, Crystal Square Four, Suite 500, Arlington, Virginia 22202.
The mission of the Advisory Group is to provide advice to the Under Secretary of Defense for Acquisition and Technology, to the Director of Defense Research and Engineering (DDR&E), and through the DDR&E to the Director, Defense Advanced Research Projects Agency and the Military Departments in planning and managing an effective and economical research and development program in the area of electron devices.
The AGED meeting will be limited to review of research and development programs which the Military Departments propose to initiate with industry, universities or in their laboratories. The agenda for this meeting will include programs on Radiation Hardened Devices, Microwave Tubes, Displays and Lasers. The review will include details of classified defense programs throughout.
In accordance with Section 10(d) of Pub. L. No. 92-463, as amended, (5 U.S.C. App. 10(d) (1994)), it has been determined that this Advisory Group meeting concerns matters listed in 5 U.S.C. 552(c)(1) (1994), and that accordingly, this meeting will be closed to the public.
Department of Defense, Advisory Group on Electron Devices.
Notice.
Working Group C (Electro-Optics) of the DoD Advisory Group on Electron Devices (AGED) announces a closed session meeting.
The meeting will be held at 0900, Tuesday, February 29, 2000. This is a change to the meeting originally schedule for February 24, 2000.
This meeting will be held at Palisades Institute for Research Services, 1745 Jefferson Davis Highway, Suite 500, Arlington, VA 22202.
Elise Rabin, AGED Secretariat, 1745 Jefferson Davis Highway, Crystal Square Four, Suite 500, Arlington, Virginia 22202.
The mission of the Advisory Group is to provide advice to the Under Secretary of Defense for Acquisition and Technology, to the director of Defense Research and Engineering (DDR&E), and through the DDR&E to the Director, Defense Advanced Research Projects Agency and the Military Departments in planning and managing an effective and economical research and development program in the area of electron devices.
The Working Group C meeting will be limited to review of research and development programs which the Military Departments propose to initiate with industry, universities or in their laboratories. This opto-electronic device area includes such programs as imaging device, infrared detectors and lasers. The review will include details of classified defense programs throughout.
In accordance with Section 10(d) of Pub. L. No. 92-463, as amended, (5 U.S.C. App. 10(d)(1994)), it has been determined that this Advisory Group meeting concerns matters listed in 5 U.S.C. 552b(c)(1)(1994), and that accordingly, this meeting will be closed to the public.
Notice.
Pursuant to Public Law 92-463, notice is hereby given that a meeting of the Defense Advisory Committee on Military Personnel Testing is scheduled to be held from 8:00 a.m. to 5:00 p.m. on March 30, 2000, and from 8:00 a.m. to 5:00 p.m. on March 31, 2000. The meeting will be held at The Inn at Opryland, 2401 Music Valley Drive, Nashville, Tennessee 37214. The purpose of the meeting is to review planned changes and progress in developing paper-and-pencil and computerized enlistment tests and renorming of the tests. Persons desiring to make oral presentations or submit written statements for consideration at the Committee meeting must contact Dr. Jane M. Arabian, Assistant Director, Accession Policy, Office of the Assistant Secretary of Defense (Force Management Policy), Room 2B271, The Pentagon, Washington, DC 20301-4000, telephone (703) 697-9271, no later than March 6, 2000.
Office of the Secretary, DoD.
Correction.
The Office of the Secretary, DoD, is proposing to change the system identifiers of two previously published Privacy Act systems of records notices. The changes were published, but never incorporated into the notice.
The Department of the Army notice A0340 JDMSS, entitled ‘HQDA Correspondence and Control/Central Files System’ published on February 8, 2000, at 66 FR 6178, will now be known as ‘A0025 JDIM’, same title.
The Defense Logistics Agency notice S200.30 DLA-M, entitled ‘Reserve Affairs’, published on February 1, 2000, at 66 FR 4811, will now be known as ‘S200.30 CAI’, same title.
February 24, 2000.
Ms. Jody Sinkler at (703) 607-2943.
The Office of the Secretary, DoD, is proposing to change the system identifiers of two previously published Privacy Act systems of records notices.
The Department of the Army notice A0340 JDMSS, entitled ‘HQDA Correspondence and Control/Central Files System’ published on February 8, 2000, at 66 FR 6178, will now be known as ‘A0025 JDIM’, same title.
The Defense Logistics Agency notice S200.30 DLA-M, entitled ‘Reserve Affairs’, published on February 1, 2000, at 66 FR 4811, will now be known as ‘S200.30 CAI’, same title.
The specific changes to the records system being amended are set forth above. The proposed amendments are not within the purview of subsection (r) of the Privacy Act of 1974, (5 U.S.C. 552a), as amended, which requires the submission of a new or altered system report.
Defense Logistics Agency, Defense Contract Management Command.
Notice.
In compliance with Section 3506©(2)(A) of the Paperwork Reduction Act of 1995, the Defense Logistics Agency, Defense Contract Management Command, announces the proposed reinstatement of a public information collection and seeks public comment on the provisions thereof. Comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed information collection; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the information collection on respondents, including through the use of automated collection techniques or other forms of information technology.
Consideration will be given to all comments received by April 24, 2000.
Written comments and recommendations on the proposed information collection should be sent to Commander, Defense Contract Management Command, ATTN: Cdr Mark Feallock, DMCM-OI, 8725 John J. Kingman Rd., Fort Belvoir, VA 22060-6221.
To request more information on this proposed information collection or to obtain a copy of the proposal and associated collection instruments, please write to the above address, or call DCMC, Flight Operations Safety and Environment, at (703) 767-2444.
The requirement to have government approval of contract flight crewmembers is in Defense Logistics Agency Manual (DLAM) 8210.1, Contractor's Ground and Flight Operations, Vol 1, Chapter 6. The contractor provides a personal history and requests the government approve training in a particular type government aircraft (Form 2627). The contractor certifies the crewmember has passed a flight evaluation and, with the Form 2628, requests approval for the personnel to operate and fly government aircraft. Without the approvals, the contractor cannot use their personnel as requested.
Defense Logistics Agency, Defense Reutilization and Marketing Service.
Notice.
In compliance with Section 3506(C)(2)(A) of the Paperwork Reduction Act of 1995, the Defense Logistics Agency, Defense Reutilization and Marketing Service, announces the proposed reinstatement of a public information collection and seeks public comment on the provisions thereof. Comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency's estimate of the burden of the proposed information collection; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the information collection on respondents, including through the use of automated collection techniques or other forms of information technology.
Consideration will be given to all comments received by April 24, 2000.
Written comments and recommendations on the proposed information collection should be sent to Commander, Defense Reutilization and Marketing Service, ATTN: Mr. Jim Jasper, 74 Washington Ave. N., Battle Creek, MI 49017-3092.
To request more information on this proposed information collection or to obtain a copy of the proposal and associated collection instruments, please write to the above address, or call DRMS, Office of Quality, at (616) 961-7233.
Respondents are customers who obtain, or visit a store to obtain, surplus or excess property. The customer comment card is a means for customers to rate and comment on aspects of the store's appearance, as an agent for service improvement and determining whether there is a systemic problem.
U.S. Department of Energy.
Extension of Comment Period and Additional Public Hearing.
In response to the public's request, the Department of Energy (DOE) announces the extension of the public comment period for the Idaho High-Level Waste and Facilities Disposition Draft Environmental Impact Statement (EIS) to April 19, 2000, an additional 30 days. This will result in a comment period totaling 90 days. DOE also announces that an additional public hearing has been added in Fort Hall, Idaho. This new hearing has been publicized in the local media.
The public is invited to submit written and oral comments at the public hearings shown below. The hearing in Fort Hall, Idaho will be held at the Fort Hall Tribal Business Center on March 2, 2000, at 6:00 p.m. The location of the Boise, Idaho, meeting has been changed to the Doubletree Riverside, 2900 Chinden Blvd., Boise, Idaho 83714. Meetings will include overview presentations, a question and answer session, and an oral comment session. To schedule a time to submit oral comments during the hearings, please call 1-888-918-5100. Persons wishing to provide oral comments who have not registered in advance may register at the hearings.
Other options for submitting comments on the Draft EIS are as follows:
• Comments may be mailed to: Thomas L. Wichmann, U.S. Department of Energy, Idaho Operations Office, 850 Energy Drive, MS 1108, Idaho Falls, Idaho 83401-1563, Attn: EIS Public Comment.
• Comments may be transmitted by facsimile to: 1-208-526-1184.
• Comments may be submitted over the Internet at:
DOE will consider all comments transmitted or postmarked by April 19, 2000. Comments submitted after this date will be considered to the extent practicable.
Thomas L. Wichmann, U.S. Department of Energy, Idaho Operations Office, at (208) 526-0535; or Ann Dold, State of Idaho Department of Environmental Quality, at (208) 528-2600.
On January 21, 2000, the DOE published a Notice of Availability (65 FR 3432) of its Idaho High-level Waste and Facilities Disposition Draft Environmental Impact Statement and announced a 60-day public comment period ending March 20, 2000. Copies of the Draft EIS have been provided to Federal, state, tribal, and local government agencies and other interested parties. The Draft EIS is available on the Internet via the DOE National Environmental Policy Act website at
References used in the preparation of the Draft EIS are available for review at the EIS Project Office at DOE Idaho, 785 DOE Place, Idaho Falls, Idaho.
DOE is extending the public comment period for the Draft EIS to April 19, 2000, an additional 30 days. This will result in a comment period totaling 90 days. At the Shoshone-Bannock Tribe's request, DOE also is adding a public hearing at Fort Hall, Idaho on March 2, 2000, which has been publicized in the local media.
Bonneville Power Administration (BPA), Department of Energy (DOE).
Notice of Floodplain and Wetlands Involvement.
This notice announces BPA's proposal to site a new 115,000-volt (115-kV) transmission line across a number of wetlands and a floodplain. The line will be constructed in central King County, Washington, to provide Tanner Electric Cooperative (Tanner), one of BPA's full requirements customers, a new point of delivery at Tanner's proposed substation in the City of North Bend. The action is necessary to allow Tanner to meet their existing and future loads in the North Bend area. The effect on the public will be the construction and operation of a new 4.5-mile-long transmission line where no transmission line has existed before. In accordance with DOE regulations for compliance with floodplain and wetlands environmental review
Comments are due to the address below no later than March 10, 2000.
Submit comments to Communications, Bonneville Power Administration—KC-7, P.O. Box 12999, Portland, Oregon, 97212. Internet address: comment@bpa.gov.
Gene Lynard, Environmental Project Lead , KECN-4, Bonneville Power Administration, P.O. Box 3621, Portland, Oregon, 97208-3621, phone number 503-230-3790, fax number 503-230-5699.
Wetlands in the project area are primarily associated with the floodplains of the Snoqualmie River and its tributaries. The proposed transmission line route would cross a number of small wetlands, which support no unique flora or fauna. Most wetlands crossed are narrow and would be spanned where practical. Impacts would be primarily related to the removal of trees, which would threaten transmission line safety from wetlands and associated buffers. The largest wetland area crossed is located about one mile northwest of the City of North Bend along North Bend Way in Section 5, 23N, 8E. This is a large diverse wetland associated with Kimball Creek. The proposed transmission line alignment bisects this Pulustrian scrub/shrub and forested wetland for a distance of about 0.8 kilometers (0.5 miles). The project would be located within the North Bend Way right-of-way (at this location) and no structures would be placed within the wetland; however, the transmission line would be located within the 50-foot buffer of this sensitive area.
Wetlands could be affected if construction activities alter wetland vegetation, soils or hydrology. Construction and clearing activities and any necessary road improvements could also potentially affect sediment transport, damage vegetation and wildlife habitat, and reduce a wetland's ability to provide for flood and sediment control.
Maps and further information are available from BPA at the address above.
The Department of Energy (DOE).
Request for applications for technical analysis efforts in support of the DOE Hydrogen Program.
The DOE Office of Power Technologies is funding a competitive financial assistance program in support of the DOE Hydrogen Program. Applications are requested under a DOE Broad Based Solicitation that is anticipated to result in the award of one or more cooperative agreements in Fiscal Year 2000.
The Office of Power Technologies (OPT) of the DOE Office of Energy Efficiency and Renewable Energy (EERE) is supporting the issuance of a Supplemental Announcement to the EERE Broad Based Solicitation for Submission of Financial Assistance Applications Involving Research, Development and Demonstration, DE-PS36-00GO10482. The Broad Based Solicitation contains information that must be used in conjunction with the Supplemental Announcement when applying for an award. Thus, in order to prepare a complete application, it is mandatory to comply with the requirements of the overall Broad Based Solicitation document, DE-PS36-00GO10482 (found on the Golden Field Office Home Page at http://www.eren.doe.gov/golden/solicitations.html) as well as the requirements of the Supplemental Announcement 02 document.
Under this Supplemental Announcement, DOE is seeking applications for technical analysis that can advance hydrogen production, storage, and utilization technologies. The objectives are to provide analysis in the following areas: (1) Technical analysis of projects now funded by the DOE Hydrogen Program, (2) analysis of novel hydrogen systems not currently being researched in the Program, (3) assistance in disseminating hydogen-related information to the public and industry, and (4) technical analysis on matters affecting hydrogen-related issues being considered by the International Energy Agency.
It is anticipated that projects may be selected for initial 12-month awards with possible continuations for up to two additional years. DOE is proposing to undertake this effort under the Hydrogen Future Act of 1996, Public Law 104-271. Awards, if any, will result from a merit review process applied to the applications.
Applications should be submitted as described in the Supplemental Announcement by March 31, 2000.
U.S. Department of Energy, Golden Field Office, 1617 Cole Boulevard, Golden, CO 80401. The Contract Specialist is Beth H. Peterman, at facsimile (303) 275-4788, or e-mail at beth_peterman@nrel.gov. The Supplemental Announcement can be obtained from the GFO website at
Take notice that on February 16, 2000, Entergy Power Marketing Corporation tendered for filing a complaint against the Southwest Power Pool (SPP) alleging violations of the SPP's Open Access Transmission Tariff.
Any person desiring to be heard or to protest this filing should file a motion to intervene or protest with the Federal Regulatory Commission, 888 First Street, NE, Washington, DC 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). All such motions or protests
Take notice that on February 11, 2000, Koch Gateway Pipeline Company (Koch Gateway), PO Box 1478, Houston, Texas 77251-1478, filed in Docket No. CP00-89-000 a request pursuant to Sections 157.205 and 157.216 of the Commission's Regulations under the Natural Gas Act (18 CFR 157.205, 157.216) for authorization to abandon in place by sale to Koch Midstream Services Company (Midstream), a Texas intrastate pipeline company, various natural gas gathering pipelines and associated compression, taps, laterals, metering stations, and appurtenant facilities, under Koch Gateway's blanket certificate issued in Docket No. CP82-430, pursuant to Section 7 of the Natural Gas Act, all as more fully set forth in the request that is on file with the Commission and open to public inspection. This filing may be viewed on the web at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance).
Koch Gateway states that these gathering facilities are located in the east Texas counties of Rusk and Gregg and are classified and functionalized as natural gas gathering and operate as gathering laterals connecting producing wells in the Henderson and Willow Springs producing areas to Koch Gateway. Koch Gateway states the continued operation and maintenance of the gathering facilities by Koch Gateway is no longer justified as a part of Koch Gateway's interstate pipeline system. Koch Gateway avers that these facilities are no longer part of Koch Gateway's core pipeline assets, and Koch Gateway currently has no plans to expand its natural gas gathering services in the Henderson and Willow Springs areas. Koch Gateway states that upon approval of the requested abandonment, and the closing of the sale of the gathering facilities, the facilities that will be interconnected with the existing intrastate pipeline system of Midstream Koch Gateway states that all of Koch Gateway's customers who have utilized the gathering facilities between and including January 1999 and December 1999 has accepted an equivalent offer from the parties and has consented to the proposed abandonment. The contact person for this filing is Kyle Stephens, Director of Certificates, Koch Gateway Pipeline Company, PO Box 1478, Houston, Texas, 77251-1478, (713) 544-7309.
Any person or the Commission's staff may, within 45 days after issuance of the instant notice by the Commission, file pursuant to Rule 214 of the Commission's Procedural Rules (18 CFR 385.214) a motion to intervene or notice of intervention and pursuant to Section 157.205 of the Regulations under the Natural Gas Act (18 CFR 157.205) a protest to the request. If no protest is filed within the time allowed therefor, the proposed activity shall be deemed to be authorized effective the day after the time allowed for filing a protest. if a protest is filed and not withdrawn within 30 days after the time allowed for filing a protest, the instant request shall be treated as an application for authorization pursuant to Section 7 of the Natural Gas Act.
Take notice that on February 8, 2000, Williams Gas Pipelines Central, Inc. (Williams Central), P.O. Box 3288, Tulsa, Oklahoma, 74101, filed an application pursuant to Section 7(c) of the Natural Gas Act (NGA) for a certificate of public convenience and necessity authorizing the construction of a pipeline expansion project on its Sedalia Line and its Ottawa Crossover facilities. The details of Williams Central's proposal are more fully set forth in the application which is on file with the Commission and open to public inspection. This application may also be viewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call 202-208-2222 for assistance). Any questions regarding this application should be directed to Bart Wherritt, Manager, Certificates & Tariffs at (918) 573-4369, or at Williams Gas Pipelines Central, Inc., P.O. Box 3288, Tulsa, Oklahoma 74101.
Williams Central proposes to construct about 1.5 miles of 24-inch pipeline and related facilities between the Ottawa Crossover and the Ottawa Compressor Station. They also propose to upgrade of two existing compressor units on its Sedalia Line at the Peculiar Compressor Station from 1,350 horsepower each to 2,000 horsepower each, and install new ISO rated 1,590 horsepower turbine set at the Peculiar Compressor Station. Finally, they propose to convert an 800 horsepower compressor unit at Concordia Compressor Station from Natural Gas Policy Act (NGPA) Section 311 authorization to NGA Section 7(c) authorization.
Williams Central says that the additional facilities will allow them to provide incremental firm transportation service to two customers of its East of Ottawa/Sedalia Line system (UtiliCorp United, Inc. (UtiliCorp); and U.S. Energy Services, as agent for Tyson Foods, Inc.). The new service provided will support growing LDC requirements, industrial needs and most significantly, the new Pleasant Hill power plant that will be constructed in Cass County, Missouri. The cost to construct the Ottawa pipeline, upgrade the two existing compressor units, and install the new Solar turbine at the Peculiar station is estimated to be about $9.7 million. The cost associated with the conversion of the 800 horsepower compressor unit at Concordia station is $2.3 million, for a total project cost of $13.0 million.
Williams Central says that beginning on June 1, 2001, they will provide 35,000 Dth/d of firm service year-round to UtiliCorp in both the production and market areas for four years. During the initial four year term, for the 35,000 Dth/d amount, Williams Central and UtiliCorp have agreed that the reservation rate paid by UtiliCorp will not exceed the maximum reservation rate in effect on October 31, 1999. The
Williams Central will also provide 7,000 Dth/d of firm service under NGPA Section 311 to UtiliCorp during the winter months (October through March) with the primary delivery points at various existing town borders on the East of Ottawa/Sedalia Line system. Williams Central will also provide 2,200 Dth/d of incremental firm service to U.S. Energy/Tyson Foods in the production and market area for five years, with the market area primary delivery point located at the Sedalia town border on the Sedalia system.
William Central also requests approval to rolled-in the costs of the proposed new, converted, and upgraded facilities with existing their facilities' costs in their next general rate case. Williams Central says that impact of such rolled-in treatment will be a decrease in their 100% load factor rates for firm transportation across both their Production and Market areas from $0.3065 per Dth currently to $0.2992 per Dth after the proposed roll-in, a decrease of about 2.4%. They say that this meets the Commission's “threshold requirement” that there be no financial subsidies from existing capacity holders on the pipeline, as set forth in the Commission's Statement of Policy on the Certification of New Interstate Natural Gas Pipeline Facilities, issued in Docket No. PL99-3-000.
Any person desiring to be heard or making any protest the reference to said application should on or before March 9, 2000, file with the Federal Energy Regulatory Commission, 888 First Street, NE, Washington, DC 20426, a motion to intervene or a protest in accordance with the requirements of the Commissions' Rules of Practice and Procedure (18 CFR 385.214 or 385.211) and the Regulations under the Natural Gas Act (18 CFR 157.10). All protests filed with the Commission will be considered by it in determining the appropriate action to taken but will not serve to make the protestants parties to the proceeding. The Commission's rules require that protestors provide copies of their protests to the party or person to whom the protests are directed. Any person wishing to become a party to a proceeding or to participate as a party in any hearing therein must file a motion to intervene in accordance with the Commission's Rules.
A person obtaining intervenor status will be placed on the service list maintained by the Secretary of the Commission and will receive copies of all documents issued by the Commission, filed by the applicant, of filed by all other intervenors. An intervenor can file for rehearing of any Commission order and can petition for court review of any such order. However, an intervenor must serve copies of comments or any other filing it makes with the Commission to every other intervenor in the proceeding, as well as filing an original and 14 copies with the Commission.
A person does not have to intervene, however, in order to have comments considered. A person, instead, may submit two copies of such comments to the Secretary of the Commission. Commenters will be placed on the Commission's environmental mailing list, will receive copies of environmental documents, and will be able to participate in meetings associated with the Commission's environmental review process. Commenters will not be required to serve copies of filed documents on all other parties. However, commenters will not receive copies of all documents filed by other parties or issued by the Commission, and will not have the right to seek rehearing or appeal the Commission's final order to a Federal court. The Commission will consider all comments and concerns equally, whether filed by commenters or those requesting intervenor status.
Take further notice that, pursuant to the authority contained in the subject to the jurisdiction conferred upon the Federal Energy Regulatory Commission by Sections 7 and 15 of the NGA and the Commission's Rules of Practice and Procedure, a hearing will be held without further notice before the Commission or its designee on these applications if no motion to intervene is filed within the time required herein, if the Commission on its own review of the matter finds that a grant of the certificate is required by the public convenience and necessity. If a motion for leave to intervene is timely filed, or if the Commission on its own motion believes that a formal hearing is required, further notice of such hearing will be duly given. Under the procedure herein provided for, unless otherwise advised, it will be unnecessary for Williams Central to appear or be represented at the hearing.
Take notice that the following filings have been made with the Commission:
Take notice that on February 16, 2000, pursuant to Section 203 of the Federal Power Act (FPA), 16 U.S.C. § 824b (1998) and Part 33 of the Regulations of the Federal Energy Regulatory Commission (Commission), 18 CFR 33
BRLP also has requested that the Commission find that it will no longer be deemed to be a “public utility” as such term is defined under Section 201 of the FPA upon consummation of the sale and lease transactions. BRLP has requested a shortened notice period and expedited consideration of the application.
Take notice that on February 11, 2000, Baltimore Gas and Electric Company, Calvert Cliffs, Inc., Constellation Generation, Inc., and Constellation Power Source, Inc. (collectively Joint Applicants) submitted for filing,
Take notice that on February 10, 2000, Kansas City Power & Light Company (KCP&L) informed the Commission that it was rescinding a previously imposed prohibition on sales to Western Resources, Inc. under its filed market based tariff. KCP&L states that it has terminated its merger agreement with Western Resources and thus will no longer treat Western Resources as an affiliate under its market-based tariff.
Take notice that on February 11, 2000, the above-mentioned power marketers filed quarterly reports with the Commission in the above-mentioned proceedings for information only.
Take notice that on February 11, 2000, the New York Independent System Operator, Inc. (NYISO) made a compliance filing with respect to whether Hydro-Quebec's (HQ) DC intertie may permit HQ to provide voltage support in the New York Control Area.
Copies of this filing were served on the Commission's Service List in Docket No. ER97-1523-000
Take notice that on February 11, 2000, the New York Independent System Operator, Inc. filed in response to a portion of the Commission's Order issued January 14, 2000, 90 FERC ¶ 61,045 (2000) (January 14 order).
Take notice that on February 11, 2000, the Members of the Transmission Owners Committee of New York State, formerly known as the Member Systems of the New York Power Pool (Member Systems), tendered for filing certain revised tariff sheets to their ISO Open Access Transmission Tariff and ISO Services Tariff. The Member Systems state that these tariff sheets are in compliance with the Commission's January 14, 2000 order in this proceeding.
A copy of this filing was served upon all persons on the Commission's official service lists in the captioned proceeding, and the respective electric utility regulatory agencies in New York, New Jersey and Pennsylvania.
Take notice that on January 31, 2000, Pepco Services filed their quarterly report for the quarter ending December 31, 1999, for information only.
Take notice that on February 10, 2000, the above-mentioned power marketers filed quarterly reports with the Commission in the above-mentioned proceedings for information only.
Take notice that on February 10, 2000, Sierra Pacific Energy Company (SPEC) tendered for filing a revision to its FERC Electric Rate Schedule No. 1 specifying the ancillary services it may sell at market-based rates within the California ISO control area. This filing is a requirement imposed by the Commission in its order approving SPEC's request for market rate authority.
Take notice that on February 11, 2000, the Members of the Transmission Owners Committee of New York State, formerly known as the Member Systems of the New York Power Pool (Member Systems), and the New York Independent System Operator, Inc. (NYISO) tendered for filing certain revised tariff sheets to the ISO Open Access Transmission Tariff. The Member Systems and the NYISO state that these tariff sheets are in compliance with the Commission's January 12, 2000 order in this proceeding.
The Member Systems and the NYISO request that the above-referenced tariff sheets become effective on November 18, 1999.
A copy of this filing was served upon all persons on the Commission's official service list in the captioned proceeding, and the respective electric utility regulatory agencies in New York, New Jersey and Pennsylvania.
Take notice that on February 8, 2000, PJM Interconnection, L.L.C. supplemented its filing in this docket to more clearly set forth the method by which Interconnection Customers that have cost responsibility for the construction of transmission facilities or upgrades necessary to accommodate their Interconnection Requests will be allocated Incremental Fixed Transmission Rights.
PJM requests an effective date of April 9, 2000.
Copies of this filing were served upon all PJM Members, the electric regulatory commissions in the PJM control area, and all parties to this proceeding.
Take notice that on February 11, 2000, Bangor Hydro-Electric Company (Bangor Hydro), tendered for filing an amendment to its December 30, 1999 filing of long-term service agreement with Morgan Stanley Capital Group, Inc., entered into pursuant to Bangor Hydro's market-based rate authority.
Bangor Hydro requests an effective date of March 1, 2000 for the agreement.
Take notice that on February 8, 2000, Dynegy Power Marketing, Inc., tendered for filing proposed changes in its FERC Electric Service Tariff No. 1.
The filing amends certain language contained in the revised market-based rate schedule dated January 14, 2000.
Copies of the filing were served upon all persons designated on the official service list compiled by the Secretary in this proceeding.
Take notice that on February 8, 2000, Mississippi Power Company (MPC), filed proposed changes to Rates Schedule MRA-18 of FERC Electric Tariff, First Revised Volume No. 1 (Tariff) of Mississippi Power Company. The proposed changes will provide a rate decrease to all customers under the Tariff. In addition, the filing proposes to revise the provisions of the Tariff for terminating service at any given delivery point and provides for a moratorium on unilateral changes in rates under the Tariff until January 1, 2002.
MPC has requested an effective date of January 1, 2000. The filing also contains corresponding Settlement Agreement and Statement of Consents for each of the customers served under the Tariff.
The rate decrease is being filed as a result of agreements reached between each of the customers under the Tariff and MPC, which agreements are set forth in the separate Settlement Agreement and Statement of Consents between each customer and MPC.
Copies of the filing were provided to each of the customers under the Tariff, to the Mississippi Public Service Commission, and to the Mississippi Public Utilities Staff.
Take notice that on February 10, 2000 the above-mentioned affiliated power producers and/or public utilities filed their quarterly reports for the quarter ending December 31, 1999.
Take notice that on February 11, 2000, Baltimore Gas and Electric Company (BGE), Calvert Cliffs, Inc. (CCI), Constellation Enterprises, Inc. and Constellation Generation, Inc. (Constellation Generation) (collectively, the Applicants) submitted for filing, pursuant to Section 203 of the Federal Power Act, and Part 33 of the Commission's regulations, an Application for authorization to transfer certain jurisdictional transmission facilities as part of the transfer of BGE's generating plants to its affiliates, Constellation Generation and CCI.
Take notice that on February 11, 2000, the New England Power Pool (NEPOOL) Participants Committee submitted two revised Market Rules and Procedures (the Market Rules), the proposed deletion of two other Market Rules and revisions and deletions of several relevant appendices to the Market Rules, which collectively remove from the Market Rules all mention of the Operable Capability Market in accordance with NEPOOL's proposed elimination of that Market as set forth in the Fiftieth Agreement Amending Restated NEPOOL Agreement filed with the Commission on December 30, 1999 in Docket No. ER00-985-000.
The NEPOOL Participants Committee states that copies of these materials were sent to all participants in the New England Power Pool, the New England state governors and regulatory commissions.
19. Montaup Electric Company
Take notice that on February 8, 2000, Montaup Electric Company (Montaup), tendered for filing a fully executed Service Agreement for Non-Firm Point-To-Point Transmission Service (Service Agreement) between Montaup and H.Q. Energy Services (US), Inc. (HQ).
Montaup requests a waiver of the 60 day notice requirement and requests an effective date of February 8, 2000, the day on which it is being filed.
20. California Independent System Operator Corporation
Take notice that the California Independent System Operator Corporation, on February 8, 2000, tendered for filing a Participating Generator Agreement between the ISO and Fresno Cogeneration Partners, LP for acceptance by the Commission.
The ISO states that this filing has been served on Fresno Cogeneration Partners, LP and the California Public Utilities Commission.
The ISO is requesting waiver of the 60-day notice requirement to allow the Participating Generator Agreement to be made effective February 8, 2000.
Take notice that on February 8, 2000, PECO Energy Company (PECO), tendered for filing under Section 205 of the Federal Power Act, 16 U.S.C. S 792 et seq., an Agreement dated January 12, 2000 with H.Q. Energy Services (U.S.) Inc. (HQUS) under PECO's FERC Electric Tariff Original Volume No. 1 (“Tariff”).
PECO requests an effective date of January 12, 2000, for the Agreement.
PECO states that copies of this filing have been supplied to H.Q. Energy Services (U.S.) Inc. and to the Pennsylvania Public Utility Commission.
Take notice that the California Independent System Operator Corporation, on February 8, 2000, tendered for filing a Meter Service Agreement for ISO Metered Entities between the ISO and Fresno Cogeneration Partners, LP for acceptance by the Commission.
The ISO states that this filing has been served on Fresno Cogeneration Partners, LP and the California Public Utilities Commission.
The ISO is requesting waiver of the 60-day notice requirement to allow the Meter Service Agreement for ISO Metered Entities to be made effective January 18, 2000.
Take notice that on February 8, 2000, Public Service Company of Oklahoma (PSO) tendered for filing Amendment No. 1 to the Contract for Electric Service (Contract) between PSO and Collinsville Municipal Authority, Collinsville, Oklahoma (Collinsville). Amendment No.1 provides for a new point of delivery.
PSO requests an effective date of January 30, 2000 and, accordingly, seeks waiver of the Commission's notice requirements. Copies of the filing have been served on Collinsville and the Oklahoma Corporation Commission.
On February 8, 2000, Cinergy Services, Inc. (Cinergy), on behalf of its affiliated Operating Companies, The Cincinnati Gas & Electric Company (CG&E) and PSI Energy, Inc. (PSI) (collectively the Cinergy Operating Companies), tendered for filing a Reservation Letter between Cinergy and the City of Piqua, Ohio (Piqua), which specifies the understanding between the Cinergy Operating Companies and Piqua concerning the manner in which service previously contracted and reserved under CG&E's Rate Schedule FERC No. 48 and PSI's Rate Schedule FERC No. 31 will be provided by the Cinergy Operating Companies for the remaining years of service for those transactions.
Cinergy requests an effective date of February 9, 2000, one day after filing, for its Reservation Letter.
Cinergy states that it has served a copy of its filing upon the City of Piqua, Ohio.
Take notice that on February 8, 2000, Arizona Public Service Company, tendered for filing Cancellation of Off Season Power Sale Agreement between Arizona Public Service Company (APS or Company) and the City of Vernon (Vernon) (APS-FERC Rate Schedule No. 228), effective date June 29, 1996 by order dated May 30, 1996.
Effective date is at midnight April 30, 2000.
Comment date: February 29, 2000, in accordance with Standard Paragraph E at the end of this notice.
Take notice that on February 8, 2000, Public Service Company of Oklahoma (PSO) submitted for filing Amendment No. 1 to the Contract for Electric Service (Contract) between PSO and Collinsville Municipal Authority, Collinsville, Oklahoma (Collinsville). Amendment No. 1 provides for a new point of delivery.
PSO requests an effective date of January 30, 2000 and, accordingly, seeks waiver of the Commission's notice requirements.
Copies of the filing have been served on Collinsville and the Oklahoma Corporation Commission.
Take notice that on February 11, 2000, PJM Interconnection, L.L.C. (PJM), tendered for filing 8 executed service agreements for network integration transmission service under state required retail access programs and for point-to-point transmission service under the PJM Open Access Transmission Tariff.
Copies of this filing were served upon the parties to the service agreements.
Take notice that on February 11, 2000, Southern Company Services, Inc. (SCS), acting on behalf of Alabama Power Company (APC), filed an Interconnection Agreement (IA) by and between APC and Tenaska Alabama Partners, L.P. (Tenaska Alabama). The IA will interconnect Tenaska Alabama's generating facility to be located near Billingsley, Alabama in Autauga County to APC's electric system.
An effective date of February 14, 2000 has been requested.
E. Any person desiring to be heard or to protest such filing should file a motion to intervene or protest with the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, D.C. 20426, in accordance with Rules 211 and 214 of the Commission's Rules of Practice and Procedure (18 CFR 385.211 and 385.214). All such motions or protests should be filed on or before the comment date. Protests will be considered by the Commission in determining the appropriate action to be taken, but will not serve to make protestants parties to the proceeding. Any person wishing to become a party must file a motion to intervene. Copies of these filings are on file with the Commission and are available for public inspection. This filing may also be viewed on the Internet at http://www.ferc.fed.us/ online/rims.htm (call 202-208-2222 for assistance).
Take notice that the following application has been filed with the Commission and is available for public inspection.
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
Please include the project name and number (Station 2 Project, No. 2482-016) on any comments or motions filed.
k.
Further, license Article 402 requires the licensee to release from the Station 2 dam into the project's bypass reach: (1) a continuous flow of at least 300 cubic feet per second (cfs) between 11:00 a.m. and 11 p.m. daily; and (2) a continuous flow of at least 25 cfs between 11:00 p.m. and 11:00 a.m. daily, or inflow, whichever is less. The 300 cfs releases provide a veil flow over the 90-foot-high Upper Falls, an important local aesthetic resource located immediately downstream of the project dam.
The subject filing indicates that the license-mandated reservoir elevation range has made it difficult to generate hydropower efficiently while at the same time providing the required veil flow. These operating difficulties have resulted in significant excess spillage and, consequently, generation loss of 1 to 2 megawatts per hour for 40 percent of the year. For example, with river flows between 1,500 cfs and 3,000 cfs, and the maximum allowable reservoir elevation set at 482.9 feet msl, the licensee can only provide the required 300 cfs veil flow by opening the dam gates, which results in generation loss.
To remedy this situation, the licensee proposes to provide the required veil flow by usually maintaining a minimum reservoir elevation of 483.3 feet msl, which would result in the spillage of 300 cfs over the dam gates. Infrequently, the licensee would provide the veil flow by raising one or more gates. When this method is used, the elevation of the impoundment would be maintained at not less than 482.3 feet msl. Lastly, between 11:00 p.m. and 11:00 a.m., when bypass flow may consist only of dam leakage of 25 cfs, the licensee would maintain the reservoir elevation at not less than 482.3 feet msl. Thus, under the proposed operating regime, the reservoir elevation could fluctuate by one foot per day, from 482.3 to 483.3 feet msl.
l.
m. Individuals desiring to be included on the Commission's mailing list for the proposed amendment of license should so indicate by writing to the Secretary of the Commission.
Take notice that the following notice of intent has been filed with the Commission and is available for public inspection:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l. The project consists of three concrete diversion dams, a water conveyance system with approximately 9.25 miles of waterways, and three powerhouses with a total installed capacity of 20.76 megawatts.
m. The licensee states its unequivocal intent to file an application for a new license for this project. Pursuant to 18 CFR 16.9(b)(1), all applications for a new license must be filed with the Commission at least 24 months prior to the expiration of the existing license. All applications for license for this project must be filed by June 20, 2003.
n. A copy of the notice of intent is available for inspection and reproduction at the Commission's Public Reference Room, located at 888 First Street, NE, Room 2A, Washington, DC 20426, or by calling (202) 208-1371. The notice may be viewed on http://www.ferc.fed.us/online/rims.htm (call (202) 208-2222 for assistance). A copy is also available for inspection and reproduction at the address in item h above.
The Federal Communications Commission, as part of its continuing effort to reduce paperwork burden invites the general public and other Federal agencies to take this opportunity to comment on the following information collection, as required by the Paperwork Reduction Act of 1995, Public Law 104-13. An agency may not conduct or sponsor a collection of information unless it displays a currently valid control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the Paperwork Reduction Act (PRA) that does not display a valid control number. Comments are requested concerning (a) whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission's burden estimate; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on the respondents, including the use of automated collection techniques or other forms of information technology.
Written comments should be submitted on or before April 24, 2000. If you anticipate that you will be submitting comments, but find it difficult to do so within the period of time allowed by this notice, you should advise the contact listed below as soon as possible.
Direct all comments to Les Smith, Federal Communications Commissions, 445 12th Street, S.W., Room 1-A804, Washington, DC 20554 or via the Internet to lesmith@fcc.gov.
For additional information or copies of the information collections contact Les Smith at (202) 418-0217 or via the Internet at lesmith@fcc.gov.
The Federal Communications Commission, as part of its continuing effort to reduce paperwork burden invites the general public and other Federal agencies to take this opportunity to comment on the following information collection(s), as required by the Paperwork Reduction Act of 1995, Public Law 104-13. An agency may not conduct or sponsor a collection of information unless it displays a currently valid control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the Paperwork Reduction Act (PRA) that does not display a valid control number. Comments are requested concerning (a) whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission's burden estimate; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on the respondents, including the use of automated collection techniques or other forms of information technology.
Written comments should be submitted on or before March 27, 2000. If you anticipate that you will be submitting comments, but find it difficult to do so within the period of time allowed by this notice, you should advise the contacts listed below as soon as possible.
Direct all comments to Virginia Huth, Office of Management and Budget, Room 10236 NEOB, Washington, DC 20503, (202) 395-6929 or via internet at vhuth@omb.eop.gov, and Judy Boley, Federal Communications Commission, Room 1-C804, 445 12th Street, SW, Washington, DC 20554 or via internet to jboley@fcc.gov.
For additional information or copies of the information collections contact Judy Boley at 202-418-0214 or via internet at jboley@fcc.gov.
The secondary market study is a sub-study or the second part of a two-part study regarding broadcast and wireless license acquisition, which is part of a comprehensive examination commenced by the FCC to identify and evaluate market entry barriers and other impediments to participation and attainment of broadcast and wireless licenses by small, women and minority-owned businesses.
Data collected in the survey may provide the foundation for FCC policies to promote competition and opportunities for small, minority and women-owned businesses. This information may be used by the FCC in considering future auction rules, broadcast license rules, the biennial review of broadcast rules, the allocation of low power radio licenses, and whether the FCC should implement a tax certificate and/or distress sales program.
Federal Communications Commission.
Notice.
In this document the Wireless Telecommunications Bureau (Bureau) seeks comment on Qualcomm Inc.'s Petition for Declaratory Ruling. The filing deadline is extended to provide interested parties with an adequate opportunity to prepare and file meaningful comments in this proceeding.
Comments are due February 18, 2000 and reply comments are due February 25, 2000.
Comments should be filed with the Office of the Secretary, Federal Communications Commission, Room TW-B204, 445 12th Street, SW, Washington, DC, 20554. Comments also should be provided to Nicole Oden, Auctions and Industry Analysis Division, Room 4-B551, Wireless Telecommunications Bureau, Federal Communications Commission, 445 12th Street, SW, Washington, DC, 20554. All comments should reference DA 00-219.
Nicole Oden of the Auctions and Industry Analysis Division at (202) 418-0660.
This is a summary of two Public Notices, DA 00-219 released February 4, 2000, and DA 00-273 released February 11, 2000. The complete text of the public notices, including all attachments, is available for inspection and copying during normal business hours in the FCC Reference Center (Room CY-A257), 445 12th Street, SW, Washington, DC. It may also be purchased from the Commission's copy contractor, International Transcription Services, Inc. (ITS, Inc.) 1231 20th Street, NW, Washington, DC 20036, (202) 857-3800. It is also available on the Commission's website at http://www.fcc.gov.
1. QUALCOMM Incorporated (“QUALCOMM”) has filed a Petition for
2. QUALCOMM contends that the 700 MHz band D Block license is the only immediately available license that will satisfy the mandate of the Court of Appeals for the District of Columbia Circuit. (
3. In a
4. Both Bell Atlantic Mobile, Inc. (“BAM”) and U S WEST Wireless LLC (“U S WEST”) requested an extension of the deadline for filing comments to QUALCOMM's Petition for Declaratory Ruling. These parties contend that an extension of the deadline is warranted because of the important issues raised and the nature of the analysis required for parties to adequately respond.
5. It is the policy of the Commission that extensions of time shall not be routinely granted. (
6. Accordingly, we extend the filing deadline for comments to the petition filed by QUALCOMM. Comments addressing any issues raised by QUALCOMM must be filed by February 18, 2000, and reply comments are due by February 25, 2000. Adoption of these deadlines should provide interested parties with an adequate opportunity to prepare and file meaningful comments in this proceeding.
7. In all other respects, the terms and filing instructions set forth in the
8. QUALCOMM's petition is available for public inspection and copying in the Reference Center, Room CY A257, 445 12th St., SW, Washington, DC 20554. Copies of the petition are also available from ITS at 1231 20th St., NW, Washington, DC 20036, or by calling (202) 857-3800.
The following item has been deleted from the list of agenda items scheduled for consideration at the February 17, 2000, Open Meeting and previously listed in the Commission's Notice of February 10, 2000.
3.
Wireless telecommunications.
Pursuant to the provisions of the “Government in the Sunshine Act” (5 U.S.C. 552b), notice is hereby given that at 9:00 a.m. on Thursday, February 24, 2000, the Federal Deposit Insurance Corporation's Board of Directors will meet in closed session, pursuant to sections 552b(c)(2), (c)(6), (c)(8), (c)(9)(A)(ii), and (c)(9)(B) of title 5, United States Code, to consider matters relating to the Corporation's resolution, supervisory, and corporate activities.
The meeting will be held in the Board Room on the sixth floor of the FDIC Building located at 550—17th Street, N.W., Washington, D.C.
Requests for further information concerning the meeting may be directed to Mr. Robert E. Feldman, Executive Secretary of the Corporation, at (202) 898-6757.
Federal Election Commission.
Previously announced date & time: Thursday, February 17, 2000, 10 a.m., meeting open to the public.
The following item was added to the agenda: February Status Report to Congress on PricewaterhouseCoopers Recommendations.
Tuesday, February 29, 2000 at 10 a.m.
999 E Street, N.W., Washington, D.C.
This meeting will be closed to the public.
Compliance matters pursuant to 2 U.S.C. 437g.
Audits conducted pursuant to 2 U.S.C. 437g, 438(b), and Title 26, U.S.C.
Matters concerning participation in civil actions or proceedings or arbitration.
Internal personnel rules and procedures or matters affecting a particular employee.
Wednesday, March 1, 2000 at 10 a.m.
999 E Street, N.W., Washington, D.C. (Ninth Floor).
This hearing will be open to the public.
Oral Hearing: Buchanan for President, Inc.
Thursday, March 2, 2000 at 10 a.m.
999 E Street, N.W., Washington, D.C. (Ninth Floor)
This meeting will be open to the public.
Correction and Approval of Minutes.
Advisory Opinion 1999-40: National Rual Electric Cooperative Association by counsel, Jan Witold Baran.
Advisory Opinion 2000-01: Angel Taveras, Congressional candidate.
Advisory Opinion 2000-03: American Society of Anesthesiologists by counsel, Michael Scott.
Administrative Matters.
Mr. Ron Harris, Press Officer, Telephone: (202) 694-1220.
The Commission hereby gives notice of the filing of the following agreement(s) under the Shipping Act of 1984. Interested parties can review or obtain copies of agreements at the Washington, DC offices of the Commission, 800 North Capitol Street, N.W., Room 962. Interested parties may submit comments on an agreement to the Secretary, Federal Maritime Commission, Washington, DC 20573, within 10 days of the date this notice appears in the
By Order of the Federal Maritime Commission.
Notice is hereby given that the following applicants have filed with the Federal Maritime Commission applications for licenses as Non-Vessel Operating Common Carrier and Ocean Freight Forwarder—Ocean Transportation Intermediaries pursuant to section 19 of the Shipping Act of 1984 as amended (46 U.S.C. app. 1718 and 46 CFR part 515).
Persons knowing of any reason why any of the following applicants should not receive a license are requested to contact the Office of Freight Forwarders, Federal Maritime Commission, Washington, D.C. 20573.
Non-Vessel-Operating Common Carrier and Ocean Freight Forwarder Transportation Intermediary Applicants:
Ocean Freight Forwarders—Ocean Transportation Intermediary Applicants:
The companies listed in this notice have applied to the Board for approval, pursuant to the Bank Holding Company Act of 1956 (12 U.S.C. 1841
The applications listed below, as well as other related filings required by the Board, are available for immediate inspection at the Federal Reserve Bank indicated. The application also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing on the standards enumerated in the BHC Act (12 U.S.C. 1842(c)). If the proposal also involves the acquisition of a nonbanking company, the review also includes whether the acquisition of the nonbanking company complies with the standards in section 4 of the BHC Act (12 U.S.C. 1843). Unless otherwise noted, nonbanking activities will be conducted throughout the United States. Additional information on all bank holding companies may be obtained from the National Information Center website at www.ffiec.gov/nic/.
Unless otherwise noted, comments regarding each of these applications must be received at the Reserve Bank indicated or the offices of the Board of Governors not later than March 17, 2000.
11:00 a.m., Monday, February 28, 2000.
Marriner S. Eccles Federal Reserve Board Building, 20th and C Streets, N.W., Washington, D.C. 20551
Closed.
1. Personnel actions (appointments, promotions, assignments, reassignments, and salary actions) involving individual Federal Reserve System employees.
2. Any items carried forward from a previously announced meeting.
Lynn S. Fox, Assistant to the Board; 202-452-3204.
You may call 202-452-3206 beginning at approximately 5 p.m. two business days before the meeting for a recorded announcement of bank and bank holding company applications scheduled for the meeting; or you may contact the Board's Web site at http://www.federalreserve.gov for an electronic announcement that not only lists applications, but also indicates procedural and other information about the meeting.
The Department of Health and Human Services, Office of the Secretary will periodically publish summaries of proposed information collections projects and solicit public comments in compliance with the requirements of Section 3506(c)(2)(A) of the Paperwork Reduction Act of 1995. To request more information on the project or to obtain a copy of the information collection plans and instruments, call the OS Report Clearance Officer on (202) 690-6207.
Comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) The accuracy of the agency's estimate of the burden of the proposed collection of information; (c) Ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology.
Send comments to Cynthia Agens Bauer, OS Reports Clearance Officer, Room 503H, Humphrey Building, 200
The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639-7090. Send written comments to CDC, Desk Officer; Human Resources and Housing Branch, New Executive Office Building, Room 10235; Washington, DC 20503. Written comments should be received within 30 days of this notice.
Exposure to Volatile Organic Compounds and Childhood Leukemia Incidence at MCB Camp Lejeune, North Carolina—Extension—Agency for Toxic Substances and Disease Registry (ATSDR). There is limited evidence that in utero exposure to volatile organic compounds (VOCs) such as trichloroethylene and tetrachloroethylene (PCE) in drinking water may be strongly associated with childhood leukemia (CL). In 1982, VOC contamination was identified in certain groundwater supply wells which supplied drinking water to housing units at U.S. Marine Corps Base Camp Lejeune in Jacksonville, North Carolina. In a previous health study of approximately 6,000 infants exposed in utero to this contaminated water and 6,000 unexposed births, it was shown that gestational PCE exposure was related to lower birth weights for certain subgroups. The purpose of the proposed nested case-control study is to investigate the potential relationship between exposure to VOCs in drinking water and incidence of CL at Camp Lejeune. A secondary objective of the proposed study is to investigate the potential relationship between VOCs in drinking water and birth defects in this population.
During this phase of the proposed study, an attempt will be made to locate as many of the children born to base residents between 1968 and 1985 as well as offspring from pregnancies that occurred during this time period but were not delivered at Camp Lejeune. A brief screening questionnaire will be interviewer-administered to identify potential cancer and birth defect cases. Some of the data to be collected by the questionnaire includes: confirmation of the name(s) of children and date(s) of birth; dates and location of residence on base during the pregnancy and/or at the time of delivery; current vital status of each child; the determination of diagnosis with cancer or birth defects before age 20. As a result of delays in obtaining data necessary to trace potential respondents, a renewal for this project has been requested.
It is necessary to identify each respondent in order to assess place of residence at Camp Lejeune as a measure of possible VOC exposure as well as to determine possible case status,
With help from the U. S. Navy and U. S. Marine Corps sources, we will obtain current address information and attempt to contact respondents directly. For respondents with unknown current addresses, tracing efforts will include advertising in the general media as well as in publications directed toward Marine Corps and Navy personnel. Once the respondent is located, the questionnaire will be administered by trained interviewers over the telephone.
Respondents will be one of the following: (1) A parent who gave birth or was pregnant while residing at MCB Camp Lejeune between 1968 and 1985; (2) a parent who was pregnant while residing at MCB Camp Lejeune between 1968 and 1985 but gave birth elsewhere; or (3) an offspring of said parents. The number of births that occurred at MCB Camp Lejeune during this period is approximately 12,000. It has been estimated that approximately one-third of women who seek prenatal care while residing at Camp Lejeune are relocated before delivery. Therefore, attempts will be made to contact and interview up to an additional 4,000 respondents. Of the 16,000 total possible respondents, a conservative estimate of the number that will be located and subsequently interviewed is 13,000 (about 80%).
The hourly burden has been modified since the first submittal. This was a result of pretesting of the data collection instrument. It was found that the average completion time per survey was closer to 15 minutes as opposed to the original estimate of 9 minutes. The total annual burden hours are 1,083.
The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639-7090. Send written comments to CDC, Desk Officer; Human Resources and Housing Branch, New Executive Office Building, Room 10235; Washington, DC 20503. Written
Follow-Up Study of Children With Developmental Disabilities (0920-0436)—Revision—National Center for Environmental Health (NCEH). In the mid-1980s, a number of 10-year-old children were identified as having one or more of five developmental disabilities: mental retardation, cerebral palsy, epilepsy, hearing impairment, or vision impairment. These children were identified (mainly from special education records in the public schools) in the metro-Atlanta area as part of a study to develop surveillance methods for these conditions in school-age children. A follow-up study was initiated to trace, locate and interview these children, who are now in their early twenties, to assess their status with regard to educational attainment, employment, living arrangements, services received, functional limitations, adaptive behavior, social participation, health, and quality of life.
This study proposes to continue with the one-time, in-person interview and includes a contemporaneous comparison group of persons who, at age 10 years, were in regular education classes in the same schools as were the persons with developmental disabilities. The data generated from this study will continue to be used to estimate the burden of secondary health conditions, limited social participation, and economic disadvantage among young adults with long-standing, developmental impairments. This request is for a one-year renewal of the currently-approved study. The total annual burden hours are 1,093.
The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639-7090. Send written comments to CDC, Desk Officer; Human Resources and Housing Branch, New Executive Office Building, Room 10235; Washington, DC 20503. Written comments should be received within 30 days of this notice.
Studies of Adverse Reproductive Outcomes in Female Occupational Groups (0920-0367)—EXTENSION—National Institute for Occupational Safety and Health (NIOSH). An estimated 50,000 to 60,000 chemicals are in common use throughout society today and hundreds of new chemicals are introduced each year. Yet the list of environmental chemicals and agents that have been investigated to determine whether they have adverse effects on reproductive health is still limited. With the growing number of women in the work force, it is becoming increasingly important to evaluate the potential female reproductive health effects of occupational and physical agents.
This study will examine reproductive disorders among female flight attendants. Approximately 66,000 flight attendants are currently employed by U.S. commercial airlines and are potentially exposed to ionizing radiation and disruption of circadian rhythms, two exposures that may adversely affect reproductive function. Teachers will be enrolled as an external comparison group for this study.
Data from company personnel records containing demographic and work history information will be used to estimate workplace exposures. Each woman will be asked to complete a telephone questionnaire on reproductive history and other factors (such as cigarette smoking) that may influence reproductive function. Each questionnaire will take approximately 60 minutes to complete. Medical records will be requested to confirm adverse reproductive outcomes reported by the participants. The risk of adverse reproductive outcomes between the two groups of women will then be compared. The total annual burden hours are 6200.
The Centers for Disease Control and Prevention (CDC) publishes a list of information collection requests under review by the Office of Management and Budget (OMB) in compliance with the Paperwork Reduction Act (44 U.S.C. Chapter 35). To request a copy of these requests, call the CDC Reports Clearance Officer at (404) 639-7090. Send written comments to CDC, Desk Officer; Human Resources and Housing Branch, New Executive Office Building, Room 10235; Washington, DC 20503. Written comments should be received within 30 days of this notice.
National Program of Cancer Registries—Cancer Surveillance System—NEW—National Center for Chronic Disease Prevention and Health Promotion (NCCDPHP). The American Cancer Society estimates that 8.2 million Americans have a history of cancer and that in 1999, about 1.2 million new cases will be diagnosed. At the national level, cancer incidence data are available for only 14% of the population of the United States. While this is appropriate for analyses of major cancers in large population subgroups, it is not always adequate for minority populations and rare cancer analyses. Further, to plan and evaluate state and national cancer control and prevention efforts, national data are needed. Therefore, the Centers for Disease Control and Prevention, National Center for Chronic Disease Prevention and Control, Division of Cancer Prevention and Control, proposes to aggregate existing cancer incidence data from states funded by the National Program of Cancer Registries into a national surveillance system.
These data are already collected and aggregated at the state level. Thus the additional burden on the states would be small. Program implementation would require funded states to report data to the Centers for Disease Control on an annual basis twelve months after the close of a diagnosis year and again at twenty-four months to obtain more complete incidence data and vital status from mortality data. The total annual burden hours are 126.
The Centers for Disease Control and Prevention (CDC) announces the following meeting:
Agenda items are subject to change as priorities dictate.
The Director, Management Analysis and Services office has been delegated the authority to sign
The Centers for Disease Control and Prevention (CDC) and the Agency for Toxic Substances and Disease Registry (ATSDR) announce the following meeting.
In addition, an MOU was signed in October 1990 and renewed in November 1992 between ATSDR and DOE. The
Agenda items are subject to change as priorities dictate.
The Director, Management Analysis and Services Office, has been delegated the authority to sign
Administration on Children, Youth and Families, ACF, DHHS.
Notice.
The Administration for Children and Families, Administration on Children, Youth and Families, Head Start Bureau announces the availability of funds for two Priority Areas; University-Head Start Partnerships (1.01) and Graduate Student Head Start Research Grants (1.02). These priority areas will support research activities in the areas of infant and toddler development within the cultural context, school readiness, mental health and field-initiated research which will increase our knowledge of low-income children's development for the purpose of improving services or have significant policy implications.
The closing date for receipt of applications is 5 P.M. EDT April 24, 2000.
Applications should be submitted to the ACYF Operations Center at: 1815 N. Fort Myer Drive, Suite 300, Arlington, Virginia 22209. However, prior to preparing and submitting an application, in order to satisfactorily compete under this announcement it will be necessary for potential applicants to read the full announcement which is available through the addresses listed below.
applications, including all necessary forms can be downloaded from the Head Start web site at
ACYF Operations Center at: 1815 N. Fort Myer Drive, Suite 300, Arlington, Virginia 22209 or (1-800) 351-2293.
Eligible Applicants: Universities and four-year colleges on behalf of a faculty member who holds a doctorate or equivalent in their respective field.
Project Duration: The announcement for Priority Area 1.01 is soliciting applications for project periods of three years, with the first year as a planning grant. Awards, on a competitive basis, will be for the first one-year planning budget period. Applications for continuation funds under these awards beyond the first-year budget period, but within the established project period, will be entertained in subsequent years on a non-competitive basis, subject to availability of funds, satisfactory progress of the grantee, and a determination that continued funding would be in the best interests of the Government.
Federal Share of Project Costs: The maximum Federal share is $75,000 for the first-year budget period. The Federal share for the subsequent years is approximately $150,000 for each year of the project period. The Federal Share in inclusive of indirect costs.
Matching Requirements: There are no matching requirements.
Anticipated Number of Projects to be Funded: It is anticipated that 4-6 projects will be funded.
Eligible Applicants: Institutions of higher education on behalf of graduate students at both the Master's and Doctorate levels. Doctoral students must have completed their Master's degree or equivalent in that field prior to applying for this grant or by the time grants are awarded, and have sent formal notification of having been granted the degree to ACYF. To be eligible to administer the grant on behalf of the student, the institution must be fully accredited by one of the regional accrediting commissions recognized by the Department of Education and the Council on Post-Secondary Accreditation. In addition, the specific graduate student on whose behalf the application is made must be identified.
Project Duration: The announcement for Priority Area 1.02 is soliciting applications for project periods up to two years. Awards, on a competitive basis, will be for a one-year budget period, although project periods may be for two years. It should be noted, that if the graduate student, on whose behalf the university is applying, expects to receive a degree by the end of the first
Federal Share of Project Costs: The maximum Federal share shall range between $10,000-$20,000 for the first-year budget period or a maximum of $40,000 for a two-year project period.
Matching Requirements: There are no matching requirements.
Anticipated Number of Projects to be Funded: It is anticipated that between 5 and 10 projects will be funded with an unspecified mixture of master's-level and doctoral level applicants. No university will be funded for more than one candidate, unless there are no other approved applications. Applications from the master's-level students will be evaluated separately from the applications form doctoral-level students.
Reviewers will consider the following factors when assigning points.
• The research questions are clearly stated.
• The extent to which the questions are of importance and relevance for low-income children's development and welfare.
• The extent to which the research study makes a significant contribution to the knowledge base.
• The extent to which the literature review is current and comprehensive and supports the need for the study, the questions to be addressed or the hypotheses to be tested.
• The extent to which the questions that will be addressed or the hypotheses that will be tested are sufficient for meeting the stated objectives.
• The extent to which the research design is appropriate and sufficient for addressing the questions of the study.
• The extent to which child outcomes are the major focus of the study.
• The extent to which the planned research specifies the measures to be used and the analyses to be conducted.
• The extent to which the planned measures are appropriate and sufficient for the questions of the study.
• The extent to which the planned measures and analyses both reflect knowledge and use of state-of-the-art measures and analytic techniques and advance the state-of-the-art.
• The extent to which the analytic techniques are appropriate for the question under consideration.
• The extent to which the proposed sample size is sufficient for the study.
• The scope of the project is reasonable for the funds available for these grants.
• The extent to which the planned approach reflects sufficient input from and partnership with the Head Start or Early Head Start program.
• The extent to which the principal investigator (or for 1.02, the graduate student) and other key research staff possess the research expertise necessary to conduct the study as demonstrated in the application and information contained in their vitae.
• For Priority Area 1.01 the principal investigator(s) has earned a doctorate or equivalent in the relevant field and has first or second author publications in major research journals.
• The extent to which the proposed staff reflect an understanding of and sensitivity to the issues of working in a community setting and in partnership with Head Start/Early Head Start program staff and parents.
• The adequacy of the time devoted to this project by the principal investigator and other key staff in order to ensure a high level of professional input and attention. For graduate students, the adequacy of the supervision provided by the graduate student's mentor.
This program is covered under Executive Order 12372, Intergovernmental Review of Federal Programs, and 45 CFR part 100, Intergovernmental Review of Department of Health and Human Services Program and Activities. Under the Order, States may design their own processes for reviewing and commenting on proposed Federal assistance under covered programs.
All States and Territories except Alabama, Alaska, Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts, Minnesota, Montana, Nebraska, New Jersey, New York, Ohio, Oklahoma, Oregon, Palau, Pennsylvania, South Dakota, Tennessee, Vermont, Virginia, Washington, and American Samoa have elected to participate in the Executive Order process and have established Single Points of Contact (SPOCs). Applicants from these twenty-three jurisdictions need take no action regarding E.O. 12372. Applicants for projects to be administered by Federally-recognized Indian Tribes are also exempt from the requirements of E.O. 12372. Otherwise, applicants should contact their SPOCs as soon as possible to alert them of the prospective applications and receive any necessary instructions. Applicants must submit any required material to the SPOCs as soon as possible so that the program office can obtain and review SPOC comments as part of the award process. It is imperative that the applicant submit all required materials, if any, to the SPOC and indicate the date of this submittal (or the date of contact if no submittal is required) on the Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application deadline to comment on proposed new or competing continuation awards.
SPOCs are encouraged to eliminate the submission of routine endorsements as official recommendations.
Additionally, SPOCs are requested to clearly differentiate between mere advisory comments and those official State process recommendations which may trigger the accommodate or explain rule.
When comments are submitted directly to ACF, they should be addressed to: William Wilson, Head Start Bureau, 330 C Street, S.W., Washington, D.C. 20447, Attn: Head Start University Partnerships or Graduate Student Head Start Research. A list of the Single Points of Contact for each State and Territory can be found on the web site
Office of Inspector General (OIG), HHS.
Notice.
This
Julie Kass, Office of Counsel to the Inspector General, (202) 619-0335.
The Office of Inspector General (OIG) issues Special Fraud Alerts based on information it obtains concerning particular fraudulent or abusive practices within the health care industry. Special Fraud Alerts are intended for widespread dissemination to the health care provider community, as well as those charged with administering the Medicare and Medicaid programs. To date, the OIG has published in the
In an effort to promote voluntary compliance in the health care industry and assist providers in their compliance efforts, the OIG has developed a Special Fraud Alert, set forth below, that addresses potential problem areas with regard to the rental of space in physicians' offices by persons or entities to which physicians refer patients. Among other things, this Special Fraud Alert addresses suspect rental arrangements for space in physicians' offices with regard to: (1) the appropriateness of rental agreements; (2) the rental amounts; and (3) time and space considerations. A reprint of this Special Fraud Alert follows.
The Office of Inspector General (OIG) was established at the Department of Health and Human Services by Congress in 1976 to identify and eliminate fraud, abuse and waste in the Department's programs and to promote efficiency and economy in departmental operations. The OIG carries out this mission through a nationwide program of audits, investigations and inspections.
To reduce fraud and abuse in the Federal health care programs, including Medicare and Medicaid, the OIG actively investigates fraudulent schemes that are used to obtain money from these programs and, when appropriate, issues Special Fraud Alerts that identify practices in the health care industry that are particularly vulnerable to abuse.
This Special Fraud Alert focuses on the rental of space in physicians' offices by persons or entities that provide health care items or services (suppliers)
A number of suppliers that provide health care items or services rent space in the offices of physicians or other practitioners. Typically, most of the items or services provided in the rented space are for patients, referred or sent, either directly or indirectly, to the supplier by the physician-landlord. In particular, we are aware of rental arrangements between physician-landlords and:
• Comprehensive outpatient rehabilitation facilities (CORFs) that provide physical and occupational therapy and speech-language pathology services in physicians' and other practitioners' offices;
• Mobile diagnostic equipment suppliers that perform diagnostic related tests in physicians' offices; and
• Suppliers of durable medical equipment, prosthetics, orthotics and supplies (DMEPOS) that set up “consignment closets” for their supplies in physicians' offices.
The OIG is concerned that in such arrangements, the rental payments may be disguised kickbacks to the physician-landlords to induce referrals. We have received numerous credible reports that in many cases, suppliers, whose businesses depend on physicians' referrals, offer and pay “rents”—either voluntarily or in response to physicians” requests—that are either unnecessary or in excess of the fair market value for the space to access the physicians' potential referrals.
Kickbacks can distort medical decision-making, cause overutilization, increase costs and result in unfair competition by freezing out competitors who are unwilling to pay kickbacks. Kickbacks can also adversely affect the quality of patient care by encouraging physicians to order services or recommend supplies based on profit rather than the patients' best medical interests.
Section 1128B(b) of the Social Security Act (the Act) prohibits knowingly and willfully soliciting, receiving, offering or paying anything of value to induce referrals of items or services payable by a Federal health care program. Both parties to an impermissible kickback transaction are liable. Violation of the statute constitutes a felony punishable by a maximum fine of $25,000, imprisonment up to five years, or both. The OIG may also initiate administrative proceedings to exclude persons from Federal health care programs or to impose civil money penalties for fraud, kickbacks and other prohibited activities under sections 1128(b)(7) and 1128A(a)(7) of the Act.
The questionable features of suspect rental arrangements for space in physicians' offices may be reflected in three areas:
• The appropriateness of rental agreements;
• The rental amounts; and
• Time and space considerations.
Below, we examine these suspect areas, which separately or together may result in an arrangement that violates the anti-kickback statute, in order to help identify questionable rental arrangements between physicians and the suppliers to which they refer patients. This list is not exhaustive, but
The threshold inquiry when examining rental payments is whether payment for rent is appropriate at all. Payments of “rent” for space that traditionally has been provided for free or for a nominal charge as an accommodation between the parties for the benefit of the physicians' patients, such as consignment closets for DMEPOS, may be disguised kickbacks. In general, payments for rent of consignment closets in physicians' offices are suspect.
Rental amounts should be at fair market value, be fixed in advance and not take into account, directly or indirectly, the volume or value of referrals or other business generated between the parties. Fair market value rental payments should not exceed the amount paid for comparable property. Moreover, where a physician rents space, the rate paid by the supplier should not exceed the rate paid by the physicians in the primary lease for their office space, except in rare circumstances. Examples of suspect arrangements include:
• Rental amounts in excess of amounts paid for comparable property rented in arms-length transactions between persons not in a position to refer business;
• Rental amounts for subleases that exceed the rental amounts per square foot in the primary lease;
• Rental amounts that are subject to modification more often than annually;
• Rental amounts that vary with the number of patients or referrals;
• Rental arrangements that set a fixed rental fee per hour, but do not fix the number of hours or the schedule of usage in advance (i.e., “as needed” arrangements);
• Rental amounts that are only paid if there are a certain number of Federal health care program beneficiaries referred each month; and
• Rental amounts that are conditioned upon the supplier's receipt of payments from a Federal health care program.
Suppliers should only rent premises of a size and for a time that is reasonable and necessary for a commercially reasonable business purpose of the supplier. Rental of space that is in excess of suppliers' needs creates a presumption that the payments may be a pretext for giving money to physicians for their referrals. Examples of suspect arrangements include:
• Rental amounts for space that is unnecessary or not used. For instance, a CORF requires one examination room and rents physician office space one afternoon a week when the physician is not in the office. The CORF calculates its rental payment on the square footage for the entire office, since it is the only occupant during that time, even though the CORF only needs one examination room;
• Rental amounts for time when the rented space is not in use by the supplier. For example, an ultrasound supplier has enough business to support the use of one examination room for four hours each week, but rents the space for an amount equivalent to eight hours per week;
• Non-exclusive occupancy of the rented portion of space. For example, a physical therapist does not rent space in a physician's office, but rather moves from examination room to examination room treating patients after they have been seen by the physician. Since no particular space is rented, we will closely scrutinize the proration of time and space used to calculate the therapist's “rent.”.
In addition, rental amount calculations should prorate rent based on the amount of space and duration of time the premises are used. The basis for any proration should be documented and updated as necessary. Depending on the circumstances, the supplier's rent can consist of three components: (1) Exclusive office space; (2) interior office common space; and (3) building common space.
1.
2.
3.
We strongly recommend that parties to rental agreements between physicians and suppliers to whom the physicians refer or for which physicians otherwise generate business make every effort to comply with the space rental safe harbor to the anti-kickback statute. (See 42 CFR 1001.952(b), as amended by 64 FR 63518 (November 19, 1999)). When an arrangement meets all of the criteria of a safe harbor, the arrangement is immune from prosecution under the anti-kickback statute. The following are the safe harbor criteria, all of which must be met:
• The agreement is set out in writing and signed by the parties.
• The agreement covers all of the premises rented by the parties for the term of the agreement and specifies the premises covered by the agreement.
• If the agreement is intended to provide the lessee with access to the premises for periodic intervals of time rather than on a full-time basis for the term of the rental agreement, the rental agreement specifies exactly the schedule of such intervals, their precise length, and the exact rent for such intervals.
• The term of the rental agreement is for not less than one year.
• The aggregate rental charge is set in advance, is consistent with fair market value in arms-length transactions, and is not determined in a manner that takes into account the volume or value of any referrals or business otherwise generated between the parties for which payment may be made in whole or in part under Medicare or a State health care program.
• The aggregate space rented does not exceed that which is reasonably necessary to accomplish the commercially reasonable business purpose of the rental.
Arrangements for office equipment or personal services of physicians' office staff can also be structured to comply with the equipment rental safe harbor and personal services and management contracts safe harbor. (See 42 CFR 1001.952(c) and (d), as amended by 64 FR 63518 (November 19, 1999)). Specific equipment used should be identified and documented and payment limited to the prorated portion of its use. Similarly, any services provided should be documented and payment should be limited to the time actually spent performing such services.
If you have information about physicians, DMEPOS suppliers, CORFs or other suppliers engaging in any of the activities described above, contact any of the regional offices of the Office of Investigations of the Office of Inspector General, U.S. Department of Health and Human Services, at the following locations:
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosures of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of person privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The contract proposals and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the contract proposals, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
(Catalogue of Federal Domestic Assistance Program Nos. 93.375, Minority Biomedical Research Support; 93.821, Cell Biology and Biophysics Research; 93.859, Pharmacology, Physiology, and Biological Chemistry Research; 93.862, Genetics and Developmental Biology Research; 93.88, Minority Access to Research Careers; 93.96, Special Minority Initiatives, National Institutes of Health, HHS)
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meeting.
The meeting will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meetings.
The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Notice is hereby given of a change in the meeting of the Microbial Physiology and Genetics Subcommittee 1, February 23, 2000, 8:30 a.m. to February 24, 2000, 6:00 p.m., One Washington Circle Hotel, Conference Center, One Washington Circle, Washington, DC, 20037 which was published in the
The meeting will be held on February 24-25, 2000. The time and place remain the same. The meeting is closed to the public.
Pursuant to section 10(d) of the Federal Advisory Committee Act, as amended (5 U.S.C. Appendix 2), notice is hereby given of the following meetings.
The meetings will be closed to the public in accordance with the provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and the discussions could disclose confidential trade secrets or commercial property such as patentable material, and personal information concerning individuals associated with the grant applications, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
This notice is being published less than 15 days prior to the meeting due to the timing limitations imposed by the review and funding cycle.
Office of the Assistant Secretary for Housing, HUD.
Notice.
The proposed information collection requirement described below will be submitted to the Office of Management and Budget (OMB) for review, as required by the Paperwork Reduction Act. The Department is soliciting public comments on the subject proposal.
Comments Due Date: April 24, 2000.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB Control Number and should be sent to: Wayne Eddins, Reports Management Officer, Department of Housing and Urban Development, 451 7th Street, SW, L’Enfant Plaza Building, Room 8202, Washington, DC 20410.
Joseph McCloskey, Director, Single Family Asset Management, Department of Housing and Urban Development, 451 7th Street, SW, Washington, DC 20410, telephone (202) 70-1672 (this is not a toll free number) for copies of the proposal forms and other available information.
The Department is submitting the proposed information collection to OMB for review, as required by the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended).
This Notice is soliciting comments from members of the public and affected agencies concerning the proposed collection of information to: (1) Evaluate whether the proposed collection 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 the use of appropriate automated collection techniques or other forms of information technology, e.g., permitting electronic submission of responses.
This Notice also lists the following information:
Section 3506 of the Paperwork Reduction Act of 1995, 44 U.S.C. Chapter 35, as amended.
Office of the Assistant Secretary for Housing, HUD.
Notice.
The proposed information collection requirement described below will be submitted to the Office of Management and Budget (OMB) for review, as required by the Paperwork Reduction Act. The Department is soliciting public comments on the subject proposal.
Comments Due Date: April 24, 2000.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name and/or OMB Control Number and should be sent to: Wayne Eddins, Reports Management Officer, Department of Housing and Urban Development, 451 7th Street, SW, L'Enfant Building, Room 8202, Washington, D.C. 20410, telephone (202) 708-5221 (this is not a toll-free number) for copies of the proposed forms and other available information.
Willie Spearmon, Multifamily Housing, Office of Business Products, Department of Housing and Urban Development, 451 7th Street SW, Washington, DC 20410, telephone number (202) 708-2866 (this is not a toll-free number).
The Department is submitting the proposed information collection to OMB for review, as required by the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended).
This Notice is soliciting comments from members of the public and affected agencies concerning the proposed collection of information to: (1) Evaluate whether the proposed collection 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 the use of appropriate automated collection techniques or other forms of information technology, e.g., permitting electronic submission of responses.
This Notice also lists the following information:
The Paperwork Reduction Act of 1995, 44 U.S.C., Chapter 35, as amended.
Officer of Public and Indian Housing, HUD.
Notice.
The proposed information collection requirement described below has been submitted to the Office of Management and Budget (OMB) for emergency review and approval, as required by the Paperwork Reduction Act. The Department is soliciting public comments on the subject proposal.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name or OMB approval number (2577-0208) should be sent to: Joseph F. Lackey, Jr., HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20410 (202) 395-7316.
Wayne Eddins, Reports Management Officer, Department of Housing and Urban Development, 451 7th Street, SW, Washington, DC 20410; e-mail Wayne_Eddins@HUD.gov; telephone (202) 708-2374. This is not a toll-free number. Copies of the proposed forms and other available documents submitted to OMB may be obtained from Mr. Eddins.
This Notice informs the public that the Department of Housing and Urban Development (HUD) has submitted to OMB, an information collection with respect to a Notice of Funding Availability for HOPE VI Revitalization grants. This information collection package submission to OMB for review is required by the Paperwork Reduction Act (44 U.S.C. Chapter 35). This Notice is soliciting 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.
The Department has submitted the proposal for the collection of information, as described below, to OMB for review, as required by the Paperwork Reduction Act (44 U.S.C. Chapter 35):
The Department has requested emergency clearance of the collection of information, as described below, with approval being sought by February 29, 2000.
The Department will use the information in the forms to rate and rank HOPE VI Revitalization applications, in accordance with the procedures outlined in the NOFA. HUD will award grants to applicants whose applications earn the most points, as described in the NOFA.
Applicants may complete the HOPE VI Data Forms in two ways. They may either type or print the information on a hard copy of the forms, taken from either the NOFA or the HOPE VI Application Kit, or they may download Microsoft Excel from the HOPE VI Home Page and fill out the forms electronically. In either case they must submit hard copies of the forms in their applications. If the latter method is used, the software makes certain calculations for the applicant.
The Paperwork Reduction Act of 1995, 44 U.S.C. 35, as amended.
Officer of the Assistant Secretary for Housing, HUD.
Notice.
The proposed information collection requirement described below has been submitted to the Office of Management and Budget (OMB) for emergency review and approval, as required by the Paperwork Reduction Act. The Department is soliciting public comments on the subject proposal.
Interested persons are invited to submit comments regarding this proposal. Comments should refer to the proposal by name or OMB approval number should be sent to: Joseph F. Lackey, Jr., HUD Desk Officer, Office of Management and Budget, New Executive Office Building, Washington, DC 20410 (202) 395-7316.
Wayne Eddins, Reports Management Officer, Department of Housing and Urban Development, 451 7th Street, SW, Washington, DC 20410; e-mail Wayne _Eddins@HUD.gov; telephone (202) 708-2374. This is not a toll-free number. Copies of the proposed forms and other available documents submitted to OMB may be obtained from Mr. Eddins.
This Notice informs the public that the Department of Housing and Urban Development (HUD) has submitted to OMB, for emergency processing, an information collection package with respect to a application and re-certification packages for nonprofit organizations to participate in FHA activities. This emergency processing is essential to the Department's mission to expand homeownership opportunities and strengthen neighborhoods and communities by standardizing throughout the country, the information nonprofit organizations must submit to be considered acceptable to participate as a mortgagor in HUD's single family housing programs. Nonprofit organizations are viewed as a significant partner in rehabilitating and reselling residential housing to low and moderate income families, particularly in the nation's urban centers. The participation of nonprofit housing providers is critical to the success of the Cities 2000 Agenda which was announced by Secretary Cuomo on June 12, 1999 to boost homeownership in America's cities. HUD is requesting that OMB approve this information collection by February 21, 2000.
This Notice is soliciting comments from members of the public and affected agencies concerning the proposed collection of information to (1) Evaluation whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have
This Notice also lists the following information:
The Paperwork Reduction Act of 1995, 44 U.S.C. 35, as amended.
Office of the Secretary, Interior.
Notice.
This notice lists programs or portions of programs that are eligible for inclusion in Fiscal Year 2001 annual funding agreements with self-governance tribes and lists programmatic targets for each of the non-BIA bureaus, pursuant to section 405(c)(4) of the Tribal Self-Governance Act.
This notice expires on September 30, 2001.
Inquiries or comments regarding this notice may be directed to the Office of Self-Governance (MS-2542, MIB), 1849 C Street NW, Washington, DC 20240-0001. Telephone (202) 219-0240 or to the bureau points of contact listed below.
Title II of the Indian Self-Determination and Education Assistance Act Amendments of 1994 (Pub. L. 103-413, the “Self-Governance Act” or the “Act”) instituted a permanent tribal self-governance program at the Department of the Interior (DOI). Under the self-governance program certain programs, services, functions, and activities, or portions thereof, in Interior bureaus other than BIA are eligible to be planned, conducted, consolidated, and administered by a self-governance tribal government.
Under section 405(c) of the Self-Governance Act, the Secretary of the Interior is required to publish annually: (1) A list of non-BIA programs, services, functions, and activities, or portions thereof, that are eligible for inclusion in agreements negotiated under the self-governance program; and (2) programmatic targets for these bureaus.
Under the Self-Governance Act, two categories of non-BIA programs are eligible for self-governance funding agreements:
(1) Under section 403(b)(2) of the Act, any non-BIA program, service, function or activity that is administered by Interior that is “otherwise available to Indian tribes or Indians,” can be administered by a tribal government through a self-governance agreement. The Department interprets this provision to authorize the inclusion of programs eligible for self-determination contracting under Title I of the Indian Self-Determination and Education Assistance Act (P.L. 93-638). Section 403(b)(2) also specifies that “nothing in this subsection may be construed to provide any tribe with a preference with respect to the opportunity of the tribe to administer programs, services, functions and activities, or portions thereof, unless such preference is otherwise provided for by law.”
(2) Under section 403(c) of the Act, the Secretary may include other programs, services, functions, and activities, or portions thereof, that are of “special geographic, historical, or cultural significance” to a self-governance tribe.
Under section 403(k) of the Self-Governance Act, annual agreements cannot include programs, services, functions, or activities that are inherently Federal or where the statute establishing the existing program does not authorize the type of participation sought by the tribe. However, a tribe (or tribes) need not be identified in the authorizing statutes in order for a program or element to be included in a self-governance agreement. While general legal and policy guidance regarding what constitutes an inherently Federal function exists, we will determine whether a specific function is inherently Federal on a case-by-case basis considering the totality of circumstances.
The Department received one letter from a self-governance tribe on the proposed list which commented as follows:
(1) Add to Section I-Background the fact that the program is administered by the Office of Self-Governance. This suggestion has not been adopted. Although the Office of Self-Governance administers the BIA portion of the program, it does not administer the non-BIA portion, which is the subject of this notice.
(2) Retain the reference to the Secretary's January 1995 Report to Congress in Section III, because it provides an expanded list of possible programs which may help tribes to see further options. Although it was inserted in last year's list, the Department has decided not to continue referencing the 1995 report, because it is out of date. Section 405(c) of the Act required this report to present an initial list of non-BIA programs eligible for inclusion in Self-Governance annual
(3) Add, in Section III.A-BLM, additional language stating that BLM in cooperation with land users, may negotiate with tribes to carry out its land management activities through contracts, cooperative agreements, or Self-Governance agreements. This suggestion has been adopted in modified form.
(4) Commented that the BLM needed to be educated that some of its language in Section III.A reflected procurement thinking rather than the intent of self-governance. The comment went on to acknowledge that subsequent language was better aligned to self-governance. We believe the language is appropriate as written, and no changes have been made.
(5) Add, in Section III.A, information that briefly describes how BLM has structured responsibilities for self-governance negotiations and operations within its local, State, and headquarters offices. This suggestion has not been adopted. This notice is not intended to provide the internal organizations and responsibilities of each of Interior's bureaus. An initial point of contact has been provided, and the section clearly indicates that more specific information will then be provided by the respective State Office.
(6) Add, in Section III.A-BLM Other Activities, further items as examples of range, wildlife and fisheries habitat, and wild horse management activities. A number of these suggestions have been adopted.
(7) Add, at the end of the last sentence of the next to the last paragraph of Section III.A-BLM: “in relation to negotiating specific self-governance agreements.” This suggestion has been adopted.
(8) Commented that the FWS needed to be educated that some of its language in Section III.F reflected procurement thinking rather than the intent of self-governance. The language in the first sentence of the second paragraph has been changed.
(9) Commented that it was glad to see in Section IV a target for each non-BIA bureau that goes beyond what it is currently doing. Although there has been some editorial change to this Section, the underlying concept has not been changed.
There were also several minor editorial, technical and geographic changes provided by Interior's bureaus. We draw your attention to two:
(1) The Department interprets the “otherwise available to Indians” clause in section 403(b)(2) of the Act to limit this subsection to those programs eligible for contracting under Title I of the Act. Accordingly, the language in Section I has been modified.
(2) The approach to identifying the annual funding agreements with non-BIA bureaus has been changed as the number has increased. Rather than a narrative description of each in Section II, a list has been provided.
Below is a listing by bureau of the types of non-BIA programs, or portions thereof, that may be eligible for self-governance annual funding agreements because they are either “otherwise available to Indians” under Title I and not precluded by any other law, or may have “special geographic, historical, or cultural significance” to a participating tribe. The lists represent the most current information on programs potentially available to Tribes under a Self-Governance agreement.
The Department will also consider for inclusion in annual funding agreements other programs or activities not included below, but which, upon request of a self-governance tribe, the Department determines to be eligible under either sections 403(b)(2) or 403(c) of the Act. Tribes with an interest in such potential agreements are encouraged to begin discussions with the appropriate non-BIA bureau.
BLM management responsibilities cover a wide range of areas, such as recreational activities, timber, range and minerals management, wildlife habitat management and watershed restoration. In addition, BLM is responsible for the survey of certain Federal and tribal lands. Two programs provide tribal services: (1) Tribal and allottee minerals management; and (2) Survey of tribal and allottee lands.
BLM carries out some its activities in the management of public lands through contracts and cooperative agreements. These and other activities, dependent upon availability of funds, the need for specific services, and the Self-Governance tribe demonstrating a special geographic, cultural, or historical connection, may also be available for inclusion in self-governance agreements. Once a tribe has made initial contact with BLM, more specific information will be provided by the respective BLM State office.
1.
2.
1.
2.
3.
4.
5.
6.
7.
The above programs under “Other Activities” are available in many states for competitive contracting. However, if they are of special geographic, historical or cultural significance to a participating Self-Governance tribe, they may be available for annual funding agreements. Tribes may also discuss additional BLM-funded activities with the relevant State office in relation to negotiating specific self-governance agreements.
For questions regarding Indian Self-Governance, contact Dr. Marilyn Nickels or Sara Pena, Bureau of Land Mangement, 1849 C Street NW, Washington, DC 20240-0001, telephone: (202) 452-5040, fax: (202) 452-7701. General information on all contracts available in a given year through the BLM can be obtained from the BLM National Business Center, P.O. Box 25047, Bldg 50, Denver Federal Center, Denver, CO 80225-0047.
Reclamation operates a wide range of water resource management projects for irrigation, hydroelectric power generation, municipal and industrial water supplies, flood control, outdoor recreation, enhancement of fish and wildlife habitats, and research. Most of Reclamation's activities involve construction, operations and maintenance, and management of water resources projects and associated facilities. Components of the following FY2000 water resource management and construction projects may be eligible for self-governance agreements.
1. Yakima River Basin Water Enhancement Program, WA.
2. Klamath Project—CA, OR.
3. Trinity River Restoration Program—CA.
4. Central Valley Project (Trinity Division)—CA.
5. Newlands Project—NV, CA.
6. Washoe Project—NV, CA.
7. Colorado River Front Work/Levee System—AZ, CA, NV.
8. Lower Colorado Indian Water Management Study—AZ, CA, NV.
9. Yuma Area Projects—AZ, CA.
10. Central Arizona Project—AZ, NM.
11. Middle Rio Grande Project—NM.
12. Indian Water Rights Settlement Projects—as Congressionally authorized.
For questions regarding self-governance contact Barbara White, Reclamation Self-Governance Coordinator, Native American Affairs Office, Bureau of Reclamation (W-6100), 1849 C Street NW, Washington, DC 20240-0001, telephone: (202) 208-4733, fax: (202) 208-6688.
MMS provides stewardship of America's offshore resources and collects revenues generated from mineral leases on Federal and Indian lands. MMS is responsible for the management of the Federal Outer Continental Shelf, which are submerged lands off the coasts that have significant energy and mineral resources. Within the offshore minerals management program, environmental impact assessments and statements, and environmental studies, may be available if a self-governance tribe demonstrates a special geographic, cultural, or historical connection.
MMS also offers mineral-owning tribes other opportunities to become involved in MMS's Royalty Management Program functions. These programs address the intent of Indian self-governance but are available regardless of self-governance intentions or status and are a good prerequisite for assuming other technical functions. Generally, royalty management programs are available to tribes because of their status as Indians. Royalty management programs that may be available to self-governance tribes are as follows:
1.
2.
3.
4.
5.
6.
7.
For questions regarding self-governance contact Joan Killgore, Royalty Liaison Office, Minerals Management Service (MS-4241), 1849 C Street NW, Washington, DC 20240-0001, telephone: (202) 208-3512, fax: (202) 208-3982.
The National Park Service administers the National Park System made up of national parks, monuments, historic sites, battlefields, seashores, lake shores and recreation areas. NPS maintains the park units, protects the natural and cultural resources, and conducts a range of visitor services such as law enforcement, park maintenance, and interpretation of geology, history, and natural and cultural resources.
Some elements of these programs may be eligible for inclusion in a self-governance annual funding agreement. The listing below was developed considering the geographic proximity to, and/or traditional association of a self-governance tribe with, units of the National Park system, and the types of programs that have components that may be suitable for contracting through a self-governance annual funding agreement. This listing is not all inclusive, but is representative of the types of programs which may be eligible for tribal participation through annual funding agreements.
1.
2.
3.
For questions regarding self-governance contact Dr. Patricia Parker, Chief, American Indian Liaison Office, National Park Service (MS-3410), 1849 C Street NW, Washington, DC 20240-0001; telephone: (202) 208-5475, fax: (202) 273-0870.
OSM regulates surface coal mining and reclamation operations, and reclaims abandoned coal mines, in cooperation with States and Indian tribes.
1.
2.
For questions regarding self-governance contact Maria Mitchell, Office of Surface Mining Reclamation and Enforcement (MS-210-SIB), 1951 Constitution Ave. NW, Washington, DC 20240, telephone: (202) 208-2865, fax: (202) 291-3111.
The mission of FWS is to conserve, protect, and enhance fish, wildlife, and their habitats for the continuing benefit of the American people. Primary responsibilities are for migratory birds, endangered species, freshwater and anadromous fisheries, and certain marine mammals. FWS also has a continuing cooperative relationship with a number of Indian tribes throughout the National Wildlife Refuge System and the Service's fish hatcheries. Any self-governance tribe may contact a National Wildlife Refuge or National Fish Hatchery directly concerning participation in Service programs under the Self-Governance Act.
Some elements of the following programs may be eligible for inclusion in a self-governance annual funding agreement. The listing below was developed considering the proximity of an identified self-governance tribe to a National Wildlife Refuge or National Fish Hatchery, and the types of programs that have components that may be suitable for contracting through a self-governance annual funding agreement. This listing is not all-inclusive but is representative of the types of programs which may be eligible for tribal participation through an annual funding agreement.
For questions regarding self-governance contact Michael Smith, Deputy Assistant Director—External Affairs, Fish and Wildlife Service (MS3012), 1849 C Street NW, Washington, DC 20240-0001, telephone: (202) 208-4131, fax: (202) 208-7407.
The mission of the U.S. Geological Survey is to provide information on biology, geology, hydrology, and cartography that contributes to the wise management of the nation's natural resources and to the health, safety, and well-being of the American people. Information includes maps, data bases, and descriptions and analyses of the water, plants, animals, energy, and mineral resources, land surface, underlying geologic structure and dynamic processes of the earth. Information on these scientific issues is developed through extensive research, field studies, and comprehensive data collection to: Evaluate natural hazards such as earthquakes, volcanoes, landslides, floods, droughts, subsidence and other ground failures; assess energy, mineral, and water resources in terms of their quality, quantity, and availability; evaluate the habitats of animals and plants; and produce geographic, cartographic, and remotely-sensed information in digital and non-digital formats. No USGS programs are specifically available to American Indians or Alaska Natives. Components of programs may have a special geographic, cultural, or historical connection with a self-governance tribe.
1.
2.
3.
4.
For questions regarding self-governance contact Sue Marcus, American Indian/Alaska Native Liaison, U.S. Geological Survey, 107 National Center, Reston, VA 20192, telephone: (703) 648-4437, fax: (703) 648-5470.
During Fiscal Year 2001, upon request of a self-governance tribe each non-BIA bureau will negotiate annual funding agreements for its eligible programs beyond those already negotiated.
Notice of intent.
This notice advises the public that the U.S. Fish and Wildlife Service (Service) intends to gather information necessary to prepare a comprehensive conservation plan and an environmental assessment for the Crab Orchard National Wildlife Refuge in Williamson, Jackson and Union counties, Illinois. The Service is furnishing this notice in compliance with Service comprehensive conservation plan policy and the National Environmental Policy Act, and implementing regulations to achieve the following:
(1) Advise other agencies and the public of our intentions, and
(2) Obtain suggestions and information on the scope of issues, opportunities, and concerns for inclusion in the environmental documents.
The Service will hold public scoping meetings in Spring 2000, and additional public meetings will be held to review the draft comprehensive conservation plan. It is anticipated that the draft plan will be available for public review by November 2000. An announcement of availability of the draft plan will appear in the
Address comments and requests for more information to: Refuge Manager, Crab Orchard National Wildlife Refuge, 8588 Route 148, Marion, Illinois 62959; or E-mail: conwr-ccp@fws.gov
It is the policy of the Service to have all lands
(a) Habitat management;
(b) Public use management;
(c) Wildlife population management;
(d) Wilderness management;
(e) Industrial facilities management; and
(f) Cultural resource identification and protection.
The environmental assessment will include several alternatives that address the issues and management strategies with these topics.
Crab Orchard National Wildlife Refuge was established on August 5, 1947, by Public Law 80-361. This Act of Congress transferred certain Federal lands acquired in connection with the Crab Orchard Creek project and the Illinois Ordnance Plant to the Secretary of the Interior. This legislation mandated these lands be administered by the Secretary through the Service “for the conservation of wildlife, and for the development of the agricultural, recreational, industrial, and related purposes specified in this Act.”
The 43,890-acre refuge contains three large manmade lakes totaling 8,700 acres; 21,000 acres of forestland, 5,000 acres of cropland, and 2,000 acres of grassland. The refuge supports an extensive variety of plant and animal species, hosts 1.2 million recreational visitors per year, provides facilities for industrial tenants who generate $100 million in annual revenue, and sponsors cooperative farmers and permittee graziers. The 4,050-Crab Orchard Wilderness, the first wilderness area designed in the State of Illinois, is within the refuge.
Fish and Wildlife Service, Interior.
Notice of availability.
Pursuant to the Refuge Improvement Act of 1997, the U.S. Fish and Wildlife Service has published the Ouray National Wildlife Refuge Draft Comprehensive Conservation Plan. This Plan describes how the FWS intends to manage the Ouray NWR for the next 10-15 years.
A copy of the Plan may be obtained by writing to U.S. Fish and Wildlife Service, 266 West 100 North, Suite 2, Vernal, UT 84078; or download from http://www.r6.fws.gov/larp/.
Allison Banks, U.S. Fish and Wildlife Service, P.O. Box 25486 DFC, Denver, CO 80225, 303/236-8145 extension 626; fax
Ouray NWR is located in northeast Utah. Implementation of the Plan will focus on adaptive resource management of wetland, grassland, and semidesert shrubland habitats. restoration and improved management of riparian bottomlands, recovery of endangered fish species of the Upper Colorado River Ecosystem, and opportunities for compatible wildlife-dependent recreation. Habitat monitoring and evaluation will be emphasized as the Plan is implemented. Opportunities for compatible wildlife-dependent recreation will continue to be provided.
Notice of receipt of applications.
The following applicants have applied for a permit to conduct certain activities with endangered species. This notice is provided pursuant to section 10(a) of the Endangered Species Act of 1973, as amended (16 U.S.C. 1531,
Applicant requests authorization to conduct endangered species activities for the red-cockaded woodpecker (
Applicant requests authorization to conduct presence/absence surveys for the southwestern willow flycatcher (
Applicant requests authorization for recovery purposes to conduct activities for the Pima pineapple cactus (
Applicant: Desert Botanical Garden, Phoenix, Arizona.
Applicant requests authorization for research and recovery purposes to collect seeds and voucher specimens from the Pima pineapple cactus (
Applicant requests authorization to conduct presence/absence surveys for the cactus ferruginous pygmy-owl (
Applicant requests authorization to conduct presence/absence surveys for the southwestern willow flycatcher (
Applicant requests authorization to conduct presence/absence surveys for the Yaqui chub (
Applicant requests authorization for scientific research and recovery purposes to conduct activities with the Pima pineapple cactus (
Written comments on these permit applications must be on or before March 27, 2000.
All comments received, including names and addresses, will become part of the official administrative record and may be made available to the public.
The U.S. Fish and Wildlife Service, Ecological Services, Division of Endangered Species/Permits, P.O. Box 1306, Albuquerque, New Mexico 87103. Please refer to the respective permit number for each application when requesting copies of documents. Documents and other information submitted with these applications are available for review, subject to the requirements of the Privacy Act and Freedom of Information Act, by any party who submits a written request for a copy of such documents within 30 days of the date of publication of this notice, to the address above.
U.S. Geological Survey, DOI.
Notice of Customer Meeting.
The USGS is sponsoring two days of listening sessions to help share its science directions for the year 2002 and beyond. The USGS is sponsoring these sessions as an opportunity for users of earth and life science data and research to share their views on future science directions of the USGS. The sessions will be organized around broad science topics and customers who have registered in advance will have an opportunity to give a brief presentation of their science needs and issues. Attendees are welcome to listen to any or all of the sessions. The purposes of this meeting are: (1) to give stakeholders, customers, and others who have interest in the earth and life sciences an opportunity to provide input, from their perspectives and needs, on future science directions; (2) to engage in a dialog with stakeholders on their specific interests within broad science categories; and (3) to discuss opportunities for on-going stakeholder involvement in the development of science initiatives within USGS. The meeting is open to all interested stakeholders. Pre-registration, however, is requested, as meeting space is limited. Registration information is provided below.
March 22 and 23, 2000.
USGS National Center Headquarters, 12201 Sunrise Valley Drive, Reston, VA 20192.
Gail Wendt, USGS Office of External Affairs, 703-648-5604 or 703-648-4599 (gwendt@usgs.gov).
As the nation's science agency for natural resources and the environment, the USGS is committed to meeting the health, safety and knowledge needs of the changing world around us. In order to ensure that the science directions and program development of the USGS is in concert with the needs of the public that it serves, the USGS is creating opportunities to have conversations with it customers and to seek their input. The March 22 and 23, 2000, meeting is the first such “Conversation with Customers” to be sponsored by the USGS.
Registration information can be obtained by sending an email message to conversation@usgs.gov. You may also call the USGS Office of External Affairs, 703-648-4599. Registered parties will receive a follow-up packet of information that provides an agenda and topics of the listening sessions for each day and the format for participation. Customers who have registered in advance will give a brief presentation (5-10 minutes) and will then engage in a roundtable discussion with USGS leaders. For anyone who wishes to provide input, but who cannot attend, please submit ideas to the same email address:
Bureau of Indian Affairs, Interior.
Notice.
The Bureau of Indian Affairs (BIA) intends to make funds available to federally-recognized Indian tribes on an annual basis for the purpose of implementing traffic safety projects, which are designed to reduce the number of traffic crashes within Indian Country. Due to the limited funding available for this program, all projects will be reviewed and selected on a competitive basis. This notice informs Indian tribes that grant funds are available and that the information packets are forthcoming. Information packets will be distributed by the end of January of each program year to all tribal leaders on the latest Tribal Leaders List.
Requests for funds must be received by June 1 of each program year. Requests not received in the Office of the Indian Highway Safety Program by close of business on June 1 will not be considered.
Each tribe must submit their request to the Bureau of Indian Affairs, Division of Safety Management, Attention: Indian Highway Safety Program Coordinator, 505 Marquette Avenue, NW, Suite 1705, Albuquerque, NM 87102.
Tribes should direct questions concerning the grant program to Larry Archambeau, Indian Highway Safety Program Coordinator or to Charles L. Jaynes, Program Administrator, Telephone: (505) 248-5053.
The Federal-Aid Highway Act of 1973 (Pub. L. 93-87) provides for U.S. Department of Transportation (DOT) funding to assist Indian tribes in implementing Highway Safety projects. The projects are designed to reduce the number of traffic crashes and their resulting fatalities, injuries, and property damage within Indian reservations. All federally-recognized Indian tribes on Indian reservations are eligible to receive this assistance. All tribes receiving awards of program funds are reimbursed for costs incurred
For purposes of application of the Act, Indian reservations are collectively considered a “State” and the Secretary of the Interior is considered the “Governor of a State.” The Secretary of the Interior delegated the authority to administer the programs throughout all the reservations in the United States to the Assistant Secretary—Indian Affairs. The Assistant Secretary—Indian Affairs further delegated the responsibility for primary administration of the Indian Highway Safety Program to the Division of Safety Management located in Albuquerque, New Mexico. The Chief, Division of Safety Management as program administrator of the Indian Highway Safety Program, has three full-time staff members to assist in program matters and provide technical assistance to the Indian tribes. It is at this level that contacts with the DOT are made with respect to program approval, funding of projects and technical assistance. The DOT, through the National Highway Traffic Safety Administration (NHTSA) and the Federal Highway Administration (FHWA), is responsible for ensuring that the Indian Highway Safety Program is carried out in accordance with 23 U.S.C. 402 and other applicable Federal statutes and regulations.
The NHTSA is responsible for the apportionment of funds to the Secretary of the Interior, review and approval of the Indian Highway Safety Plan involving NHTSA highway safety program areas and technical guidance and assistance to the BIA.
The Surface Transportation and Uniform Relocation Assistance Act of 1987, 23 U.S.C. 402(j), required DOT to conduct a rulemaking process to determine those programs most effective in reducing traffic crashes, injuries, and fatalities. Those program areas were determined to be national priority program areas, and include the following:
(1) NHTSA Program Areas: (a) Alcohol and Other Drug Countermeasures; (b) Police Traffic Services; (c) Occupant Protection; (d) Traffic records; (e) Emergency Medical Services; and (f) Safe Communities.
(2) FHWA Program Area: Roadway Safety.
(3) NHTSA and FHWA Program Area: Pedestrian and Bicycle Safety.
The Bureau of Indian Affairs will reimburse for eligible costs associated with the following:
(1)
(2)
(3)
(4)
(a) Child passenger safety—child car seat loaner program, car seat transportation/storage, and public information/education.
(b) Community seat belt program—salary, education/promotional materials, office expense, and NHTSA-approved Occupant Protection Usage and Enforcement (OPUE) training.
(5)
(6)
(7)
(8)
The BIA will send information packets to the tribes by January of each program year. Upon receipt of the information packet, each tribe should prepare a proposed project based on the following guidelines:
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Each tribe must submit its funding request to the BIA Indian Highway Safety Program, Albuquerque, New Mexico. The request must be received by the Indian Highway Safety Program by close of business June 1 of each program year. Requests for extension to this deadline will not be granted. Modifications of the funding request received after the close of the funding period will not be considered in the review and selection processes.
Each funding request will be reviewed and evaluated by the Indian Highway Safety Program staff, Law Enforcement staff, Department of Education staff, Office of Alcohol and Substance Abuse staff, and BIA Division of Transportation staff. Each staff member will rank the projects by assigning points to four areas of consideration. The areas of consideration are: (1) Magnitude of the problem, 50 points; (2) countermeasure selection, 40 points; (3) tribal leadership and community support, 10 points; and (4) past performance, 10 points.
The tribes selected to participate will be notified by letter. Each tribe selected must include in its proposal a certification regarding drug-free workplace requirements and a duly authorized tribal resolution. The certification and resolution must be on file before grant funds for the tribe or reservation can be released.
The Program Administrator will notify each tribe of non-selection. The tribe will be provided the reason for non-selection.
Uniform grant administration procedures have been established on a national basis for all grant-in-aid programs by DOT/NHTSA under 49 CFR part 18, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments.” NHTSA and FHWA have codified uniform procedures for State Highway Safety Programs in 23 CFR parts 1200, 1204 and 1205. OMB Circular A-87 and NHTSA Order 462-13A have established cost principles applicable to grants and contracts with State and local government. It is the responsibility of the Indian Highway Safety Program to establish operating procedures consistent with the applicable provisions of these rules.
Tribal financial management systems must provide:
(1) Accurate, current, and complete disclosure of financial results of the Highway Safety project.
(2) Adequate record keeping.
(3) Control over and accountability for all funds and assets.
(4) Comparison of actual expenditures with budgeted amounts.
(5) Documentation of accounting records.
(6) Appropriate auditing. Highway Safety Projects will be included in the Tribal A-128 single audit requirement.
Tribes will provide a quarterly financial and program status report to the BIA Indian Highway Safety Program Coordinator, 505 Marquette, NW, Suite 1705, Albuquerque, New Mexico 87102. These reports will be submitted no later than 7 days beyond the reporting month.
During the program year, it is the responsibility of the BIA Indian Highway Safety Program to maintain a degree of project oversight, provide technical assistance as needed to assist the project in fulfilling its objectives, and assure that grant provisions are complied.
The BIA will conduct a performance evaluation for each Highway Safety project. The evaluation will measure the actual accomplishments to the planned activity. The BIA will evaluate the project on-site at the discretion of the Indian Highway Safety Program Administrator.
Bureau of Land Management.
Notice.
The plats of survey of the following described lands are scheduled to be officially filed in the Oregon State Office, Portland, Oregon, thirty (30) calendar days from this date of this publication.
If protests against a survey, as shown on any of the above plat(s), are received prior to the date of official filing, the filing will be stayed pending consideration of the protest(s). A plat will not be officially filed until the day after all protests have been dismissed and become final or appeals from the dismissal affirmed.
The plat(s) will be placed in the open files of the Oregon State Office, Bureau of Land Management, 1515 S.W. 5th Avenue, Portland, Oregon 97201, and will be available to the public as a matter of information only. Copies of the plat(s) may be obtained from the above office upon required payment. A person or party who wishes to protest against a survey must file with the State Director, Bureau of Land Management, Portland, Oregon, a notice that they wish to protest prior to the proposed official filing date given above. A statement of reasons for a protest may be filed with the notice of protest to the State Director, or the statement of
The above-listed plats represent dependent resurveys, survey, and subdivision.
Bureau of Land Management, (1515 S.W. 5th Avenue) P.O. Box 2965, Portland, Oregon 97208.
Nominations for the following properties being considered for listing in the National Register were received by the National Park Service before February 12, 2000. Pursuant to section 60.13 of 36 CFR Part 60 written comments concerning the significance of these properties under the National Register criteria for evaluation may be forwarded to the National Register, National Park Service, 1849 C St., NW, NC400, Washington, DC 20240. Written comments should be submitted by March 10, 2000.
Bureau of Reclamation, Interior.
Notice of Data Collection Submission.
In compliance with the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected cost and burden.
Comments must be submitted on or before March 27, 2000.
Comments on this information collection should be submitted to the Office of Information and Regulatory Affairs, Office of Management and Budget, Attention: Desk Officer for the Department of the Interior, 725 17th Street, NW., Washington, D.C. 20503. A copy of your comments should also be directed to the Bureau of Reclamation, Attention Ms. Mollie Buckey, Office of Policy, 1849 C Street, NW, Washington, DC 20240.
Our practice is to make comments, including names and home addresses of respondents, available for public review. Individual respondents may request that we withhold their home address from public disclosure, which we will honor to the extent allowable by law. There also may be circumstances in which we would withhold a respondent's identity from public disclosure, as allowable by law. If you wish us to withhold your name and/or address, you must state this prominently at the beginning of your comment. We will make all submissions from organizations or businesses, and from individuals identifying themselves as representatives or officials of organizations or businesses, available for public disclosure in their entirety.
For further information or a copy of the proposed collection of information, contact Ms. Mollie Buckey at (202) 208-5204.
Comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of Reclamation, including whether the information shall have practical use; (b) the accuracy of Reclamation's estimated burden of the proposed collection of information; (c) ways to enhance the quality, use, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of automated collection techniques or other forms of information technology.
An Agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Reclamation will display a valid OMB control number on the forms. The Federal Register notice with a 60-day comment period soliciting comments on this collection of information was published on December 1, 1997 (62 FR 63557). Reclamation did not receive any comments on this collection of information during the comment period.
OMB has up to 60 days to approve or disapprove this information collection, but may respond after 30 days; therefore, public comment should be submitted to OMB within 30 days; therefore, public comment should be submitted to OMB within 30 days in order to assure maximum consideration.
Bureau of Reclamation, Interior.
Notice of public meetings.
As required by the Federal Advisory Committee Act of October 6, 1972, the Bureau of Reclamation is publishing notice of three public meetings. The Adaptive Management Program (AMP) was implemented as a result of the Record of Decision on the Operation of Glen Canyon Dam Final Environmental Impact Statement and to comply with consultation requirements of the Grand Canyon Protection Act (Pub. L. 102-575) of 1992. The AMP provides an organization and process to ensure the use of scientific information in decision making concerning Glen Canyon Dam operations and protection of the affected resources consistent with the Grand Canyon Protection Act. The AMP has been organized and includes a Federal advisory committee called the “Glen Canyon Dam Adaptive Management Work Group,” a technical work group, a monitoring and research center, and independent review panels. The TWG is a subcommittee of the AMWG and provides technical advice and information for the AMWG to act upon.
To allow full consideration of information by the TWG and AMWG members, comments should be submitted to the address below at least 5 days prior to the meeting.
The Glen Canyon Technical Work Group (TWG) will conduct one public meeting as follows:
• March 2-3, 2000, Phoenix, Arizona—The meeting will be held 9:30 a.m. to 4:00 p.m. on the first day and 8:00 a.m. to 12:00 noon on the second day. The meeting will be held at the Arizona Department of Water Resources, Conference Room B (3rd Floor), 500 North 3rd Street, Phoenix, Arizona.
The Glen Canyon Adaptive Management Work Group (AMWG) will conduct two public meetings as follows:
• April 4-5, 2000, Phoenix, Arizona—The meeting will be held 9:30 a.m. to 4:00 p.m. on the first day and 8:00 a.m. to 12:00 noon on the second day. The meeting will be held in the Turquoise Room at the Embassy Suites Hotel located at 1515 N. 44th Street in Phoenix, Arizona.
• July 6-7, 2000, Phoenix, Arizona—The meeting will be held 9:30 a.m. to
Written comments should be provided to Randall Peterson, Bureau of Reclamation, Upper Colorado Regional Office, 125 South State Street, Room 6107, Salt Lake City, Utah 84138-1102; faxogram (801) 524-3858; E-mail at
Our practice is to make comments, including names and home addresses of respondents, available for public review. Individual respondents may request that we withhold their home address from public disclosure, which we will honor to the extent allowable by law. There also may be circumstances in which we would withhold a respondent's identity from public disclosure, as allowable by law. If you wish us to withhold your name and/or address, you must state this prominently at the beginning of your comment. We will make all submissions from organizations or businesses, and from individuals identifying themselves as representatives or officials of organizations or businesses, available for public disclosure in their entirety.
Randall Peterson, telephone (801) 524-3758.
• March 2-3, 2000—The meeting will address administrative issues, review management objectives and information needs, basin hydrology and expected releases, and the AMWG agenda for the meeting on April 4-5, 2000.
• April 4-5, 2000—The meeting will address administrative issues, AMP goals and management objectives, and hydrologic and other scientific studies.
• July 6-7, 2000—The meeting will be held to discuss environmental compliance issues, basin hydrology, FY 2002 budget, and the development of the AMP Strategic Plan. Agenda items may be revised prior to any of the meetings. Final agendas will be posted 15 days in advance of each meeting and can be found on the Internet at
Office of Surface Mining Reclamation and Enforcement, Interior.
Notice of availability of funds for the Watershed Cooperative Agreement Program: Arts and Appalachian Clean Stream Program.
The Office of Surface Mining Reclamation and Enforcement (OSM) of the U.S. Department of the Interior is announcing its intent to solicit applications from eligible, not-for-profit candidates for funding under the OSM/National Endowment for the Arts Cooperative Agreement Program to undertake preliminary design projects engaging significant artists with local watershed groups.
Applications for the cooperative agreements should be submitted to the appropriate individual listed under
Requests for an application package, which includes further information on the program, the application forms and evaluation criteria, should be directed to the appropriate Appalachian Clean Streams Coordinator:
For Fiscal Year 2000, OSM expects to award up to $75,000 to eligible not-for-profit groups to undertake preliminary design projects for specific acid mine drainge sites. The cooperative agreements will be in the $20,000-25,000 range in order to assist as many groups as possible. The cooperative agreements will have a performance period of two years.
Eligible applicants are not-for-profit, established organizations with IRS 501(c)(3) status. Applicants must have other partners, contributing either funding or in-kind services; the partners must provide a substantial portion of the total resources needed to complete the project.
Projects in the following States are eligible: Alabama, Illinois, Indiana, Iowa, Kentucky, Maryland, Missouri, Ohio, Oklahoma, Pennsylvania, Tennessee, Virginia and West Virginia. Projects must meet eligibility criteria for coal projects outlined in Section 404 of the Surface Mining Control and Reclamation Act of 1997:
Lands and water eligible for reclamation or drainage abatement expenditures under this title are those which were mined for coal or which were affected by such mining, wastebanks, coal processing, or other coal mining processes * * * and abandoned or
There must be demonstrated public support for the project. The project should propose to use proven or innovative technology that has a high probability of success. The project design must propose tangible results,
One copy of a complete application should be submitted to the appropriate Appalachian Clean Streams Coordinator identified under
On the basis of the record
The Commission instituted this review on July 1, 1999 (64 FR 35685) and determined on October 1, 1999, that it would conduct an expedited review (64 FR 55958, October 15, 1999). The Commission transmitted its determination in this review to the Secretary of Commerce on February 16, 2000. The views of the Commission are contained in USITC Publication 3278 (February 2000), entitled Polyethylene Terephthalate (PET) Film from Korea: Investigation No. 731-TA-459 (Review).
By order of the Commission.
On the basis of the record
The Commission instituted these reviews on July 1, 1999 (64 FR 35687, July 1, 1999) and determined on October 1, 1999 that it would conduct expedited reviews (64 FR 55959, October 15, 1999). The Commission transmitted its determinations in these reviews to the Secretary of Commerce on February 17, 2000. The views of the Commission are contained in USITC Publication 3279 (February 2000), entitled Sodium Thiosulfate from China, Germany, and the United Kingdom: Investigations Nos. 731-TA-465, 466, and 468 (Review).
By order of the Commission.
On the basis of the record
The Commission instituted these reviews on July 1, 1999 (64 FR 35691, July 1, 1999) and determined on October 1, 1999 that it would conduct expedited reviews (64 FR 55960, October 15, 1999). The Commission transmitted its determinations in these reviews to the Secretary of Commerce on February 22, 2000. The views of the Commission are contained in USITC Publication 3280 (February 2000), entitled Stainless Steel Butt-Weld Pipe Fittings from Japan, Korea, and Taiwan: Investigations Nos. 731-TA-376, 563, and 564 (Review).
By order of the Commission.
On the basis of the record
Pursuant to section 207.18 of the Commission's rules, the Commission also gives notice of the commencement of the final phase of its investigations. The Commission will issue a final phase notice of scheduling which will be published in the
On December 29, 1999, a petition was filed with the Commission and the Department of Commerce on behalf of Alloy Piping Products, Inc., Shreveport, LA; Flowline Division of Markovitz Enterprises, Inc., New Castle, PA; Gerlin, Inc., Carol Stream, IL; and Taylor Forge Stainless, Inc., North Branch, NJ, alleging that an industry in the United States is materially injured and threatened with material injury by reason of LTFV imports of certain stainless steel butt-weld pipe fittings from Germany, Italy, Malaysia, and the Philippines. Accordingly, effective December 29, 1999, the Commission instituted antidumping duty investigations Nos. 731-TA-864-867 (Preliminary).
Notice of the institution of the Commission's investigations and of a public conference to be held in connection therewith was given by posting copies of the notice in the Office of the Secretary, U.S. International Trade Commission, Washington, DC, and by publishing the notice in the
The Commission transmitted its determinations in these investigations to the Secretary of Commerce on February 14, 2000. The views of the Commission are contained in USITC Publication 3281 (February 2000), entitled Certain Stainless Steel Butt-Weld Pipe Fittings from Germany, Italy, Malaysia, and the Philippines: Investigations Nos. 731-TA-864-867 (Preliminary).
By order of the Commission.
Office of the Secretary, Labor.
Notice of hearing.
The purpose of this notice is to announce a hearing, open to the public, on Submission #9901.
Submission #9901, was filed with the U.S. National Administrative Office (NAO) on November 10, 1999, by the Association of Flight Attendants (AFA) and the Association of Flight Attendants of Mexico (ASSA). The submission was accepted for review by the NAO on January 7, 2000, and a notice of acceptance for review was published in the
Article 16 (3) of the North American Agreement on Labor Cooperation (NAALC) provides for the review of labor law matters in Canada and Mexico by the NAO in accordance with U.S. domestic procedures. Revised procedural guidelines pertaining to the submission, review, and reporting process utilized by the office were published in the
The hearing will be held on March 23, 2000, commencing at 9:00 a.m. Persons desiring to present oral testimony at the hearing must submit a request in writing, along with a written statement or brief describing the information to be presented or position to be taken.
The hearing will be held at the Department of Labor, 200 Constitution Avenue, NW, Room N-5437 in Washington, DC. Written statements or briefs and requests to present oral testimony may be mailed or hand delivered to the U.S. National Administrative Office (NAO), Department of Labor, 200 Constitution Avenue, NW, Room C-4327, Washington, DC 20210. Requests to present oral testimony and written statements or briefs must be received by the NAO no later than close of business March 13, 2000.
Lewis Karesh, Acting Secretary, U.S. National Administrative Office, Department of Labor, 200 Constitution Avenue, NW, Room C-4327, Washington, DC 20210. Telephone: (202) 501-6653 (this is not a toll free number).
As set out in the notice published in the
The hearing will be conducted by the Acting Secretary of the NAO or the Acting Secretary's designee. It will be open to the public. All proceedings will be conducted in English, with simultaneous translation in English and Spanish provided. The public files for the submission, including written statements, briefs, and requests to present oral testimony, will be made a part of the appropriate hearing record. The public files will also be available for inspection at the NAO prior to the hearing.
The hearing will be transcribed. A transcript of the proceeding will be made available for inspection, as provided for in Section E of the
Disabled persons should contact the Acting Secretary of the NAO no later than March 17, 2000 if special accommodations are needed.
Written statements or briefs shall provide a description of the information to be presented or position taken and shall be legibly typed or printed. Requests to present oral testimony shall include the name, address, and telephone number of the witness, the organization represented, if any, and any other information pertinent to the request. Five copies of a statement or brief and a single copy of a request to present oral testimony shall be submitted to the NAO at the time of filing.
No request to present oral testimony will be considered unless accompanied by a written statement or brief. A request to present oral testimony may be denied if the written statement or brief suggests that the information sought to be provided is unrelated to the review of the submission or for other appropriate reasons. The NAO will notify each requester of the disposition of the request to present oral testimony.
In presenting testimony, the witness should summarize the written statement or brief, may supplement the written statement or brief with relevant information, and should be prepared to answer questions from the Secretary of the NAO or the Secretary's designee. Oral testimony will ordinarily be limited to a ten minute presentation, not including the time for questions. Persons desiring more than ten minutes for their presentation should so state in the request, setting out reasons why additional time is necessary.
The requirements relating to the submission of written statements or briefs and requests to present oral testimony may be waived by the Secretary of the NAO for reasons of equity and public interest.
National Indian Gaming Commission.
Notice.
Notice is hereby given, pursuant to 25 CFR 514.1(a)(3), that the National Indian Gaming Commission has adopted preliminarily annual fee rates of 0.00% for tier 1 and 0.09% (.0009) for tier 2 for calendar year 2000. These rates shall apply to all assessable gross revenues from each gaming operation under the jurisdiction of the Commission.
Bobby Gordon, National Indian Gaming Commission, 1441 L Street, NW, Suite 9100, Washington, DC 20005; telephone 202/632-7003; fax 202/632-7066 (these are not toll-free numbers).
The Indian Gaming Regulatory Act established the National Indian Gaming Commission which is charged with, among other things, regulating gaming on Indian lands.
The regulations of the Commission (25 CFR part 514), as amended, provide for a system of fee assessment and payment that is self-administered by gaming operations. Pursuant to those regulations, the Commission is required to adopt and communicate assessment rates; the gaming operations are required to apply those rates to their revenues, compute the fees to be paid, report the revenues, and remit the fees to the Commission on a quarterly basis.
The regulations of the Commission and the preliminary annual rate being adopted today are effective for calendar year 2000. Therefore, all gaming operations within the jurisdiction of the Commission are required to self-administer the provisions of these regulations and report and pay any fees that are due to the Commission by March 31, 2000.
Nuclear Regulatory Commission.
Notice of revised comment period.
On December 3, 1999, the U.S. Nuclear Regulatory Commission (NRC) published in the
Questions with respect to this action should be referred to Jack D. Parrott, Project Scientist, Decommissioning Branch, Division of Waste Management, Office of Nuclear Material Safety and Safeguards, Mail Stop T-8F37, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. Telephone: (301) 415-6700; e-mail: jdp1@nrc.gov.
The U.S. Nuclear Regulatory Commission (NRC) is considering issuance of an amendment to Facility Operating Licenses Nos. NPF-10 and NPF-15, issued to Southern California Edison Company (the licensee), for operation of the San Onofre Nuclear Generating Station (SONGS), Units Nos. 2 and 3, located in San Diego County, California.
SONGS Units 2 and 3 are currently licensed to operate 40 years commencing with the issuance of their construction permits on October 18, 1973. At present, the operating licenses (OLs) for both units expire on October 18, 2013. The licensee seeks an extension of the license term for SONGS Units 2 and 3 to allow them to operate until 40 years from the issuance of their respective OLs. SONGS Units 2 and 3 OLs were issued on February 16, 1982, and November 15, 1982, respectively. The proposed change would extend the license terms for SONGS Unit 2, to February 16, 2022, and for SONGS Unit 3, to November 15, 2022. This action would extend the period of operation to the full 40 years provided by the Atomic Energy Act and the Code of Federal Regulations.
The proposed action is in accordance with the licensee's application for license amendments dated December 13, 1999.
The proposed action would allow the licensee to operate SONGS Units 2 and 3 for 40 years from the date of issuance of their operating licenses. This extension would permit the units to operate for the full 40-year design-basis lifetime, consistent with the Commission policy stated in Memorandum dated August 16, 1982, from William Dircks, Executive Director for Operations, to the Commissioners, and as evidenced by the issuance of over 50 such extensions to other licensees.
The NRC has completed its evaluation of the proposed action and concludes that the extension of SONGS' Units 2 and 3 Operating Licenses Nos. NPF-10 and NPF-15 would not create any new or unreviewed environmental impacts. This change does not involve any physical modifications to the facilities, and there are no new or unreviewed environmental impacts that were not considered as part of the Final Environmental Statement (FES) dated March 1973 relating to operation of SONGS Units 2 and 3. Evaluations for the FES considered a 40-year operating life. The considerations involved in the NRC staff's determination are discussed below.
The offsite exposure from releases during postulated accidents were evaluated and found acceptable during the operating license stage and subsequent license amendments. This type of evaluation involves four issues: (1) Type and probability of postulated accidents, (2) the radioactivity releases calculated for each accident, (3) the assumed meteorological conditions, and (4) population size and distribution in the vicinity of the facility. The staff has concluded that neither the type and probability of postulated accidents nor the radioactivity releases calculated for each accident would change through the proposed extended operation. Also, the meteorological conditions are not expected to change during the proposed extended operation and, therefore, any further consideration is not warranted. Thus the population size and distribution in the vicinity of the facility are the only time-dependent parameters that require consideration. The consequences of design-basis accidents are determined in terms of the resulting exposure to the general public. The population data listed in the SONGS Updated Final Safety Analysis Report (UFSAR) were taken from the 1980 U. S. Census. The licensee compared the projected population data in the UFSAR within a 10-mile radius with the 1990 Federal census data and concluded that the census data is bounded by the UFSAR projection data for that same year. Based on this comparison, the licensee expects this trend to continue and concludes that the population for the period of 2013 through 2022 should be lower than originally projected. Therefore, cumulative exposure to the general public due to a design-basis accident would not be adversely affected. Further, there are no changes to the current exclusion area, low population zone, and nearest population center distance, and the licensee will continue to meet the requirements of 10 CFR 100.11(a) for the proposed license term extension. Also, there is no expected change in land usage during the license terms that would affect offsite dose calculations. Accordingly, the staff concludes that the proposed action will not significantly change previous conclusions regarding the potential environmental effects of offsite releases from postulated accident conditions.
In accordance with the plant Technical Specifications (TSs), the licensee has established several radiation monitoring programs including a program to maintain radiation doses “As Low As Reasonably Achievable (ALARA)” guidelines (10 CFR Part 50, Appendix I guidelines). On an annual basis, the licensee submits an Occupational Radiation Exposure Report to the NRC. The SONGS Units 2 and 3 occupational radiation exposure per unit for the last 4 years has been:
Appendix I guidelines on ALARA discussed above as they relate to onsite doses also apply to releases that could cause offsite doses. The Appendix I guidelines establish radioactive design/dose objectives for liquid and gaseous offsite releases including iodine particulate radionuclides. In addition, routine releases to the environment are governed by 10 CFR Part 20, which states that such releases should be
In accordance with plant TSs, the licensee has an established Radiological Environmental Monitoring Program by which the licensee monitors the effect of operation of its facilities on the environment. This is accomplished by continuously measuring radiation levels and airborne radioactivity levels and periodically measuring amounts of radioactivity in samples at various locations surrounding the plants. Continued environmental monitoring and surveillance under the program ensures early detection of any increase in exposures over the proposed license term extension.
Accordingly, the staff concludes that the radiological impact on the public due to the proposed license term extension would not increase over that previously evaluated in the FES and the occupational exposures will be consistent with the industry average and in accordance with 10 CFR Part 20.
The curie content of radioactive solid waste shipped from SONGS has historically been less than the FES estimates and is expected to remain so.
Based on the conservative population estimate in the FES and low radiological exposure from plant releases during normal operation and postulated accidents, and the environmental monitoring program, the staff concludes that the radiological impact on the public due to the proposed action would be insignificant and the conclusions of the FES remain valid.
At present, SONGS Units 2 and 3 are licensed to store fuel with enrichments up to 4.8 weight percent uranium-235 (U-235). As part of its safety evaluation associated with this 4.8 weight percent U-235 fuel enrichment, the staff previously evaluated the environmental impacts of transportation of effects resulting from the use of higher enrichment and extended radiation. In its Environmental Assessment dated September 26, 1996 (61 FR 50513), the staff concluded that the environmental impact of extended fuel irradiation up to 60,000 megawatt-days per metric ton uranium (MWD/MTU) and increased enrichment up to 5 weight percent are bounded by the impacts reported in Table S-4 of 10 CFR 51.52.
The total projected number of fuel cycles before the current OL expiration date (October 18, 2013) is 17 for Units 2 and 3. Based on current cycle lengths, the proposed extended operating license term will increase the number of complete fuel cycles by approximately 4 in each unit to a total of 21. At present, the licensed capacity of the spent fuel pool (SFP) for each unit is 1542 fuel assemblies. The licensee-projected total number of spent fuel assemblies including a full core discharge for Units 2 and 3 for a 40-year operating life will be between 2217 and 2317 which is higher than the licensed SFP capacity. To store the additional fuel assemblies, the licensee is evaluating the use of dry storage and fuel rod consolidation as alternative storage methods for SONGS Units 2 and 3 spent fuel and will seek necessary regulatory approval.
Based on the above, the staff concludes that there are no significant changes in the environmental impact related to the uranium fuel cycle due to the proposed extended operation of SONGS Units 2 and 3.
The major nonradiological impact of the plant on the environment is the operation of the plant's cooling water system and discharge to the Pacific Ocean. The California Regional Water Quality Control Board (the Board) has reviewed and considered the environmental impacts of the SONGS units' water discharge into the Pacific Ocean in its issuance of the National Pollution Discharge Elimination System (NPDES) permit and renewals. The NPDES permit is conditional upon the discharges complying with provisions of the Board and of the Clean Water Act (as amended or as supplemented by implementing guidelines and regulations). On April 11, 1999, the Board adopted and renewed NPDES permits to SONGS Units 2 and 3 until August 11, 2004. The Board found that discharges from SONGS Units 2 and 3 are consistent with its policy with respect to maintaining high quality waters in California. The licensee will continue to abide by the NPDES permits and, accordingly, expects the Board to renew and issue NPDES permits every 5 years. Also, the proposed action does not involve any historic sites. Therefore, the NRC concludes that there are no significant nonradiological environmental impacts associated with the proposed action.
Accordingly, the NRC concludes that there are no significant environmental impacts associated with the proposed action.
As an alternative to the proposed action, the staff considered denial of the proposed action (i.e., the “no action” alternative). Denial of the application would result in no change in current environmental impacts. Continued operation of SONGS Units 2 and 3 would avert potential nonradiological environmental effects of greenhouse gases and other airborne effluents from non-nuclear plants that would be required to operate in order to replace the power supplied by the SONGS units.
This action does not involve the use of any resources not previously considered in the FES for the SONGS Units 2 and 3.
In accordance with its stated policy, on February 8, 2000, the staff consulted with the California State official, Mr. Steven Hsu, regarding the environmental impact of the proposed action. The State official had no comments.
The NRC stated in its proposed no significant hazards consideration determination dated December 29, 1999 (64 FR 73098), that the licensee's proposed extension to the operating license term is consistent with the current NRC policy and the originally engineered design life of the plant, i.e., 40 years of operation. Due to design conservatism, maintenance, and surveillance programs and the plant TSs, the proposed additional years of operation would have no significant impact on safety. That is, regardless of the age of the facility, the above-mentioned programs and TSs would ensure that systems, structures, and components will be refurbished or replaced to maintain their required safety function over the 40 years of operation. On the basis of the environmental assessment, the NRC concludes that the proposed action will not have a significant effect on the quality of the human environment. Accordingly, the NRC has determined not to prepare an environmental impact statement for the proposed action.
For further details with respect to the proposed action, see the licensee's letter dated December 13, 1999, which is available for public inspection at the
For The Nuclear Regulatory Commission.
Notice is hereby given that the Director of the Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission (NRC), has issued a Final Director's Decision with regard to a Petition, dated November 25, 1996, as amended on December 23, 1996, filed by Ms. Deborah Katz and Mr. Paul Gunter on behalf of the Citizens Awareness Network and the Nuclear Information and Resource Service, respectively, hereafter referred to as “Petitioners.” The Petition pertains to the Millstone Nuclear Power Station, Units 1, 2, and 3.
The Petitioners requested that the NRC take the following actions: (1) Immediate suspension or revocation of Northeast Utilities' (NU's or the licensee's) licenses to operate its nuclear facilities in Connecticut; (2) investigation of possible NU material misrepresentations to the NRC; (3) [a] revoke the operating licenses for NU's nuclear facilities if an investigation determines that NU deliberately provided insufficient and/or misleading information to the NRC and, [b] if NRC chose not to revoke NU's licenses, continued shutdown of NU facilities until the Department of Justice completes its investigation and the results are reviewed by the NRC; (4) continued listing of the NU facilities on the NRC's Watch List should any facility resume operation; (5) continued shutdown of the NU facilities until the NRC evaluates and approves NU's remedial actions; (6) prohibition of any predecommissioning or decommissioning activities at any NU nuclear facility in Connecticut until NU and the NRC take certain identified steps to assure that such activities can be safely conducted; (7) initiation of an investigation into how the NRC allowed the asserted illegal situation at NU's nuclear facilities in Connecticut to exist and continue for more than a decade; and (8) an immediate investigation of the need for enforcement action for alleged violation of 10 CFR Part 50, Appendix B.
The bases for the Petitioners' assertions were NU and NRC inspection findings and NU documents referred to in the Petition and a VHS videotape, Exhibit A, which accompanied the Petition. Specifically, the Petitioners identified areas that included inadequate surveillance testing, operation outside the design basis, inadequate radiological controls, failed corrective action processes, and degraded material conditions.
The NRC issued a Partial Director's Decision (DD-97-21) dated September 12, 1997, which addressed all of the Petitioners' requests, with one exception. Specifically, with respect to Request 3a of the petitioners' request, the NRC deferred a decision on the request that the NU operating licenses for the Millstone units be revoked if an investigation determined that NU deliberately provided insufficient and/or false or misleading information to the NRC. The decision on that request was deferred at the time the Partial Director's Decision was issued because several NRC investigations were underway. The investigations of NU have been completed and for the reasons given in the Final Director's Decision, DD-00-01, dated February 15, 2000, the NRC was not able to grant Request 3a of the Petition. Request 3b of the Petition, regarding the continued shutdown of NU facilities until the Department of Justice completed its investigation and the results are reviewed by the NRC, was denied in the Partial Director's Decision. Notwithstanding the NRC's 1997 denial of Request 3b, the NRC concludes that, through the actions the NRC required the Millstone facilities to complete prior to restart, the intent of request 3b was met.
Additional information is contained in the “Final Director's Decision Pursuant to 10 CFR 2.206” (DD-00-01), the complete text of which is available for public inspection at the Commission's Public Document Room, the Gelman Building, 2120 L Street, NW., Washington, D.C., and will be accessible from the Agencywide Documents Access and Management System (ADAMS) Public Library component on the NRC Web site,
As provided in 10 CFR 2.206(c), a copy of this Final Director's Decision will be filed with the Secretary of the Commission for the Commission's review. This Final Director's Decision will constitute the final action of the Commission (for Petitioners' Request 3a) 25 days after its issuance, unless the Commission, on its own motion, institutes review of the Decision within that time.
For the Nuclear Regulatory Commission.
The Advisory Committee on International Economic Policy (ACIEP) will meet from 9:00 a.m. to 1:00 p.m. on Thursday, March 16, 2000, in Room 1107, U.S. Department of State, 2201 C Street, NW, Washington, DC 20520. The meeting will be hosted by Committee Chairman R. Michael Gadbaw and by Under Secretary of State for Economic, Business, and Agricultural Affairs Alan P. Larson.
The ACIEP serves the U.S. Government in a solely advisory capacity concerning issues and problems in international economic policy. The objective of the ACIEP is to provide expertise and insight on these issues that are not available within the U.S. Government.
Topics for the March 16 meeting will be:
• Initiatives for the Global Information Economy
• US-Indian Economic Relations
• Biotechnology/Precautionary Principle
• Short Topics
The public may attend these meetings as seating capacity allows. The media is welcome but discussions are off the record. Admittance to the Department of State building is by means of a pre-arranged clearance list. In order to be placed on this list, please provide your name, title, company or other affiliation if appropriate, social security number, date of birth, and citizenship to the ACIEP Executive Secretariat by phone at (202) 647-5968 or fax (202) 647-5713 (Attention: Arlene Nelson) by Tuesday, March 14, 2000. On the date of the meeting, persons who have registered should come to the 23rd Street entrance. One of the following valid means of identification will be required for admittance: a U.S. driver's license with photo, a passport, or a U.S. Government ID.
For further information, contact Arlene Nelson, ACIEP Secretariat, U.S. Department of State, Bureau of Economic and Business Affairs, Room 6828, Main State, Washington, DC 20520.
The following Agreements were filed with the Department of Transportation under the provisions of 49 U.S.C. Sections 412 and 414. Answers may be filed within 21 days after the filing of the application.
Office of the Secretary, DOT
Notice of meeting.
The Department of Transportation announces a meeting of the DOT Partnership Council (the Council). Notice of this meeting is required under the Federal Advisory Committee Act.
The Council will meet on Wednesday, March 9, 2000, at 1:00 pm., at the Department of Transportation, Nassif Building, room 10214, 400 Seventh Street, SW., Washington, DC 20590. The room is located on the 10th floor.
These meetings will be open to the public. Seating will be available on a first-come, first-served basis. Handicapped individuals wishing to attend should contact DOT to obtain appropriate accommodations.
Jean B. Lenderking, Corporate Human Resource Leadership Division, M-13, Department of Transportation, Nassif Building, 400 Seventh Street, SW., room 7411, Washington, DC 20590, (202) 366-8085.
The purpose of this meeting is to present an approach for DOT labor-management strategic plan; provide an update on Phase II of the DOT labor-management climate study; brief on the FY 2001 budget; and report on initiatives/options for enhancing partnership efforts throughout DOT.
We invite interested persons and organizations to submit comments. Mail or deliver your comments or recommendations to Ms. Jean Lenderking at the address shown above. Comments should be received by March 1, 2000 in order to be considered at the March 9th meeting.
For the Department of Transportation.
Federal Aviation Administration (FAA), DOT.
Notice of Acceptance for Review: Preliminary Application for Rafael Hernandez Airport, Aguadilla, Puerto Rico.
The Federal Aviation Administration (FAA) has completed its review of the Rafael Hernandez Airport (BQN) preliminary application for participation in the airport privatization pilot program. The preliminary application is accepted for review, with a filing date of December 20, 1999. The Puerto Rico Ports Authority, the airport sponsor, may select a private operator, negotiate an agreement and submit a final application to the FAA for exemption under the pilot program.
49 U.S.C. Section 47134 establishes an airport privatization pilot program and authorizes the Department of Transportation to grant exemptions from certain Federal statutory and regulatory requirements for up to five airport privatization projects. The application procedures require the FAA to publish a notice in the
Kevin C. Willis (202-267-8741) Airport Compliance Division, AAS-400, Federal Aviation Administration, 800 Independence Ave. SW., Washington, DC 20591.
Section 149 of the Federal Aviation Administration Authorization Act of 1996, Pub. L. 104-264 (October 9, 1996) (1996 Reauthorization Act), adds a new Section 47134 to Title 49 of the U.S. Code Section 47134 authorizes the Secretary of Transportation, and through delegation, the FAA Administrator, to exempt a sponsor of a public use airport that has received Federal assistance, from certain Federal requirements in connection with the privatization of the airport by sale or lease to a private party. Specifically, the Administrator may exempt the sponsor from all or part of the requirements to use airport revenues to airport-related purposes, to pay back a portion of Federal grants upon the sale of an airport, and to return airport property deeded by the Federal Government upon transfer of the airport. The Administrator is also authorized to exempt the private purchaser or lessee from the requirement to use all airport revenues for airport-related purposes, to the extent necessary to permit the purchaser or lessee to earn compensation from the operations of the airport.
On September 16, 19997, the Federal Aviation Administration issued a notice of procedures to be use din applications for exemption under Airport Privatization Pilot Program (62 FR 48693). A request for participation in the Pilot Program must be initiated by the filing of either a preliminary or final application for exemption with the FAA.
The Puerto Rico Ports Authority issued its RFP on November 22, 1999, for Rafael Hernandez Airport, Aguadilla, Puerto Rico and has not selected a private operator. The filing date of this preliminary application is December 20, 1999. This is the fourth preliminary application accepted under the pilot program. The Authority may select a private operator, negotiate an agreement and submit a final application to the FAA for exemption.
If FAA accepts the final application for review, the application will be published in the
Federal Highway Administration (FHWA) DOT.
Notice of intent.
The FHWA is issuing this notice to advise the public that a second supplement to a final environmental impact statement will be prepared for a proposed highway project in Utah and Wasatch Counties, Utah.
William Gedris, Environmental Coordinator, Federal Highway Administration, 2520 West 4700 South, Suite 9A, Salt Lake City, Utah 84118, Telephone: (801) 963-0078 ext, 243; or Dan Nelson, Utah Department of Transportation, Region 3, 825 North 900 West, Orem, Utah 84057, Telephone: (801) 222-3406.
The FHWA, in cooperation with the Utah Department of Transportation (UDOT), will prepare a second supplement to the final environmental impact statement (EIS) with route termini at the existing interchange of Interstate 15 with Utah Route 52 (800 North) in Orem on the west and the intersection of U.S. Highway 189 with U.S. Highway 40 approximately 0.8 km (
Under the first SEIS, four project segments were defined. The lower segment of the project from Murdock Diversion to Vivian Park (9.3 km [5.8] miles]) has been completed, and the second segment from Vivian Park to Wildwood (1.9 km [1.2 miles]) is under construction and nearly complete. Preliminary design for the third segment from Wildwood to Deer Creek State Park (5.3 miles) has been completed and an environmental re-evaluation was completed and approved July 15, 1995. The fourth segment from Deer Creek State Park to Herber City (16.4 km [10.2 miles]) remains at the conceptual design level provided in the 1989 SEIS. Since some changes in design and construction, as well as traffic use, may have occurred since the 1989 SEIS, the project will be restudied to insure that the design parameters and environmental considerations are appropriate. The Preferred Alternative developed as a part of the first SEIS and partially modified in the 1995 Wildwood to Deer Creek State Park Re-evaluation will be the focus for this study.
Comments are being solicited from appropriate Federal, State, and local agencies and from private organizations and citizens who have previously expressed or are known to have interest in this proposal. Several public scoping and information meetings and a public hearing will be held during the course of the analysis. Public notice will be given of the time and place of the meetings and hearing. The draft SEIS will be available for public and agency review prior to the public hearing.
To ensure that the full range of issues related to this proposed action are addressed and all significant issues identified, comments and suggestions are invited from all interested parties. Comments and/or questions concerning this proposed action and the EIS should be directed to the FHWA or UDOT at the addresses provided above.
Maryland and Delaware Railroad Company, a Class III rail carrier, has filed a verified notice of exemption under 49 CFR 1150.41 to acquire ownership rights in approximately 26.7 miles of rail line from the Snow Hill Shippers Association, Inc. (SHSA) between approximately milepost 39, in Frankford, Sussex County, DE, and approximately milepost 65.7, in Snow Hill, Worcester County, MD (Frankford-Snow Hill Branch).
The transaction is expected to be consummated on or soon after February 21, 2000, the effective date of the exemption.
If the notice contains false or misleading information, the exemption is void
An original and 10 copies of all pleadings, referring to STB Finance Docket No. 33772, must be filed with the Surface Transportation Board, Office of the Secretary, Case Control Unit, 1925 K Street, N.W., Washington, DC 20423-0001. In addition, a copy of each pleading must be served on Kevin M. Sheys, Esq., Oppenheimer Wolff Donnelly & Bayh LLP, 1350 Eye Street, N.W., Suite 200, Washington, DC 20005-3324.
Board decisions and notices are available on our website at “WWW.STB.DOT.GOV.”
By the Board, David M. Konschnik, Director, Office of Proceedings.
Twenty-first Century Workforce Commission.
Notice of public information hearing.
This notice is to announce a public information hearing on Thursday, February 24, 2000. Members of the public are invited to attend the hearing. Several witnesses have been invited by the Commissioners to testify and to address the questions identified by the agenda set forth below.
The purpose of the hearing is for Commissioners to learn how Texas companies, educational institutions, community organizations, and governments are working together so more Texans gain the skills and knowledge necessary to be part of the Information Technology (IT) workforce.
The Public Information Hearing will be held on Thursday, February 24, 2000, from 9:00 am to approximately 3:00 p.m. Registration is from 9:00 am to 10:00 am. The dates, locations and times for subsequent meetings will be announced in advance in the
The InfoMart Technology Center in Dallas, Texas is located at Infomart, 1950 Stemmons Freeway. For more information, please visit the Center's website at
Mr. Hans Meeder, Executive Director, Twenty-First Century Workforce Commission, 1201 New York Avenue, NW, Suite 700, Washington, DC 20005. (Telephone (202) 289-2939. TTY (202) 289-2977) These are not toll-free numbers. Email:
Establishment of the Twenty-First Century Workforce Commission was mandated by Subtitle C of Title III of the Workforce Investment Act, Sec. 331 of Pub. L. 105-220, 112 Stat. 1087-109, (29 U.S.C. 2701 note), signed into law on August 7, 1998. The 15 voting member Twenty-First Century Workforce Commission is charged with studying all aspects of the information technology workforce in the United States. Notice is hereby given of the second Public Information Hearing of the Twenty-First Century Workforce Commission.
The Workforce Investment Act (Pub. L. No. 105-220), signed into law on August 7, 1998, established the Twenty-First Century Workforce Commission. The Commission is charged with carrying out a study of the information technology workforce in the U.S., including the examination of the following issues:
1. What skills are currently required to enter the information technology workforce? What technical skills will be demanded in the near future?
2. How can the United States expand its number of skilled information technology workers?
3. How do information technology education programs in the United States compare with other countries in effectively training information technology workers? [The Commission study should place particular emphasis upon contrasting secondary, non- and- post-baccalaureate degree education programs available within the U.S. and foreign countries.]
The Workforce Investment Act directs the Commission to issue recommendations to the President and Congress within six months. The Commission first met on November 16, 1999, and will issue its recommendations by May 16, 2000.
The Commissioners are: Chairman Lawrence Perlman, Ceridian Corporation, Minneapolis, MN; Vice Chair, Katherine K. Clark, Landmark Systems Corporation, Reston, VA; Susan Auld, Capitol Strategies, Ltd., Montpelier, VT; Morton Bahr, Communication Workers of America, Washington, DC; Patricia Gallup, PC Communications, Inc., Merrimack, NH; Dr. Bobby Garvin, Mississippi Delta Community College, Moorhead, MS; Susan M. Green (ex officio), U.S. Department of Labor, Washington, DC; Randel Johnson, U.S. Chamber of Commerce, Washington, DC; Roger Knutsen, National Council for Higher Education, Auburn, WA; Patricia McNeil (ex officio), U.S. Department of Education, Washington, DC; The Honorable Mark Morial, Mayor, City of New Orleans, LA; Thomas Murrin, Ph.D., Duquesne University, Pittsburgh, PA; Leo Reynolds, Electronic Systems, Inc., Sioux Falls, SD; The Honorable Frank Riggs, National Homebuilders Institute, Washington, DC; The Honorable Frank Roberts, Mayor, City of Lancaster, California; Kenneth Saxe, Stambaugh-Ness, York, PA; David L. Steward, World Wide Technology, Inc., St. Louis, MO; Hans K. Meeder, Executive Director, Washington, DC.
Time permitting, the Commissioners will attempt to accommodate requests for oral presentations. Each member of the public who is selected to testify will be allotted a three minute period to present their oral remarks. Members of the public must limit oral statements to three minutes, but extended written statements may be submitted for the record. Members of the public may also submit written statements for distribution to the Commissioners and inclusion in the public record without presenting oral statements. Such written statements should be sent to Mr. Hans Meeder, as shown above, or may be submitted at the hearing site.
The Commission has established a web site,
Due to difficulties of scheduling the members we are unable to provide a full 15-day advance notice of this meeting.
“1-2.
1-201. Persons who are required to be registered and who are in the United States shall register at the places and by the means designated by the Director of Selective Service. These places and means may include but are not limited to any classified United States Post Office, the Selective Service Internet web site, telephonic registration, registration on approved Government forms, registration through high school and college registrars, and the Selective Service reminder mailback card.”
“1-202. Citizens of the United States who are required to be registered and who are not in the United States, shall register via any of the places and methods authorized by the Director of Selective Service pursuant to paragraph 1-201 or present themselves at a United States Embassy or Consulate for registration before a diplomatic or consular officer of the United States or before a registrar duly appointed by a diplomatic or consular officer of the United States.”
Federal Communications Commission.
Notice.
This document announces the auction and procedures governing the auction of licenses for fixed point-to-point microwave services in the 38.6 to 40.0 GHz band (“Auction No. 30”), scheduled to commence on April 12, 2000. As discussed in greater detail herein, Auction No. 30 will be composed of 2,450 licenses in the 38.6-40.0 GHz bands (“39 GHz band”). Fourteen 100 megahertz licenses (paired 50 megahertz channel blocks) will be offered in each of 172 Economic Areas (EAs) and 3 EA-like areas, covering the United States, the Northern Mariana Islands, Guam, American Samoa, the United States Virgin Islands and Puerto Rico.
Auction No. 30 is Scheduled for April 12, 2000.
Kenneth Burnley, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, at (202) 418-0660.
This is a summary of a Public Notice released January 21, 2000 (“
1. The
2. In March 1997, the Federal Communications Commission (“Commission”) released a
3. Parties responding to the
4. The licenses available in this auction consist of fourteen 100 megahertz licenses (paired 50 megahertz channel blocks) in each of 172 Economic Areas (EAs) and 3 EA-like areas, covering the United States, the Northern Mariana Islands, Guam, American Samoa, the United States Virgin Islands and Puerto Rico.
5. Prospective bidders must familiarize themselves thoroughly with the Commission's Rules relating to the 39 GHz band, contained in Title 47, part 101 of the Code of Federal Regulations, and those relating to application and auction procedures, contained in Title 47, part 1 of the Code of Federal Regulations.
6. Prospective bidders must also be thoroughly familiar with the procedures, terms and conditions (collectively, “Terms”) contained in the
7. The terms contained in the Commission's Rules, relevant orders and public notices are not negotiable. The Commission may amend or supplement the information contained in our public notices at any time, and will issue public notices to convey any new or supplemental information to bidders. It is the responsibility of all prospective bidders to remain current with all Commission Rules and with all public notices pertaining to this auction. Copies of most Commission documents, including public notices, can be retrieved from the FCC Internet node via anonymous ftp @ftp.fcc.gov or the FCC Auctions World Wide Web site at
8. To ensure the competitiveness of the auction process, the Commission's rules prohibit applicants for the same geographic license area from communicating with each other during the auction about bids, bidding strategies, or settlements. This prohibition begins with the filing of short-form applications, and ends on the down payment due date. Bidders competing for the same license(s) are encouraged not to use the same individual as an authorized bidder. A violation of the anti-collusion rule could occur if an individual acts as the authorized bidder for two or more competing applicants, and conveys information concerning the substance of bids or bidding strategies between the bidders he/she is authorized to represent in the auction. Also, if the authorized bidders are different individuals employed by the same organization (
9. The Bureau, however, cautions that merely filing a certifying statement as part of an application will not outweigh specific evidence that collusive behavior has occurred nor will it preclude the initiation of an investigation when warranted. In Auction No. 30, for example, the rule would apply to any applicants bidding for the same EA. Therefore, applicants that apply to bid for “all markets” would be precluded from communicating with all other applicants after filing the FCC Form 175. However, applicants may enter into bidding agreements
10. Potential bidders should also be aware that certain applications (including those for modification), waiver requests, petitions to deny, petitions for reconsideration, and applications for review are pending before the Commission that relate to particular applicants or incumbent licensees. In addition, certain decisions reached in this proceeding are subject to judicial appeal and may be the subject of additional reconsideration or appeal. We note that resolution of these matters could have an impact on the availability of spectrum for EA licensees in the 39 GHz band. In addition, while the Commission will continue to act on pending applications, requests and petitions, some of these matters may not be resolved by the time of the auction.
11. Potential bidders are solely responsible for investigating and evaluating the degree to which such pending matters may affect spectrum availability in areas where they seek EA licenses. To aid potential bidders, Attachment B to the
12. Copies of pleadings from pending cases relating to the 39 GHz band identified in Attachment B to the
13. In addition, potential bidders may research the Bureau's licensing databases on the World Wide Web in order to determine which frequencies are already licensed to incumbent licensees. Licensing records for the 39 GHz band are contained in the Bureau's Universal Licensing System and may be researched on the Internet at
14. The Commission makes no representations or guarantees regarding the accuracy or completeness of information that has been provided by incumbent licensees and incorporated into the database. Potential bidders are strongly encouraged to physically inspect any sites located in or near the geographic area for which they plan to bid.
15. We remind potential bidders that the National Telecommunications and Information Administration (NTIA) has reviewed the
16. The Federal Communications Commission and the Department of Industry of Canada have signed an interim arrangement (“Arrangement”) regarding sharing between broadband wireless systems in the 39 GHz band along the U.S. and Canadian border. This Arrangement applies to both new facilities and facilities in existence prior to the date of the arrangement. The full text of the Arrangement has been placed on file at the International Bureau Reference Room CY--A257, located on
17. Potential bidders should direct questions regarding the search capabilities described above to the FCC Technical Support Hotline at (202) 414-1250 (voice) or (202) 414-1255 (TTY), or via email at ulscomm@fcc.gov. The hotline is available Monday through Friday, from 8:00 AM to 6:00 PM Eastern Time. In order to provide better service to the public, all calls to the hotline are recorded.
18. Potential bidders are reminded that there are incumbent licensees operating on frequencies that are subject to the upcoming auction. Incumbent licensees retain the exclusive right to use those channels within their self-defined rectangular service areas. The holder of an EA authorization thus will be required to implement its facilities to protect incumbents from harmful interference. Specifically, an EA authorization holder will be required to coordinate with the incumbent licensees by using the interference protection criteria in 47 CFR 101.103. However, operational agreements are encouraged between the parties. Should an incumbent lose its license, the incumbent's service area(s) will convey to the relevant EA authorization holder and it will be then entitled to operate within the forfeited rectangular service area(s) located within its EA, without being subject to further competitive bidding.
19. All applicants must certify on their FCC Form 175 applications under penalty of perjury that they are legally, technically, financially and otherwise qualified to hold a license, and not in default on any payment for Commission licenses (including down payments) or delinquent on any non-tax debt owed to any Federal agency. Prospective bidders are reminded that submission of a false certification to the Commission is a serious matter that may result in severe penalties, including monetary forfeitures, license revocations, exclusion from participation in future auctions, and/or criminal prosecution.
20. The FCC makes no representations or warranties about the use of this spectrum for particular services. Applicants should be aware that an FCC auction represents an opportunity to become an FCC licensee in this service, subject to certain conditions and regulations. An FCC auction does not constitute an endorsement by the FCC of any particular services, technologies or products, nor does an FCC license constitute a guarantee of business success. Applicants should perform their individual due diligence before proceeding as they would with any new business venture.
21. As is the case with many business investment opportunities, some unscrupulous entrepreneurs may attempt to use Auction No. 30 to deceive and defraud unsuspecting investors. Common warning signals of fraud include the following: (1) The first contact is a “cold call” from a telemarketer, or is made in response to an inquiry prompted by a radio or television infomercial; (2) the offering materials used to invest in the venture appear to be targeted at IRA funds, for example by including all documents and papers needed for the transfer of funds maintained in IRA accounts; (3) the amount of the minimum investment is less than $25,000; and (4) the sales representative makes verbal representations that: (i) the Internal Revenue Service (“IRS”), Federal Trade Commission (“FTC”), Securities and Exchange Commission (“SEC”), FCC, or other government agency has approved the investment; (ii) the investment is not subject to state or federal securities laws; or (iii) the investment will yield unrealistically high short-term profits. In addition, the offering materials often include copies of actual FCC releases, or quotes from FCC personnel, giving the appearance of FCC knowledge or approval of the solicitation.
22. Information about deceptive telemarketing investment schemes is available from the FTC at (202) 326-2222 and from the SEC at (202) 942-7040. Complaints about specific deceptive telemarketing investment schemes should be directed to the FTC, the SEC, or the National Fraud Information Center at (800) 876-7060. Consumers who have concerns about specific 39 GHz proposals may also call the FCC National Call Center at (888) CALL-FCC ((888) 225-5322).
23. The permittee must comply with the Commission's rules regarding the National Environmental Policy Act (NEPA). The construction of a 39 GHz facility is a federal action and the permittee must comply with the Commission's NEPA rules for each such facility.
24. The auction will begin on Wednesday, April 12, 2000. The initial schedule for bidding will be announced by Public Notice at least one week before the start of the auction. Unless otherwise announced, bidding on all licenses will be conducted on each business day until bidding has stopped on all licenses.
25. The title of the upcoming auction of licenses for fixed point-to-point microwave services in the 38.6 to 40.0 GHz band is: Auction No. 30. The bidding methodology for Auction No. 30 will be simultaneous multiple round bidding. Bidding will be permitted only from remote locations, either electronically (by computer) or telephonically.
26. The following are important events and deadlines related to Auction No. 30:
• Auction Seminar: March 2, 2000.
• Short-Form Application Deadline: March 13, 2000; 5:30 p.m. ET.
• Upfront Payments (via wire transfer): March 27, 2000; 6:00 p.m. ET.
• Orders for Remote Bidding Software: March 28, 2000; 5:30 p.m. ET.
• Mock Auction: April 7, 2000.
27. The following is the list of attachments contained in the
28. Those wishing to participate in the auction must:
• Submit a short form application (FCC Form 175) electronically by 5:30 pm ET, March 13, 2000.
• Submit a sufficient upfront payment and a FCC Remittance Advice Form (FCC Form 159) by 6:00 pm ET, March 27, 2000.
• Comply with all provisions outlined in this Public Notice.
29. The following is general contact information relating to Auction No. 30:
• Seminar Registration and Orders for Remote Bidding Software: (888) CALL-FCC [888-225-5322] or direct (717) 338-2888. Hours of service: 8 a.m.—5:30 p.m. ET.
• Auction Legal Information: Auctions and Industry Analysis Division, Legal Branch, (202) 418-0660.
• Licensing Information: Public Safety and Private Wireless Division, (202) 418-0680.
• Electronic Filing Assistance: FCC Auctions Technical Support Hotline: (202) 414-1250 (Voice), Software Downloading (202) 414-1255 (TTY). Hours of service: 8 a.m.-6:00 p.m. ET.
• Wire transfers and refunds: FCC Auctions Accounting Branch: (202) 418-1995, (202) 418-2843 (Fax).
• FCC copy contractor for additional copies of Commission documents: International Transcription Services, Inc., 445 12th Street, SW Room CY-B400, Washington, DC 20554 (202) 314-3070.
• World Wide Web Sites: http://www.fcc.gov/formpage; http://www.fcc.gov/wtb/auctions; http://www.fcc.gov; ftp://ftp.fcc.gov.
30. Guidelines for completion of the short-form (FCC Form 175) are set forth on Attachment E to this Public Notice. The short-form application seeks the applicant's name and address, legal classification, status, bidding credit eligibility, identification of the construction permit sought, the authorized bidders and contact persons.
31. All applicants must comply with the uniform Part 1 ownership disclosure standards and provide information required by 47 CFR 1.2105 and 47 CFR 1.2112. Specifically, in completing Form 175, applicants will be required to file an Exhibit A providing a full and complete statement of the ownership of the bidding entity. The ownership disclosure standards for the short-form are set forth in 47 CFR 1.2112.
32. Applicants will be required to identify on their short-form applications any parties with whom they have entered into any consortium arrangements, joint ventures, partnerships or other agreements or understandings which relate in any way to the licenses being auctioned, including any agreements relating to post-auction market structure.
33. A party holding a non-controlling, attributable interest in one applicant will be permitted to acquire an ownership interest, form a consortium with, or enter into a joint bidding arrangement with other applicants for licenses in the same market provided that (i) the attributable interest holder certify that it has not and will not communicate with any party concerning the bids or bidding strategies of more than one of the applicants in which it holds an attributable interest, or with which it has formed a consortium or entered into a joint bidding arrangement; and (ii) the arrangements do not result in a change in control of any of the applicants.
34. Bidding credits are available to small businesses and very small businesses as defined in 47 CFR 101.1209(b).
35. Applicants should note that they will be required to file supporting documentation as Exhibit C to their FCC Form 175 short form applications to establish that they satisfy the eligibility requirements to qualify as a small business or very small business (or consortia of small or very small businesses) for this auction.
36. Applicants that qualify under the definitions of small business, and very small business (or consortia of small or very small businesses) as are set forth in 47 CFR 101.1209, are eligible for a bidding credit that represents the amount by which a bidder's winning bids are discounted.
37. 39 GHz band bidders should note that unjust enrichment provisions apply to winning bidders that use bidding credits and subsequently assign or transfer control of their licenses to an entity not qualifying for the same level of bidding credit.
38. Applicants owned by minorities or women, as defined in 47 CFR 1.2110(b)(2), may attach an exhibit (Exhibit D) regarding this status. This applicant status information is collected for statistical purposes only and assists the Commission in monitoring the participation of “designated entities” in its auctions. Applicants wishing to submit additional information may do so in Exhibit E—Miscellaneous Information—to the FCC Form 175.
39. After the short-form filing deadline (March 13, 2000), applicants may make only minor changes to their FCC Form 175 applications. Applicants will not be permitted to make major modifications to their applications (
40. Applicants have an obligation under 47 CFR 1.65, to maintain the completeness and accuracy of information in their short-form applications. Amendments reporting substantial changes of possible decisional significance in information contained in FCC Form175 applications, as defined by 47 CFR 1.2105(b)(2), will not be accepted and may in some instances result in the dismissal of the FCC Form 175 application. 47 CFR 1.65 amendments to pending long-form applications, however, should be filed after the auction and only by the winning bidder. The time for the filing of such amendments to the auction winners' long form applications will be announced by subsequent Public Notice.
41. On March 2, 2000, the FCC will sponsor a free seminar for Auction No. 30 at the Federal Communications Commission, located at 445 12th Street, SW, Washington, DC. The seminar will provide attendees with information about pre-auction procedures, conduct of the auction, FCC remote bidding software, and the 39 GHz band service and auction rules. The seminar will also provide an opportunity for prospective bidders to ask questions of FCC staff. To register, complete the registration form included in the
42. In order to be eligible to bid in this auction, applicants must first submit an FCC Form 175 application. This application must be submitted electronically and received at the Commission by 5:30 p.m. ET on March 13, 2000. Late applications will not be accepted. There is no application fee required when filing an FCC Form 175. However, to be eligible to bid, an applicant must submit an upfront payment.
43. All short-form applications must be filed electronically.
44. Applicants must press the “Submit Form 175” button on the “Submit” page of the electronic form to successfully submit their FCC Forms 175. Any form that is not submitted will not be reviewed by the FCC. Information about accessing the FCC Form 175 is included in Attachment D. Technical
45. Applicants should carefully review 47 CFR 1.2105, and must complete all items on the FCC Form 175. Instructions for completing the FCC Form 175 are in Attachment E of the
46. The FCC Form 175 review software may be used to review and print applicants' FCC Form 175 information. Applicants may also view other applicants' completed FCC Form 175s after the filing deadline has passed and the FCC has issued a public notice explaining the status of the applications. For this reason, it is important that applicants do not include their Taxpayer Identification Numbers (TINs) on any Exhibits to their FCC Form 175 applications. There is no fee for accessing this system.
47. After the deadline for filing the FCC Form 175 applications has passed, the FCC will process all timely submitted applications to determine which are acceptable for filing, and subsequently will issue a public notice identifying: (i) Those applications accepted for filing (including FCC account numbers and the licenses for which they applied); (ii) those applications rejected; and (iii) those applications which have minor defects that may be corrected, and the deadline for filing such corrected applications.
48. In order to be eligible to bid in the auction, applicants must submit an upfront payment accompanied by an FCC Remittance Advice Form (FCC Form 159). After completing the FCC Form 175, filers will have access to an electronic version of the FCC Form 159. All upfront payments must be received at Mellon Bank in Pittsburgh, PA, by 6:00 p.m. ET on March 27, 2000. Please note that all payments must be made in U.S. dollars and all payments must be made by wire transfer. Upfront payments for Auction No. 30 go to a lockbox number different from the ones used in previous FCC auctions, and different from the lockbox number to be used for post-auction payments. Failure to deliver the upfront payment by the March 27, 2000 deadline will result in dismissal of the application and disqualification from participation in the auction.
49. Wire transfer payments must be received by 6:00 p.m. ET on March 27, 2000. To avoid untimely payments, applicants should discuss arrangements (including bank closing schedules) with their banker several days before they plan to make the wire transfer, and allow sufficient time for the transfer to be initiated and completed before the deadline. Applicants will need the following information:
• ABA Routing Number: 043000261
• Receiving Bank: Mellon Pittsburgh
• BNF: FCC/AC 910-0180
• OBI Field: (Skip one space between each information item)
• “AUCTIONPAY”
• TAXPAYER IDENTIFICATION NO.: (same as FCC Form 159, block 26)
• PAYMENT TYPE CODE (enter “A30U”)
• FCC CODE 1 (same as FCC Form 159, block 23A: “30”)
• PAYER NAME (same as FCC Form 159, block 2)
• LOCKBOX NO. #358420
The BNF and Lockbox number are specific to the upfront payments for this auction; do not use BNF or Lockbox numbers from previous auctions.
50. Applicants must fax a completed FCC Form 159 to Mellon Bank at (412) 236-5702 at least one hour before placing the order for the wire transfer (but on the same business day). On the cover sheet of the fax, write “Wire Transfer—Auction Payment for Auction Event No. 30.”
51. A completed FCC Remittance Advice Form (FCC Form 159) must accompany each upfront payment. Proper completion of FCC Form 159 is critical to ensuring correct credit of upfront payments. Detailed instructions for completion of FCC Form 159 are included in Attachment E to the
52. In the
For licenses with populations less than or equal to 1,000,000 pops the upfront calculation is:
License population * $0.02 (the result rounded to the nearest hundred dollars for results of less than $10,000 and rounded to the nearest thousand dollars for results greater than $10,000.00) with a minimum of no less than $2,500.00 For licenses with populations with greater than 1,000,000 pops, the upfront calculation is: $0.02 per pop for each of the first million pops and $0.04 per pop for the remaining pops (the result rounded to the nearest thousand dollars).
53. Please note that upfront payments are not attributed to specific licenses, but instead will be translated to bidding units to define a bidder's maximum bidding eligibility. For Auction No. 30, the amount of the upfront payment will be translated into bidding units on a one-to-one basis,
54. In order to be able to place a bid on a license, in addition to having specified that license on the FCC Form 175, a bidder must have an eligibility level that meets or exceeds the number of bidding units assigned to that license. At a minimum, an applicant's total upfront payment must be enough to establish eligibility to bid on at least one of the licenses applied for on the FCC Form 175, or else the applicant will not be eligible to participate in the auction. Additional information regarding
55. Approximately ten days before the auction, the FCC will issue a public notice announcing all qualified bidders for the auction. Qualified bidders are those applicants whose FCC Form 175 applications have been accepted for filing and that have timely submitted upfront payments sufficient to make them eligible to bid on at least one of the licenses for which they applied.
56. All qualified bidders are automatically registered for the auction. Registration materials will be distributed prior to the auction by two separate overnight mailings, each containing part of the confidential identification codes required to place bids. These mailings will be sent only to the contact person at the contact address listed in the FCC Form 175.
57. Applicants that do not receive both registration mailings will not be able to submit bids. Therefore, any qualified applicant that has not received both mailings by noon on Friday, April 7, 2000, should contact the Auctions Hotline at 1-888-225-5322 (option #2) or 717-338-2888. Receipt of both registration mailings is critical to participating in the auction and each applicant is responsible for ensuring it has received all of the registration material.
58. Qualified bidders should note that lost login codes, passwords or bidder identification numbers can be replaced only by appearing
59. Qualified bidders are allowed to bid electronically or telephonically. Each bidder choosing to bid electronically must purchase remote electronic bidding software for $175.00 by Tuesday, March 28, 2000. Auction software is tailored to a specific auction, so software from prior auctions will not work for Auction No. 30. A software order form is included in the Auction Public Notice.
60. All applicants whose FCC Form 175 has been accepted for filing will be eligible to participate in a mock auction on April 7, 2000.
61. The first round of the auction will begin on April 12, 2000. The initial round schedule will be announced in a public notice listing the qualified bidders, to be released approximately 10 days before the start of the auction.
62. In the
63. In the
64. In order to ensure that the auction closes within a reasonable period of time, an activity rule requires bidders to bid actively throughout the auction, rather than wait until the end before participating. Bidders are required to be active on a specific percentage of their maximum eligibility during each round of the auction.
65. A bidder's activity level in a round is the sum of the bidding units associated with licenses on which the bidder is active. A bidder will be considered active on a license in the current round if it is either the high bidder at the end of the previous bidding round and does not withdraw the high bid in the current round, or if it submits an acceptable bid in the current round. The minimum required activity level will be expressed as a percentage of the bidder's maximum bidding eligibility, and increases by stage as the auction progresses.
66. Each bidder will be provided five activity rule waivers that may be used in any round during the course of the auction. Use of an activity rule waiver preserves the bidder's current bidding eligibility despite the bidder's activity in the current round being below the required minimum level. An activity rule waiver applies to an entire round of bidding and not to a particular license.
67. The FCC auction system assumes that bidders with insufficient activity would prefer to use an activity rule waiver (if available) rather than lose bidding eligibility. Therefore, the system will automatically apply a waiver (known as an “automatic waiver”) at the end of any round where a bidder's activity level is below the minimum required unless: (1) There are no activity rule waivers available; or (2) the bidder overrides the automatic application of a waiver by reducing eligibility, thereby meeting the minimum requirements.
68. A bidder with insufficient activity that wants to reduce its bidding eligibility rather than use an activity rule waiver must affirmatively override the automatic waiver mechanism during the round by using the reduce eligibility function in the software. In this case, the bidder's eligibility is permanently reduced to bring the bidder into compliance with the activity rules as described in “Auction Stages” (
69. Finally, a bidder may proactively use an activity rule waiver as a means to keep the auction open without placing a bid. If a bidder submits a proactive waiver (using the proactive waiver function in the bidding software) during a round in which no bids are submitted, the auction will remain open and the bidder's eligibility will be preserved. An automatic waiver invoked in a round in which there are no new valid bids or withdrawals will not keep the auction open.
70. The auction will be composed of three stages, which are each defined by an increasing activity rule. The following are the activity levels for each stage of the auction. The FCC reserves the discretion to further alter the activity percentages before and/or during the auction.
71.
72.
73.
74. In Auction No. 30, the auction would generally advance to the next stage (
75. Bidding will remain open on all licenses until bidding stops on every license. The auction will close for all licenses when one round passes during which no bidder submits a new acceptable bid on any license, applies a proactive waiver, or withdraws a previous high bid. After the first such round, bidding closes simultaneously on all licenses. In addition, the Bureau retains the discretion to close the auction for all licenses after the first round in which no bidder submits a proactive waiver, a withdrawal, or a new bid on any license on which it is not the standing high bidder. Thus, absent any other bidding activity, a bidder placing a new bid on a license for which it is the standing high bidder would not keep the auction open under this stopping rule procedure. We will notify bidders in advance of implementing any change to our simultaneous stopping rule.
76. The Bureau also retains the discretion to keep the auction open even if no new acceptable bids or proactive waivers are submitted, and no previous high bids are withdrawn in a round. In this event, the effect will be the same as if a bidder had submitted a proactive waiver. Thus, the activity rule will apply as usual, and a bidder with insufficient activity will either lose bidding eligibility or use an activity rule waiver (if it has any left).
77. Further, in its discretion, the Bureau reserves the right to invoke the “special stopping rule.” If the FCC invokes this special stopping rule, it will accept bids in the final round(s) only for licenses on which the high bid increased in at least one of the preceding specified number of rounds. Before exercising this option, the FCC is likely to attempt to increase the pace of the auction by, for example, moving the auction into the next stage (where bidders would be required to maintain a higher level of bidding activity), increasing the number of bidding rounds per day, and/or adjusting the amount of the minimum bid increments for the licenses.
78. For Auction No. 30, via public notice or by announcement during the auction, the Bureau may delay, suspend, or cancel the auction in the event of natural disaster, technical obstacle, evidence of an auction security breach, unlawful bidding activity, administrative or weather necessity, or for any other reason that affects the fair and competitive conduct of competitive bidding. We emphasize that exercise of this authority is solely within the discretion of the Bureau, and its use is not intended to be a substitute for situations in which bidders may wish to apply their activity rule waivers.
79. The initial bidding schedule will be announced by public notice at least one week before the start of the auction, and will be included in the registration mailings. The round structure for each bidding round contains a single bidding round followed by the release of the round results. Multiple bidding rounds may be run in a given day.
80. The FCC has discretion to change the bidding schedule in order to foster an auction pace that reasonably balances speed with the bidders' need to study round results and adjust their bidding strategies. The FCC may increase or decrease the amount of time for the bidding rounds and review periods, or the number of rounds per day, depending upon the bidding activity level and other factors.
81. We will adopt minimum opening bids for the licenses in Auction No. 30, which are reducible at the discretion of the Bureau. Congress has enacted a presumption that unless the Commission determines otherwise, minimum opening bids or reserve prices are in the public interest.
82. The commenters' arguments regarding incumbency on the 39 GHz band have convinced us that some proposed minimum opening bid values may not adequately have taken into account the level of incumbency in the 39 GHz band and thus the Bureau has established minimum opening bids that more accurately reflect the level of incumbency. Accordingly, upon re-examination of the proposed formula, we will modify it as follows:
For licenses with populations less than or equal to 1,000,000 pops the minimum opening bid calculation is:
License population * $0.02 (the result rounded to the nearest hundred dollars for results of less than $10,000 and rounded to the nearest thousand dollars for results greater than $10,000.00) with a minimum of no less than $2,500.00.
For licenses with populations with greater than 1,000,000 pops, the minimum opening calculation is: $0.02 per pop for each of the first million pops and $0.04 per pop for the remaining pops (the result rounded to the nearest thousand dollars).
83. As a final safeguard against unduly high pricing, minimum opening bids are reducible at the discretion of the Bureau. This will allow the Bureau flexibility to adjust the minimum opening bids if circumstances warrant. We emphasize, however, that such discretion will be exercised, if at all, sparingly and early in the auction,
84. In Auction No. 30, we will use a smoothing methodology to calculate minimum bid increments. We will further retain the discretion to change the minimum bid increment if circumstances so dictate. The formula used to calculate this increment is included as Attachment G to the
85. We adopt our proposal of initial values for the maximum of 0.2 or 20 percent of the license value, and a minimum of 0.1 or 10 percent of the license value. The Bureau retains the discretion to change the minimum bid increment if it determines that circumstances so dictate, such as raising the minimum increment toward the end of the auction to enable bids to reach their final values more quickly. The Bureau will do so by announcement in the Automated Auction System. Under its discretion, the Bureau may also implement an absolute dollar floor for the bid increment to further facilitate a timely close of the auction. The Bureau may also use its discretion to adjust the minimum bid increment without prior notice if circumstances warrant. As an alternative approach, the Bureau may, in its discretion, adjust the minimum bid increment gradually over a number of rounds as opposed to single large changes in the minimum bid increment (
86. Each bid will be date- and time-stamped when it is entered into the FCC computer system. In the event of tie bids, the Commission will identify the high bidder on the basis of the order in which the Commission receives bids.
87. During a bidding round, a bidder may submit bids for as many licenses as it wishes, subject to its eligibility, as well as withdraw high bids from previous bidding rounds, remove bids placed in the same bidding round, or permanently reduce eligibility. Bidders also have the option of making multiple submissions and withdrawals in each bidding round. If a bidder submits multiple bids for a single license in the same round, the system takes the last bid entered as that bidder's bid for the round, and the date- and time-stamp of that bid reflects the latest time the bid was submitted.
88. A bidder's ability to bid on specific licenses in the first round of the auction is determined by two factors: (1) The licenses applied for on FCC Form 175; and (2) the upfront payment amount deposited. The bid submission screens will be tailored for each bidder to include only those licenses for which the bidder applied on its FCC Form 175. A bidder also has the option to further tailor its bid submission screens to call up specified groups of licenses. The bidding software requires each bidder to login to the FCC auction system during the bidding round using the FCC account number, bidder identification number, and the confidential security codes provided in the registration materials. Bidders are strongly encouraged to download and print bid confirmations
89. The Bureau will limit the number of rounds in which bidders may place withdrawals to two rounds. These rounds will be at the bidder's discretion and there will be no limit on the number of bids that may be withdrawn in either of these rounds. Withdrawals during the auction will still be subject to the bid withdrawal payments specified in 47 CFR 1.2104(g). Bidders should note that abuse of the Commission's bid withdrawal procedures could result in the denial of the ability to bid on a market. If a high bid is withdrawn, the license will be offered in the next round at the second highest bid price, which may be less than, or equal to, in the case of tie bids, the amount of the withdrawn bid, without any bid increment. The Commission will serve as a “place holder” on the license until a new acceptable bid is submitted on that license.
90. Before the close of a bidding round, a bidder has the option of removing any bids placed in that round. By using the “remove bid” function in the software, a bidder may effectively “unsubmit” any bid placed within that round. A bidder removing a bid placed in the same round is not subject to withdrawal payments. For information on withdrawal procedures and the calculation of withdrawal payments is included in the
91. Bids placed during a round will not be published until the conclusion of that bidding period. After a round closes, the Commission will compile reports of all bids placed, bids withdrawn, current high bids, new minimum accepted bids, and bidder eligibility status (bidding eligibility and activity rule waivers), and post the reports for public access.
92. The FCC will use auction announcements to announce items such as schedule changes and stage transitions. All FCC auction announcements will be available on the FCC remote electronic bidding system, as well as the Internet.
93. After the short-form filing deadline, applicants may make only minor changes to their FCC Form 175 applications. Filers must make these changes on-line, and submit a letter to Amy Zoslov, Chief, Auctions and Industry Analysis Division, Wireless Telecommunications Bureau, Federal Communications Commission, 445 12th Street, SW., Washington, DC 20554 (and mail a separate copy to Kenneth Burnley, Auctions and Industry Analysis Division), briefly summarizing the changes. Questions about other changes should be directed to Kenneth Burnley, Auctions and Industry Analysis Division at (202) 418-0660.
94. After bidding has ended, the Commission will issue a public notice declaring the auction closed, identifying the winning bids and bidders for each license, and listing withdrawn bid payments due.
95. Within ten business days after release of the auction closing notice, each winning bidder must submit sufficient funds (in addition to its
96. Within ten business days after release of the auction closing notice, winning bidders must electronically submit a properly completed long-form application and required exhibits for each 39 GHz band license won through the auction. Winning bidders that are small businesses or very small businesses must include an exhibit demonstrating their eligibility for bidding credits.
97. Any high bidder that defaults or is disqualified after the close of the auction (
98. All applicants that submitted upfront payments but were not winning bidders for a 39 GHz license may be entitled to a refund of their remaining upfront payment balance after the conclusion of the auction. No refund will be made unless there are excess funds on deposit from that applicant after any applicable bid withdrawal payments have been paid.
99. Bidders that drop out of the auction completely may be eligible for a refund of their upfront payments before the close of the auction. However, bidders that reduce their eligibility and remain in the auction are not eligible for partial refunds of upfront payments until the close of the auction. Qualified bidders that have exhausted all of their activity rule waivers, have no remaining bidding eligibility, and have not withdrawn a high bid during the auction must submit a written refund request which includes wire transfer instructions, a Taxpayer Identification Number (“TIN”), and a copy of their bidding eligibility screen print, to: Federal Communications Commission, Financial Operations Center, Auctions Accounting Group, Attention: Shirley Hanberry, 445 12th Street, SW, Room 1-A824, Washington, DC 20554.
100. Bidders are encouraged to file their refund information as a confidential attachment to their short-form application when submitting the FCC Form 175. Bidders can also fax their request to the Auctions Accounting Group at (202) 418-2843. Once the request has been approved, a refund will be sent to the address provided on the FCC Form 159.
Refund processing generally takes up to two weeks to complete. Bidders with questions about refunds should contact Michelle Bennett or Gail Glasser at (202) 418-1995.
Office of the Secretary, HUD.
Super Notice of Funding Availability (SuperNOFA) for HUD Grant Programs.
This Fiscal Year 2000 Super Notice of Funding Availability (SuperNOFA) announces the availability of approximately
The
The information in this section is applicable to all programs that are part of this SuperNOFA. This section describes how you may obtain application kits, further information about the SuperNOFA and technical assistance. A guidebook to HUD programs, titled “Connecting with Communities: A User's Guide to the HUD Programs and the 2000 SuperNOFA Process.” This guidebook provides a brief description of all of HUD's programs, a description of the SuperNOFA programs, and eligible applicants for these programs, and examples of how programs can work in combination to serve local community needs. The main sources for obtaining this information are:
The
HUD's web site on the Internet at
You may request general information and application kits from the SuperNOFA Information Center. When requesting an application kit from the SuperNOFA Information Center, please refer to the name of the program of the application kit you are interested in receiving. Please be sure to provide your name, address (including zip code), and telephone number (including area code). To ensure sufficient time to prepare your application, requests for application kits can be made immediately following publication of the SuperNOFA. The SuperNOFA Information Center opens for business simultaneously with the publication of the SuperNOFA.
The SuperNOFA Information Center (1-800-HUD-8929) can provide you with assistance, application kits, and guidance in determining which HUD Office(s) should receive a copy of your application. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-HUD-2209. Additionally, you can obtain information on this SuperNOFA and application kits for this SuperNOFA through the HUD web site on the Internet at http://www.hud.gov.
This year marks the third year that HUD is issuing a SuperNOFA for almost all of its competitive grant programs, and the first year, as further discussed below, that HUD has added to the SuperNOFA its announcements of funding availability for Section 8 housing voucher assistance for certain initiatives. The SuperNOFA approach, in which the great majority of HUD's competitive funds are announced in one document, is designed to simplify the application process, bring consistency and uniformity to the application and selection process, and accelerate the availability of funding. Equally important, the SuperNOFA approach is designed to increase the ability of applicants to consider and apply for funding under a wide variety of HUD programs. The SuperNOFA provides a “menu” of HUD competitive programs. From this menu, communities will be made aware of funding available for their jurisdictions. Nonprofits, public housing agencies, local and State governments, tribal governments and tribally designated housing entities, veterans service organizations, faith-based organizations and others will be able to identify the programs for which they are eligible for funding.
The most creative and novel element of the SuperNOFA is that it places heavy emphasis on the coordination of activities assisted by HUD funds to provide (1) greater flexibility and responsiveness by potential grantees in meeting local housing and community development needs, and (2) greater flexibility for eligible applicants to determine what HUD program resources best fit the community's needs. The SuperNOFA's promotion of coordination and comprehensive planning of HUD assistance reduces duplication in the delivery of services by organizations and communities, and allows for delivery of a wider more integrated array of services, thereby resulting in more efficient use of HUD funds to more effectively serve a greater number of those most in need of HUD assistance.
(1)
(2)
Programs that are no longer included in the SuperNOFA are HUD's Comprehensive Improvement Assistance Program (CIAP) and Public Housing Drug Elimination Program (PHDEP), which now distribute funds through formula. (CIAP funds will eventually become part of HUD's new Capital Fund Program, which also will be distributed by formula.) HUD's Multifamily Drug Elimination Program and the New Approach Anti-Drug Program remain part of the SuperNOFA. Additionally, this FY 2000 SuperNOFA includes Public Housing Drug Elimination Technical Assistance for Safety and Security.
HUD's Tenant Opportunities Program (TOP) and Economic Development Supportive Services Program (EDSS) have been replaced by a new program—the Resident Opportunities and Self-Sufficiency (ROSS) Program.
In this FY 2000 SuperNOFA, in addition to the Hispanic Serving Institutions Assisting Communities Program, there is also funding for the Alaska Native/Native Hawaiian Institutions Assisting Communities Program.
HUD's Healthy Homes Initiative that was published as a separate NOFA in FY 1999, is part of the FY 2000 SuperNOFA.
The SuperNOFA is divided into two major sections. The
Please read carefully both the
As part of the simplification of this funding process, and to avoid duplication of effort, the SuperNOFA provides for consolidated applications for several of the programs that are part of this SuperNOFA. HUD programs that provide assistance for, or complement, similar activities (for example, the Continuum of Care programs and CPD Technical Assistance programs) have a consolidated application that reduces the administrative and paperwork burden applicants would otherwise encounter in submitting a separate application for each program. The Program Chart in this introductory section of the SuperNOFA identifies the programs that have been consolidated and for which a consolidated application is made available to eligible applicants.
As noted earlier in this Introduction to the FY 2000 SuperNOFA, HUD is providing copies of the application forms in this publication. The standard forms, certifications and assurances applicable to all programs, or the great majority of programs, in the SuperNOFA follow the
The specific statutory and regulatory requirements of the programs that are part of this SuperNOFA continue to apply to each program. The SuperNOFA will identify, where necessary, the statutory requirements and differences applicable to the specific programs.
The programs that are part of this SuperNOFA are identified in the chart below. The approximate available funds for each program are based on appropriated funds, and for some programs, the available funding include funds already recaptured. In the event: (1) HUD recaptures funds (either for programs for which funding already reflects recaptured funds or other programs for which funding does not reflect recaptured funds), or (2) other funds become available for any program, HUD reserves the right to increase the available funding amount for a program by the additional amounts that become available.
The chart also includes the application due date for each program, the OMB approval number for the information collection requirements contained in the specific program, and the Catalog of Federal Domestic Assistance (CFDA) number.
(A)
(B)
(1)
(2)
(3)
(C)
(D)
Except as may be modified in the
(A)
(B)
If you, the applicant—
(a) Have been charged with a systemic violation of the Fair Housing Act by the Secretary alleging ongoing discrimination;
(b) Are a defendant in a Fair Housing Act lawsuit filed by the Department of Justice alleging an ongoing pattern or practice of discrimination; or
(c) Have received a letter of noncompliance findings under Title VI, Section 504, or Section 109—
HUD will not rate and rank your application under this SuperNOFA if the charge, lawsuit, or letter of findings has not been resolved to the satisfaction of the Department before the application deadline stated in the individual program NOFA. HUD's decision regarding whether a charge, lawsuit, or a letter of findings has been satisfactorily resolved will be based upon whether appropriate actions have been taken to address allegations of ongoing discrimination in the policies or practices involved in the charge, lawsuit, or letter of findings.
(2)
(C)
(D)
(1) Address the elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific activities provided in your responses to the SuperNOFA rating factors that address affirmatively furthering fair housing. Please see the
(E)
• Historically Black Colleges and Universities (HBCU);
• Hispanic-Serving Institutions Assisting Communities (HSIAC);
• Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/NHIAC)
• Lead-Based Paint Hazard Control;
• Healthy Homes Initiative;
• HOPE VI Public Housing Revitalization and Demolition;
• Public Housing Drug Elimination Technical Assistance for Safety and Security;
• New Approach Anti-Drug Program;
• Multifamily Housing Drug Elimination Program;
• Resident Opportunity and Self-Sufficiency Program;
• Economic Development Initiative (EDI);
• Brownfields Economic Development Initiative (BEDI);
• Self-Help Homeownership Opportunity Program (SHOP);
• Youthbuild Program;
• Rural Housing and Economic Development Program;
• Continuum of Care Homeless Assistance Programs;
• Housing Opportunities for Persons with AIDS (HOPWA);
• Section 202 Supportive Housing for the Elderly Program;
• Section 811 Supportive Housing for Persons with Disabilities Program;
More information is available on Section 3 at the following website—
(F)
(G)
As part of HUD's continuing efforts to improve the SuperNOFA process, several of the required standard forms have been simplified this year. The standard forms, certifications, and assurances are as follows:
• Standard Form for Application for Federal Assistance (SF-424) (which includes civil rights/fair housing certification);
• Federal Assistance Funding Matrix, HUD-424M;
• Standard Form for Budget Information—Non-Construction Programs (SF-424A) or
• Standard Form for Budget Information-Construction Programs (SF-424C), as applicable;
• Standard Form for Assurances—Non-Construction Programs (SF-424B) or
• Standard Form for Assurances—Construction Programs (SF-424D), as applicable; Drug-Free Workplace Certification (HUD-50070);
• Certification of Payments to Influence Federal Transaction (HUD-50071) and if engaged in lobbying, the Disclosure Form Regarding Lobbying (SF-LLL); (Tribes and tribally designated housing entities (TDHEs) established by an Indian tribe as a result of the exercise of the tribe's sovereign power are not required to submit this certification. Tribes and TDHEs established under State law are required to submit this certification.)
• Applicant/Recipient Disclosure/Update Report (HUD-2880);
• Certification Regarding Debarment and Suspension (HUD-2992). This is the certification required by 24 CFR 24.510. (The provisions of 24 CFR part 24 apply to the employment, engagement of services, awarding of contracts, subgrants, or funding of any recipients, or contractors or subcontractors, during any period of debarment, suspension, or placement in ineligibility status, and a certification is required.)
• Certification of Consistency with the EZ/EC Strategic Plan (HUD-2990) (if applicable);
• Certification of Consistency with the Consolidated Plan (HUD-2991) (if applicable).
Copies of these standard forms follow this
Also included in the Appendix B to this
(H)
(I)
(1) HUD has completed an environmental review in accordance with 24 CFR part 50; or (2) For programs subject to 24 CFR part 58, HUD has approved a grantee's Request for Release of Funds (HUD Form 7015.15) following a Responsible Entity's completion of an environmental review.
You, the applicant, should consult the
(J)
(A)
(1)
(2)
(B)
(C)
(1)
In the BEDI competition, two bonus points are available for federally designated Brownfields Show Case Communities. (Please see BEDI section of this SuperNOFA for additional information). A listing of the federally designated EZs, ECs, and Enhanced ECs and Brownfields Showcase Communities is available from the SuperNOFA Information Center, or
(2)
(3)
The Continuum of Care Homeless Assistance Programs have only two factors that receive points: Need and Continuum of Care.
(D)
(E)
(3) If funds remain after funding the highest ranking applications, HUD may fund part of the next highest ranking application in a given program. If you, the applicant, turn down the award offer, HUD will make the same determination for the next highest ranking application. If funds remain after all selections have been made, remaining funds may be available for other competitions for each program where there is a balance of funds.
(4) In the event HUD commits an error that, when corrected, would result in selection of an otherwise eligible applicant during the funding round of this SuperNOFA, HUD may select that applicant when sufficient funds become available.
(F)
The application submission requirements are specified in the
After the application due date, HUD may not, consistent with its regulations in 24 CFR part 4, subpart B, consider any unsolicited information you, the applicant, may want to provide. HUD may contact you, however, to clarify an item in your application or to correct technical deficiencies. You should note, however, that HUD may not seek clarification of items or responses that improve the substantive quality of your response to any selection factors. In order not to unreasonably exclude applications from being rated and ranked, HUD may, however, contact applicants to ensure proper completion of the application and will do so on a uniform basis for all applicants.
(A)
(B)
(C)
(D)
(E)
(F)
Applicants should see
HUD's objective is to select projects funded under this SuperNOFA which demonstrate high potential opportunities for application of PATH technologies. HUD will provide technical assistance in the form of architectural, engineering and financial analysis to incorporate the specific technologies appropriate to the type of construction and climate. More information about PATH is available at the following website—
(G)
(1)
(2)
(A)
(B)
(C)
(D)
(1)
(2)
(3)
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative agreements on a discretionary (non-formula, non-demand) basis, but that is not provided on the basis of a competition.
(E)
Applicants or employees who have ethics related questions should contact the HUD Ethics Law Division at (202) 708-3815. (This is not a toll-free number.) For HUD employees who have specific program questions, the employee should contact the appropriate field office counsel, or Headquarters counsel for the program to which the question pertains.
Each year, HUD strives to improve its SuperNOFA. The FY 2000 SuperNOFA was revised based on comments received during the FY 1999 funding process. HUD continues to welcome comments and feedback from applicants and other members of the public on how HUD may further improve its competitive funding process.
The description of programs for which funding is available under this SuperNOFA follows.
This appendix to the General Section of the SuperNOFA contains the standard forms, certifications and assurances used by the majority if not all of the programs that are part of the SuperNOFA. Also included in this appendix is Form HUD-52515, Funding Application, required for the Section 8 voucher assistance funding announcement. These forms are found on the following pages.
If you are interested in applying for funding under this program, please review carefully the General Section of this SuperNOFA and the following additional information.
The original application that you submit to Headquarters is considered the official application. Send a copy of your application on or before the application deadline date to the HUD CPD Field Office(s) in which you are seeking to provide services. Only one application per applicant is permitted; however, one application can include as few as one or as many as all four CD-TA programs.
See the
When submitting your application, please refer to the Community Development Technical Assistance Program. Be sure to include your name, mailing address (including zip code), telephone number (including area code), and fax number (including area code).
(A) The amounts allocated for each CD-TA program are as follows:
(B) Each HUD/CPD Field Office has been allocated a “fair-share” of CD-TA funds for purposes of this competition, except for the HOPWA TA funds which will be awarded only through a national competition (see CD-TA Appendix A for the fair share allocations). The amounts are based on allocations of HOME and McKinney Act Homeless Assistance formula funds and competitive programs for which Field Offices have management oversight. These amounts are only for guidance purposes for you to develop your
HUD will determine the total amount to be awarded to any provider based upon the size and needs of the provider's service area within each Field Office jurisdiction in which the provider is selected to operate, the funds available for that area, the number of other awardees selected in that area, and the scope of the technical assistance to be provided. Additionally, HUD may reduce the amount of funds allocated for Field Office jurisdictions to fund national CD-TA providers and other CD-TA providers for activities which cannot be budgeted or estimated by Field Office jurisdiction. HUD may require selected applicants, as a condition of funding, to provide coverage on a geographically broader basis than applied for in order to supplement or strengthen the intermediary network in terms of the location (service area), types and scope of technical assistance proposed.
(C) In order to reach new technical assistance providers in the HOME, CHDO and McKinney Act Homeless Assistance program areas, 40% of the funds in each of these three program areas within a Field Office (or at the national level) will be awarded to applicants who have not previously been funded under a CPD technical assistance competition. Therefore, approximately $3.6 million will be awarded to new providers in HOME; $3.2 million in CHDO; and $1.6 million in McKinney Act Homeless Assistance. With respect to CHDO funds, 40% of the total funds (single state and multi-state combined) are earmarked for new providers. If qualified new applicants are not found in each program area in each Field Office and/or at the national level, the remaining funds will be made available for previously funded providers. The reverse also is true.
(D) To the extent permitted by funding constraints, HUD intends to provide coverage for as full a range as possible, of eligible CD-TA activities of each CD-TA program in each Field Office jurisdiction. To achieve this objective, HUD will fund the highest ranking providers that bring the required expertise in one or more specialized activity areas, and fund portions of providers' proposed programs in which they have the greatest skill and capability for given geographic areas or on a national basis. HUD also may require national, multi-jurisdictional, or other providers to provide coverage to Field Office jurisdictions which cannot otherwise receive cost-effective support from a CD-TA provider. In selecting applicants for funding, in addition to the rating factors, HUD will apply program policy criteria identified in Section V of this CD-TA Program section of SuperNOFA to select a range of providers and activities that would best serve program objectives for each program serviced by the CD-TA funded under this SuperNOFA.
(A)
The funding of these four CD-TA programs through a single funding availability announcement will not affect the ability of eligible applicants to seek CD-TA funding. Eligible applicants are able to apply for funding under as few as one, and as many as four, separate CD-TA programs, individually or collectively, singularly or in combination. The specific provisions of the four separate CD-TA programs have not been changed. This Community Development Technical Assistance Programs section of the SuperNOFA reflects the statutory requirements and differences in the four different CD-TA programs.
(B)
(a) Terminate awards in accordance with provisions contained in OMB Circular A-102, and 24 CFR parts 84 and 85 anytime after 12 months;
(b) Withdraw funds from a specific provider, if HUD determines that the urgency of need for the assistance is greater in other Field Office jurisdictions or the need for assistance is not commensurate with the award for assistance;
(c) Extend the performance period of individual awardees up to a total of 12 additional months.
(2) In cases where an applicant selected for funding under this CD-TA program section of the SuperNOFA currently is providing CD technical assistance under an existing CD-TA grant/cooperative agreement, HUD reserves the right to adjust the start date of funding under this program to coincide with the conclusion of the previous award, or to incorporate the remaining activities from the previous award into the new agreement, adjusting the funding levels as necessary.
(C)
(a) Many organizations are eligible to apply for more than one CD-TA program and are encouraged to do so to the extent they have the requisite experience, expertise and capability.
(b) All applicant organizations must have demonstrated ability to provide CD-TA in a geographic area larger than a single city or county and must propose to serve an area larger than a single city or county.
(c) An organization may not provide assistance to itself, and any organization funded to assist CHDOs under this CD-TA Program section of the SuperNOFA may not act as a CHDO itself within its service area while under award with HUD.
(d) A consortium of organizations may apply for one or more CD-TA programs, but HUD will require that one organization be designated as the legal applicant, where legally feasible. Where one organization cannot be so designated for all proposed activities, HUD may execute more than one cooperative agreement with the members of a consortium. However, in general HUD will not award more than one cooperative agreement per application unless necessary due to legal requirements.
(e) All applicants must meet minimum statutory eligibility requirements for each CD-TA program for which they are chosen in order to be awarded a cooperative agreement. Copies of the Technical Assistance program regulations will be provided with the application kit.
(f) All eligible CD-TA providers may propose assistance using in-house staff, consultants, sub-contractors and sub-recipients, networks of private consultants and/or local organizations with requisite experience and capabilities. Whenever possible, applicants should make use of technical assistance providers located in the Field Office jurisdiction receiving services. This draws upon local expertise and persons familiar with the opportunities and resources available in the area to be served while reducing travel and other costs associated with delivering the proposed technical assistance services.
(g) All applicants must meet the applicable threshold requirements of
(2)
(a) States, units of general local government, and public housing authorities.
(b) Public and private non-profit or for-profit groups, including educational institutions and area-wide planning organizations, qualified to provide technical assistance on McKinney Act Homeless Assistance projects.
(3)
HUD will consider an intermediary as a primarily single State technical assistance provider if it can document that more than 50% of its past activities in working with CHDOs or similar nonprofit and other organizations (on the production of affordable housing or revitalization of deteriorating neighborhoods and/or the delivery of technical assistance to these groups) was confined to the geographic limits of a single State.
(4)
(a) A for-profit or non-profit professional and technical services company or firm that has demonstrated capacity to provide technical assistance services;
(b) A HOME participating jurisdiction (PJ) or agency thereof;
(c) A public purpose organization responsible to the chief elected official of a PJ and established pursuant to State or local legislation;
(d) An agency or authority established by two or more PJs to carry out activities consistent with the purposes of the HOME program;
(e) A national or regional non-profit organization that has membership comprised predominantly of entities or officials of entities of PJs or PJs' agencies or established organizations.
(5)
(a) Non-profit organizations; and
(b) States and units of general local government.
(D)
(1)
(a) Organizational Support—Organizational support assistance may be made available to community housing development organizations to cover operational expenses and to cover expenses for training and technical, legal, engineering and other assistance to the board of directors, staff, and members of the community housing development organization;
(b) Housing Education—Housing education assistance may be made available to community housing development organizations to cover expenses for providing or administering programs for educating, counseling, organizing homeowners and tenants who are eligible to receive assistance under other provisions of the HOME Program;
(c) Program-Wide Support of Nonprofit Development and Management—Technical assistance, training, and continuing support may be made available to eligible community housing development organizations for managing and conserving properties developed under the HOME Program;
(d) Benevolent Loan Funds—Technical assistance may be made available to increase the investment of private capital in housing for very low-income families, particularly by encouraging the establishment of benevolent loan funds through which private financial institutions will accept deposits at below-market interest rates and make those funds available at favorable rates to developers of low-income housing and to low-income homebuyers;
(e) Community Development Banks and Credit Unions—Technical assistance may be made available to establish privately owned, local community development banks and credit unions to finance affordable housing;
(f) Community Land Trusts—Organizational support, technical assistance, education, training and continuing support under this subsection may be made available to community land trusts (as such term is defined in section 233(f) of the Cranston-Gonzalez National Affordable Housing Act) and to community groups for the establishment of community land trusts; and
(g) Facilitating Women in Homebuilding Professions—Technical assistance may be made available to businesses, unions, and organizations involved in construction and rehabilitation of housing in low- and moderate-income areas to assist women residing in the area to obtain jobs involving such activities, which may include facilitating access by helping such women develop nontraditional skills, recruiting women to participate in such programs, providing continuing support for women at job sites, counseling and educating businesses regarding suitable work environments for women, providing information to such women regarding opportunities for establishing small housing construction and rehabilitation businesses, and providing materials and tools for training such women (in an amount not exceeding 10% of any assistance provided under this paragraph). HUD shall give priority under this paragraph to providing technical assistance for organizations rehabilitating single family or multifamily housing owned or controlled by HUD pursuant to title II of the National Housing Act and which have women members in occupations in which women constitute 25% or less of the total number of workers in the occupation (in this section referred to as “nontraditional occupations”).
(2)
(a) Facilitate the exchange of information that would help participating jurisdictions carry out the purposes of the HOME statute, including information on program design and accessibility, housing finance, land use controls, and building construction techniques;
(b) Improve the ability of States and units of local government to design and implement housing strategies, particularly those States and units of local government that are relatively inexperienced in the development of affordable housing;
(c) Encourage private lenders and for-profit developers of low-income housing to participate in public-private partnerships to achieve the purposes of the HOME statute;
(d) Improve the ability of States and units of local government, community housing development organizations, private lenders, and for-profit developers of low-income housing to incorporate energy efficiency into the planning, design, financing, construction and operation of affordable housing;
(e) Facilitate the establishment and efficient operation of employer-assisted housing programs, through research, technical assistance, and demonstration projects; and
(f) Facilitate the establishment and efficient operation of land bank programs, under which title to vacant and abandoned parcels of real estate located in or causing blighted neighborhoods is cleared for use consistent with the purposes of the HOME statute.
(3)
(4)
An applicant for HOPWA TA funds must propose activities on a national basis, a regional basis (
HOPWA TA funds can be used to help to strengthen the management, operation, and capacity of grantees, project sponsors, and potential applicants to ensure that organizations use funds in a manner that upholds the public trust in the operation of programs. To achieve this goal, HOPWA TA can be used in the following areas:
(i) Management and operations through such activities as:
(
(
(
(ii) State, local, and community planning through such activities as:
(
(
(
(
(
(iii) Program evaluation through such activities as:
(
(
The Department has been advised by persons living with HIV/AIDS, HIV/AIDS housing providers, and national organizations, of the continuing disparity in accessing health-care and HIV/AIDS treatment among underserved populations, such as, racial and ethnic minority populations, women, and persons living in rural areas. In an effort to meet this continuing need and diversify the number and type of organizations that have traditionally received HOPWA funding, the Department is encouraging that HOPWA TA funds be used to build collaborations between HOPWA grantees, project sponsors, and/or potential grantees to enhance the provision of housing assistance and related supportive services to better serve underserved populations on a national, regional, or local level.
Collaborations may pair organizations that are experienced in developing or operating housing facilities and housing assistance programs with organizations that provide services or use culturally-sensitive efforts to reach persons in underserved communities, but may have little or no experience in meeting the housing needs of persons living with HIV/AIDS. It is intended that this collaborative approach will meet the HOPWA TA goal of providing for sound management of HOPWA programs, projects, or potential applicants.
HOPWA TA providers seeking funds to work with organizations targeting underserved populations must further the HOPWA TA national goal of Sound Management by addressing the following.
(i) Addressing the management and operation of organizations serving underserved populations by:
(
(
(ii) Addressing State, local, and community planning affecting underserved populations by:
(
(
(iii) Addressing program evaluation of projects serving underserved populations by:
(
(
(
All assistance provided to targeted underserved communities must be in accordance with the requirements of the Fair Housing Act.
For the purposes of the HOPWA TA portion of this NOFA, underserved populations are defined as low-income populations living with HIV/AIDS and their families, such as racial or ethnic minority groups, women, persons living in rural areas, or other underserved groups as determined by your service
(E)
(1) The sub-grant amount, when combined with other capacity building and operating support available through the HOME program, cannot exceed the greater of 50% of the CHDO's operating budget for the year in which it receives the funds, or $50,000 annually;
(2) An amount not exceeding 10% of the total funds awarded for the “Women in the Homebuilding Professions” eligible activity may be used to provide materials and tools for training such women.
In addition to the program requirements listed in the General Section of this SuperNOFA, applicants are subject to the following requirements:
(A)
(1)
(2)
(a) As an awardee, you must operate within the structure of the demand/response system described in this section. You must coordinate your plans with, and operate under the direction of, each HUD Field Office within whose jurisdiction you are operating. When so directed by a Field Office, you will coordinate your activities instead through a lead CD-TA provider or other organization designated by the Field Office.
(b) If selected as the lead CD-TA provider in any Field Office jurisdiction, as an awardee you must coordinate the activities of other CD-TA providers selected under this CD-TA Program section of the SuperNOFA under the direction of the HUD Field Office. Joint activities by CD-TA providers may be required.
(c) Under the demand/response system, CD-TA providers will be required to:
(i) When requested by a Field Office or Government Technical Representative (GTR), market the availability of their services to existing and potential clients to include local jurisdictions in which the assistance will be delivered.
(ii) Respond to requests for assistance from the HUD Field Office(s) with oversight of the geographic service area for which the technical assistance will be delivered, including responding to priorities established by the Field Office in its Grants Management System. CHDOs, HOME PJs, and McKinney Act Homeless Assistance grantees may request assistance from the CD-TA provider directly, but such requests must be approved by the local HUD Field Office.
(iii) When requested by a Field Office or GTR, conduct a Needs Assessment to identify the type and nature of the assistance needed by the recipients of the assistance. These needs assessments should typically identify the nature of the problem to be addressed by the technical assistance services; the plan of action to address the need including the type of technical assistance services to be provided, the duration of the service, the staff assigned to provide the assistance, anticipated products and/or outcomes, and the estimated cost for the provision of services; and the relationship of the proposed services to the planned or expected Consolidated Plan submission to HUD and to other technical assistance providers providing service within the locality.
(iv) Obtain approval for the Technical Assistance Delivery Plan (TADP) from the HUD Field Office(s) with oversight for the area in which service will be provided. (See Section 3 below).
(v) Work cooperatively with other CD-TA providers in their geographic areas to ensure that clients are provided with the full range of CD-TA services needed and available. CD-TA providers are expected to be knowledgeable about the range of services available from other providers, make referrals and arrange visits by other CD-TA providers when appropriate, and carry out CD-TA activities concurrently when it is cost-effective and in the interests of the client to do so. HUD Field Offices may direct CD-TA providers to conduct joint activities.
(3)
(a) After selection for funding but prior to award, you must develop a TADP for each Field Office jurisdiction or National Program for which you have been selected, in consultation with the Field office and/or GTR.
(b) In developing the TADP, you must follow the Field Office's Business Operating Plan (BOP) and management strategies/workplans for each community/State in the Field Office's jurisdiction. You must use these BOP/management strategies/workplans in determining your priority work activities, location of activities, and organizations to be assisted during the cooperative agreement performance period.
(c) The BOP/grantee management strategies/workplans are part of the Field Office's Grants Management Process (GMP) and should indicate the issues to be addressed by CD-TA, the improved performance expected as a result of CD-TA, and methods for measuring the success of the CD-TA.
(d) The TADP must delineate all the tasks and sub-tasks for each CD program the applicant will undertake in each Field Office jurisdiction. The TADP must show the location of the community/State in which the CD-TA activities will occur, the level of CD-TA funding and proposed activities by location, the improved program performance or other results expected from the CD-TA and the methodology to be used for measuring the success of the CD-TA. A time schedule for delivery of the activities, budget summary, budget-by-task and staffing plan must be included in the TADP.
(4)
(5)
(6)
(7)
(8)
(a) Design the course materials as “step-in” packages (also called “train-the trainer” packages) so that a Field Office or other CD-TA provider may separately give the course on its own;
(b) Arrange for joint delivery of the training with Field Office participation when so requested by the Field Office or by the GTR for national grants; and
(c) When requested by a Field Office and/or GTR, provide for professional videotaping of the workshops/courses and ensure their production in a professional and high-quality manner, suitable for viewing by other CD clients (if this requirement is implemented, additional funds may be requested).
(d) When required by HUD, deliver HUD-approved training courses that have been designed and developed by other HUD contractors or HUD cooperating parties on a “step-in” basis for CD-TA clients, and send trainers to HUD-approved Train-the Trainer sessions.
(9)
(10)
(11)
(a) Establish written criteria for selection of CHDOs receiving pass-through funds which includes the following:
(i) Participating jurisdictions (PJs) must designate the organizations as CHDOs.
(ii) Generally, the organizations should not have been in existence more than 3 years.
(b) Enter into an agreement with the CHDO that the agreement and pass-through funding may be terminated at the discretion of the Department if no written legally binding agreement to provide assistance for a specific housing project (for acquisition, rehabilitation, new construction or tenant-based rental assistance) has been made by the PJ with the CHDO within 24 months of receiving the pass-through funding.
(12)
(b) Pursuant to section 233(e), HUD is making available through this CD-TA program section of the SuperNOFA 40% of the total CHDO TA funds to single state providers within the Field Offices. As discussed in Section III(C)(3), CHDO Eligible Applicants, to be considered a single state provider you must be able to document that 50% of your past activities working with CHDOs or similar nonprofits and other organizations was confined to the geographic limits of a single state. Therefore, you can be designated a single state provider in one Field Office jurisdiction only and you should so indicate on your funding matrix submission. In all other Field Offices in which you are applying for CHDO TA funding, you are a multi-state provider. If there are no single state applicants or the qualified single state applicants utilize less than the 40% set-aside in a given Field Office, that Field Office's single state CHDO set-aside will be redistributed among the qualified multi-state providers in that Field Office. Field Offices also may utilize their multi-state set-aside for single state applicants if the reverse is true.
(13)
(14)
(a)
(b)
(15)
(B)
(1)
(2)
(A)
(1) HUD will evaluate applications competitively and rank them against all other applicants that have applied for the same CD-TA program (HOME, McKinney Act Homeless Assistance) within each Field Office or as a National Provider under HOPWA. CHDO applications are similarly evaluated and ranked but are separated into two sub-groups—single State providers and multi-State providers. There will be separate rankings for each CD-TA program, and you will be ranked only against others that have applied for the same CD-TA program.
(2) Once scores are assigned, all applications will be listed in rank order for each CD-TA program for which they applied by Field Office jurisdiction and/or the HOPWA National Program. In each Field Office jurisdiction or National Program area, all applications for the HOME TA program will be listed in rank order on another list, all applications for the McKinney Act Homeless Assistance TA program will be listed in rank order on another list, and all applications for the HOPWA TA national projects will be ranked separately on another list. All applications for the CHDO TA program will be ranked separately on either the single state provider list or the multi-state provider list. Under this system, a single application from one organization for all CD-TA programs could be assigned different scores and different rankings for each program in different Field Offices.
(3) Applications will be funded in rank order for each CD-TA program by Field Office jurisdiction, except for HOPWA TA national providers and others which cannot be ranked by Field Office jurisdiction. National providers and others will be ranked separately and funded in rank order for each CD-TA program. Irrespective of final scores, HUD may apply program policy criteria to select one applicant in each of the three (CHDO, HOME and McKinney Act Homeless Assistance) CD-TA programs in each Field Office or nationally, to ensure diversity of methods, approaches, or kinds of projects. HUD will apply these program policy criteria to provide coverage of CD-TA services for minorities; women, particularly women in the homebuilding professions under section 233(b)(7) of the Cranston-Gonzalez National Affordable Housing Act; persons with disabilities; homeless; persons with special needs; and rural areas.
(4) In addition to the authority in the
(a) Adjust funding levels for any provider based upon the size and needs of the provider's service area within each Field Office jurisdiction in which the provider is selected to operate, the funds available for that area, the number of other awardees selected in that area, funds available on a national basis for providers that will be operating nationally, or the scope of the technical assistance to be provided;
(b) To negotiate increased grant awards with applicants approved for funding if HUD requests them to offer coverage to geographic areas for which they did not apply or budget, or if HUD receives an insufficient amount of applications.
(5) If funds remain after all selections have been made, remaining funds may be:
(a) Distributed among all HUD Field Offices (in proportion to their fair-share awards) and/or the National Program, or
(b) Made available for other CD-TA program competitions.
(6) If you apply for HOPWA TA funds, you must propose activities that will be carried out on a national, regional, State or community basis. The Department reserves the right to adjust the amount of requested funds that are awarded to correspond with the size of the intended service area in comparison to the planned national scope of activities to ensure the best use of these limited resources.
HUD may also modify the service area of a selected application, if practicable. HUD reserves the right to ensure that at least forty (40) percent of the funds awarded for HOPWA TA grants are awarded to applications that address identified and documented needs in underserved communities.
(B)
Rating of the “applicant” or the “applicant's organization and staff”, unless otherwise specified, will include any sub-contractors, consultants, sub-recipients, and members of consortia which are firmly committed to the project.
When addressing the Factors for Award, you should discuss the specific TA projects, activities, tasks, etc. that you suggest be carried out during the term of the cooperative agreement. See
In rating this factor, HUD will consider the extent to which the application demonstrates in relation to CD-TA program funding that is requested:
(1) (
(2) (
(3) (
In rating this factor, HUD will consider the extent to which your application:
(1) (
(2) (
In rating this factor, HUD will consider the extent to which your application evidences a sound approach in addressing identified needs and:
(1) (
(2) (
(3) (
(4) (
This factor addresses your ability to secure community resources (note: financing is a community resource) which can be combined with HUD's program resources to achieve program purposes. In evaluating this factor HUD will consider:
The extent to which you have partnered with other entities to secure additional resources to increase the effectiveness of the proposed program activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated to the purpose(s) of the award you are seeking. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to partner with the applicant. You also may partner with other program funding recipients to coordinate the use of resources in the target area.
You must provide evidence of leveraging/partnerships by including in the application letters of firm commitments, memoranda of understanding, or agreements to participate from those entities identified as partners in the application. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name, proposed level of commitment and responsibilities as they relate to the proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.
This factor addresses the extent to which you coordinate your activities with other known organizations, participate or promote participation in a community's Consolidated Planning process and Continuum of Care homeless assistance strategy, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups or organizations prior to submission in order to best complement, support and coordinate all known activities and if funded, the specific steps you will take to share information on solutions and outcomes with others. Describe any written agreements, memoranda of understanding in place, or that will be in place after award.
(2) Taken or will take specific steps to work with recipients of technical assistance services to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities you propose.
(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including those proposed or on-going in the community.
In addition to the forms, certifications and assurances listed in Section II(G) of
(A) Transmittal Letter which identifies the SuperNOFA, the CD-TA programs for which funds are requested and the dollar amount requested for each program, and the applicant or applicants submitting the application. If your organization has never received a CPD technical assistance award, please include a statement to this effect in the transmittal letter.
(B) Narrative statement addressing the Factors for Award described in Section V(B) of this CD-TA Program section of this SuperNOFA. You should number the narrative response in accordance with each factor for award. This narrative statement will be the basis for evaluating your application. It should include a plan of suggested TA activities as described in Factors 2, 3, and elsewhere. These suggested TA activities may form a starting point for negotiating the TADP described in Section IV(A)(3) of this CD-TA Program section of the SuperNOFA. However, they are used primarily for purposes of rating and evaluation and may be substantially altered and revised during negotiations with the Field Offices on the content of the TADPs (see Section IV(A)(3)) or Headquarters program office for national projects.
(C) Statement that identifies the Field Office jurisdictions in which you propose to offer services. If you will not offer services throughout the full jurisdictional area of the Field Office, your statement should identify the service areas involved (e.g., States, counties, etc.), as well as the communities in which you propose to offer services.
(D) A matrix that summarizes the amount of funds you are requesting for each CD-TA program in each Field Office jurisdiction. (See CD-TA Appendix B for a copy of the matrix to be submitted.)
(E) A statement as to whether you propose to use pass-through funds for CHDOs under the CHDO TA program, and, if so, the amount and proposed uses of such funds.
(F) If applying for the CHDO TA program, a certification as to whether you qualify as a primarily single-State provider under section 233(e) of the Cranston-Gonzalez Affordable Housing Act and as discussed in Section III(C)(3) of this CD-TA Program section of this SuperNOFA.
(G) A statement as to whether you propose to be considered for the role of lead CD-TA provider in one or more specific program areas in a Field Office jurisdiction, and if so, your organization's capabilities and attributes that qualify you for the role.
(H) Budget Summary identifying costs for implementing the plan of suggested TA activities by cost category for each CD-TA program for which funds are requested by Field Office or as a National Provider (in accordance with the following):
(1) Direct Labor by position or individual, indicating the estimated hours per position, the rate per hour, estimated cost per staff position and the total estimated direct labor costs;
(2) Fringe Benefits by staff position identifying the rate, the salary base the rate was computed on, estimated cost per position, and the total estimated fringe benefit cost;
(3) Material Costs indicating the item, quantity, unit cost per item, estimated cost per item, and the total estimated material costs;
(4) Transportation Costs, as applicable.
(5) Equipment charges, if any. Equipment charges should identify the type of equipment, quantity, unit costs and total estimated equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated number of consultant days, rate per day, total estimated consultant costs per consultant and total estimated costs for all consultants;
(7) Subcontract Costs, if applicable. Indicate each individual subcontract and amount;
(8) Other Direct Costs listed by item, quantity, unit cost, total for each item listed, and total other direct costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for each CD-TA program area. The grand total of all CD-TA program funds requested should reflect the grand total of all funds for which application is made.
The
In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the assistance provided by these programs relates only to the provision of technical assistance and is categorically excluded from the requirements of the National Environmental Policy Act and not subject to environmental review under the related laws and authorities. This determination is based on the ineligibility of real property acquisition, construction, rehabilitation, conversion, leasing or repair for HUD assistance under these technical assistance programs.
If you are interested in applying for funding under this program, please review carefully the
See the
Up to $8 million has been allocated to fund grants under the program. This year, HUD will award two kinds of grants—(A) New Grants to applicants who have never received a COPC grant before to undertake eligible work and (B) New Directions Grants to fund previous COPC recipients (as identified in Section III.(B) below) to undertake new directions in their activities.
(A)
The five key concepts that your COPC Program should include are:
(1) Outreach, technical assistance, and applied research should be provided to neighborhoods and neighborhood-based organizations based on what the residents decide is needed, rather than what the institution concludes is appropriate for that neighborhood;
(2) Community-based organizations and residents should be empowered by the project and be your partners throughout the life of the project and beyond, from planning to implementation to activities beyond the grant;
(3) Your applied research should be related to the outreach activities and be used to influence your activities within the grant period or shortly after it ends. HUD will not fund research without practical application;
(4) The assistance you provide should be primarily by faculty, students, or to a limited extent, by neighborhood residents or community-based organizations funded by the university; and
(5) Your program should be part of your institution's broader effort to meet its urban mission, and be supported by its senior officials, rather than just the work of a few faculty members. Your proposed activities should not duplicate those of other entities in the community and should be appropriate for an institution of higher education to undertake in light of its teaching, and research, and service missions.
(B)
Consortia of eligible institutions may apply, as long as one institution is designated the lead applicant. Since the Statement of Work and other facets of the technical review are assessed in the context of the proposed staffing, and in order to fund as many eligible applicants as possible, HUD has determined that you may be part of only one consortium or submit only one
Different campuses of the same university system are eligible to apply, even if one campus has already received COPC funding. Such campuses are eligible as separate applicants only if they have administrative and budgeting structures independent of other campuses in the system.
(C)
The statute creating COPC is very specific that the program address the problems of urban areas. HUD uses the Census definition of an urban area: a single geographic place (e.g., a city, town, or village, but not a county) with a population of 2,500 or more. You cannot meet this test by aggregating several places smaller than the population threshold in order to meet this requirement.
Funded research must have a clear near-term potential for solving specific, significant urban problems. You must have the capacity to apply your research results and to work with communities and local institutions, including neighborhood groups, local governments, and other appropriate community stakeholders, in applying these results to specific real-life urban problems.
While the list of eligible and ineligible activities is the same for both New Grant applicants and New Directions Grant applicants, New Directions Grant applicants must demonstrate that the proposed activities either implement new eligible projects in the current target neighborhood(s) or implement eligible projects in a new target neighborhood(s).
Eligible activities include:
(1) Research activities that have practical application for solving specific problems in designated communities and neighborhoods, including evaluation of the effectiveness of the outreach activities. In order to ensure that the primary focus of your project is on outreach, research may not total more than one-quarter of the total project costs contained in any grant made under this COPC funding announcement (including the required 50% match).
(2) Outreach, technical assistance and information exchange activities which are designed to address specific urban problems in designated communities and neighborhoods. Such activities must total no less than three-quarters of your total project costs (including the required 25% match). Examples of outreach activities include, but are not limited to:
(a) Job training and other training projects, such as workshops, seminars, and one-on-one and on-the-job training;
(b) Design of community or metropolitan strategies to resolve urban problems of communities and neighborhoods;
(c) Innovative use of funds to provide direct technical expertise and assistance to local community groups, residents, and other appropriate community stakeholders to assist them in resolving local problems such as homelessness, housing discrimination, and impediments to fair housing choice;
(d) Technical assistance in business start-up activities for low-and moderate-income individuals and organizations, including business start-up training and technical expertise and assistance, mentor programs, assistance in developing small loan funds, business incubators, etc;
(e) Technical assistance to local public housing authorities on welfare-to-work initiatives and physical transformations of public or assisted housing, including development of accessible and visitable housing;
(f) Assistance to communities to improve consolidated housing and community development plans and remove impediments to the design and implementation of such plans;
(g) Assistance to communities to design ways to use HUD's Partnership for Advancing Technology in Housing (PATH) technology such as analyzing building codes and building materials or designing new building systems. (Remember that actual physical development activities are not eligible under COPC.) For more information, see the
(h) Assistance to communities to improve their fair housing planning process;
(i) Services to assist low-income students to attend college, as part of the U.S. Department of Education's Gaining Awareness and Readiness for Undergraduate Program (GEAR UP). (For more information call 1-800-USA-LEARN or visit the Department of Education's website at www.ed.gov.); and
(j) Regional projects that maximize the interaction of targeted inner city distressed neighborhoods with suburban job opportunities similar to HUD's Bridges-to-Work or Moving to Opportunity programs.
(3) Funds for faculty development including paying for course time or summer support to enable faculty members to work on the COPC.
(4) Funds for stipends or salaries for students (but the program cannot cover tuition and fees) while they are working on the COPC.
(5) Activities to carry out the “Responsibilities” listed under Section IV (B) below. These activities may include leases for office space in which to house the Community Outreach Partnership Center, under the following conditions:
(a) The lease must be for existing facilities not requiring rehabilitation or construction;
(b) No repairs or renovations of the property may be undertaken with Federal funds; and
(c) Properties in the Coastal Barrier Resource System designated under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be leased with Federal funds.
(6) Components of your program may address metropolitan or regional strategies. You must clearly demonstrate how:
(a) Your strategies are directly related to what the targeted neighborhoods and neighborhood-based organizations have decided is needed; and
(b) Neighborhoods and neighborhood organizations are involved in the development and implementation of the metropolitan or regional strategies.
(D)
(1) Research activities that have no clear and immediate practical application for solving urban problems or do not address specific problems in designated communities and neighborhoods.
(2) Any type of construction, rehabilitation, or other physical development costs.
(3) Costs used for routine operations and day-to-day administration of institutions of higher education, local governments or neighborhood groups.
In addition to the program requirements listed in the
(A)
If you are applying for a New Directions Grant, you may not request a grant that exceeds $150,000. This amount must be spent over a two-year period. Since the Statement of Work and other facets of the technical review are assessed in the context of the proposed budget and grant request, and in the interest of fairness to all applicants, HUD will not accept a New Directions application that is over $150,000.
(B)
(1) Employ the research and outreach resources of your institution of higher education to solve specific urban problems identified by communities served by your Center;
(2) Establish outreach activities in areas identified in your application as the communities to be served;
(3) Establish a community advisory committee comprised of representatives of local institutions and residents of the communities to be served to assist in identifying local needs and advise on the development and implementation of strategies to address those issues;
(4) Coordinate outreach activities in communities to be served by your Center;
(5) Facilitate public service projects in the communities served by your Center;
(6) Act as a clearinghouse for dissemination of information;
(7) Develop instructional programs, convene conferences, and provide training for local community leaders, when appropriate; and
(8) Exchange information with other Centers.
The clearinghouse function in Section IV(B)(6) above refers to a local or regional clearinghouse for dissemination of information and is separate and distinct from the functions in (8) above, which relate to the provision of information to the University Partnerships Clearinghouse, which is the national clearinghouse for the program.
(C)
(D)
(1) If you are a New Grant applicant, you must meet the following match requirements:
(a)
(b)
(2) If you are a New Directions Grant applicant, you must meet the following match requirements:
(a)
(b)
In previous competitions, some applicants incorrectly based their match calculations on the Federal grant amount, not the total project costs. An example of how you should calculate the match correctly and a worksheet for the calculation are included in the application kit. The worksheet, which is also included in the program area section of the SuperNOFA, should be included with your application.
(E)
There will be two separate competitions—one for New Grants and one for New Directions Grants. For each type of grant, applications will be rated, ranked, and selected separately. Two types of reviews will be conducted: a threshold review to determine your application's eligibility; and a technical review to rate your application based on the rating factors in Section V.(A) below.
(A)
(1) You have met the statutory match requirements, if applying for a New Grant or the higher match levels described above, if applying for a New Directions Grant.
(2) You have proposed a program in which at least 75% of the total project costs will be for outreach activities.
(3) For New Grants, you have requested a Federal grant between $250,000 and $400,000. For New Directions Grants, you have requested a Federal grant that is no more than $150,000.
(4) You have addressed at least three urban problems, such as affordable housing, fair housing, economic development, neighborhood revitalization, infrastructure, health care; job training, education, crime prevention, planning, the environment, and community organizing and have proposed at least one separate and distinct activity for each problem you propose to address.
(5) You and any part of your organization are participating in only one application.
(6) Your project will operate in an urban area.
(B)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor HUD will consider the extent to which the proposal demonstrates:
(1)
(a) The knowledge and experience of your overall proposed project director and staff, including the day-to-day program manager, consultants and contractors in planning and managing programs for which funding is being requested. Experience will be judged in terms of recent, relevant and successful experience of your staff to undertake eligible program activities. In rating this factor, HUD will consider experience within the last 5 years to be recent; experience pertaining to the specific activities being proposed to be relevant; and experience producing specific accomplishments to be successful. The more recent the experience and the more experience your own staff members who work on the project have in successfully conducting and completing similar activities, the greater the number of points you will receive for this rating factor. The following categories will be evaluated:
(i) Undertaking research activities in specific communities that have a clear near-term potential for practical application to significant urban issues, such as affordable housing, fair housing including accessible and visitable housing, economic development, neighborhood revitalization, infrastructure, health care, job training, education, crime prevention, planning, and community organizing;
(ii) Undertaking outreach activities in specific communities to solve or ameliorate significant urban issues;
(iii) Undertaking projects with community-based organizations or local governments; and
(iv) Providing leadership in solving community problems and making national contributions to solving long-term and immediate urban problems.
(2)
(a) Your achievement of specific measurable outcome objectives;
(b) Your leveraging of funding beyond the funds originally proposed to be leveraged for that project; and
(c) The effectiveness of your administration of any previous COPC grants (including the timeliness and completeness of your compliance with COPC reporting requirements and your ability to have resolved problems which presented themselves during the grant period). In addressing timeliness of reports, you should compare when your reports were due with when they were actually submitted.
This factor addresses the extent to which there is a need for funding your proposed program activities and your indication of the urgency of meeting the need in the target area. In responding to this factor, you will be evaluated on the extent to which you document the level of need for the proposed activity and the urgency in meeting the need.
You should use statistics and analyses contained in a data source(s) that is sound and reliable. To the extent that the targeted community's Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) identify the level of the problem and the urgency in meeting the need, you should include references to these documents in your response.
If the proposed activity is not covered under the scope of the Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI), you should indicate such, and use other sound data sources to identify the level of need and the urgency in meeting the need. Types of other sources include Census reports, Continuum of Care gaps analysis, law enforcement agency crime reports, Public Housing Authorities' Comprehensive Plan, and other sound and reliable sources appropriate for your program. You may also address needs in terms of fulfilling court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements.
To the extent possible, the data you use should be specific to the area where the proposed activity will be carried out. You should document needs as they apply to the area where activities will be targeted, rather than the entire locality or state.
This factor addresses the quality and cost-effectiveness of your proposed work plan. There must be a clear relationship between your proposed activities, community needs and the purpose of the program funding for you to receive points for this factor. The factor will be evaluated based on the extent to which the proposed work plan will:
(1) (
(a) There is a clear research agenda;
(i) With identifiable research projects and outcomes (
(ii) That identifies each task and who will be responsible for it;
(iii) Which is tried to the outreach agenda (
(iv) Which does not duplicate research by your institution or by others for the target area previously completed or currently underway. If other complimentary research is underway, you need to describe how the proposed research agenda would compliment it.
(b) There is a clear outreach agenda:
(i) With identifiable outreach projects;
(ii) That identifies each task and who will be responsible for it;
(iii) That involves your institution as a whole (
(iv) That provides for on-site or frequent presence in the target area; and
(v) That does not duplicate outreach activities by your institution or others for the target area previously completed or currently underway.
(2) (
(a) You have formed or will form one or more Community Advisory Committees, comprised of representatives of local institutions and a balance of the race, ethnic, disability status, gender, and income of the residents of the communities to be served to develop and implement strategies to address the needs identified in Factor 2. You will be expected to demonstrate that you have already formed such a committee(s) or secured the commitment of the appropriate persons to serve on the committee(s), rather than just describing generally the types of people whose involvement you will seek.
(b) You have involved a wide range of neighborhood organizations and local government entities in the identification of your research and outreach activities.
(c) The committee and your partners will play an active role in all stages of the project and will not serve as merely advisors or monitors.
(d) Your outreach agenda includes training projects for local community leaders, for example, to increase their capacity to direct their organizations or undertake various kinds of community development projects.
(3) (
(a) You identify specific time phased and measurable objectives to be accomplished; your proposed short and long term program objectives to be achieved as a result of the proposed activities; the tangible and measurable impacts your work program will have on the community in general and the target area or population in particular including affirmatively furthering fair housing for classes protected under the Fair Housing Act; and the relationship of your proposed activities to other ongoing or proposed efforts to improve the economic, social or living environment in the impact area; and
(b) Grant funds will pay for activities you conduct directly, rather than passing funds through to other entities (In order for your application to be competitive, no more than 25 percent of your grant funds should be passed to other entities); and
(c) The activities you propose to undertake are pressing and urgent needs, as identified in the documents described in Factor 2.
(4) (
(5) (
(a) (
(i) Promoting healthy homes;
(ii) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs;
(iii) Enhancing ongoing efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as “One Strike and You're Out” or the “Officer Next Door” initiative;
(iv) Providing educational and job training opportunities through such initiatives as GEAR UP, Neighborhood Networks, Twenty/20 Education Communities (formerly known as Campus of Learners) and linking to AmeriCorps activities; or
(v) HUD's Partnership for Advancing Technology in Housing (PATH) initiative.
The
The
The
The
The
(b) (
(i) Working with other entities in the community to overcome impediments to fair housing, such as discrimination in the sale or rental of housing or in advertising, provision of brokerage services, or lending;
(ii) Promoting fair housing choice through the expansion of homeownership opportunities and improved quality of services for minorities, families with children, and persons with disabilities; or
(iii) Providing housing mobility counseling services.
(6)
(a) COPC activities relate to your institution's urban mission; are part of a climate that rewards faculty work on these activities through promotion and tenure policies; benefit students because they are part of a service learning program or professional training at your institution (rather than just volunteer activities); and are reflected in your curriculum. HUD will look at your institution's commitment to faculty and staff continuing work in COPC
(b) You have received commitments for funding from sources outside the university for related COPC-like projects and activities in the targeted neighborhood or other distressed neighborhoods. Funding sources to be considered include, but are not limited to, local governments, neighborhood organizations, private businesses, your institution, and foundations.
(7)
This factor addresses the ability of the applicant to secure community resources which can be combined with HUD's program resources to achieve program purposes. This factor measures the extent to which you have established partnerships with other entities to secure additional resources to increase the effectiveness of your proposed program activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated to the purpose(s) of the award you are seeking. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to establish partnerships with you. You may also establish partnerships with funding recipients in other grant programs to coordinate the use of resources in the target area. In evaluating this factor, HUD will allocate points as follows:
(1)
HUD is concerned that applicants should be providing hard dollars as part of their matching contributions to enhance the tangible resources going into targeted neighborhoods. Thus, while indirect costs can count towards meeting the required match,
(2) Up to an additional
You must provide evidence of leveraging/partnerships by including in the application letters of firm commitment, memoranda of understanding, or agreements to participate from any entity, including your own institution, that will be providing matching funds to the project. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name, proposed total level of commitment and responsibilities as they relate to the proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.
This factor addresses the extent to which you coordinated your activities with other known organizations, participate or promote participation in your community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. If you propose to work in a Community Development Block Grant (CDBG) non-entitlement jurisdiction, you will only need to address and will only be rated on subfactors (1) and (3). If that is the case, the points for this factor will be evenly divided between these two subfactors. If you are working in a CDBG non-entitlement area, please note that at the beginning of the discussion of this factor.
In evaluating this factor, HUD will consider the extent to which you have:
(1)
(2)
(3)
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including those proposed or ongoing in the community.
(C)
If two or more applications have the same number of points, the application with the most points for Factor 3, Soundness of Approach, shall be selected. If there is still a tie, the application with the most points for Factor 4, Leveraging Resources shall be selected.
HUD reserves the right to make selections out of rank order to provide for geographic distribution of funded COPCs. If HUD decides to use this option, it will do so only if two adjacent HUD regions do not yield at least one fundable COPC on the basis of rank order. If this occurs, HUD will fund the highest ranking applicant within the two regions as long as the minimum score of 70 points is achieved.
After all applications have been rated and ranked and selections have been made, HUD may require you, if you are selected, to participate in negotiations to determine the specific terms of your Statement of Work and grant budget. In
You should include an original and two copies of the items listed below. In order to be able to recycle paper, please do not submit applications in bound form; binder clips or loose leaf binders are acceptable. Also, please, do not use colored paper. Please note the page limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section. These items include the standard forms, certifications, and assurances listed in the
(1) Budget Form—The budget form (Form HUD-30003) should be used to prepare the budget.
(2) A narrative explanation of how you arrived at your cost estimates, for any line item over $5,000.
(3) A statement of your compliance with the 20% limitation on “Planning and Administration” Costs.
(4) An explanation of your compliance with the requirement that not more than 25% of the total budget be allocated to research activities (Form HUD-30002).
(5) An explanation of your compliance with the matching requirements (Form HUD-30001 and the Verification of Match Worksheet).
(G)
(1) Arrange the presentation of related major activities by project functional category (e.g., economic development, affordable housing, capacity building), summarize each activity, identify the primary persons involved in carrying out the activity, and delineate the major tasks involved in carrying it out.
(2) Indicate the sequence in which the tasks are to be performed, noting areas of work which must be performed simultaneously.
(3) Identify specific numbers of quantifiable intermediate and end products and objectives you will deliver by the end of the award agreement period as a result of the work performed.
(4) Identify whether you propose to work in a Community Development Block Grant (CDBG) entitlement area or not.
(H)
(J)
(K)
The
In accordance with 24 CFR 50.19(b) of the HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under the related laws and authorities.
This program is authorized under the Community Outreach Partnership Act of 1992 (42 U.S.C. 5307 note; the “COPC Act”). The COPC Act is contained in section 851 of the Housing and Community Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 1992 authorizes $7.5 million for each year of the 5-year demonstration to create Community Outreach Partnership Centers as authorized in the COPC Act. The FY 2000 HUD Appropriations Act continued the program beyond the initial five-year demonstration by providing funding for Community Outreach Partnership Centers for FY 2000.
The non-standard forms, which follow, are required for your COPC application.
If you are interested in applying for funding under the HBCU program, please review carefully the
See the
HUD will accept only
You should take this policy into account to ensure that multiple applications are not submitted.
Approximately $10 million is being made available for funding under this program section of the SuperNOFA. Additional funds may be available if funds are recaptured, deobligated, appropriated or otherwise made available during the fiscal year.
(A)
(1) Approximately $2 million will be awarded to HBCUs that have not received funding in past HUD HBCU competitions under section 107(b)(3) of the Housing and Community Development Act of 1974. This includes competitions for Fiscal Years 1991 through 1999 (“previously unfunded HBCUs”).
Previously unfunded HBCUs are listed in Appendix B of this HBCU Program section of the SuperNOFA.
(2) The remaining approximately $8 million of FY 2000 funds will be awarded to HBCUs that have received funding under such competitions (“previously funded HBCUs”). Previously funded HBCUs are listed in Appendix C of this HBCU Program section of the SuperNOFA.
If recaptured funds are made available, those funds will also be divided proportionately between the two types of applicant funding pools; i.e. one fifth to previously unfunded HBCUs and four fifths to previously funded HBCUs.
HUD reserves the right to make awards for less than the maximum amount or less than the amount requested in a particular application. Awards will be made in the form of grants.
(B)
(A)
(1) For the purposes of this program, the term “locality” includes any city, county, town, township, parish, village, or other general political subdivision of a State or the U.S. Virgin Islands within which an HBCU is located.
(2) If your HBCU is located in a metropolitan statistical area (MSA), as established by the Office of Management and Budget, you may consider your locality to be one or more of these entities within the entire MSA. The nature of the locality for each HBCU may differ, therefore, depending on its location.
(3) If the HBCU is proposing activities for the purpose of providing assistance to address a “Presidentially Declared Disaster”, HUD may, in accordance with regulatory waiver standard requirements, grant a waiver of the locality restriction to allow the HBCU to carry out disaster activities within the entire area of the State in which the HBCU is located.
(4) A “target area” is the locality or the area within the locality in which your HBCU will implement its proposed HUD grant activities.
(B)
(C)
(2)
Criteria for determining whether an activity addresses one or more of these objectives are provided at 24 CFR 570.208. This year, HUD is encouraging HBCUs that want to provide CDBG assistance in “Presidentially Declared Disaster Areas” (beginning in 1992) to consider funding eligible activities to address the damage within their localities.
(3)
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures including lead-based paint hazard evaluation and reduction; and making accessibility and visitability modifications in accordance with the requirements of section 504 of the Rehabilitation Act of 1973;
(d) Acquisition, construction, reconstruction, rehabilitation, or installation of public facilities and improvements, such as water and sewer facilities and streets;
If you are proposing to undertake any of the activities listed in (a) through (d), you will be required to provide at least two reasonable appraisals/estimates, from a
(e) Relocation payments and other assistance for permanently and temporarily relocated individuals, families, businesses, nonprofit organizations, and farm operations where the assistance is
(i) Required under the provisions of 24 CFR 570.606(b) or (c); or
(ii) Determined by the grantee to be appropriate under the provisions of 24 CFR 570.606(d);
(f) Direct homeownership assistance to low- and moderate-income persons, as provided in section 105(a)(25) of the Housing and Community Development Act of 1974;
(g) Special economic development activities described at 24 CFR 570.203;
(h) Assistance to facilitate economic development by providing technical or financial assistance for the establishment, stabilization, and expansion of microenterprises, including minority enterprises;
(i) Establishment of a new or stabilization of an existing Community Development Corporation (CDC) to undertake or continue HBCU eligible activities. If you are proposing a Community Development Corporation (CDC) component, it may qualify for Community Based Development Organization (CBDO) activities;
(j) Assistance to a (CBDO) to carry out a CDBG neighborhood revitalization, community economic development, or energy conservation project, in accordance with 24 CFR 570.204. This could include activities in support of a HUD approved local entitlement grantee CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved State CDBG Community Revitalization Strategy (CRS); and
(k) Eligible public service activities, including activities that provide a continuum of care for the homeless; adult basic education classes; GED preparation and testing; HBCU curriculum development of courses which will lead to a certificate or degree in community planning and development; job and career counseling and assessment; citizen participation academies, and public access telecommunications centers; social and medical services; and/ or other support activities for low- and moderate-income residents, senior citizens and youth, including the U.S. Department of Education's Gaining Early Awareness
(l) Fair housing services designed to further the fair housing objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all persons, without regard to race, color, religion, sex, national origin, family status and/or disability aware of the range of housing opportunities available to them; and
(m) Payment of reasonable grant administrative costs and carrying charges related to the planning and execution of community development activities assisted in whole or in part with grant funds. HBCU program administrative costs may include capacity building to enhance your HUD HBCU previously funded activities, and/or the creation of new activities under this HUD HBCU grant. Administrative activities in connection with strengthening previous and new activities include hiring staff, supporting and training existing staff, providing software and other tools to provide administrative capability.
To enhance the program delivery capacity of HBCUs eligible under this SuperNOFA, you may propose to use up to 10% of your award funds to acquire technical assistance (TA) from a qualified TA provider to assist in implementing your proposed activities. While you are responsible for ensuring that potential TA providers are qualified, we believe that the most qualified providers would be entities/organizations that have demonstrated the expertise and capacity to successfully conceptualize, develop and implement community and economic development projects and initiatives similar to those you propose. Previously unfunded HBCUs are particularly encouraged to consider acquiring technical assistance from a qualified previously funded HBCU, as described in the paragraph below entitled “Partnering With A Qualified Previously Funded HBCU.”
(3)
(4)
(5)
If you propose an activity which otherwise is eligible it may not be funded if State or local law requires that it be carried out by a governmental entity.
The CDBG Publication entitled “Everything You Wanted to Know About CDBG” discusses the regulations, and a copy can be ordered from HUD's SuperNOFA Information Center at 1-800-HUD-8929 or 1-800-HUD-2209 for the hearing impaired.
(D)
In addition to the program requirements listed in the
(A)
For each match, cash or in kind contribution to your program, you must submit a letter from the provider on the provider's letterhead. A firm commitment letter should address the following:
(B)
(C)
(D)
(A)
(2)
If funds remain after approving all fundable applications within a category of applicants, HUD may choose to add those funds to the funds available for the other category of applicants.
(3)
(a) Negotiate. After HUD has rated and ranked all applications and HUD has selected the competition winners, HUD requires that all winners participate in negotiations to determine the specific terms of the Statement of Work and the final grant budget. HUD will follow the negotiation procedures described in Section III(D) of the
(b) Provide Financial Management and Audit Information. If you are selected for funding, you will be required to submit a copy of your most recent audit from an Independent Public Accountant, or the cognizant government auditor, stating that your financial management system meets prescribed standards for fund control and accountability required by OMB Circular A-133, as codified at 24 CFR part 84 and provides your approved fringe benefit and overhead rates.
(B)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement your proposed activities in a timely manner. In rating this factor, HUD will consider the extent to which:
(1)
(a) Undertaking specific successful community development projects with community-based organizations or local governments; and
(b) Providing proven leadership in solving community problems which have a direct bearing on the proposed activity.
(2)
This factor addresses the extent to which there is a need for funding your proposed program activities and an indication of the importance of meeting the need in the target area. In responding to this factor, you will be evaluated on the extent to which you
You should use statistics and analyses contained in one or more data sources that are sound and reliable. To the extent that your community's Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) identify the level of the problem and the urgency in meeting the need, you should include references to these documents in your response to this factor. If your proposed activities are not covered under the scope of the Consolidated Plan and AI, you should indicate such, and use other sound data sources to identify the level of need and the urgency in meeting the need. Types of other sources include, but are not limited to, Census reports, HUD's Continuum of Care gaps analysis, law enforcement agency crime reports, Public Housing Authorities' Comprehensive Plan, community needs analysis such as provided by the United Way, local Urban League, the HBCU and other sound and reliable sources appropriate for the HBCU program. You also may address needs in terms of fulfilling court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements.
To the extent possible, the data you use should be specific to the area where your proposed activities will be carried out. You should document needs as they apply to the area where the activities will be targeted, rather than the entire locality or State, unless the target area is the entire locality or State.
This factor addresses the quality and cost-effectiveness of your proposed work plan, the commitment of your institution to sustain the proposed activities, and your actions regarding Affirmatively Furthering Fair Housing.
(a)
(i) Expand the role of the HBCU in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target area. Duplicative efforts will be acceptable, if you are able to demonstrate that there is a population in need that is not being served;
(iv) Involve and empower the citizens of the target area; and
(v) Be disseminated to a wide variety of audiences, both academic and community-based, using a wide variety of media, including print and Internet technology.
(b)
Describe each proposed activity, and the tasks required to implement and complete the activity. If relocation is to be a part of your work activities, you should discuss your plan for temporary or permanent relocation of occupants of units affected, including storage or moving of household goods, stipends and/or incentives.
Also, for each activity, describe:
(i) How it meets a CDBG national objective;
(ii) The sequence, duration, and the products to be delivered in 6 month intervals, up to 24 months. You should indicate which staff member, described in your response to Factor 1, will be responsible and accountable for the deliverables; and
(iii) Measurable objectives to be accomplished e.g. the number of: persons to be trained and employed; houses to be built (pursuant to 24 CFR 570.207) or rehabilitated; minority owned businesses to be started, etc.
(c)
(i) Promoting healthy homes;
(ii) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare-to-work programs;
(iii) Enhancing on-going efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as “One Strike and You Are Out” or the “Officer Next Door” initiative;
(iv) Providing educational, job training, and homeownership opportunities through such initiatives as Neighborhood Networks and Twenty/20 Education Communities (TEC) (formerly known as the Campus of Learners (COL)), and linking programs to Americorps activities; and
(v) The Partnership for Advancing Technology in the Housing (PATH) Initiative.
The
The
The
The
(2)
(3)
(a) Working with other entities in the community to overcome impediments to fair housing, such as discrimination in the sale or rental of housing or in advertising, provision of brokerage services, or lending;
(b) Promoting fair housing through the expansion of homeownership opportunities and improved quality of services for minorities, families with children, and persons with disabilities; or
(c) Providing mobility counseling.
In evaluating this factor, HUD will consider the extent to which your budget is consistent with the Work Plan and the dollars indicated on the Standard Form (SF) 424. Your budget submission must include:
(i) A budget summary covering the Federal and non-Federal share of the costs proposed by cost category (Appendix D). You should pay particular attention to accurately estimating costs, determining the necessity for and reasonableness of costs; and correctly computing all budget items and totals. Indirect costs must be substantiated and approved by the cognizant Federal agency or you must provide an indirect cost rate plan. The indirect cost rate should be indicated in your budget;
(ii) A budget justification, which should be a narrative statement indicating how you arrived at your costs. When possible, you should use quotes from vendors or historical data. You must support all direct labor and salaries with mandated city/state pay scales or other documentation; and
(iii) A budget-by-activity (Appendix D) which includes a listing of tasks to be completed for each activity needed to implement the program, the overall costs for each activity, and the cost for each funding source.
You must submit at least two reasonable appraisals/estimates supplied by
This factor addresses your ability to secure resources which can be combined with HUD program funds to implement the proposed activities.
In evaluating this factor, HUD will consider the extent to which you have secured firm commitments for additional resources to increase the effectiveness of your proposed activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated solely for the purpose(s) of the award you are seeking. A higher number of points will be awarded for a cash match than in-kind goods or services of the same value. The maximum number of rating points you can receive for
This factor addresses the extent to which you have coordinated your activities with other known organizations, participate or promote participation in your community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. For specific information about your locality's planning process, contact the local or State Community Development Agency or the local HUD Field Office.
In evaluating this factor, HUD will consider the extent to which you demonstrate you have:
(1)
(2)
(3)
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including those proposed or on-going in the community.
(A)
The standard forms applicable to the HBCU application are as follows:
(B)
(C)
(D)
(E)
(F)
Please note that all certification forms must be signed by the authorized certifying official.
Also, HUD will not consider appendices to an application. You must submit your documentation, including firm commitment letters, the performance narrative and progress reports, with your responses to the pertinent factors in order to receive points for it.
The
Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of activities proposed for assistance under this program part, in accordance with 24 CFR part 50. The results of the environmental review may require that your proposed activities be modified or that your proposed sites be rejected. You are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. Your application constitutes an assurance that your institution will assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select an alternate property; and will not acquire, rehabilitate, convert, lease, repair or construct property and not commit or expend HUD or local funds for these program activities with respect to any eligible property, until HUD approval of the property is received. In supplying HUD with environmental information, you should use the same guidance as provided in the HUD Handbook entitled “Field Environmental Review Processing for HUD Colonias Initiative Grants,” issued January 27, 1998.
This program is authorized under section 107(b)(3) of the Housing and Community Development Act of 1974 (42 U.S.C. 5307(b)(3)), which was added by section 105 of the Department of Housing and Urban Development Reform Act of 1989 (Pub.L. 101-235, approved December 15, 1989). The HBCU Program is governed by regulations contained in 24 CFR 570.400 and 570.404, and in 24 CFR part 570, subparts A, C, J, K, and O.
The non-standard forms, which follow, are required for your HBCU application.
If you are interested in applying for funds under the Hispanic-serving Institutions Assisting Communities Program (HSIAC), please review carefully the
See the
Processing and Control Branch, Office of Community Planning and Development, Department of Housing and Urban Development, 451 Seventh Street, SW, Room 7251, Washington, DC, 20410. When submitting your application, please refer to HSIAC and include your name, mailing address (including zip code) and telephone number (including area code).
HUD will accept only one application per HSI campus for this program. If your institution submits more than one application, per campus, HUD will ask you to identify which application you want evaluated. Only one application may be evaluated. If you do not respond within the stipulated cure period (see Section V of the
Approximately $6.5 million in FY 2000 funds is being made available under this SuperNOFA for HSIAC. Of this amount, approximately $50,000 is being set aside to correct a funding error for one of the FY 1999 grantees.
The maximum grant period is 24 months. The performance period will commence on the effective date of the grant agreement.
The maximum amount to be requested and awarded is $400,000. Since the Statement of Work and other facets of the technical review are assessed in the context of the proposed budget and grant request, and in the interest of fairness to all applicants, if you submit an application requesting more than $400,000 in HUD funds, the application will be ruled ineligible. HUD reserves the right to make awards for less than the maximum amount or less than the amount requested in your application.
(A)
(1) For the purposes of this program, the term “locality” includes any city, county, township, parish, village, or other general political subdivision of a State, Puerto Rico, or the U.S. Virgin Islands within which your HSI is located.
(2) A “target area” is the locality or the area within the locality in which your institution will implement its proposed HUD grant.
(B)
(C)
(a) Benefit to low- and moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular urgency because existing conditions pose a serious and immediate threat to the health and welfare of the community, and other financial resources are not available to meet such needs.
(You must ensure that of your aggregate grant expenditures under paragraphs (a), (b), and (c) above, at least 51% are for activities benefiting low- and moderate-income persons.)
You can find the regulations governing activities eligible under the CDBG program at 24 CFR part 570, subpart C, particularly §§ 570.201 through 570.206. Ineligible activities are listed at § 570.207. The CDBG publication entitled “Everything You Wanted to Know About CDBG” discusses the regulations. You can obtain a copy from the SuperNOFA Information Center. If you propose an activity which otherwise is eligible, it may not be funded if State or local law requires that it be carried out by a governmental entity.
In addition, you may not propose the construction or rehabilitation of your institution's facilities unless you can demonstrate that such activities would meet the purpose of this program to expand the role and effectiveness of an HSI in its locality. HUD will scrutinize proposed activities for eligibility. As examples of eligible and ineligible on-campus activities, rehabilitating a library for use by your students would not be an eligible activity, but rehabilitating it to convert it to a micro-business enterprise center for the community would be; or as another example, just undertaking your normal activities (e.g., offering English as a Second Language classes) would not be considered eligible activities because they would not expand your role and effectiveness in community development activities. You should call Jane Karadbil at the above number if you have any questions about the eligibility of any activities you may propose. You may also look at the Office of University Partnerships website at www.oup.org for summaries of last year's winners.
(2)
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing opportunities for low- and moderate-income persons and rehabilitation of commercial or industrial buildings to correct code violations or for certain other purposes, e.g., making accessibility and visitability modifications to housing;
(d) Direct homeownership assistance to low- and moderate-income persons, as provided in section 105(a)(25) of the Housing and Community Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or installation of public facilities and improvements, such as water and sewer facilities and streets;
(f) Relocation payments and other assistance for temporarily and permanently relocated individuals, families, businesses, and non-profit organizations where the assistance is:
(1) Required under the provision of 24 CFR 570.606 (b) or (c); or
(2) Determined by your institution to be appropriate under the provisions of 24 CFR 570.606(d).
(g) Lead-based paint hazard reduction, pursuant to the CDBG regulations;
(h) Special economic development activities described at 24 CFR 570.203, including activities designed to promote training and employment opportunities;
(i) Assistance to facilitate economic development by providing technical assistance or financial assistance for the establishment, stabilization, and expansion of microenterprises, including minority enterprises.
(j) Assistance to community-based development organizations (CBDO) to carry out a CDBG neighborhood revitalization, community economic development, or energy conservation project, in accordance with 24 CFR 570.204. This could include activities in support of a HUD approved local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved State CDBG Community Revitalization Strategy (CRS);
(k) Establishment of a Community Development Corporation (CDC) at the institution to undertake eligible activities. If you are proposing a Community Development Corporation (CDC) component, it may qualify for CBDO activities;
(l) Up to 15 percent of the grant for eligible public services activities including:
(i) Work study programs that meet the program requirements of the Hispanic-serving Institutions Work Study program, which can be found at 24 CFR 570.416;
(ii) Outreach and other program activities as described in the Community Outreach Partnership Centers Program section of the SuperNOFA;
(iii) Educational activities including English as a Second Language (ESL) classes, adult basic education classes, GED preparation and testing, and curriculum development of courses that will lead to a certificate or degree in community planning and development;
(iv) Job and career counseling, assessment, training, and other activities designed to promote employment opportunities, not related to special economic development activities;
(v) Capacity building for community organizations;
(vi) Social and medical services for youths, adults, senior citizens, and the homeless;
(vii) Fair housing services designed to further the fair housing objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all persons, without regard to race, color, religion, sex, national origin, familial status and/or disability aware of the range of housing opportunities available to them;
(viii) Day care services and costs for the children of students attending your institution;
(ix) Continuum of care services for the homeless;
(x) Public access telecommunications centers including Twenty/20 Education Communities (formerly known as Campus of Learners) and Neighborhood Networks;
(xi) Activities to use HUD's Partnership for Advancing Technology in Housing (PATH) technology;
(xii) Services to assist low-income students to attend college, as part of the U.S. Department of Education's Gaining Awareness and Readiness for Undergraduate Program (GEAR UP). (For more information, call 1-800-USA-LEARN or visit the U.S. Department of Education's website at www.ed.gov).
(m) Up to 20% of your grant for program administration costs related to the planning and execution of community development activities assisted in whole or in part with grant funds. Pre-award planning costs may not be paid out of grant funds.
(D)
(2)
(3)
(4)
HUD will conduct two types of review: a threshold review to determine applicant eligibility; and a technical review to rate the application based on the rating factors in this section.
(A)
(1) You must be an eligible HSI;
(2) Your application requests a Federal grant of $400,000 or less over the two-year grant period;
(3) There is only one application from your institution or a campus of your institution;
(4) At least one of the activities in your application is eligible.
(B)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor, HUD will consider the extent to which your application demonstrates the knowledge and experience of the overall project director and staff, including the day-to-day program manager, consultants, and contractors in planning and managing the kinds of programs for which funding is being requested. If this experience is found within the HSI, you will receive higher points on this factor than if you have secured this experience from consultants, contractors, and other staff outside your institution. In addition, if you demonstrate that the previous experience is for the project team from the institution proposed for this project, you will receive higher points than if the experiences are for people not proposed to work on this project. Experience will be judged in terms of recent, relevant, and successful experience of your staff to undertake activities in:
(a) Outreach activities in specific communities to solve or ameliorate significant housing and community development issues;
(b) Undertaking specific successful community development projects with community-based organizations; and
(c) Providing proven leadership in solving community problems which have a direct bearing on the proposed activity.
This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need in the target area. In responding to this factor, you will be evaluated on the extent to which you document the level of need for the proposed activities and the importance of meeting the need.
You should use statistics and analyses contained in one or more data sources that are sound and reliable. To the extent that your targeted community's Five (5) Year Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) identify the level of the problem and the urgency in meeting the need, you should include references to these documents in your response to this factor.
If your proposed activities are not covered under the scope of the Consolidated Plan and AI, you should indicate such, and use other sound data sources to identify the level of need and the urgency in meeting the need. Types of other sources include Census reports, HUD Continuum of Care gaps analysis, law enforcement agency crime reports, Public Housing Authorities' Comprehensive Plans, community needs analyses such as provided by the United Way, your institution, etc., and other sound and reliable sources appropriate for HSIAC. You may also address needs in terms of fulfilling court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements.
To the extent possible, the data you use should be specific to the area where the proposed activities will be carried out. You should document needs as they apply to the area where the activities will be targeted, rather than the entire locality or State, unless the target area is the entire locality or State.
This factor addresses the quality and cost-effectiveness of your proposed work plan, the commitment of your institution to sustain the proposed activities, and your actions regarding affirmatively furthering fair housing.
(1)
(b)
(i) The project you propose can be completed within the two year grant period; and
(ii) The objectives are measurable (e.g., the number of loans made, the number of jobs created), result in measurable improvement to the community (e.g., fifteen more homeowners, twenty more jobs in a specific field), and how well you demonstrate that these objectives will be achieved by your proposed management plan and team and will result directly from your activities.
(c)
(d)
(1) Promoting healthy homes;
(2) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare-to-work programs;
(3) Enhancing ongoing efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as “One Strike and You Are Out” or the “Officer Next Door” initiative;
(4) Providing educational, job training, and homeownership opportunities through such initiatives as GEAR UP, Neighborhood Networks, Twenty/20 Education Communities, and linking programs to Americorps; or
(5) HUD's Partnership for Advancing Technology in Housing (PATH) initiative.
The
The
The
The
The
(2)
(3)
(a) Working with other entities in the community to overcome impediments to fair housing, such as discrimination in the sale or rental of housing or in advertising, provision of brokerage services or lending;
(b) Promoting fair housing choice through the expansion of homeownership opportunities and improved quality of services for minorities, families with children, and persons with disabilities; or
(c) Providing housing mobility counseling services.
This factor addresses your ability to secure community resources, which can be combined with HUD program funds to achieve program objectives.
In evaluating this factor, HUD will consider the extent to which you have established partnerships with other entities to secure additional resources to increase the effectiveness of the proposed activities. Resources may include funding or in-kind contributions, such as services or equipment. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities. You may also establish partnerships with other program funding recipients to coordinate the use of resources in the target area.
You may count overhead and other institutional costs (e.g., salaries) that are waived as leveraging. However, higher points will be awarded if you secure leveraging resources from sources outside your institution.
You must provide letters or other documentation showing the extent and firmness of commitments of leveraged funds (including your own resources) in order for these resources to count in determining points under this factor. Any resource for which there is no commitment letter will not be counted, nor will the resource be counted without the proposed level of commitment being quantified. If your application does not include evidence of leveraging, it will receive zero (0) points for this Factor.
This factor addresses the extent to which you have coordinated your activities with other known organizations, participate or promote participation in a community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. For specific information about your locality's process, contact the local or State Community Development Agency or the local HUD field office. If you propose to work in a Community Development Block Grant (CDBG) non-entitlement jurisdiction, you will only need to address and will only be rated on subfactors (1) and (3). If that is the case, the points for this factor will be evenly divided between these two subfactors.
In evaluating this factor, HUD will consider the extent to which you demonstrate that you have:
(1) (
(2) (
(3) (
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other Federal, State or locally-funded activities, including those proposed or ongoing in the community.
(C)
HUD will not fund specific proposed activities that do not meet eligibility requirements (see 24 CFR part 570, subpart C) or do not meet a national objective in accordance with 24 CFR 570.208.
HUD reserves the right to make selections out of rank order to provide for geographic distribution of funded HSIACs. If HUD decides to use this option, it will do so only if two adjacent HUD regions do not yield at least one fundable HSIAC on the basis of rank order. If this occurs, HUD will fund the highest ranking applicant within the two regions as long as the minimum score of 70 points is achieved.
After all application selections have been made, HUD may require that you participate in negotiations to determine the specific terms of the Statement of Work and the grant budget. In cases where HUD cannot successfully complete negotiations, or you fail to provide HUD with requested information, an award will not be made. In such instances, HUD may elect to offer an award to the next highest ranking applicant, and proceed with negotiations with that applicant.
You should include an original and two copies of the items listed below. In order to be able to recycle paper, please do not submit applications in bound form; binder clips or loose leaf binders are acceptable. Also, please do not use colored paper. Please note the page limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section. These items include the standard forms, certifications, and assurances listed in the
(A)
(B)
(C)
(D)
(E)
(F)
(1) A budget by activity, using Form HUD-30004 included in the application kit and in the program area section of the SuperNOFA. This form separates the Federal and non-Federal costs of each program activity. Particular attention should be paid to accurately estimating costs; determining the necessity for and reasonableness of costs; and correctly computing all budget items and totals.
(2) A narrative statement of how you arrived at your costs, for any line item over $5,000. Indirect costs must be substantiated and the rate must have been approved by the cognizant Federal agency. If you are proposing to undertake rehabilitation of residential, commercial, or industrial structures or acquisition, construction, or installation of public facilities and improvements, you must submit reasonable costs supplied by a
(3) A statement of compliance with the 20 percent limitation on “Planning and Administration” costs.
(G)
(1) Arrange the presentation of major related activities (e.g., rehabilitation of a child care center, provision of tutoring services), summarize each activity, identify the primary persons (as described in addressing Rating Factor (1) involved in carrying out the activity and accountable for the deliverables, and delineate the major tasks involved in carrying it out. You should also describe how each activity meets a CDBG national objective.
(2) Indicate the sequence in which tasks are to be performed, noting areas of work that must be performed simultaneously. The sequence, duration, and the products to be delivered should be presented in six month intervals, up to 24 months.
(3) Identify the specific numbers of quantifiable intermediate and end products and objectives (e.g., the number of houses to be rehabilitated, the number of people to be trained, the number of minority businesses started, etc.) you aim to deliver by the end of the grant period as a result of the work performed.
(H)
In addressing Factor 4, for each leveraging source, cash or in kind, you must submit a letter, dated no earlier than the date of this SuperNOFA, from the provider on the provider's letterhead that addresses the following:
• The dollar amount or dollar value of the in-kind goods and/or services committed. For each leveraging source, the dollar amount in the commitment letter must be consistent with the dollar amount you indicated in the Budget;
• How the leveraging amount is to be used;
• The date the leveraging amount will be made available and a statement that
• Any terms and conditions affecting the commitment, other than receipt of a HUD HSIAC Grant; and
• The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services. (See the application kit and the program area section of the SuperNOFA for a sample commitment letter.)
(I)
(2) HUD-50071, Certification of Payments to Influence Certain Federal Transactions;
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
(5) HUD-50070, Certification of Drug-Free Workplace;
(6) HUD-2992, Certification Regarding Debarment and Suspension;
(7) HUD-2991, Certification of Consistency with the Consolidated Plan; and
(8) HUD-2990, Certification of Consistency with the EZ/EC Strategic Plan (if applicable);
(J)
(K)
You may not submit appendices or general support letters or resumes. If you submit letters of leveraging commitment, they must be included in your response to Factor 4. If you submit other documentation, it must be included with the pertinent factor responses (taking note of the page limit).
The
Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of activities proposed for assistance under this program, in accordance with 24 CFR part 50. The results of the environmental review may require that your proposed activities be modified or that your proposed sites be rejected. You are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. Your application constitutes an assurance that your institution assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, lease, repair, or construct property and not commit HUD or expend local funds for these program activities with respect to any eligible property until HUD approval of the property is required. In supplying HUD with environmental information, you should use the same guidance as provided in the HUD Handbook entitles “Field Environmental Review Processing for HUD Colonias Initiative Grants” issued January 27, 1998.
This program was approved by Congress under the section 107 of the CDBG appropriation for fiscal year 2000, as part of the FY 2000 HUD Appropriations Act. HSIAC is being implemented through this program section of the SuperNOFA and the policies governing its operation are contained herein.
The non-standard forms, which follow, are required for your HSIAC application.
If you are interested in applying for funds under the Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/NHIAC) Program, please review carefully the
See the
For ANIs, HUD will only accept one application per campus. For NHIs, HUD will only accept one application per institution. If your institution submits more than one application per campus (for ANIs) or more than one application per institution (for NHIs), HUD will ask you to identify which application you want evaluated. Only one application may be evaluated. If you do not respond within the stipulated cure period (see Section V of the
Approximately $2 million in FY 2000 funds is being made available under this SuperNOFA for AN/NHIAC. Of this amount, $1 million is being made available for Alaska Native institutions (ANIs) of higher education and $1 million is being made available for Native Hawaiian institutions of higher education (NHIs). The performance period of 24 months will commence on the effective date of the grant agreement. The maximum amount which can be requested and awarded to a particular Alaska Native institutions of higher education is $333,333. The maximum amount which can be requested and awarded for a particular Native Hawaiian institution of higher education is $1 million with each application composed of no more than three separate projects, each in a different neighborhood. Each separate project can be for no more than $333,333.
Since the Statement of Work and other facets of the technical review are assessed in the context of the proposed budget and grant request, and in the interest of fairness to all applicants, if you are an ANI and submit an application requesting more than $333,333 in HUD funds, it will be ruled ineligible. If you are an NHI and you submit an application for more than $1 million, it will be ruled ineligible. If you are an NHI and you submit an application in which you request more than $333,333 for any one project, that particular project will be ruled ineligible. HUD reserves the right to make awards for less than the maximum amount or less than the amount requested in your application.
(A)
(1) For the purposes of this program, the term “locality” includes any city, county, township, parish, village, or other general political subdivision of a State within which your AN/NHI is located.
(2) A “target area” is the locality or the area within the locality in which your institution will implement its proposed HUD grant.
(B)
If you are an ANI and your institution has multiple campuses, each one is eligible to apply separately, as long as it meets the above enrollment test. You may undertake as many projects and activities as you want, as long as you do not exceed the $333,333 cap for an application. If you are an NHI, you are permitted to submit only one application, no matter how many separate campuses you have, as long as your institution meets the above enrollment test. You may undertake up to three separate projects, each in a different neighborhood, with each project requesting no more than $333,333. In your application you must describe how each project is separate and distinct; how your proposed activities relate to that project; and that each project will not rely on any part of another project for its successful completion. A project can include one or more of the eligible activities listed below. For example, if you propose a homeownership project, you might rehabilitate housing in a neighborhood, demolish some structures to create spaces for lawns, and provide a loan pool for purchasers of this housing. All these activities could still be viewed as one project. You might also undertake a job training program for welfare-to-work families by rehabilitating a warehouse and offering the job training there. These activities could also be viewed as one project. But if you proposed to create a homeownership program and a job training program, these activities would be viewed as two separate projects. Your institution could undertake both, but they would have to be in two different neighborhoods.
(C)
You can find the regulations governing activities eligible under the CDBG program at 24 CFR part 570, subpart C, particularly §§ 570.201 through 570.206. Ineligible activities are listed at § 570.207. The CDBG publication entitled “Everything You Wanted to Know About CDBG” discusses the regulations. You can obtain a copy from the SuperNOFA Information Center. If you propose an activity which otherwise is eligible, it may not be funded if State or local law requires that it be carried out by a governmental entity.
In addition, you may not propose the construction or rehabilitation of your institution's facilities unless you can demonstrate that such activities would meet the purpose of this program to expand the role and effectiveness of an AN/NHI in its locality. HUD will scrutinize proposed activities for eligibility. As examples of eligible and ineligible on-campus activities, rehabilitating a library for use by your students would not be an eligible activity, but rehabilitating it to convert it to a micro-business enterprise center for the community would be; or as another example, just undertaking your normal activities (e.g., offering English as a Second Language classes) would not be considered eligible activities because they would not expand your role and effectiveness in community development activities. You should call Jane Karadbil at the above number if you have any questions about the eligibility of any activities you may propose. You may also look at the Office of University Partnerships website at www.oup.org for summaries of last year's winners under the Hispanic-serving Institutions Assisting Communities program, a program very similar to this one.
(2)
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing opportunities for low- and moderate-income persons and rehabilitation of commercial or industrial buildings to correct code violations or for certain other purposes, e.g., making accessibility and visitability modifications to housing;
(d) Direct homeownership assistance to low- and moderate-income persons, as provided in section 105(a)(25) of the Housing and Community Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or installation of public facilities and improvements, such as water and sewer facilities and streets;
(f) Relocation payments and other assistance for temporarily and permanently relocated individuals, families, businesses, and non-profit organizations where the assistance is (1) required under the provision of 24 CFR 570.606(b) or (c); or (2) determined by your institution to be appropriate under the provisions of 24 CFR 570.606(d).
(g) Lead-based paint hazard reduction, pursuant to the CDBG regulations;
(h) Special economic development activities described at 24 CFR 570.203, including activities designed to promote training and employment opportunities;
(i) Assistance to facilitate economic development by providing technical assistance or financial assistance for the establishment, stabilization, and expansion of microenterprises, including minority enterprises.
(j) Assistance to community-based development organizations (CBDO) to carry out a CDBG neighborhood revitalization, community economic development, or energy conservation project, in accordance with 24 CFR 570.204. This could include activities in support of a HUD approved local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved State CDBG Community Revitalization Strategy (CRS);
(k) Establishment of a Community Development Corporation (CDC) at the institution to undertake eligible activities. If you are proposing a Community Development Corporation (CDC) component, it may qualify for CBDO activities;
(l) Up to 15 percent of the grant for eligible public services activities including:
(i) Work study programs that meet the program requirements of the Hispanic-serving Institutions Work Study program, which can be found at 24 CFR 570.416;
(ii) Outreach and other program activities as described in the Community Outreach Partnership Centers Program section of the SuperNOFA;
(iii) Educational activities including English as a Second Language (ESL)
(iv) Job and career counseling assessment, training, and other activities designed to promote employment opportunities, not related to special economic development activities;
(v) Capacity building for community organizations;
(vi) Social and medical services for youths, adults, senior citizens, and the homeless;
(vii) Fair housing services designed to further the fair housing objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all persons, without regard to race, color, religion, sex, national origin, familial status and/or disability aware of the range of housing opportunities available to them;
(viii) Day care services and costs for the children of students attending your institution;
(ix) Continuum of care services for the homeless;
(x) Public access telecommunications centers including Twenty/20 Education Communities (formerly known as Campus of Learners) and Neighborhood Networks;
(xi) Activities to use HUD's Partnership for Advancing Technology in Housing (PATH) technology;
(xii) Services to assist low-income students to attend college, as part of the U.S. Department of Education's Gaining Awareness and Readiness for Undergraduate Program (GEAR UP). (For more information, call 1-800-USA-LEARN or visit the U.S. Department of Education's website at www.ed.gov).
(m) Up to 20% of your grant for program administration costs related to the planning and execution of community development activities assisted in whole or in part with grant funds. Pre-award planning costs may not be paid out of grant funds.
(D)
(2)
(3)
(4)
HUD will conduct two types of review: a threshold review to determine applicant eligibility; and a technical review to rate the application based on the rating factors in this section.
(A)
(1) You must be an eligible Alaska Native or Native Hawaiian institution of higher education;
(2) If you are an ANI, you request a Federal grant of $333,333 or less over the two-year grant period; or
(3) If you are an NHI, you request a Federal grant of $1 million or less over the two year grant period composed of no more than three separate projects, each in a different neighborhood, and each of no more than $333,333.
(4) If you are an ANI, there is only one application from your institution or a campus of your institution. If you are an NHI, there is only one application from your institution, no matter how many campuses there are.
(5) At least one of the activities in your application is eligible.
(B)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor, HUD will consider the extent to which your application demonstrates the knowledge and experience of the overall project director and staff, including the day-to-day program manager, consultants, and contractors in planning and managing the kinds of programs for which funding is being requested. If this experience is found within the AN/NHI, you will receive higher points on this factor than if you have secured this experience from consultants, contractors, and other staff outside your institution. In addition, if you demonstrate that the previous experience is for the project team from the institution proposed for this project, you will receive higher points than if the experiences are for people not proposed to work on this project. Experience will be judged in terms of recent, relevant, and successful experience of your staff to undertake activities in:
(a) Outreach activities in specific communities to solve or ameliorate significant housing and community development issues;
(b) Undertaking specific successful community development projects with community-based organizations; and
(c) Providing proven leadership in solving community problems which have a direct bearing on the proposed activity.
This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the importance of meeting the need in the target area. In responding to this factor, you will be evaluated on the extent to which you document the level of need for the proposed activities and the importance of meeting the need.
You should use statistics and analyses contained in one or more data sources that are sound and reliable. To the extent that your targeted community's Five (5) Year Consolidated Plan and Analysis of Impediments to Fair
If your proposed activities are not covered under the scope of the Consolidated Plan and AI, you should indicate such, and use other sound data sources to identify the level of need and the urgency in meeting the need. Types of other sources include Census reports, HUD Continuum of Care gaps analysis, law enforcement agency crime reports, Public Housing Authorities' Comprehensive Plans, community needs analyses such as provided by the United Way, your institution, etc., and other sound and reliable sources appropriate for AN/NHIAC. You may also address needs in terms of fulfilling court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements.
To the extent possible, the data you use should be specific to the area where the proposed activities will be carried out. You should document needs as they apply to the area where the activities will be targeted, rather than the entire locality or State, unless the target area is the entire locality or State.
This factor addresses the quality and cost-effectiveness of your proposed work plan, the commitment of your institution to sustain the proposed activities, and your actions regarding affirmatively furthering fair housing.
(1)
(b)
(i) The project you propose can be completed within the two year grant period; and
(ii) The objectives are measurable (e.g., the number of loans made, the number of jobs created), result in measurable improvement to the community (e.g., fifteen more homeowners, twenty more jobs in a specific field), and how well you demonstrate that these objectives will be achieved by your proposed management plan and team and will result directly from your activities.
(c)
(d)
(1) Promoting healthy homes;
(2) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare-to-work programs;
(3) Enhancing ongoing efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as “One Strike and You Are Out” or the “Officer Next Door” initiative;
(4) Providing educational, job training, and homeownership opportunities through such initiatives as GEAR UP, Neighborhood Networks, Twenty/20 Education Communities, and linking programs to Americorps; or
(5) HUD's Partnership for Advancing Technology in Housing (PATH) initiative.
The
The
The
The
The
(6)
(3)
(a) Working with other entities in the community to overcome impediments to fair housing, such as discrimination in the sale or rental of housing or in advertising, provision of brokerage services or lending:
(b) Promoting fair housing choice through the expansion of homeownership opportunities and improved quality of services for minorities, families with children, and persons with disabilities; or
(c) Providing housing mobility counseling services.
This factor addresses your ability to secure community resources, which can be combined with HUD program funds to achieve program objectives.
In evaluating this factor, HUD will consider the extent to which you have established partnerships with other entities to secure additional resources to increase the effectiveness of the proposed activities. Resources may include funding or in-kind contributions, such as services or equipment. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities. You may also establish partnerships with other program funding recipients to coordinate the use of resources in the target area.
You may count overhead and other institutional costs (e.g., salaries) that are waived as leveraging. However, higher points will be awarded if you secure leveraging resources from sources outside the institution.
You must provide letters or other documentation showing the extent and firmness of commitments of leveraged funds (including your own resources) in order for these resources to count in determining points under this factor. Any resource for which there is no commitment letter will not be counted, nor will the resource be counted without the proposed level of commitment being quantified. If your application does not include evidence of leveraging, it will receive zero (0) points for this Factor.
This factor addresses the extent to which you have coordinated your activities with other known organizations, participate or promote participation in a community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. For specific information about your locality's process, contact the local or State Community Development Agency or the local HUD field office. If you propose to work in a Community Development Block Grant (CDBG) non-entitlement jurisdiction, you will only need to address and will only be rated on subfactors (1) and (3). If that is the case, the points for this factor will be evenly divided between these two subfactors.
In evaluating this factor, HUD will consider the extent to which you demonstrate that you have:
(1)
(2)
(3) (
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other Federal, State or locally-funded activities, including those proposed or ongoing in the community.
(C)
HUD will not fund specific proposed activities that do not meet eligibility requirements (see 24 CFR part 570, subpart C), or do not meet a national objective in accordance with 24 CFR 570.208.
After all application selections have been made, HUD may require that you participate in negotiations to determine the specific terms of the Statement of Work and the grant budget. In cases where HUD cannot successfully complete negotiations, or you fail to provide HUD with requested information, an award will not be made. In such instances, HUD may elect to offer an award to the next highest ranking applicant, and proceed with negotiations with that applicant.
You should include an original and two copies of the items listed below. In order to be able to recycle paper, please do not submit applications in bound form; binder clips or loose leaf binders are acceptable. Also, please do not use colored paper. Please note the page limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section. These items include the standard forms, certifications, and assurances listed in the
(A)
(B)
(C)
(D)
(E)
(F)
(1) A budget by activity, using Form HUD-30005 included in the application kit and in the program area section of
(2) A narrative statement of how you arrived at your costs, for any line item over $5,000. Indirect costs must be substantiated and the rate must have been approved by the cognizant Federal agency. If you are proposing to undertake rehabilitation of residential, commercial, or industrial structures or acquisition, construction, or installation of public facilities and improvements, you must submit reasonable costs supplied by a
(3) A statement of compliance with the 20 percent limitation on “Planning and Administration” costs.
(G)
(1) Arrange the presentation of major related activities (e.g., rehabilitation of a child care center, provision of tutoring services), summarize each activity, identify the primary persons (as described in addressing Rating Factor 1) involved in carrying out the activity and accountable for the deliverables, and delineate the major tasks involved in carrying it out. You should also describe how each activity meets a CDBG national objective.
(2) Indicate the sequence in which tasks are to be performed, noting areas of work that must be performed simultaneously. The sequence, duration, and the products to be delivered should be presented in six month intervals, up to 24 months.
(3) Identify the specific numbers of quantifiable intermediate and end products and objectives (e.g., the number of houses of be rehabilitated, the number of people to be trained, the number of minority businesses started, etc.) you aim to deliver by the end of the grant period as a result of the work performed.
(H)
In addressing Factor 4, for each leveraging source, cash or in kind, you must submit a letter, dated no earlier than the date of this SuperNOFA, from the provider on the provider's letterhead that addresses the following:
• The dollar amount or dollar value of the in-kind goods and/or services committed. For each leveraging source, the dollar amount in the commitment letter must be consistent with the dollar amount you indicated in the Budget;
• How the leveraging amount is to be used;
• The date the leveraging amount will be made available and a statement that it will be for the duration of the grant period;
• Any terms and conditions affecting the commitment, other than receipt of a HUD AN/NHIAC Grant; and
• The signature of the appropriate executive officer authorized to commit the funds and/or goods and/or services. (See the application kit and the program area section of the SuperNOFA for a sample commitment letter.) If you are an NHI, you should separate your leveraging sources by project and include the appropriate letters in the Narrative Statement for that project.
(I)
(2) HUD-50071, Certification of Payments to Influence Certain Federal Transactions;
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
(5) HUD-50070, Certification of Drug-Free Workplace;
(6) HUD-2992, Certification Regarding Debarment and Suspension;
(7) HUD-2991, Certification of Consistency with the Consolidated Plan; and
(8) HUD-2990, Certification of Consistency with the EZ/EC Strategic Plan (if applicable);
(J)
(K)
You may not submit appendices or general support letters or resumes. If you submit letters of leveraging commitment, they must be included in your response to Factor 4. If you submit other documentation, it must be included with the pertinent factor responses (taking note of the page limit).
The General Section of the SuperNOFA provides the procedures for corrections to deficient applications.
Selection for award does not constitute approval of any proposed sites. Following selection for award, HUD will perform an environmental review of activities proposed for assistance under this program, in accordance with 24 CFR part 50. The results of the environmental review may require that your proposed activities be modified or that your proposed sites be rejected. You are particularly cautioned not to undertake or commit funds for acquisition or development of proposed properties prior to HUD approval of specific properties or areas. Your application constitutes an assurance that your institution assist HUD to comply with part 50; will supply HUD with all available and relevant information to perform an environmental review for each proposed property; will carry out mitigating measures required by HUD or select alternate property; and will not acquire, rehabilitate, convert, lease, repair, or construct property and not commit HUD or expend local funds for these program activities with respect to any eligible property until HUD approval of the property is required. In supplying HUD
This program was approved by Congress under the section 107 of the CDBG appropriation for fiscal year 2000, as part of the FY 2000 HUD Appropriations Act. AN/NHIAC is being implemented through this program section of the SuperNOFA and the policies governing its operation are contained herein.
The non-standard forms, which follow, are required for your AN/NHIAC application.
Available Funds. Approximately
Qualified Fair Housing Organizations (QFHOs); Fair Housing Organizations (FHOs); public or private non-profit organizations or institutions and other public or private entities that are working to prevent or eliminate discriminatory housing practices; State and local governments; and Fair Housing Assistance Program (FHAP) agencies (as defined in Section IV(A)(16) of this program section).
If you are interested in applying for funding under this program, please review carefully the
See the
When you submit your application, please provide the following information on the front of the mailing envelope: your organization's name, name of contact person, mailing address (including zip code), telephone number (including area code), and fax number.
In Fiscal Year 2000, $24,000,000 was appropriated for the Fair Housing Initiatives Program. Approximately $18,000,000 is being made available on a competitive basis to eligible organizations responding to this SuperNOFA. The remaining approximately $6,000,000 has been designated for the National Housing Discrimination Audit 2000.
The amount available for each Initiative/Component and the award cap (the maximum amount of funds that can be awarded for each grant) are allocated as follows:
(A)
(1)
(2)
(B)
(1)
(a)
(b)
(c)
(2)
(a)
(b)
(C)
(1)
(2)
(A)
Immigrant populations (especially ethnic minorities who are not English speaking) are increasingly responsible for new household formations in the United States, and they often face
(B)
(1)
(2)
(3)
FHAP agencies, however, may apply for funding of non-partnership activities under all other EOI Components. Your application is ineligible unless you devote at least sixty (60) percent of your activities and budget to the fair housing needs of immigrant (especially ethnic minorities who are not English speaking) and other underserved populations, as defined in Section IV(A)(16) in this program section of the SuperNOFA.
(4)
(5)
(6)
(7)
(8)
(9)
(C)
(a)
(b)
(i) Complaint intake of allegations of housing discrimination, testing, evaluating testing results, or providing other investigative and complaint support for administrative and judicial enforcement of fair housing laws;
(ii) Investigations of individual complaints and systemic housing discrimination for further enforcement processing by HUD, through testing and other investigative methods;
(iii) Mediation or other voluntary resolution of allegations of fair housing discrimination after a complaint has been filed; and
(iv) Costs and expenses of litigating fair housing cases, including expert witness fees.
(2)
(a)
Your application will be considered either as a single or partnership project (see, Section IV(C)(1) of this program section for more details). If you are submitting a partnership application,
(b)
(3)
(a)
(b)
(c)
(D)
(a)
(b)
(2)
(a)
(b)
(3)
(a)
(b)
(4)
(a)
You should contact your local Hub Office to identify eligible FHAP agencies with which you may partner. A list of Hub Offices is provided in the FHIP Appendix B at the end of this program section of this SuperNOFA and the list of eligible FHAP agencies will appear on the HUD web at “www.hud.gov.” A letter of firm commitment must be included stating that each partner(s) agrees to the proposed Statement of Work and will participate in the project, if selected for award. If you fail to include this letter of firm commitment with your application but your Statement of Work identifies the activities and tasks to be conducted by each partner, then your failure to provide this letter will be considered a technically deficiency and may be corrected as noted in Section V of the
(b)
(c)
(5)
(a)
(b)
(iii) Where communities do not have building codes, your application must show how you will:
(6)
(a)
(b)
(E)
(2)
(a)
(b)
(3)
(a)
(b)
(i) Complaint intake of allegations of housing discrimination; testing, evaluating testing results or providing other investigative and complaint support for administrative and judicial enforcement of fair housing laws;
(ii) Investigations of individual complaints and systemic housing discrimination for further enforcement processing by HUD, through testing and other investigative methods;
(iii) Mediation or other voluntary resolution of allegations of fair housing discrimination after a complaint has been filed; and
(iv) Costs and expenses of litigating fair housing cases, including expert witness fees.
(A)
(1)
(2)
(3)
(b) The requirements of paragraph (a) of this section do not apply to the Components listed in this paragraph. You may receive up to 3 awards, i.e., in addition to the single award for which you are eligible under paragraph (a) of this section, if you are an eligible applicant for the following Components, you may also apply for, and are eligible to receive an FHOI-Establishing New Organizations Component (ENOC) award, and/or either one EOI-National Program award or one Fair Housing Partnership award.
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(a) You must clearly designate the organization submitting the application as the single organization with responsibility for administering the grant and overseeing project activities.
(b) All members of your partnership, including sub-recipient organizations, must be identified in your application with the duties and responsibilities fully described for each.
(c) A letter of firm commitment must be submitted as discussed in paragraph 14(d). below.
(14)
(a)
(b)
(c)
(d)
(e)
For applications submitted under PEI and FHOI:
(f)
For applications submitted under PEI-General Component:
(g)
For applications submitted under FHOI-CDC:
(h)
For applications submitted under the community tensions component of the EOI-National Program and the Fair Housing Partnership Components of EOI and PEI:
(i) You are ineligible unless you devote at least sixty (60) percent of your activities and budget to the fair housing needs of immigrant (especially ethnic minorities who are not English speaking) and other underserved populations.
(15)
(b)
(c)
(16)
(i) A place having fewer than 2,500 inhabitants (within or outside of metropolitan areas).
(ii) A county with no urban population (i.e., city) or 20,000 inhabitants or more. Territory, persons and housing units in the rural portions of “extended cities.”
(iii) The U.S. census bureau identifies the rural portions of extended cities in the United States.
(iv) Open country which is not part of or associated with an urban area. The United States Department of Agriculture (USDA) determines what constitutes “open country.”
(v) Any place with a population not in excess of 20,000 and is not located in a Metropolitan Statistical Area.
(B)
(1)
(2)
(3)
(4)
(a) Have an economic interest in the outcome of the test; however, testers retain their right to recover damages as provided by law;
(b) Be a relative related by adoption, blood, or marriage of any party in a case;
(c) Have had any employment or other affiliation, within the past year with the person or organization to be tested; or
(d) Be a licensed competitor of the person or organization to be tested in the listing, rental, sale, or financing of real estate.
(5)
(6)
(a) The testing methodology to be used, and
(b) The training to be provided to testers. Your testing methodology and procedures will remain confidential for enforcement purposes.
(7)
(a) You must certify that you will not solicit funds from or seek to provide fair housing educational or other services or products for compensation either directly or indirectly to any person or organization that has been the subject of FHIP-funded testing by you during the 12 month period following the test. This does not preclude settlement based on investigative findings. HUD reserves the right to negotiate with awardees additional provisions addressing potential conflicts of interest.
(b) When you receive funds as the result of enforcement activities funded in whole or in part by the FHIP program, including testing, you shall reimburse the United States for the FHIP-funded activities. To accomplish this, you shall reimburse the United States for the FHIP-funded activities in accordance with procedures set forth in your grant or cooperative agreement.
(8)
(9)
(10)
(C)
(1)
(a) All partners must meet the eligibility requirements of this Initiative (see Section III(C)(1)(a) and (b)), and submit separate Statements of Eligibility with this application as an attachment to Rating Factor 1: Capacity of Applicant and Relevant and Organizational Experience, and
(b) Your Statement of Eligibility must make clear you are submitting a PEI-GC partnership application.
(D)
(1) All projects must address housing discrimination based on race, color, religion, sex, disability, familial status, or national origin.
(2) Your application must contain a description of how your activities or your final products can be used by other agencies and organizations. If modifications are necessary for use by others, describe the modifications.
(3) You must describe in Factor 3: Soundness of Approach, your referral process for filing complaints with HUD. HUD expects this complaint referral process will result in an increased number of referrals to HUD of credible, legitimate fair housing claims and other information regarding discriminatory practices.
(E)
(F)
(1) The project(s) must focus on the enforcement and education needs of immigrant (especially ethnic minorities who are not English speaking) and other underserved populations.
(2) You are eligible only if you partner with an eligible FHAP agency. The list of eligible FHAP agencies may be obtained from your Hub Office and will be posted on the HUD web at “www.hud.gov.”
(3) Your application is ineligible unless you devote at least sixty (60) percent of your activities and budget to the fair housing needs of immigrant (especially ethnic minorities who are not English speaking) and other underserved populations, as defined in Section IV(A)(16).
(4) You must respond to Rating Factor 3: Soundness of Approach, outlining your activities and the funds you are requesting for your partnership participation, and provide, as an attachment to Rating Factor 3, the total budget and a description of the overall partnership, including the duties and responsibilities of each partner.
(5) This is a collaborative effort between FHIPs and FHAPs. Your eligible FHAP partner will not be funded unless your application is selected. Furthermore, if two members of the partnership submit applications under the Fair Housing Partnership Components of EOI and PEI, both applications must be rated at or above the cutoff point and then their overall ranking will be based on the average of their combined scores (see discussion in Section V), i.e., the applications are interdependent.
(6) These are 24 months projects. The award caps for each partner are from $150,000 to $250,000 depending on whether the project focus is local/community-based, or state/regional. Thus, a regional project which, in addition to the FHAP, has two partnering FHIP organizations, one which has applied under EOI-FHPC and the other under PEI-FHPC, could qualify for a maximum of $750,000 for the project, i.e., $250,000 to each partner.
(7) HUD has added these Components to those exempted from the single award and funding/geographic diversity provisions.
(a)
(b)
(A)
(a) General Component
(b) Fair Housing Partnership Component
(a) Regional/Local/Community-Based Program:
(i) General Component
(ii) Disability Component
(iii) Fair Housing Partnership Component
(b) National Program:
(i) Model Codes Partnership Component
(ii) Community Tensions Component
(a) Establishing New Organizations Component
(b) Continued Development Component
You will be awarded points and assigned a score based on the Factors for Award. After eligible applications are evaluated against the Factors for Award and assigned a score, they will be ranked in order by score. A minimum score of sixty 60 points will be considered a cutoff point and an application with a score of 60 points or more will be considered of sufficient quality. An application receiving less than sixty (60) points will be considered of insufficient quality for funding.
(B)
(1) Both applications must be rated at or above the cutoff point; and then
(2) The ranking will be based upon the combined average score of the two applications. For example, if the PEI-FHPC receives a rating of 61 points and the EOI-FHPC receives a rating of 73 points the partnership ranking will be 67 points (61 + 73 = 134 divided by 2 = 67); if the PEI-FHPC receives a rating of 89 points and the EOI-FHPC receives a rating of 59, the Partnership will not be eligible for award since both applications are not at or above the cutoff point of 60 points.
(3) Tie Breaking. When there is a tie in the overall score, the applicant with the higher score under Rating Factor 3: Soundness of Approach will be ranked higher. If the applicants receive the same scores for Rating Factor 3, the applicant with a higher score under Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience will be ranked higher. If these scores are identical, then the applicant with the request for lower FHIP funding will be ranked higher.
(C)
(2)
(a)
(i) The selecting official may apply the geographic diversity procedure to all applications of sufficient quality, or
(ii) The selecting official may not apply geographic diversity and award funds to applicants based on their rank order except that skipped over applications are funded in rank order after all other applications of sufficient quality are funded, until funds are exhausted or there are no more applications of sufficient quality to be funded.
(b)
(i) The selecting official may decide to apply geographic diversity to the skipped over applications, to the extent that additional funds remain. If, after applying geographic diversity a second time, additional funds still remain, the remaining funds will be awarded based on the rank order of any remaining applications of sufficient quality to be funded, irrespective of jurisdiction.
(ii) If the selecting official opts not to apply geographic diversity a second time, then remaining funds shall be awarded to skipped over applications based on their rank order until funds are exhausted.
(D)
(1) First, within Initiatives:
(a) For PEI and EOI, funds remaining from any Component will be shifted to the General Component;
(b) For FHOI, funds remaining from ENOC will be shifted to CDC.
(2) Second, between Initiatives: if after shifting funds, as noted above, funds remain, such funds will be shifted to the PEI-Multi-Year General Component.
(E)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement your proposed activities in a timely manner. Unless otherwise specified, the rating of your organization and staff for technical merit or threshold compliance will include all partners and/or sub-recipients identified in your application. In rating this factor HUD will consider the extent to which your application demonstrates:
(1)
(a) The experience and background of your proposed project director and staff, including the day-to-day program manager, Board of Directors, consultants and contractors, and their knowledge and experience in planning and managing projects for which you are requesting funding. If your past activities have resulted in successful enforcement proposals being referred to HUD, clearly describe these actions and the outcome of such referrals.
(b) Your readiness and ability to begin your proposed work project immediately with sufficient personnel and/or whether you will be able to recruit quickly, qualified experts or professionals to deliver the proposed activities in a timely and effective fashion. To demonstrate there is or will be sufficient personnel, you must submit the proposed number of staff years for the employees and experts you plan to assign to the projects for which you are requesting funding, the titles and relevant professional background and experience, and the roles each is to perform. You must identify the key personnel in your Statement of Work, as discussed in Rating Factor 3: Soundness of Approach.
(c) The diversity of your organization and staff and what they bring to the project in terms of race, ethnicity, and disability should also be discussed.
(2)
(a) If you have received HUD funding in the past, the Department will consider your past grant experience in terms of your ability to attain demonstrated measurable progress in the implementation of your most recent activities where performance has been assessed as measured by expenditures and progress in meeting project milestones and in the achievements accomplished. HUD will also consider any evidence it has in its files of your failure to comply with grant award provisions; or
(b) If you have not received HUD funding in the past, the Department will review any documentation of your experience in managing projects and carrying out management responsibilities for projects similar in scope or nature to the work activities proposed and the achievements to be accomplished. Therefore, if you have managed large, complex, interdisciplinary projects, or work similar in scope or complexity to your proposed project, you must include that information in your response.
This factor addresses the extent to which there is a need to fund your proposed activities and an indication for the urgency of meeting the need in your project area. In rating this factor, HUD will consider the extent to which you demonstrate:
You should analyze and document the level of need in the specific area where your proposed activities will be carried out. Attention must be paid to documenting need where activities will be targeted, rather than the entire locality, State, or region. However, if your project area is an entire locality, State, or region, then documenting need at that level is required. Your application may reference the extent to which your community's Consolidated Plan (CP) and Analysis of Impediments to Fair Housing Choice (AI), which is a Component of the CP, identify the level of the problem and urgency of need. In addition, your application should document the extent to which project activities will affirmatively further fair housing (AFFH), by describing how proposed activities will lead to overcoming impediments to fair housing
Additional examples of how you may document need may be obtained from Chapter 5 of the “Fair Housing Planning Guide, Vol. 1,” which also includes use of HUD reports and analyses, relevant economic and/or demographic data including indices of segregation in areas by race or national origin, government or foundation reports and studies, news articles, and other information that relate to your proposed activities. The Fair Housing Planning Guide may be found on the HUD web at “www.hud.gov.”
(2)
This factor addresses the strategy, quality, and cost-effectiveness of your project as set forth in your Statement of Work (SOW) and budget. Your rating for this factor is based upon how clearly you establish a relationship between your proposed activities, community needs and the purpose of the project funding. HUD has pledged to substantially increase its enforcement actions, and all projects funded under this SuperNOFA shall contribute to the accomplishment of this goal. Your application must provide a basis for your specific activities relating to enforcement proposal referrals to HUD that are described in your Statement of Work. Your final performance measures for enforcement proposal referrals will be negotiated between you and HUD as part of the executed grant or cooperative agreement.
Points will be awarded differently under paragraph (1)
(1)
Examples of enforcement proposals include:
(i) Evidence of violations of the Fair Housing Act, including prima facie evidence, with or without related testing evidence that may result in the filing of complaints;
(ii) Results of testing or audits demonstrating potential housing discrimination;
(iii) Well-developed analysis of data including Home Mortgage Disclosure Act (HMDA), and/or Community Reinvestment Act (CRA) analyses, Census data, current studies of residential segregation, or other similar documentation supporting allegations of discrimination; and
(iv) Referrals of claims to HUD on behalf of individuals or groups other than your organization.
(1)
(a)
(i) Evidence of violations of the Fair Housing Act, including prima facie evidence, with or without related testing evidence that may result in the filing of complaints;
(ii) Results of testing or audits demonstrating potential housing discrimination;
(iii) Well-developed analysis of data including Home Mortgage Disclosure Act (HMDA), and/or Community Reinvestment Act (CRA) analyses, Census data, current studies of residential segregation, or other similar documentation supporting allegations of discrimination; and
(iv) Referrals of claims to HUD on behalf of individuals or groups other than your organization.
(b)
(i)
(ii)
(iii)
(iv)
(v)
(v)
(2)
(a) Describes in broad terms the design and objectives of your project, including the geographic area to be served; individuals protected under the Fair Housing Act to be served; end product(s); program improvements to be achieved; total number of staff needed to complete all proposed activities and key personnel by years of experience, name and function. You must also describe how project objectives of the component for which you are seeking funding will be met [
(b) Outline in chronological order your administrative and program activities and tasks to be performed and the duration of the project. Your outline should identify all activities and tasks to be performed and by whom,
(3)
(a) The quality, thoroughness and reasonableness of the cost estimates provided. As part of your response, you should provide a summary budget that identifies costs by category in accordance with the following:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
(b) If you do not have an indirect cost rate and/or you are a single funded organization (funded 100% from one source), you must be able to document direct allocations in all cost categories;
(c) The extent to which your project is cost effective in achieving the anticipated results of your proposed activities, as well as in achieving significant community impact; and
(d) The extent to which you demonstrate your ability to handle financial resources with adequate financial control procedures and accounting procedures. HUD will consider items such as findings identified in your most recent audits, internal consistency in the application of numeric quantities, accuracy of mathematical calculations and other available information on financial management capability.
The extent to which local groups will contribute additional resources to increase the effectiveness of the proposed activities. In evaluating this factor, HUD will consider:
(1)
(2)
This factor addresses the extent to which you coordinate your activities with other organizations in the project area, participate or promote participation in the project area's Consolidated Planning process (including Analysis of Impediments to Fair Housing Choice), and create linkages with other activities in the community. In other words, to what extent are you working with others to address community needs in your project area? In evaluating this factor, HUD will consider the extent to which you demonstrate:
(1) How your project activities will reach your targeted audience. This includes a discussion of how:
(a) Your methods or approaches will ensure that project activities and materials are made available to local groups and organizations; and
(b) The project may enhance the activities or work in tandem with such groups or organizations in your project area. At a minimum, your application should discuss procedures you will use to promote awareness of the services provided by your project.
(2) How your project activities will make communities and organizations in your project area aware of opportunities for linking activities with:
(a) Other proposed or on-going HUD-funded project activities;
(b) Other proposed or on-going State, Federal, local or privately funded activities which, taken as a whole, support and sustain a comprehensive system to address the purpose of these projects; and
(c) Other activities being undertaken to address barriers to housing choice identified in the Consolidated Plan's Analysis of Impediments to Fair Housing Choice.
(F)
Unless otherwise specified, the rating of your organization and staff for technical merit or threshold compliance will include any partners, sub-recipients, and consultant/contractors who are identified in your application. This factor addresses the extent to which you have the organizational resources necessary to implement your proposed activities in a successful and timely manner and your ability to:
(a) Analyze data;
(b) Interact with local elected officials, housing industry persons, and disability advocates for the purpose of consensus building;
(c) Construct appropriate language or building code changes (when appropriate);
(d) Educate the public and others on accessibility requirements;
(e) Operate in environments that may not be receptive to accessibility requirements;
(f) Demonstrate a thorough knowledge of accessibility requirements and the nuances therein; and
(g) Demonstrate ability to work with diverse and sometimes opposing advocacy groups;
(a) Develop preventive community tension strategies;
(b) Recognize replicable community tension “Best Practices;”
(c) Intervene in situations affected by community tensions;
(d) Demonstrate a positive record of intervention in community tensions.
It is anticipated that the measures for preventing and resolving community tensions will address not only the immediate or anticipated problem but the underlying issues of community tensions. In rating this factor, HUD will consider the extent to which your application demonstrates:
(1)
(a) The eligibility and qualifications of your organization and its governing board; the type of organization (
(b) Your management of large, complex, interdisciplinary projects;
(c) Awards to and major accomplishments of your organization. HUD may also consider any documented evidence, such as performance reviews, newspaper articles, or monitoring findings, that may reflect positively or negatively upon your ability and the proposed staff's ability to perform the work.
(2)
(a) Whether you have sufficient personnel or will be able to recruit quickly, qualified experts or professionals to deliver your proposed activities in a timely and effective fashion, including your readiness and ability to begin immediately your proposed project;
(b) The overall knowledge and experience of your proposed project director and staff, including the day-to-day project manager, sub-recipients, and consultants in planning and managing your proposed project. To demonstrate that you have sufficient personnel, you must specify the proposed number of staff hours for the employees and experts allocated to your project, their titles, duties, and responsibilities, and their relevant professional background and experience; and
(c) The diversity in terms of race, ethnicity, and experience with disabilities which your staff and experts bring to your proposed project
(d) Your organizational infrastructure of affiliate chapters, branch members or other outreach arms that can be utilized to provide national coverage if available; if unavailable, your ability to call upon other groups or organizations to provide national coverage;
Note that at least two years of recent and relevant experience is recommended for:
(i) Model Codes Partnership Component—accessibility law, building codes and standards to make building codes accessible to the Fair Housing Act's accessibility requirements, and knowledge of the International Building Code 2000, the Uniform Building Code, the BOCA National Building Code, the Standard Building Code, or the American National Standards Institute's A117.1 accessibility standard;
(ii) Community Tensions Component—familiarity with the kinds of community tensions that arise in ethnically and culturally diverse underserved communities; experience working with ethnically and culturally diverse groups of local, regional, and national organizations and with community representatives on preventing and intervening in community tensions.
(3)
(a) For Model Codes Partnership Component—more fully appreciate the barriers to accessibility which may be experienced by person with disabilities and which may violate the Fair Housing Act;
(b) For Community Tensions Component—understand the factors that may reduce community tensions.
You must describe your ability to understand fair housing enforcement-related issues/policies/practices which influence discriminatory housing practices. When responding to this rating factor, you should describe your past experience in developing and implementing innovative strategies and their results. The rating of this factor for technical merit will include a review of the background, skills, and experience of any partners and sub-recipients identified as participants in your project.
If you have received HUD funding in the past, HUD will consider your ability to achieve demonstrated measurable progress in the implementation of your most recent activities. Your performance will be measured by expenditures and progress in meeting project milestones and achievements accomplished. HUD will also consider any evidence in its files of your failure to comply with grant award provisions.
If you have not received funding in the past from HUD, HUD will consider your experience in managing projects similar in nature and of a national scope to the work activities proposed. Therefore, if you have managed large, complex, interdisciplinary projects or have performed work similar in nature and national scope to the proposed project, you should include that information.
This factor addresses the extent to which you document and address the national need for educating the public about their fair housing rights and obligations under the Fair Housing Act. You should state which activities and methods you intend to address, and how your application offers the most effective approach for dealing with that national need. In responding to this factor, you will be evaluated on the following:
(1) (
(2) (
This factor addresses the strategy, quality and cost-effectiveness of your proposed Statement of Work and budget. In evaluating this factor, HUD will consider the extent to which you and any partners:
(1) (
(2) (
(a) Clearly describes the specific activities and tasks to be performed by your organization and any partners; the sequence in which the tasks are to be performed, noting areas of work which must be performed simultaneously; estimated completion dates; and program products to be completed within the grant period, including specific numbers of quantifiable end products and program improvements you intend to deliver by the close of the award agreement period as a result of the work performed;
(b) Illustrates your national approach to the project and specifically how the project goals will be achieved at the national level; and
(c) Describes the immediate benefits of your application and how you will measure the benefits. You must describe the methods you will use to determine the effectiveness of your proposed activities and benefits achieved to receive points.
(3) (
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(4) HUD also will assess the soundness of your approach by evaluating:
(a) The extent to which your project is cost effective in achieving the anticipated results of your proposed activities, as well as in achieving significant community impact; and
(b) The extent to which you demonstrate your ability to handle financial resources with adequate financial control procedures and accounting procedures. HUD will consider items such as findings identified in your most recent audits, internal consistency in the application of numeric quantities, accuracy of mathematical calculations and other available information on financial management capability.
This factor addresses your ability to secure financial or in-kind resources on a national scale which can be combined with HUD's program resources to achieve your project purpose from: Model Codes Partnership Component—State and local building code organizations, members of the building industry, advocacy organizations, fair housing organizations, and other experts on accessibility laws; Community Tensions Component—local elected officials, schools, police departments, faith-based organizations, community service organizations, and FHAP Agencies to demonstrate leveraging. In evaluating this factor HUD will consider:
(1) (
(2) (
(a) Identify the organization and individual;
(b) Describe the proposed, specific level of commitment;
(c) Outline the responsibilities as they relate to the proposed project; and
(d) Be signed by the organization's official legally authorized to make commitments on behalf of the organization. For the Model Codes Partnership Component you must submit a letter of firm commitment stating that the partner(s) agrees to the proposed SOW and will participate in the project if selected for award. If you fail to include this letter of firm commitment with your application, but you have stipulated the activities and tasks to be undertaken by each partner in your Statement of Work, the failure to provide the letter will be treated as a technical deficiency corrected as noted in Section V of the
This factor addresses the extent to which you coordinate your activities with your partners and create linkages with other organizations so as to provide coverage in selected areas which together may be representative of the nation as a whole. In short, to what extent are you working with others to address needs in different parts of the country? In evaluating this factor, HUD will consider the extent to which you demonstrate:
(1) How your project activities will reach your proposed targeted audiences in different parts of the country. This includes a discussion of how:
(a) Your specific methods or approaches will ensure that project activities and materials are made available to local groups and organizations in those parts of the country which you are proposing as representative of the nation as a whole; and
(b) The project or activities will in fact work in tandem with such groups or organizations in the parts of the country you have selected or enhance the activities of such groups or organizations. At a minimum, your application should discuss the procedures you will use to promote awareness the of services provided by your project.
(2) Discuss how your project activities will make communities and organizations in the selected areas aware of opportunities for linking activities with:
(a) Other HUD-funded program activities, proposed or on-going; or
(b) Other proposed or on-going Federal, State, local or privately funded activities which, taken as a whole, support and sustain a comprehensive system to address the goals of these projects.
(G)
(1)
(2)
(3)
(4)
(a) HUD determines the amount requested for one or more eligible activities is unreasonable or unnecessary;
(b) An ineligible activity is proposed in an otherwise eligible project; or
(c) Insufficient amounts remain to fund the full amount requested in the application, and HUD determines that partial funding is a viable option.
(5)
Your application must contain the items listed in this Section VI. These items include the standard forms, certifications, and assurances listed in the
(A)
(B)
(C)
Section V of the
In accordance with 24 CFR 50.19(b)(9) and (12) of HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under related laws and authorities.
Section 561 of the Housing and Community Development Act of 1987 (42 U.S.C. 3616 note, established the Fair Housing Initiatives Program (FHIP)) and the implementing regulations are found at 24 CFR part 125.
If you are interested in applying for funding under this program, please review carefully the
If you are a National, Regional or Multi-State Housing Counseling Intermediary, you must submit a completed application on or before 12:00 midnight, Eastern time, on May 16, 2000, to the HUD Headquarters Office designated below.
See the
If you are a National, Regional or Multi-State Housing Counseling Intermediary, your completed application also consists of an original and two copies. Submit your completed application to Director, Program Support Division, Office of Single Family Housing, HUD Headquarters, 451 Seventh Street, S.W., Washington, DC 20410, Room 9166. The envelope should be clearly marked, “FY 2000 Intermediary Application”.
Under this SuperNOFA, $13.1 million of the $15 million appropriated is made available for eligible applicants. An allocation of $900,000 of the $15 million total in program funding has been set aside for Housing Counseling support, which may include continuation of the Housing Counseling Clearinghouse, and/or other HUD counseling initiatives and activities. An allocation of $1 million of the $15 million appropriated is available for the Home Equity Conversion Mortgage (HECM) Program, as provided in section 255(k) of the National Housing Act (12 U.S.C. 1715z-20).
Local housing counseling agencies, State housing finance agencies and national, regional and multi-state intermediaries can apply for a grant only under one of the categories described below. Affiliates and branches of a State housing finance agency or national, regional and multi-state intermediary which are not HUD-approved can apply for a subgrant under either Category 2 or 3, but not both. (The term “affiliate” or “affiliates” includes the term “branch” or “branches” of the affiliate unless otherwise stated.) A HUD-approved local housing counseling agency applying as an affiliate for a subgrant under either Category 2 or 3
In situations where an applicant submitted an application under two or more categories or submitted an application to two or more intermediaries within Categories 2 or 3, HUD considers these situations to have curable defects. In either case, a decision must be made by the applicant to affirm one funding source. If two or more applications were submitted then the applicant must select one category or one intermediary within Categories 2 or 3, under which to apply and must withdraw all other applications. If two or more grants were awarded then one grant source must be selected and all others forfeited.
The amount of funds available for suballocation are set forth below in three competing categories.
Applicants must submit an application under the specific category that they are eligible to apply for a grant.
(A)
A local HUD-approved housing counseling agency may apply for a grant to HUD, or a subgrant to a state housing finance agency, as an affiliate, or a subgrant to a national, regional, and multi-state intermediary as an affiliate. However, the local HUD-approved housing counseling agency can apply for only one grant or subgrant under any of the three categories or within Category 2 or 3. Furthermore, the agency must disclose in its application if it has applied for more than one source of HUD funds.
Allocation for use in local agency programs by HUD Homeownership Centers are as follows:
(B)
A national, regional and multi-state intermediary may provide a subgrant to an affiliate, but not to an affiliate that applies directly to HUD or a State housing finance agency or another intermediary in Category 2. An affiliate must disclose in its application if it has applied for more than one source of HUD funds.
(C)
There is no cap on the amount that a State housing finance agency, or its affiliates, may receive. A State housing finance agency may provide a subgrant to an affiliate, but not to an affiliate that applies to HUD or a national, regional, and multi-state intermediary or another State housing finance agency. An affiliate must disclose in its application if it has applied for more than one source of HUD funds.
(1)
(2)
(3)
(A)
(B)
(1)
As a selected intermediary, you must distribute at least 90 percent of your award funds to your housing counseling affiliates. The amount you request should reflect anticipated operating needs for housing counseling activities, based upon the counseling experience during FY 1999 and your current capacity. As an intermediary, the amount you request should reflect your
HUD will give you wide discretion to implement your housing counseling program with your affiliates. You must execute subgrant agreements with your affiliates that clearly delineate the mutual responsibilities for program management and appropriate time frames for reporting results to HUD. As part of the subgrant agreement, your affiliate must certify that it will not apply for a grant from any other Housing Counseling grant suballocation or categories, or another HUD approved national, regional, multi-state intermediary.
You can decide how to allocate funding among your affiliates with the understanding that a written record must be kept of how you determined your funding levels. This record must be made available to your affiliates and to HUD. You should budget an amount which reflects your best estimate of the cost to oversee and fund the housing counseling efforts of your affiliates. You must seek other private and public sources of funding to supplement HUD funding. HUD does not intend for its counseling grant funds to cover all costs incurred by an agency participating in this program.
(2)
If you apply directly to HUD, you cannot apply as an affiliate for a subgrant to a State housing finance agency or to a national, regional or multi-state intermediary. However, you must disclose all funding sources to HUD. If you are a local housing counseling agency that is not currently HUD-approved, you may receive FY 2000 funding only as an affiliate of a HUD-approved national, regional, or multi-state intermediary; or State housing finance agency.
(3)
As either a housing counseling agency or intermediary, you and your local affiliates do not need to be HUD-approved in order to receive these funds.
As a State housing finance agency, you can operate as a housing counseling agency and/or as an intermediary for affiliates that perform housing counseling functions in your State or territory.
As an intermediary, you must identify all your affiliates in your application and designate those affiliates that will be seeking a subgrant. The amount you request should reflect anticipated operating needs for housing counseling activities, based upon the counseling experience during FY 1999 and your current capacity.
In your role as an intermediary, the amount you request should reflect your best estimate of costs to oversee and fund your housing counseling affiliates. This best estimate should not exceed ten percent (10%) of the total grant amount. HUD will give you wide discretion to implement your housing counseling program with your affiliates.
As an intermediary, you must execute subgrant agreements with your affiliates that clearly delineate the mutual responsibilities for program management, including appropriate time frames for reporting results to HUD. As part of the subgrant agreement, your affiliate must certify that it has not applied for a grant from any other Housing Counseling grant suballocation or category, or another State housing finance agency. Your affiliate may be a local housing counseling agency. Local housing counseling agencies may also be affiliates of national, regional, or multi-State intermediaries or HUD approved local housing counseling agencies. You must decide how to allocate funding among your affiliates with the understanding that a written record will be kept of how your determination was made. This record must be made available to the affiliates and to HUD. You must certify that, if your affiliate is not HUD-approved, the quality of services provided will meet, or exceed, standards for local HUD-approved housing counseling agencies.
You must seek other private and public sources of funding to supplement HUD funding. HUD does not expect its counseling grant funds to cover all costs incurred by your organization's participation in this program. You may use the HUD grant to undertake any of the eligible counseling activities.
(C)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(a) Advocating with lenders, appraisers and developers on behalf of clients to recognize the value of non-traditional lending standards, the vitality of housing values in all areas, and the added value of accessible housing design; and
(b) Advising clients on how to recognize discriminatory acts, and how to file a Fair Housing complaint. (This will require being familiar with the provisions of the Fair Housing Act.)
You may elect to offer your services to a wide range of clients, or serve a more limited audience, provided your limited services do not constitute discrimination on the basis of race, color, religion, sex, national origin, disability or familial status. Your potential clients include: first-time homebuyers, homebuyers and homeowners eligible for, and applying for HUD, VA, FmHA (or its successor agency), State, local, or conventionally financed housing or housing assistance; or persons who occupy such housing and seek the assistance of a housing counseling agency to resolve a housing need. You may elect to offer this assistance in conjunction with any HUD housing program; however, to do this, you must be familiar with FHA's single family and multifamily housing programs.
(A)
(B)
(1) Civil Rights Threshold Requirements—All eligible applicants must meet the Civil Rights Threshold requirements that are listed in Section II(B) of the
(2) Accessibility—All eligible applicants will make counseling offices and services accessible to persons with a wide range of disabilities and help persons locate suitable housing in locations throughout the applicant's community, target area, or metropolitan area, as defined by the applicant.
(C)
(1) You will not discriminate against any segment of the population in the provision of services or in outreach, including those of other religious affiliations.
(2) You will not provide religious instruction or religious counseling, conduct religious services or worship, engage in religious proselytizing, and exert religious influence in the provision of assistance under your housing counseling program.
(D)
(A)
(B)
This factor addresses the extent to which you have the organizational resources necessary to successfully implement your proposed activities in a timely manner. Your rating or the rating of your organization and staff for technical merit will include any subcontractors, consultants, subrecipients, and members of consortia that are identified as participants in your proposal. In rating this factor, HUD will consider the extent to which your proposal demonstrates:
(1) (
(2) (
This factor addresses the extent to which there is a need for funding your proposed program activities to address a documented problem in your target area. To the extent that the community served by your housing counseling organization has documented the need in the community's Consolidated Plan or Analysis of Impediments to Fair Housing Choice (AI); or requirements of court orders or consent decrees, settlements and voluntary compliance agreements, references to these documents should be included in the response. If your proposed activities are not covered under the scope of the Consolidated Plan or AI, you should indicate such and use other sound data sources to identify the level of need for your proposed program of activities.
In responding to this factor, you will be evaluated on the extent to which you document a critical level of need for your proposed activities in the area where activities will be carried out. The documentation of need should demonstrate the extent of the problem addressed by the proposed activities. Examples of data that might be used to demonstrate need, include economic and demographic data relevant to the target area and your proposed activities. There must be a clear relationship between the proposed activities, community needs and the purposes of this program for an applicant to receive points for this factor.
This factor addresses the quality and effectiveness of your proposed housing counseling plan (work plan) that describes your housing counseling needs, goals, and objectives related to the scope of services you propose to provide, including a description of all counseling activities to be performed. In rating this factor, HUD will consider the following:
(1) The description of the scope of housing counseling services and/or activities that you will provide, how these services/activities will be rendered, how these services/activities will be performed, the Congressional District(s) in which your proposed services/activities are to occur, and the extent to which the design and scope of your services/activities provide geographic coverage for the target areas as defined by the applicant, as well as persons traditionally underserved in the community as identified in Rating Factor 2, as well as persons traditionally underserved, including identification of immediate benefits to be achieved and indicators by which these benefits will be measured.
(2) The extent to which you have a clear agenda and identify specific activities to be performed, such as:
(a) Screening interviews with clients;
(b) Setting up a client file with intake information and counseling plan; and
(c) Having the client sign an agreement accepting the counseling plan and making a commitment to attend the required counseling sessions.
(3) The extent to which your proposed tasks use documented, technically competent methodologies for conducting the work to be performed. HUD will assess the extent to which your proposed work plan identifies documented, proven methodologies for the types of services to be performed.
(4) The extent to which you demonstrate the relationship between the proposed activities, community needs and the purposes of this program.
(5) The extent to which your proposed activities undertake Affirmatively Furthering Fair Housing (AFFH) may be undertaken in a variety of ways, as appropriate to your target area. The following are some suggestions for all housing counseling agencies:
(a) Implementing affirmative marketing strategies to attract all segments of the population regardless of race, color, religion, national origin, sex, familial status, and disability, especially those least likely to request housing counseling services to purchase or retain their homes.
(b) Being pro-active in reducing concentrations of poverty and/or minority populations in the target area. This could include working with, or adopting the counseling practices of, agencies which conduct housing opportunity counseling to encourage low-income and minority persons to move to low-minority-concentration areas, and helping to locate suitable housing in such areas if the client chooses to move to one.
(c) Working with local lenders to develop alternative lending criteria. For instance, you may make referrals to lenders of clients with good credit and payment histories, but who do not fit the standard profiles for lending practices, or advocate with financial institutions on behalf of clients with financial patterns which reflect cultural differences (such as family savings pools, which are common among some Asian populations). Your activities should also focus on finding appropriate housing, free from environmental hazards, for all segments of the population in neighborhoods with good transportation, schools, employment opportunities, and other services.
(b) The following are some suggested activities for national, regional, or multi-state intermediaries and State housing finance agencies:
(i) Training affiliates in Fair Housing issues.
(ii) Making national or regional agreements with lenders, insurers, and organizations which train appraisers and loan appraisers on fair housing requirements, accessibility, and financing methods which support your organization's fair housing and housing opportunity efforts.
This factor addresses your ability to secure private and public resources which can be combined with HUD's program resources to achieve your program purposes. In evaluating this factor HUD will consider:
(1) The extent to which you have obtained additional resources, or partnered with other entities to secure additional resources, to increase the effectiveness of your proposed program activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated to the purpose(s) of your program. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to partner with you. You may also partner with other program funding recipients to coordinate the use of housing counseling and support services in your target area.
(2) You must provide evidence of leveraging/partnerships by including in your application letters of firm commitments, memoranda of understanding, or agreements to participate from entities identified as partners in your application. Each letter of commitment, memoranda of understanding, or agreement to participate should include the partnering organization's name, proposed level of commitment and responsibilities as they relate to your proposed program. The commitment letter must also be signed by an official of the organization legally able to make commitments on behalf of the partnering organization.
(3) If you are a housing counseling agency funded under this SuperNOFA, you may use your HUD and leveraged funds to deliver comprehensive housing counseling, or may specialize in delivery of particular housing counseling services. Either way, your services/activities must reflect the housing counseling needs you submitted in your funding application for your target area and identified in your plan. You may conduct a wide range of housing counseling services that are eligible under this program.
(4) If you are a national, regional or multi-state intermediary or a State housing finance agency, you must distribute the majority of your HUD award and leveraged funds to your housing counseling affiliates and branches. HUD will give you wide discretion to implement your housing counseling program with your affiliates and branches. You must execute subgrant agreements with your affiliates and branches that clearly delineates the mutual responsibilities for program management and appropriate time frames for reporting results to HUD. You can decide how to allocate the HUD and leveraged funding among your affiliates with the understanding that a written record must be kept of how you determined your funding levels. This record must be made available to your affiliates and to HUD. You should budget an amount that does not exceed ten percent (10%) of your grant and reflects your best estimate of the cost to oversee and fund the housing counseling efforts of your affiliates.
HUD housing counseling funding is not intended to fully fund either an organization's housing counseling program, or its local affiliates. All organizations that use housing counseling grant funds and their local affiliates are expected to seek other private and public sources of funding for
This factor addresses the extent to which you have coordinated your activities with other known organizations, participated or promoted participation in a community's Consolidated Planning process and are working toward addressing identified needs in a holistic and comprehensive manner through linkages with other activities in your community. In evaluating this factor, HUD will consider the extent to which you can demonstrate you have:
(1) Coordinated your proposed activities with those of other groups or organizations prior to submission in order to best complement, support and coordinate all known activities; and, if funded, the specific steps you will take to share information on solutions and outcomes with others. Any written agreements or memoranda of understanding in place should be described.
(2) Taken or will take specific steps to become active in the Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established in your target area to identify and address needs/problems related to the activities you propose in your application. If you reported in your FY 1999 application that you “will take specific steps”, describe what steps you have taken.
(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those covered by the target area's Consolidated Plan; and (b) Other Federal, State or locally funded activities, including those proposed or on-going in your target area.
If you reported in your FY 1999 application that you “will take specific steps”, describe what steps you have taken.
(A)
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(B)
(1)
(a) Organization name;
(b) Address;
(c) Director and contact person (if different);
(d) Phone/FAX numbers (including TTY, if available);
(e) Federal tax identification number;
(f) ZIP code service areas;
(g) Number of staff providing counseling;
(h) Type of services offered (defined by homebuyer education programs, pre-purchase counseling, post-purchase counseling, mortgage default and delinquency counseling, HECM counseling, outreach initiatives, renter assistance, and other);
(i) Number of years of housing counseling experience.
(2)
(3)
The
In accordance with 24 CFR 50.19(b)(9) and (12) of the HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under the related laws and authorities.
HUD's Housing Counseling Program is authorized by section 106 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x), and is generally governed by HUD Handbook 7610.1, REV-4, dated August 9, 1995.
The non-standard forms, which follow, are required for your Housing Counseling Program application.
See the
After 5:00 pm on the application due date, hand carried applications will be accepted until 12:00 midnight, in the South Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
(A)
(B)
(A)
(1) Because lead-based paint is a national problem, these funds will be awarded to:
(a) Maximize both the number of children protected from lead poisoning and housing units where lead-hazards are controlled;
(b) Target lead hazard control efforts at housing in which children are at greatest risk of lead poisoning;
(c) Stimulate cost-effective approaches that can be replicated;
(d) Emphasize lower cost methods of hazard control;
(e) Build local capacity to safely and effectively address lead hazards during lead hazard control, renovation, remodeling, and maintenance activities; and
(f) Affirmatively further fair housing, Partnership for Advancing Technology in Housing (PATH), and environmental justice.
(2) The objectives of this program include:
(a) Implementation of a national strategy, as defined in Title X of the Housing and Community Development Act of 1992 (42 U.S.C. 4851
(b) Mobilization of public and private resources, involving cooperation among all levels of government, the private sector, and community-based organizations to develop cost-effective methods for identifying and controlling lead-based paint hazards;
(c) Development of comprehensive community approaches which result in integration of all community resources (governmental, community-based, and private businesses) to address lead hazards in housing;
(d) Integration of lead-safe work practices into housing maintenance, repair, weatherization, rehabilitation, and other programs which will continue beyond your grant period;
(e) Establishment of a public registry (listing) of lead-safe housing; and
(f) To the greatest extent feasible, promotion of job training, employment, and other economic opportunities for low-income and minority residents and businesses that are owned by and/or employ low-income and minority residents as defined in 24 CFR 135.5 (See 59 FR 33881, June 30, 1994).
(B)
(2) Threshold Requirements. As an applicant, you must meet all of the threshold requirements of Section II(B) of the
(3) Consolidated Plans.
(a) If your jurisdiction has a current HUD approved Consolidated Plan, you must submit, as an appendix, a copy of the lead-based paint element included in the approved Consolidated Plan.
(b) If your jurisdiction does not have a currently approved Consolidated Plan, but it is otherwise eligible for this grant program, you must include your jurisdiction's abbreviated Consolidated Plan, which includes a lead-based paint hazard control strategy developed in accordance with 24 CFR 91.235.
(4) Contracts with Community-Based Organizations. If selected for funding, local and State applicants must enter into contractual relationships with community-based organizations. Such relationships must be established prior to actual execution of the grant agreement. This requirement does not apply to Indian Tribes.
(5) EPA Authorization. If you are a State government or an Indian Tribal government, you must have an EPA authorized Lead-Based Paint Contractor Certification and Accreditation Program on the application deadline to be eligible. The approval date in the
(6) If you were funded under the FY 1999 Lead-Based Paint Hazard Control Funding competition in the FY 1999 SuperNOFA issued February 26, 1999 (64 FR 9699), you are not eligible for funding under this program section of the SuperNOFA.
(7) The eligibility factors discussed in paragraphs (1) through (6) above are threshold requirements. If you do not satisfy the appropriate eligibility requirements stated in these paragraphs, HUD will not review your application.
(C)
(1) Direct Project Elements that you may undertake directly or through subrecipients, include:
(a) Performing dust testing, hazard screens, inspections, and risk assessments of eligible housing constructed before 1978 to determine the presence of lead-based paint and/or lead hazards from paint, dust, or soil.
(b) Conducting the required pre-hazard control blood lead testing of children under the age of six years (72 months) residing in units undergoing inspection, risk assessment, or hazard control, unless reimbursable from Medicaid or another source.
(c) Conducting lead hazard control, which may include any combination of the following: interim control of lead-based paint hazards in housing (which may include specialized cleaning techniques to address lead dust); abatement of lead-based paint hazards using different methods for each unit (based on the condition of the unit and the extent of hazards); and abatement of lead-based paint hazards, including soil and dust, by means of removal, enclosure, encapsulation, or replacement methods. Complete abatement of all lead-based paint or lead-contaminated soil is not acceptable as a cost effective strategy unless justification is provided and approved by HUD. Abatement of lead-contaminated soil should be limited to areas with bare soil in the immediate vicinity of the structure,
(d) Carrying out temporary relocation of families and individuals during the period in which hazard control is conducted and until the time the affected unit receives clearance for reoccupancy.
(e) Performing blood lead testing and air sampling to protect the health of the hazard control workers, supervisors, and contractors.
(f) Undertaking minimal housing rehabilitation activities that are specifically required to carry out effective hazard control, and without which the hazard control could not be completed and maintained. Hazard Control grant funds may be used for lead hazard control work done in conjunction with other housing rehabilitation programs. HUD strongly encourages integration of this grant program with housing rehabilitation and PATH technologies.
(g) Conducting clearance dust-wipe testing and laboratory analysis.
(h) Engineering and architectural activities that are required for, and in direct support of, lead hazard control.
(i) Providing lead-based paint worker or contractor certification training and/or licensing to low-income persons.
(j) Providing free training on lead-safe, essential maintenance practices to homeowners, renters, painters, remodelers, and apartment maintenance staff working in low-income private housing.
(k) Providing cleaning supplies for lead-hazard control to community/neighborhood-based organizations, homeowners, and renters in low-income private housing.
(l) Conducting planning and coordination activities to facilitate local implementation of HUD's regulations on Lead-Based Paint Poisoning Prevention in Certain Residential Structures, published on September 15, 1999 (64 FR 50140), which will take effect on September 15, 2000. These regulations are available from the National Lead Information Center at 1-800-424-LEAD.
(m) Conducting general or targeted community awareness, education or outreach programs on lead hazard control and lead poisoning prevention. This includes educating owners of rental properties on the Fair Housing Act and training on lead-safe maintenance and renovation practices and management. Upon request, this also would include making all materials available in alternative formats to persons with disabilities (
(n) Procuring liability insurance for lead-hazard control activities.
(o) Supporting data collection, analysis, and evaluation of grant program activities. This includes compiling and delivering such information and data as may be required by HUD. This activity is separate from administrative costs.
(p) Conducting applied research activities directed at demonstration of cost effective methods for lead hazard control.
(q) Purchasing or leasing equipment having a per unit cost under $5,000.
(r) Purchasing or leasing up to two (2) X-ray fluorescence analyzers for use by the Lead-Based Paint Hazard Control Grant Program, if not already available.
(s) Preparing a final report at the conclusion of grant activities.
(2) Support Elements.
(a) Administrative costs. There is a 10% maximum for administrative costs. Specific information on administrative costs is included in this Lead-Based Paint Hazard Control Grant Program section of this SuperNOFA.
(b) Program planning and management costs of sub-grantees and other sub-recipients.
(D)
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess of $5,000, except for X-ray fluorescence analyzers.
(3) Chelation or other medical treatment costs related to children with elevated blood lead levels. Non-Federal funds used to cover these costs may be counted as part of the required matching contribution.
(4) Lead hazard control activities in publicly owned housing, or project-based Section 8 housing.
In addition to the program requirements listed in the
(A)
(2)
(3)
(4)
(B)
(C)
(D)
(E)
(1) The community in which the area is situated is participating in the National Flood Insurance Program in accordance with the applicable regulations (44 CFR parts 59-79), or less than a year has passed since FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood Insurance Program, flood insurance on the property is obtained in accordance with section 102(a) of the Flood Disaster Protection Act (42 U.S.C. 4012a(a)). You are responsible for assuring that flood insurance is obtained and maintained for the appropriate amount and term.
(F)
(G)
(H)
(I)
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency particulate air (HEPA) exhaust control;
(3) Uncontained hydroblasting or high pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
(5) Heat guns operating above 1100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride; and
(7) Dry scraping or dry sanding, except scraping in conjunction with heat guns or around electrical outlets or when treating no more than two (2) square feet in any one interior room or space, or totaling no more than 20 square feet on exterior surfaces.
(J)
(K)
(L)
(M)
(1)
(b)
(c)
(d)
(2)
(N)
(O)
(P)
(Q)
(R)
(S)
(A)
(B)
(C)
(D)
This factor addresses your organizational capacity necessary to successfully implement the proposed activities in a timely manner. The rating of the “applicant” or the “applicant's staff” for technical merit or threshold compliance, unless otherwise specified, includes any community-based organizations, sub-contractors, consultants, sub-recipients, and members of consortia which are firmly committed to your project. In rating this factor, HUD will consider:
(1) Your recent, relevant and successful demonstrated experience (including governmental and community-based partners) to undertake eligible program activities. You must describe the knowledge and experience of the proposed overall project director and day-to-day program manager in planning and managing large and complex interdisciplinary programs, especially involving housing rehabilitation, public health, or environmental programs. You must demonstrate that you have sufficient personnel or will be able to quickly retain qualified experts or professionals, to immediately begin your proposed work program and to perform your proposed activities in a timely and effective fashion. In the narrative response for this factor, you should include information on your program staff, their experience, commitment to the program, salary information, and position titles. Resumes (for up to three key personnel), position descriptions, and a clearly identified organizational chart for the lead hazard control grant program effort must be included in an appendix. Indicate the percentage of time that key personnel will devote to your project. To receive maximum points, your day-to-day program manager must be dedicated for a minimum of 75% of the time. Describe how other principal components of your agency or other organizations will participate in or otherwise support the grant program. You may demonstrate capacity by thoroughly describing your prior experience in initiating and implementing lead hazard control efforts and/or related environmental, health, or housing projects. You should indicate how this prior experience will be used in carrying out your proposed comprehensive Lead-Based Paint Hazard Control Grant Program.
(2) If you have received previous HUD Lead-Based Paint Hazard Control Grant funding, your past experience will be evaluated in terms of progress under the most recent previous grant. You must provide a description of your progress in implementing your most recent grant award within the period of performance, including the total number of housing units completed as of the most recent calendar quarter.
This factor addresses the extent to which there is a need for the proposed program activities to address a documented problem in the target area.
(1) Document a critical level of need for your proposed activities in the area where activities will be carried out. Since an objective of the program is to prevent at-risk children from being poisoned, specific attention must be paid to documenting such need as it applies to the targeted areas, rather than the entire locality or state. If the target area is an entire locality or state, then documenting need at this level is appropriate. So the threat to your jurisdiction's children can be thoroughly assessed, you should describe the need in both the target areas as well as the entire jurisdiction.
(2) Document the following:
(a) Numbers and percentages of children with elevated blood lead levels, particularly in the areas targeted in your proposal;
(b) Economic and demographic data relevant to the target area, including poverty and unemployment rates;
(c) Housing market data available from HUD, or other data sources, including the Consolidated Plan/Analysis of Impediments, Public Housing Authority's Five Year Comprehensive Plan, State or local Welfare Department's Welfare Reform Plan; or
(3) To the extent that statistics and other data contained in your community's Consolidated Plan or Analysis of Impediments to Fair Housing Choice (AI) support the extent of the problem, you should include references to the Consolidated Plan and the AI in your response.
(4) Provide information on your jurisdiction, and the areas targeted for the lead hazard control activities (data may be available in your currently approved Consolidated Plan, derived from 1990 Census Data, or special local studies):
(a) The age and condition of housing;
(b) The number and percentage of very-low (income less than 50% of the area median) and low (income less than 80% of the area median) income families, as determined by HUD, with adjustments for smaller and larger families;
(c) The number and proportion of children under six years (72 months) of age at risk of lead poisoning;
(d) The extent of the lead poisoning problem in children under six years of age in target areas and the overall jurisdiction; and
(e) Other socioeconomic or environmental factors that demonstrate a need to establish or continue lead hazard control work in your jurisdiction.
(5) You also must provide documentation of the priority that the community's Consolidated Plan and Analysis of Impediments has placed on addressing the needs you described.
(6) If your application addresses needs that are in the Consolidated Plan, Analysis of Impediments to Fair Housing Choice, court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements, you will receive more points than applicants that do not relate their program to identified needs.
(7) For you to receive maximum points for this factor, there must be a direct relationship between your proposed activities, community needs, and the purpose of the program funding. If the data presented in your response does not specifically represent your target area, you should discuss why the target areas were proposed.
This factor addresses the quality and cost-effectiveness of your proposed work plan. You should present information on your proposed lead-based paint hazard control program and describe how it will satisfy the identified needs. To the extent possible, describe a comprehensive strategy to address the need to protect targeted neighborhoods rather than individual units or homes. Your response to this factor must include the following elements:
(1)
(a)
(i) How your previous experience in reducing or eliminating lead-based paint hazards in conjunction with other Federal, State or locally funded programs will facilitate such implementation.
(ii) Your overall strategy for the identification, selection, prioritization, and enrollment of units of eligible privately-owned housing for lead hazard control. Describe the proposed activities that will occur in an EZ/EC and how they will benefit the residents of those zones or communities. Provide estimates of the total number of owner occupied and/or rental units which will receive lead hazard control. You should describe how you will respond to the needs of EBL children located outside the targeted areas.
(iii) The degree to which the work plan focuses on eligible privately-owned housing units with children under six years (72 months) old. Describe your planned approach to control lead hazards before children are poisoned and/or to control lead hazards in units where children have already been identified with an elevated blood lead level. Describe your process for referring and tracking children with elevated blood lead levels for medical case management. Provide estimates of the number of children you will assist through this program.
(iv) The financing strategy, including eligibility requirements, terms, conditions, and amounts available, you will use in carrying out lead hazard control activities. You must discuss the way these funds will be administered (
(v) You should describe how your proposed program will satisfy the stated needs or will assist in addressing the impediments in the AI. Describe how your proposed program will further and support the policy priorities of the Department, including promoting healthy homes; providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs; or providing educational and job training opportunities. Describe how your strategy will provide long-term benefits to families with children under six years of age.
(b)
(i) Proposed methods of community education. These may include community awareness, education, training, and outreach programs in support of the work plan and objectives. This description should include general and/or targeted efforts undertaken to assist your program in reducing lead exposure. Programs should be culturally sensitive, targeted, and linguistically appropriate. Upon request, this would include making materials available in alternative formats to persons with disabilities (
(ii) How you intend to involve neighborhood or community-based organizations in your proposed activities. Your activities may include outreach, community education, marketing, inspection (including dust lead testing), and the conduct of lead hazard control activities. HUD will evaluate the level of substantive involvement during the review process.
(iii) Outreach strategies and methodologies to affirmatively further fair housing and provide lead-safe housing to all segments of the population: homeowners, owners of rental properties, and tenants. Once the population to which outreach will be “targeted” is identified, outreach strategies directed specifically to them should be multifaceted. This criterion goes beyond testing and hazard control; it concerns what happens to the units after lead hazard control activities are completed and tries to ensure, for the long term, that all families will have adequate, lead-safe housing choices.
(c)
(i) Describe your process for the conduct of risk assessments and/or inspections in units of eligible privately-owned housing in which you will undertake lead hazard control. You may include housing which has a valid risk assessment or inspection which had been previously performed by certified inspectors or risk assessors, in accordance with the HUD Guidelines and identified with lead-based paint hazards.
(ii) Describe your testing methods, schedule, and costs for performing blood lead testing, risk assessments and/or inspections to be used. If you propose to use a more restrictive standard than the HUD thresholds (
(iii) Describe the lead hazard control methods you will undertake and the number of units you will treat for each method selected (interim controls, hazard abatement, and complete abatement). Provide an estimate of the per unit costs (and a basis for those estimates) for each lead hazard control method proposed and a schedule for initiating and completing lead hazard control work in the selected units. Discuss efforts to incorporate cost-effective lead hazard control methods (if you propose complete abatement, provide HUD with a detailed rationale for that decision). Explain your cost estimates, providing detail on how the estimates were developed, with particular references to cost effectiveness.
(iv) Schedule. Describe your expected schedule for the overall project. Discuss when you plan to complete planning and receive approval of your workplan; perform lead hazard control on your first unit; and complete lead hazard control on all units in your workplan and grant agreement.
Describe the schedule for a typical unit which will receive lead hazard control. Discuss the duration for enrollment and qualification;
(v) Describe how you will integrate proposed lead hazard control activities with rehabilitation activities.
(vi) Describe your contracting process, including development of specifications for selected lead hazard control methods. Describe the management processes you will use to ensure the cost-effectiveness of your lead hazard control methods. Your application must include a discussion of the contracting process for the conduct of lead hazard control activities in the selected units.
(vii) Describe your plan for occupant protection or the temporary relocation of occupants of units selected for lead hazard control work. You should address the use of safe houses and other housing arrangements, storage of household goods, stipends, incentives, etc.
(viii) If you are an existing grantee, you must describe the actions you will take to ensure that your proposed lead hazard control work will occur concurrently with other ongoing HUD lead hazard control grant work. Your application must provide the detail necessary to assure HUD that you will implement the proposed work immediately and perform it concurrently with existing lead hazard control grant work.
(ix) If you are an existing grantee, you must describe your progress in implementing your most recent lead hazard control grant award. If the production achieved is below the performance values (percentages of units completed) provided in the application kit, and no changes are proposed, you should explain why the strategy in the earlier grant remains appropriate. Failure to provide this discussion will result in reduced points for this subfactor.
(2)
Describe the methods to be used to provide economic opportunities for residents and businesses in the community. This discussion should include information on how you will promote training, employment, business development, and contract opportunities as part of your lead hazard control program. Describe how you will accomplish the requirements of section 3 of the Housing and Urban Development Act of 1968 to give preference to hiring of low- and very low-income persons or contracting with businesses owned by or employing low-and very low-income persons.
(3)
(a) Identify and discuss the specific methods and measures you will use (in addition to HUD reporting requirements) to measure progress, evaluate program effectiveness, and identify program changes necessary to improve performance. Describe how you will obtain, document and report the information.
(b) Provide a detailed description of any proposed applied research activities. Describe the objectives, methodology and impact at the local level of the proposed research activities.
This factor addresses your ability to obtain other community resources (financing is a community resource) that can be combined with HUD's program resources to achieve program objectives.
(1) In evaluating this factor, HUD will consider the extent to which you have established working partnerships with other entities to get additional resources or commitments to increase the effectiveness of the proposed program activities. Resources may include cash or in-kind contributions (such as services or equipment) allocated to the proposed program. Resources may be provided by governmental entities, public or private organizations, or other entities partnering with you.
(2) You should detail any activities to increase the understanding of lead poisoning prevention activities in your community. This could include partnerships with childhood lead screening programs or collaboration with ongoing health, housing or environmental research efforts which could result in a greater availability of resources. Please be aware that a separate funding notice on Lead Hazard Research is part of this SuperNOFA.
(3) Matching funds must be shown to be specifically dedicated to and integrated into supporting the lead-based paint hazard control program. You may not include funding from any Federally funded program (except the CDBG program) as part of your required 10% match. Other resources committed to the program that exceed the required 10% match will provide points for this rating factor and may include funds from other Federally funded programs. You must support each source of contributions, cash or in-kind, both for the required minimum and additional amounts, by a letter of commitment from the contributing entity, whether a public or private source. This letter must describe the contributed resources that you will use in the program. Staff in-kind contributions should be given a monetary value. If you do not provide letters specifying details and the amount of the actual contributions, those contributions will not be counted. Matching contributions required of investor-owners may be included as part of your match. Documentation and estimates for the amount of the match should be provided in the annex for this factor.
(4) You must provide evidence of leveraging or partnerships by including letters of firm commitment, memoranda of understanding, or agreements to participate from those entities identified as partners in your application. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name, the proposed level of commitment and responsibilities as they relate to your proposed program. The commitment must be signed by an official of the organization legally able to make commitments on behalf of the organization. Describe the role of community-based organizations in specific program activities, such as hazard evaluation and control; monitoring; and awareness, education, and outreach within the community.
This factor addresses the extent to which your program reflects a coordinated, community-based process of identifying needs and building a system to address the needs by using available HUD and other community resources. In evaluating this factor, HUD will consider how you have:
(1) Coordinated your proposed activities with those of other groups or organizations to best support and coordinate all known activities and the
(2) Become actively involved (or if not currently active, the specific steps it will take to become active) in your community's Consolidated Planning and Analysis of Impediments process established to identify and address a need/problem that is related in whole, or part, directly, or indirectly to the activities you propose.
(3) Developed linkages, or the specific steps you will take to develop linkages with other activities, programs or projects through meetings, information networks, planning processes or other mechanisms to coordinate your activities so solutions are comprehensive, including linkages with:
(a) Other HUD funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other HUD, Federal, State or locally funded activities, including those proposed or on-going in the community(ies) served.
(4) Coordinated and integrated lead hazard control work with housing rehabilitation, housing and health codes, other related housing programs, or including work of community development corporations and childhood lead poisoning prevention programs.
(a) Described the degree to which lead hazard control work will be done in conjunction with other housing-related activities (
(b) Described plans to incorporate lead-based paint maintenance, essential maintenance practices, and hazard control standards with the applicable housing codes and health regulations.
(c) Described plans to generate and use public subsidies or other resources (such as revolving loan funds) to finance future lead hazard control activities.
(d) Described plans to develop public-private lending partnerships to finance lead hazard control as part of acquisition and rehabilitation financing including the use of Community Reinvestment Act “credits” by lending institutions.
(e) Evidenced firm commitments from participating organizations by describing:
(i) The name of each organization;
(ii) The capabilities or focus of each organization;
(iii) The proposed level of effort of each organization; and
(iv) The resources and responsibilities of each organization, including the applicant's clearly proposed plans for the training and employment of low-income residents.
(f) Described specific plans and objectives to implement a registry of lead-safe housing into your community's planning. Such plans could include strategies on how the information would be managed and made available to the public so that families (particularly low income families with children under age six) can make informed decisions regarding their housing options. Existing grantee applicants must address any registry of lead-safe housing and specifically discuss the availability, amount of information contained, and the use by members of the community. Describe your plans to develop and maintain a registry of publicly available information on lead-safe units.
(g) Detailed the extent to which the policy of affirmatively furthering fair housing for all segments of the population is advanced by the proposed activities. Detail how your proposed work plan will support the community's efforts to further housing choices for all segments of the population. If you have an existing grant, you should discuss activities which have contributed to enhanced lead safe housing opportunities to all segments of the population.
(h) Described plans to adapt or amend statutes, regulations, or policies which will more fully integrate lead hazard control into community policies and priorities.
(5) Describe how the lead hazard control efforts which are focused in the Empowerment Zone/Enterprise Community will directly benefit the residents or community in that EC/EZ.
(6) Coordinated and cooperated with other organizations which will lead to a reduction in lead risks to community residents. This could include such activities as free training on lead-safe repainting and remodeling; promotion of essential maintenance practices; and provision of lead dust testing to low-income, privately-owned homes which may not receive lead hazard control assistance under this grant program.
(A)
(2)
(a) Transmittal Letter that identifies “the applicant” (or applicants) submitting the application, the dollar amount requested, what the program funds are requested for, and the nature of involvement with community-based organizations.
(b) The name, mailing address, telephone number, and principal contact person of “the applicant.”
If you have consortium associates, sub-grantees, partners, major subcontractors, joint venture participants, or others contributing resources to your project, you must provide similar information for each of these partners.
(c) Checklist and Submission Table of Contents.
(d) Applicant Abstract. An abstract describing the goals and objectives of your proposed program (2 page maximum).
(e) Standard Form 424, Application for Federal Assistance.
(f) HUD 424M, Federal Assistance Funding Matrix.
(g) A detailed budget (total budget is the federal share and matching
(h) An itemized breakout (using the SF-424A) of your required matching contribution, including:
(i) Standard Forms SF-LLL and SF-424B, and HUD Forms 2880, 2990, 2991, 2992, 2993, 2994, 50070 and 50071.
(j) Memoranda of Understanding or Agreement, letters of commitment or other documentation describing the proposed roles of agencies, local broad-based task forces, participating community or neighborhood-based groups or organizations, local businesses, and others working with the program.
(k) A copy of the lead hazard control element included in your current program year's Consolidated Plan. You should include the discussion of any lead-based paint issues in your jurisdiction's Analysis of Impediments, particularly as it addresses your target areas.
(l) Narrative responses to the five rating factors.
(B)
The
In accordance with HUD regulations in 24 CFR part 58, recipients of lead-based paint hazard control grants will assume Federal environmental review responsibilities. Recipients of a grant under this funded program will be given guidance in these responsibilities.
The Lead-Based Paint Hazard Control Program is authorized by section 1011 of the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and Community Development Act of 1992).
The non-standard forms, which follow, are required for your Lead-Based Paint Hazard Control Program application. They are the Checklist and Submission Table of Contents and the Total Budget (Federal Share and Matching Contribution, including instructions).
If you are interested in applying for funding under this program, please review carefully the
See the
After 5:00 pm on the application due date, hand carried applications will be accepted until 12:00 midnight, in the South Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
Approximately $1.5 million will be available to fund research proposals in FY 2000. Grants or cooperative agreements will be awarded on a competitive basis according to the Rating Factors described in Section V(B). HUD anticipates awarding three to five grants ranging from approximately $200,000 to approximately $600,000.
(A)
The HUD-sponsored research also responds to recommendations that were made by the Task Force on Lead-Based Paint Hazard Reduction and Financing, which was established pursuant to section 1015 of Title X. The Task Force presented its final report to HUD and the Environmental Protection Agency (EPA) in July 1995. The Task Force Report, entitled “Putting the Pieces Together: Controlling Lead Hazards in the Nation's Housing” (see Appendix A of this research program section of the SuperNOFA), recommended research be conducted on a number of key topics to address significant gaps in our knowledge of lead exposure and hazard control.
Research findings will be used in part to update HUD's
(B)
(C)
(a) Evaluation of Lead Hazard Control Methodologies;
(b) Low-Cost Analytical Techniques for the Rapid, On-Site Determination of Lead in Dust;
(c) New or Novel Methods of LBP Hazard Evaluation or Control, or other areas of research that are consistent with the overall goals of this research program section of the SuperNOFA.
Research objectives for the research topics listed above are provided separately in the expanded discussion of these topic areas that follows in Section III(C)(2). Although HUD is soliciting proposals for research on these specific topics, the Department will also consider funding applications for research on topics which are relevant under the overall goals and objectives of this research, as described above. In such instances, the applicant should describe how the proposed research activity addresses these overall goals and objectives.
(2)
(a)
(i)
The extent to which lead in exterior dust and soil can contribute to the lead content of interior dust has not been quantified. There may be a seasonal fluctuation in dust-lead loading on interior surfaces, especially floors (USEPA 1995; National Center for Lead Safe Housing, 1997). In temperate climates, seasonal variations in interior dust-lead levels may be related to greater opportunity for exterior leaded dust to be blown or tracked into homes in warmer seasons (
Applicants proposing research in this topic area should consider the efficiencies that might be gained by working cooperatively with some of the recipients of HUD lead hazard control grants, who are widely distributed throughout the U.S.
(ii)
• Estimate the relative contribution of exterior lead sources to lead dust on interior surfaces, identifying any seasonal changes in this pattern.
• Identify geographic differences in the contribution of exterior lead sources to interior dust-lead and any seasonal changes in this contribution.
• Evaluate methods to reduce the migration of lead from exterior sources into the home.
• Identify factors that are predictive of the lead content of exterior dust and soil and the fraction of exterior-derived lead in interior dust.
(b)
Consider the safety and environmental impacts of the procedure, particularly as used in the field. Comparatively recent developments have introduced for consideration the use of a field-portable anodic stripping voltammetry (ASV) device for the determination of lead in paint, lead dust on wipes, or lead in air (after collection on a membrane filter). Similarly, portable field x-ray fluorescence spectrometers (XRF) have been used to determine lead dust on dust wipes or the lead content of soil using a special holder. Neither of these techniques has yet been widely accepted or used in the field by practicing risk assessors. Of course, XRF is the most common method for inspectors to determine the presence of lead-based paint (LBP). There remains a need to introduce and develop a relatively low-cost, precise, accurate, and rapid technique to determine the level of lead dust on a dust wipe, particularly as a clearance determination where otherwise a contractor and crew may have to wait a day or more for a clearance determination to be reported by a laboratory. Such a method for determining lead content on a dust wipe could also serve as a good “screening” tool after LBP abatement or other lead hazard control activities to determine if sufficient cleaning has been performed prior to proceeding to full clearance determinations using dust wipes and laboratory analyses.
We invite the consideration and evaluation of all other techniques, including classical analytical techniques, that may become a low-cost,
(c)
You may address one or more of the research topic areas within your proposal, or submit separate applications for different topic areas. Projects need not address all of the objectives within a given topic area.
(i) Identify and evaluate new methods and/or techniques for LBP hazard control. Identify materials and/or procedures that may be used for abatement or for interim controls. Show the potential utility of these methods for lead hazard control and risk reduction. Evaluate critical elements and potential weaknesses of the methods or techniques, and address how to minimize the effect of each critical element and/or eliminate or mitigate each weakness. Demonstrate where and how these methods have been applied and tested, and/or perform demonstration activities. Illustrate the results obtained, and the costs involved. Recommend cost-effective changes to the Program for inclusion in future HUD lead hazard control grants, and for possible inclusion in future revisions to the Guidelines.
(ii) Evaluate the different programs used by the communities receiving HUD lead hazard control grants and determine which activities produce the greatest number of low-income child-years in treated units.
HUD believes there is a need to expand the possible alternatives to consider when evaluating or addressing the reduction of LBP hazards. Novel techniques and new ideas are hereby solicited to be used in a nationwide program to reduce childhood lead poisoning through the reduction and control of LBP hazards. Such techniques may include one or more of the following:
• Novel techniques or materials for paint film stabilization; as defined in the HUD regulation published Sept. 15, 1999,
• Reduction of bio-availability of lead in dust;
• An approach to reduce the formation of leaded dust from friction surfaces;
• Any other technique that may be used to reduce LBP hazards.
Additional ideas will be considered with an open mind toward novel techniques and applications.
Although HUD is soliciting proposals for research on some specific topics, the Department will also consider funding applications for research on topics which are relevant under the overall goals and objectives of this research NOFA, as described above. In such instances, the applicant should describe how the proposed research activity addresses these overall goals and objectives.
(A)
(B)
(1) All relevant State and Federal regulations regarding exposure to and proper disposal of hazardous materials.
(2) Any blood lead testing, blood lead level test results, and medical referral and follow-up for children under six years of age will be conducted according to the recommendations of the Centers for Disease Control and Prevention (CDC) (
(3) HUD research grant funds will not replace existing resources dedicated to any ongoing project; and
(4) Laboratory analysis covered by the National Lead Laboratory Accreditation Program (NLLAP) is conducted by a laboratory recognized under the program.
(5) Human research subjects will be protected from research risks in conformance with Federal Policy for the Protection of Human Subjects, codified by HUD at 24 CFR part 60.
(A)
Awards will be made in rank order, within the limits of funding availability.
You may address more than one of the research topic areas within your proposal, or submit separate applications for different topic areas. Projects need not address all of the objectives within a given topic area. While you will not be penalized for not addressing all of the specific objectives for a given topic area, if two applications for research in a given topic have equal scores, HUD will select the applicant whose project addresses the most objectives.
You are encouraged to plan projects that can be completed over a short time period (
Regarding the amount to be awarded to the selected applicants, please refer to the Negotiations section in the
(1)
(2)
(B)
This factor addresses the extent to which you have the ability and organizational resources necessary to successfully implement your proposed activities in a timely manner. The rating of you, the “applicant,” will include any sub-grantees, consultants, sub-recipients, and members of consortia that are firmly committed to the project (generally, “subordinate organizations”). In rating this factor HUD will consider the extent to which your application demonstrates:
(1)
(2)
(1) You must demonstrate responsiveness to solicitation objectives. You should explain in detail how your research would make a significant contribution towards achieving some or all of HUD's stated goals and objectives for one or more of the topic areas described in Sections III(C)(2)(a)-(c) of this program section of the SuperNOFA. You also should explain how your proposed research could lead to improvements or additions to the HUD Guidelines.
(2) If you are seeking funding for “other” research, as is described in section III(C)(2)(c), you must provide an explanation which demonstrates the importance and need for the research with respect to addressing the overall goal of this research program.
This factor addresses the quality of your proposed research plan. Specific components include the following:
(2)
(3)
Your proposal should demonstrate that the effectiveness of the HUD research grant funds are being increased by securing other public and/or private resources or by structuring the research in a cost-effective manner, such as integrating the project into an existing research effort. Resources may include funding or in-kind contributions (such as services, facilities or equipment) allocated to the purpose(s) of your research. Staff and in-kind contributions should be given a monetary value.
You should provide evidence of leveraging/partnerships by attaching to your application the following: letters of firm commitment, memoranda of understanding, or agreements to participate from those entities identified as partners in the research efforts. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name, proposed level of commitment (with monetary value) and responsibilities as they relate to specific activities or tasks of your proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.
You should describe how the results of your proposed research efforts will support planning, policy development, implementation of lead hazard control programs, and/or public education in the area of residential lead hazard control or in accordance with the goals and operations of the Partnership for Advancing Technology in Housing (PATH) (refer to Section VI(E) of the
(A)
(1) Transmittal Letter that identifies what the research program funds are requested for, the dollar amount requested, and the applicant or applicants submitting the application. If two or more organizations are working together on the research, a primary applicant must be designated.
(2) Checklist and Submission Table of Contents (see Appendix C).
(3) The name, mailing address, telephone number, and principal contact person of the prime applicant. If you have consortium associates, sub-grantees, partners, major subcontractors, joint venture participants, or others contributing resources to your project, similar information must be provided for each of these entities.
(4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update Report; Certification Regarding Lobbying; and/or SF-LLL, Disclosure of Lobbying Activities, where applicable.
(5) Completed Standard Forms SF-424, 424A, 424B, and other certifications and assurances listed in the
(6) A detailed total budget with supporting cost justification for all budget categories of the Federal grant request.Use the budget format discussed in Section V(B)3(3), above. (See Appendix C.)
(7) A two-page (maximum) abstract containing the following information: The project title, the names and affiliations of all investigators, and a summary of the objectives, expected results, and study design described in the proposal.
(8) A project description/narrative statement addressing the rating factors for award of funding under this program section of the SuperNOFA. The narrative statement must be numbered in accordance with each factor for award (Rating Factors 1 through 5). The response to the rating factors should not exceed a total of 25 pages for each research topic area.
(9) Any important attachments, appendices, references, or other relevant information may accompany the project description, but must not exceed twenty (20) pages for the entire application.
(10) The resumes of the principal investigator and other key personnel. Resumes shall not exceed three pages each, and are limited to information that is relevant in assessing the qualifications of key personnel to conduct and/or manage the proposed research.
(11) Copy of State Clearing House Approval Notification (see application kit to determine if applicable).
The
In accordance with 24 CFR 50.19(b)(1) and (5) of the HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject to environmental review under the related laws and authorities.
These grants are authorized under sections 1051 and 1052 of the Residential Lead-Based Paint Hazard Reduction Act of 1992, which is Title X of the Housing and Community Development Act of 1992.
1. Worker Protection: OSHA publication—Telephone: 202-693-1888 (OSHA Regulations) (available for a charge)—Government Printing Office—Telephone: 202-512-1800 (not a toll-free number):
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations) (available for a charge)—Telephone 1-800-424-9346, or, from the Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free number). Can be downloaded from the Internet without charge from www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
3. Lead; Requirements for Lead-Based Paint Activities in Target Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745, subparts L and Q (EPA) (State Certification and Accreditation Program for those engaged in lead-based paint activities)—Telephone: 1-202-554-1404 (Toxic Substances Control Act Hotline) (not a toll-free number). Can be downloaded from the Internet without a charge from www.epa.gov/opptintr/lead/index.html.
4. Requirements for Notification, Evaluation and Reduction of Lead-Based Paint Hazards in Federally Owned Residential Property and Housing Receiving Federal Assistance; Final Rule: 24 CFR part 35, subparts A through R, published September 15, 1999, at
5. U.S. Environmental Protection Agency. Lead; Identification of Dangerous Levels of Lead; Proposed Rule.
1. Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing; HUD, June 1995, and amended September, 1997. (available for a charge)—Telephone: 800-245-2691. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
2. Preventing Lead Poisoning in Young Children; Centers for Disease Control, October 1991: Telephone: 888-232-6789.
3. Screening Young Children for Lead Poisoning: Guidance for State and Local Public Health Officials, November 1997; Centers for Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
1. Putting the Pieces Together: Controlling Lead Hazards in the Nation's Housing, (Summary and Full Report); HUD, July 1995 (available for a charge)—Telephone 800-245-2691. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
2. Comprehensive and Workable Plan for the Abatement of Lead-Based Paint in Privately Owned Housing: Report to Congress; HUD, December 7, 1990 (available for a charge)—Telephone 800-245-2691.
3. A Field Test of Lead-Based Paint Testing Technologies: Summary Report (Summary also available); U.S. Environmental Protection Agency, May 1995. EPA 747-R-95-002a (available at no charge)—Telephone 800-424-5323. Can be downloaded from the Internet without a charge from www.epa.gov/lead/summary.txt.
4. Urban Soil Lead Abatement Demonstration Project. EPA Integrated Report, U.S. Environmental Protection Agency, April, 1996. EPA/600/P-93-001aF (available from National Technical Information Service (NTIS) for a charge)—Telephone 800-553-6847. An abstract and additional ordering information can be downloaded from the Internet without a
5. Luk, K.K., Grohse, P.M., Hodson, L.L., Binstock, D.A., Van Hise, C.C., and Gutknecht, W.F., “Standard Operating Procedures for the Field Analysis of Lead in Paint, Bulk Dust, and Soil by Ultrasonic, Acid Digestion and Colorimetric Measurement,” EPA 600/R-93/200, U.S. Environmental Protection Agency, Research Triangle Park, NC, 1993. Available from the NTIS (NTIS #PB94-121738).
6. Williams, E.E., Van Hise, C.C., and Gutknecht, W.F., “Evaluation of the Performance of Reflectance and Electrochemical Technologies for the Measurement of Lead in Characterized Paints, Bulk Dusts, and Soils,” EPA 600/R-95/093, U.S. Environmental Protection Agency, Research Triangle Park, NC, 1996. Available from the NTIS (NTIS #PB97-126437).
7. Grohse, P.M., Van Hise, C.C., Wilson, B.M., Luk, K.K., Binstock, D.A., and Gutknecht, W.F., “Standard Operating Procedure for the Field Analysis of Lead in Dust Collected by Vacuum and on Wipes by Ultrasonic, Acid Digestion, and Colorimetric Measurement,” EPA 600/R-95/151, U.S. Environmental Protection Agency, Research Triangle Park, NC, 1998. Available from the NTIS (NTIS #PB98-140734).
8. Roberts, J.W., Crutcher, E.R., 3rd, Crutcher, E.R. 4th, Glass, G., and Spittler, T.M., “Quantitative Analysis of Road and Carpet Dust on Shoes,” in Measurement of Toxic and Related Pollutants, Air & Waste Management Association, Pittsburgh, PA, (1996). pp. 829-835.
9. Roberts, J.W., Clifford, W.S., Glass, G., and Hummer, P.G., “Reducing Dust, Lead, Dust Mites, Bacteria, and Fungi in Carpets by Vacuuming”, Arch Environ. Contam. Toxicol.,
10. Ashley, K., “Ultrasonic Extraction and Field-Portable Anodic Stripping Voltammetry of Lead from Environmental Samples,”
11. Bornschein, R., Clark, S., Pan, W., and Succop, P. (1990) Midvale Community Lead Study. University of Cincinnati Medical Center Final Report.
12. Greene, T., Ernhart, C., and Boyd, T. (1992) “Contributions of Risk Factors to Elevated Blood and Dentine Lead in Preschool Children.”
13. Hunt, A., Johnson D.L., Watt, J.M., and Thornton, I. (1992) Characterizing the Sources of Particulate Lead in House Dust by Automated Scanning Electron Microscopy.
14. National Center for Lead-Safe Housing and University of Cincinnati Department of Environmental Health. (1997) Evaluation of the HUD Lead-Based Paint Hazard Control Grant Program: Fifth Interim Report. Washington, DC: U.S. Department of Housing and Urban Development.
15. Schwartz, J., and Levin, R. (1991) “The Risk of Lead Toxicity in Homes with Lead Paint Hazards.”
16. Stark, A., Quah, R., Meigs, J., and Delouise, E. (1982) “The Relationship of Environmental Lead to Blood-Lead Levels in Children.”
17. U.S. EPA. (1995) Seasonal Rhythms of Blood-Lead Levels: Boston, 1979-1983. EPA747-R94-003. Washington, DC: U.S. Environmental Protection Agency.
18. Yaffee, Y., C.P. Flessel, J.J. Wesolowski, A. Del Rosario, G.N. Guirguis, V. Matias, T.E. Degarmo and G.C. Coleman. 1983. Identification of lead sources in California children using the stable isotope ratio technique. Arch. Env. Health. 38(4): 237-245.
19. Gwiazda, R., Woolard, D., and Smith, D. Improved lead isotope ratio measurements in environmental and biological samples with a double focussing magnetic sector inductively coupled plasma mass spectrometer (ICP-MS), J. Anal. At. Spect., 13:1233-1238, 1998.
20. Woolard D., Franks R., Smith D. An inductively coupled plasma-magnetic sector mass spectrometry method for stable lead isotope traces studies. J. Anal. At. Spectrom 13:1015-1019 (1998).
21. K. Ashley, K.J. Mapp and M. Millson, “Ultrasonic Extraction and Field-Portable Anodic Stripping Voltammetry for the Determination of Lead in Workplace Air Samples”; Am. Ind. Hyg. Assoc. J. 59: 671-679 (1998).
22. K. Ashley, R. Song, C.A. Esche, P.C. Schlecht, P.A. Baron, and T.J. Wise, “Ultrasonic Extraction and Portable Anodic Stripping Voltammetric Measurement of Lead in Paint, Dust Wipes, Soil, and Air: An Interlaboratory Evaluation”; J. Environ. Monit., in press (1999).
23. K. Ashley, “On-Site Extraction and Anodic Stripping Voltammetric Determination of Lead”; Appl. Occup. Environ. Hyg. 13: 94-98 (1998). ASTM PS 87, “Provisional Standard Practice for Ultrasonic Extraction of Paint, Dust, Soil, and Air Samples for Subsequent Determination of Lead”; in Annual Book of ASTM Standards, Vol. 04.11. ASTM: West Conshohocken, PA (1998).
24. ASTM PS 88, “Provisional Standard Practice for Determination of Lead in Paint, Settled Dust, Soil, and Air Particulate by Field-Portable Electroanalysis”; in Annual Book of ASTM Standards, Vol. 04.11. ASTM: West Conshohocken, PA (1998).
If you are interested in applying for funding under this initiative, please review carefully the
See the
After 5:00 pm on the application due date, hand carried applications will be accepted until 12:00 midnight, in the South Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
Approximately $6.5 million will be available in FY 2000. Grants will be awarded on a competitive basis following evaluation of all proposals according to the Rating Factors described in section V(B). HUD anticipates that approximately 4 to 8 grants will be awarded, ranging from approximately $250,000 to approximately $2,500,000.
(A)
The Healthy Homes Initiative builds upon HUD's existing housing-related health and safety issues, including lead hazard control, building structural safety, electrical safety, and fire protection to address multiple childhood diseases and injuries related to housing in a more coordinated fashion. A coordinated effort is feasible because a limited number of building deficiencies contribute to many hazards. Substantial savings are possible using this approach, because separate visits to a home by an inspector, public health nurse, or outreach worker can add significant cost to efforts to eliminate hazards.
In addition to deficiencies in basic housing facilities that may impact health, changes in the U.S. housing stock and more sophisticated epidemiological methods and biomedical research have led to the identification of new and often more subtle health hazards in the residential environment (
HUD is interested in promoting approaches that are cost-effective and efficient and that result in the reduction of health threats for the maximum number of residents for the long run, and in particular low-income children. The overall goals and objectives of the HHI are:
(1) Mobilize public and private resources, involving cooperation among all levels of government, the private sector, and community-based organizations to develop the most promising, cost-effective methods for identifying and controlling housing-based hazards.
(2) Build local capacity to operate sustainable programs that will continue to prevent and, where they occur, minimize and control housing-based hazards in low and very low income residences when HUD funding is exhausted.
(3) Affirmatively further fair housing and environmental justice.
(B)
• Demonstration projects implementing housing assessment, maintenance, renovation and construction techniques to identify and correct housing-related illness and injury risk factors,
• Outreach projects disseminating healthy homes information and replicating successful interventions, and
• Research projects developing new methods of evaluation and control of housing-based hazards.
HUD will evaluate proposals based on the elements described below. Although you are expected to focus your efforts in one of the three categories, the activities of a proposed project may address categories other than the primary focus. Applicants are required to be specific as to the locations they are targeting their intervention activities to occur and the residents, individuals or groups targeted to receive interventions and the organizations targeted to continue to operate effective intervention strategies over the life of the award and hereafter.
(1)
(a) Identification of target areas and homes where intervention would be appropriate.
(b) Identification and evaluation of effective methods of hazard abatement and risk reduction.
(c) Development of appropriately-scaled, flexible, cost-effective and efficient intervention strategies that take into account the range of conditions likely to be encountered in older housing, and that maximize the number of housing units that receive an intervention.
(d) Development of methodologies for evaluating intervention effectiveness.
(e) Development of local capacity in target areas and target groups to operate sustainable programs to prevent and control housing-based hazards, especially in low and very-low income residences.
(f) Development of a cost-effective protocol for identifying homes that are candidates for interventions, identifying hazards in these homes, and screening out homes where structural or other condition factors (e.g., cost) make interventions infeasible or impractical.
(2)
(a) Development and delivery of public outreach to prevent and eradicate both emerging and well-recognized housing-related childhood diseases and injuries, and promote the use of identified solutions.
(b) Increased identification and control of housing based hazards through education and outreach to specific high-risk communities and other identified audiences such as health care deliverers, pregnant women, children, residential construction contractors, maintenance personnel, housing inspectors, real estate professionals, home buyers and homeowners.
(c) Implementation of media strategies to use print, radio and television to increase public awareness of housing related hazards that threaten children.
(d) Dissemination of materials that inform parents and caregivers about housing related hazards and enable them to take prompt corrective action.
(3)
(a) Investigation of the epidemiology of housing-related hazards and illness and injury.
(b) Development and assessment of low-cost test methods and protocols for identification and assessment of housing-related hazards.
(c) Development and assessment of cost-effective methods for reducing or eliminating housing-related hazards.
(d) Evaluation of the effectiveness of housing interventions and public outreach campaigns, and barriers and incentives affecting future use of the most cost-effective strategies.
(f) Investigation of the environmental health effects on children living in deteriorated housing and the impact on their development and productivity.
(C)
(1)
(a) Performing evaluations of eligible housing to determine the presence of housing-based hazards (e.g., mold growth, allergens, unvented appliances, exposed steam pipes or radiators, damaged lead-based paint) through the use of generally accepted testing procedures.
(b) Conducting medical examinations of young children for conditions caused or exacerbated by exposure to hazards where this is considered essential to your project, and there are no alternative sources to cover these costs.
(c) Conducting housing interventions to remediate existing housing-based hazards and address conditions that could result in their recurrence. Any lead hazard evaluation and control work shall be conducted by certified performers in accordance with the HUD
(d) Carrying out temporary relocation of families and individuals during the period in which intervention is conducted and until the time the affected unit receives clearance for reoccupancy. Residents relocated must be guaranteed the choice of returning to the unit after the intervention.
(e) Performing medical testing recommended by a physician or applicable occupational or public health agency for individuals in hazardous conditions and environmental sampling to protect the health of the intervention workers, supervisors, and contractors.
(f) Undertaking housing rehabilitation activities that are specifically required to carry out effective control of housing-based hazards, and without which the intervention could not be completed and maintained. Grant funds under this program may also be used to control lead-based paint hazards.
(g) Conducting clearance testing and analysis for lead, mold, carbon monoxide and/or other toxins as appropriate, with respect to generally accepted standards or criteria, or where not available, other appropriate levels justified in conjunction with the project.
(h) Carrying out architectural, engineering and work specification development and other construction management services to control housing-based hazards and remediate existing hazards.
(i) Providing training on safe maintenance practices to homeowners, renters, painters, remodelers, and housing maintenance staff working in low- or very-low income housing.
(j) Providing cleaning supplies for hazard intervention and hazard control to community/neighborhood-based organizations for use by homeowners and tenants in low income housing, or to such homeowners, and tenants directly.
(k) Conducting general or targeted community awareness or education
(l) Securing liability insurance for hazard intervention and hazard evaluation and control activities to be performed.
(m) Supporting data collection, analysis, and evaluation of project activities. This activity is separate from administrative costs.
(n) Conducting applied research activities directed at demonstration of cost-effective evaluation and intervention methods for assessing and preventing housing-based hazards.
(o) Presenting research findings at a scientific or other conference at the request of HUD.
(p) Maintaining a registry (updated at least monthly) of housing units in which housing-based hazards were not found during evaluation, and those in which such problems and hazards have been controlled. Units on the registry should be affirmatively marketed to families with young children (especially low income families) and such families should be given preference for occupancy when they are vacant.
(q) Preparing quarterly progress reports, interim and final research reports, and an overall final grant report detailing activities (e.g., number of units tested, types of interventions provided, evaluation of most cost efficient methodologies by type of unit), findings, and recommended future actions for cost effective interventions, at the conclusion of grant activities.
(2)
(a) Your administrative costs.
(b) Program planning and management costs of sub-grantees and other sub-recipients.
(D)
(2) Purchase or lease of equipment having a per unit cost in excess of $5,000, unless prior written approval is obtained from HUD.
(3) Medical treatment costs.
In addition to program requirements listed in the
(A)
(B)
(C)
(D)
(1) The community in which the area is situated is participating in the National Flood Insurance Program in accordance with the applicable regulations (44 CFR parts 59-79), or less than a year has passed since FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood Insurance Program, flood insurance on the property is obtained in accordance with section 102(a) of the Flood Disaster Protection Act (42 U.S.C. 4012a(a)). You are responsible for assuring that flood insurance is obtained and maintained for the appropriate amount and term.
(E)
(F)
(G)
(H)
(I)
(J)
(K)
(L)
(M)
(N)
(O)
Please see Section III of the
(A)
You must state the category for which you are applying. If an applicant wishes to apply under more than one category they must submit a separate application for each category. While you will not be penalized for not addressing all the specific objectives within a given category, if two applications have equal scores, HUD will first select the applicant whose project addresses the most objectives.
(B)
This factor addresses your organizational capacity necessary to successfully implement your proposed activities in a timely manner. The rating of you or your staff includes any community-based organizations, sub-contractors, consultants, sub-recipients, and members of consortia that are firmly committed to your project. In rating this factor HUD will consider:
(1) Your recent, relevant and successful demonstrated experience in undertaking eligible program activities. You must describe the knowledge and experience of the proposed overall project director and day-to-day program manager in planning and managing large and complex interdisciplinary programs, especially those involving housing rehabilitation, public health, or environmental programs. In your narrative response for this factor, you should include information on your program staff, their experience, commitment to the program, and position titles. Resumes of up to three (3) pages each and position descriptions for up to three personnel in addition to the project director and program manager, and a clearly delineated organizational chart for your project must be included as an appendix. Copies of job announcements (including salary range) should be included for any key positions that are currently vacant. Indicate the percentage of time that key personnel will devote to your project and any salary costs to be paid by funds from this program. Include descriptions of the experience and qualifications of subcontractors and consultants.
(2) Your qualifications to carry out the proposed activities as evidenced by experience, academic background, training, and/or relevant publications of program staff.
(3) Whether you have sufficient personnel or will be able to quickly retain qualified experts or professionals to begin your proposed program immediately and to perform your proposed activities in a timely and effective fashion. Describe how principal components of your organization will participate in or support your project. You should thoroughly describe capacity, as demonstrated by experience in initiating and implementing related environmental, health, or housing projects.
This factor addresses the extent to which there is a need for your proposed program activities to address documented problems, target area(s) and target groups.
(1) Document a critical level of need for your proposed activities in the area where activities will be carried out. You should pay specific attention to documenting need as it applies to your target area(s), rather than the larger geographic area.
(2) Your documentation should summarize available data linking housing-based hazards to disease or injuries to children in your target area(s). Examples of data that might be used to demonstrate need, include:
(a) Economic and demographic data relevant to your target area(s), including poverty and unemployment rates;
(b) Rates of childhood illnesses or injuries (e.g., asthma, burns) that could be caused or exacerbated by exposure to conditions in the home environment, among children residing in your target area(s), and/or rates of environmentally-related disease or adverse health effects (e.g., hypertension, elevated blood lead levels) in your target area(s); and
(c) Unavailability of other Federal, State or local funding or private sector resources that could be, or is used, to address the problem.
(3) For the areas targeted for your project activities, provide data available in your jurisdiction's currently approved Consolidated Plan, or derived from 1990 Census Data, or derived from other sources (all data should be documented) that address:
(a) The age and condition of housing;
(b) The number and percentage of very-low and low income families with incomes less than 80% of the median income, as determined by HUD, for the area, with adjustments for smaller and larger families (See application kit for additional information).
(c) To the extent that statistics and other data contained in your
(d) Data documenting targeted groups that are traditionally underserved or have special needs. If the data presented in your response does not specifically represent your target area, you should discuss why the target areas are being proposed. If your application addresses needs that are in the Consolidated Plan, AI, court orders or consent decrees, settlements, conciliation agreements, and voluntary compliance agreements, you will receive more points than applicants that do not relate their program to identified need.
(4) Applicants proposing research activities should provide a statement supporting the need for this research.
This factor addresses the quality and cost-effectiveness of your proposed work plan. You should present information on the proposed approach for addressing housing-based hazards and describe how proposed activities would help HUD achieve its goals for this program area. For you to receive maximum points for this factor, there must be a direct relationship between the proposed activities, community or research needs, and the purpose of the program. The response to this factor should include the following elements:
(1)
(a)
(i) Lists the project objectives, major tasks and activities. All specific activities necessary to complete the proposed project must be included in the task listing;
(ii) Identifies appropriate performance goals and benchmarks;
(iii) Provides a schedule for the assignment and completion of major tasks and activities, and a timeframe for delivery;
(iv) Designates resources and identifies responsible entities; and
(v) Provides an estimate of per unit (or other appropriate apportionment) costs (and a basis for those estimates) for the type of interventions that are planned.
(b)
(c)
(i) Discuss the performance goals for your project and identify specific outcome measures;
(ii) Describe how the outcome information will be obtained, documented, and reported; and
(iii) Identify the major milestones for your project, and describe how your progress towards these milestones will be tracked, recorded and reported.
(d)
(i) Describe methods that will result in economic opportunities for residents and businesses in the community where activities will be carried out. Include information on how you will provide employment, business development, and contract opportunities;
(ii) Describe how you or your partners will satisfy the requirements of section 3 of the Housing and Urban Development Act of 1968 to give preference to hiring low- and very low-income persons or contracting with businesses owned by or employing low-and very-low income persons;
(iii) Describe how your proposed project will further and support the policy priorities of the Department, including providing opportunities for self-sufficiency, particularly for persons enrolled in welfare-to-work programs; or providing educational and job training opportunities; and
(iv) Describe the extent to which your proposed activities will occur in an Empowerment Zone or Enterprise Community (EZ/EC), if applicable.
(2)
(a)
(i) Describe in detail how you will identify, select, prioritize, and enroll units of eligible housing in which you will undertake housing-based hazards interventions, how you will integrate safe work practices into housing maintenance, repair, and improvements, and then target such units to low-income families with young children. You should use all reasonably available sources of information on controlling housing-based hazards in buildings and protecting workers and occupants during and after the intervention process.
(ii) Describe any assessment tools you would employ to establish baseline data.
(iii) Provide the estimated total number of owner occupied and/or rental units in which you will conduct interventions.
(iv) Describe your process for evaluating units of eligible housing in which you will undertake housing-based hazard interventions.
(v) Describe any specialized testing or visual inspection that you will conduct during unit inspection with reference to source(s) of the protocol(s).
(vi) Discuss efforts to incorporate cost-effective methods to address multiple environmental health and safety hazards, and describe the specific interventions you will utilize to control housing-based hazards before children are affected; and/or to control these hazards in units where children have already been treated for illnesses or injuries associated with housing-based hazards (e.g., burns, lead poisoning, asthma).
(vii) Describe the process for your referral of children for medical case management if this is not ongoing.
(viii) Describe your process for the development of work specifications for the selected interventions.
(ix) Describe your management processes to be used to ensure the cost-effectiveness of the housing interventions, and provide cost estimates per intervention and per unit.
(x) Discuss your contracting process to obtain contractors to conduct interventions in selected units.
(xi) Describe your plan for the temporary relocation of occupants of units selected for intervention, if relocation is necessary, and how you will determine the need for relocation. Address the use of safe houses and other housing arrangements, storage of household goods, stipends, incentives, etc.
(xii) Describe your plan for ensuring right of return and/or first referral for occupants of units selected for intervention who have had to move for intervention to occur.
(xiii) Describe how you will affirmatively further fair housing.
(xiv) Describe the financing strategy, including eligibility requirements, terms, conditions, and amounts available, to be employed in conducting housing-based hazards activities. You must discuss the way funds will be administered (e.g., use of grants, deferred loans, forgivable loans, other resources, private sector financing, etc.) as well as the agency which will administer the process.
(b)
(i) Proposed methods of community outreach. These should include community awareness, education, training, and outreach programs in support of your work plan and objectives that are culturally sensitive, targeted, and linguistically appropriate.
(ii) Proposed involvement of neighborhood or community-based organizations in the proposed activities. These activities may include outreach, community education, marketing, inspection, and housing evaluations and interventions.
(iii) Proposed methods to reach high risk groups and communities, vulnerable populations and persons traditionally underserved (see Rating Factor 2(d)).
(c)
(i) Provide a detailed description of your proposed applied research activities. Your research designs should be feasible and display thorough knowledge of relevant scientific literature.
(ii) Include an appropriate plan for managing, analyzing and archiving data.
(iii) Describe how quality assurance and quality control are integrated into your research design to ensure the validity and quality of collected data.
(iv) Describe technical qualifications and requirements for laboratories. To be eligible for points under this factor, any laboratories you use must successfully participate in the Clinical Laboratory Program, National Lead Laboratory Accreditation Program, and/or National Voluntary Laboratory Accreditation Program, or other applicable quality assurance program, which you demonstrate to be substantially equivalent.
This factor addresses your ability to secure other community resources (such as financing, supplies or services) which can be combined with HUD's resources to achieve project purposes.
(1) In evaluating this factor, HUD will consider the extent to which you have partnered with other entities to secure additional resources to increase the effectiveness of your proposed project. Describe how other organizations will participate in or support your project. Resources may include funding or in-kind contributions (such as services or equipment) allocated to your proposed program. Resources may be provided by governmental entities, public or private organizations, or other entities willing to be your partner in this effort.
(2) Each source of contributions (financial or in kind) must be supported by a letter of commitment from the contributing entity, whether a public or private source, which must describe the contributed resources that will be used in your program. Staff in-kind contributions should be given a market-based monetary value. If you fail to provide letters of commitment with specific details including the amount of the actual contributions, you will not get rating points for this factor. Each letter of commitment, memorandum of understanding, or agreement to participate shall include the organization's name and the proposed level of commitment and responsibilities as they relate to the proposed program. The commitment must be signed by an official legally able to make commitments on behalf of the organization.
This factor addresses the extent to which your program reflects a coordinated, community-based process of identifying needs and building a system to address the needs by using available HUD and other community resources. In evaluating this factor, HUD will consider:
(1) The degree of coordination of your proposed project with those of other groups or organizations to best support and coordinate all activities, and the specific steps you will take to share information on solutions and outcomes with others. Any written agreements or memoranda of understanding in place must be described.
(2) The extent to which you have developed linkages, or the specific steps you will take to develop linkages, to coordinate your activities so solutions are holistic and comprehensive. Linkages include those with other HUD, Federal, State, the Partnership for Advancing Technology in Homebuilding (PATH) (see Section VI(E) of the
(3) The degree of coordination with housing rehabilitation, housing and health inspection, and other related housing programs.
(a) Describe your plan for integrating and coordinating housing-based hazards interventions with other housing-related activities (e.g., rehabilitation, weatherization, removal of code violations, and other similar work).
(b) Describe your plans to consolidate housing-based hazards interventions with applicable housing codes and health regulations.
(c) Describe your plans to generate and use public subsidies or other resources (such as revolving loan funds) to finance future interventions to prevent and control housing-based hazards, particularly in low- and very-low-income housing.
(d) Detail the extent to which you will ensure that the needs of minorities and persons with disabilities will be addressed adequately during your intervention activities; and that housing in which environmental hazards have been addressed will remain available and affordable in the long run for low income, minority, large families, and for persons with disabilities.
(4) If applicable, the application should demonstrate a knowledge of the target community's Consolidated Plan and/or Analysis of Impediments to Fair Housing Choice and detail the Consolidated Plan issue areas in which your organization participates. Describe the degree to which you have become actively involved (or if not currently active, the specific steps you will take to become active) in your community's Consolidated Planning process established to identify and address a need/problem that is related in whole or part, directly, or indirectly the activities you propose.
(A)
(1) Transmittal letter that summarizes your proposed program, provides the dollar amount requested, and identifies you and your partners in the application.
(2) The name, mailing address, telephone number, and principal contact person. If you are a consortium of associates, sub-recipients, partners, major subcontractors, joint venture participants, or others contributing resources to the project, similar information shall also be provided for each of these entities and you must specify the lead entity.
(3) Checklist and Submission Table of Contents.
(4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update Report; Certification Regarding Lobbying; and SF-LLL, Disclosure of Lobbying Activities, where applicable.
(5) Standard Forms SF-424, 424A, 424B, and other certifications and assurances listed in this program section.
(6) A narrative statement addressing the rating factors for award. The narrative statement must be numbered in accordance with each factor for award (Rating Factors 1 through 5). The response to the rating factors must not exceed a total of 25 pages. Any pages in excess of this limit will not be read.
(7) Any attachments, appendices, references, or other relevant information that directly support the narrative may accompany it, but must not exceed twenty (20) pages for your entire application.
(8) A detailed budget with supporting cost justification for all budget categories of your funding request (in accordance with Rating Factor 3(b)(1)). This information will not be counted towards the page limits.
(9) The resumes and position descriptions of your project director and program manager and up to three additional key personnel, not to exceed three pages each (in accordance with Rating Factor 1). This information will not be counted towards the page limits.
The
Activities assisted under this program are subject to HUD environmental review to the extent required under 24 CFR part 50. An award under the Healthy Homes Initiative does not constitute approval of specific sites where activities may be carried out. Following award execution, HUD will perform environmental reviews for activities to be carried out on properties proposed by your organization. You may not rehabilitate, convert, repair or construct a property, or commit or expend program funds or non-HUD funds for these program activities for any eligible property, until you receive written notification from the appropriate HUD official that HUD has completed its environmental review and the property has been approved. The results of environmental reviews may require that proposed activities be modified or proposed sites rejected.
The authority for this program is the Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, 2000, Pub.L. 106-74, approved October 20, 1999, 113 Stat. 1047.
The following briefly describes the housing-associated health and injury hazards HUD considers key targets for intervention:
Interventions known to have beneficial effects include installation of impervious mattress and pillow covers, which can reduce allergen exposure by 90%. Other dust mite control measures include dehumidification, laundering bedding, and removal of carpets and other dust sinks. Cleaning carpets with tannic acid solution has also been demonstrated to greatly reduce dust mites. Asthma prevention program costs have been estimated at about $500 per unit, which includes about $150 for educational interventions.
Intact asbestos-containing materials are not a hazard; they should be monitored for damage or deterioration and isolated if possible. Repair of damaged or deteriorating ACM usually involves either sealing (encapsulation) or covering (enclosure) it. Repair is usually cheaper than removal, but it may make later removal of asbestos more difficult and costly. Repairs should be done only by a professional trained and certified to handle asbestos safely and can cost from a few hundred to a few thousand dollars; removal can be more expensive.
Improper venting and poor maintenance of heating systems and cooking appliances can
HUD estimates that 64 million dwellings have some lead-based paint, and that 20 million have lead-based paint hazards. Of those, about 3.6 million have young children and of those, about 500,000 units have inadequate cash flow to respond to lead-based paint hazards. Costs can range anywhere from $500 to $15,000 per unit. Corrective measures include paint stabilization, enclosure and removal of certain building components coated with lead paint, and cleanup and “clearance testing”, which ensures the unit is safe for young children.
The cost of mold/moisture-related intervention work (e.g., integrated pest management, clean & tune furnace, remove debris, vent clothes dryer, cover dirt floor with impermeable vapor barrier) is a few hundred dollars, unless major modification of the ventilation system is needed. In Cleveland, mold interventions, including repairs to ventilation systems and basement flooring, in the most heavily-contaminated homes range from $500-$5,000, with some costs also being dedicated to lead hazard control simultaneously through its lead+asthma program.
There are available data on hazard evaluation methods and remediation effectiveness regarding pesticide residues in the home environment.
Radon measurement and remediation methods are well-developed, and the Environmental Protection Agency (EPA) recommends that every home be measured for radon. EPA estimates that materials and labor costs for radon reduction in an existing home are $800-$2500. Including radon resistant techniques in new home construction costs $350-$500, and can save up to $65 annually in energy costs, according to the EPA.
Control methods include storing and laundering work clothes separately, and showering and changing before leaving work, or immediately after arriving home. Once a home becomes contaminated, cleaning floors and contact surfaces and replacing furnishings may be necessary to reduce exposures.
Home visitation protocols have been shown to be effective in reducing exposure to such hazards. The “add-on” cost of injury prevention measures, when combined with other housing interventions are estimated at about $100 per unit. This includes the cost of some injury prevention devices, such as smoke alarms, electrical socket covers, etc.
To secure any of the documents listed, call the listed telephone number (generally, the telephone numbers are not toll-free).
1. Worker Protection: OSHA publication—Telephone: 202-693-1888 (OSHA Regulations) (available for a charge)—Government Printing Office—Telephone: 202-512-1800 (not a toll-free number):
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations) (available for a charge)—Telephone 1-800-424-9346, or, from the Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free number). Can be downloaded from the Internet without a charge from www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
3. Lead; Requirements for Lead-Based Paint Activities in Target Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745, Subparts L and Q (EPA) (State Certification and Accreditation Program for those engaged in lead-based paint activities)—Telephone: 1-202-554-1404 (Toxic Substances Control Act Hotline) (not a toll-free number). Can be downloaded from the Internet without a charge from www.epa.gov/opptintr/lead/index.html.
1. Guidelines for the Evaluation and Control of Lead-Based Paint Hazards in Housing; HUD, June 1995, and amended September, 1997. (available for a charge)—Telephone: 800-245-2691. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
2. Preventing Lead Poisoning in Young Children; Centers for Disease Control, October 1991: Telephone: 888-232-6789.
3. Screening Young Children for Lead Poisoning: Guidance for State and Local Public Health Officials, November 1997; Centers for Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
Putting the Pieces Together: Controlling Lead Hazards in the Nation's Housing, (Summary and Full Report); HUD, July 1995 (available for a charge) —Telephone 800-245-2691. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html
The Healthy Homes Initiative: A Preliminary Plan (Summary and Full Report); HUD, July 1995. Can be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html
3. Institute of Medicine.
4. Mott L., Our Children at Risk. Natural Resources Defense Council. Washington, D.C. 1997 Can be ordered from the Internet from WWW.nrdc.org.
5. Rom W.N. Ed. Environmental and Occupational Medicine. Little, Brown and Co., Boston. 1992.
6. President's Task Force on Environmental Health Risks and Safety Risks to Children.
The non-standard forms, which follow, are required for your HHI application. They are the Checklist and Submission Table of Contents and the Total Budget (Federal Share and Matching Contribution, including instructions).
(1) Improve the living environment for public housing residents of severely distressed public housing projects through the demolition, rehabilitation, reconfiguration, or replacement of obsolete public housing projects (or portions thereof);
(2) Revitalize sites (including remaining public housing dwelling units) on which such public housing projects are located and contribute to the improvement of the surrounding neighborhood;
(3) Provide housing that will avoid or decrease the concentration of very low-income families; and
(4) Build sustainable communities.
Demolition grant applications are due on June 14, 2000.
If you are interested in applying for a HOPE VI grant, please review the following information, the
Demolition grant applications are due at HUD Headquarters on or before 12:00 midnight, Eastern time, on June 14, 2000.
See Section VII(B)(3) of this HOPE VI section of the SuperNOFA, below, for important information regarding the application deadline and deficiency cure period for Demolition grant applications.
See the General Section of this SuperNOFA for specific procedures governing the form of application submission (e.g., mailed applications, express mail, overnight delivery, or hand carried).
(A)
(a) Approximately $513 million of the FY 2000 HOPE VI appropriation has been allocated to fund HOPE VI Revitalization grants and will be awarded in accordance with this HOPE VI section of the SuperNOFA.
(b) The total amount you may request is limited to the sum of the amounts in paragraph (2) below or the amount in paragraph (3) below of this Section II(A), whichever is lower.
(2)
(3)
(a)
(i) HUD's Total Development Costs (TDCs) up to 100 percent of HUD's published TDC limits for the costs of demolition and new construction, multiplied by the number of HOPE VI replacement units; and/or
(ii) 90 percent of the TDC limits, multiplied by the number of public housing units after substantial rehabilitation and reconfiguration.
(b)
(c)
(d)
(i) You may request a reasonable amount to pay extraordinary site costs necessary to complete the proposed revitalization. These costs are in addition to the TDC calculation in paragraph (a) above. Extraordinary site costs may be incurred in the remediation and demolition of existing property, as well as in the development of new and rehabilitated units. Examples of such costs include, but are not limited to: extraordinary hazard abatement; removal or replacement of extensive underground utility systems; extensive rock and/or soil removal and replacement; construction of streets and other public improvements dealing with unusual site conditions such as slopes, terraces, water catchments, lakes, etc.; and dealing with flood plain and other environmental remediation issues.
(ii) Extraordinary site costs must be justified and verified by an engineer or architect licensed by his or her state licensing board who is not an employee of the housing authority or the city. The engineer or architect must provide his or her license number and state of registration on the certification.
(4)
(a) Your application may request funds for one public housing project (i.e., a project with one development number).
(b) Your application may request funds for more than one project if those projects are immediately adjacent to one another or within a quarter-mile of each other. If you include more than one project in a single application, you must provide a map that clearly indicates that the projects are within a quarter-mile of each other.
(c) Your application may request funds for a scattered site public housing project. An application involving scattered site properties (regardless of whether the scattered sites are under multiple project numbers) must fall within a one square mile area, except that you may identify a larger site if you can show that all of the targeted scattered site units are located within the hard edges (e.g., major highways, railroad tracks, lakeshore, etc.) of a neighborhood.
(d) You may request funds for as few or as many units as you wish in your application. HUD will review requests for small numbers of units on an equal basis with requests for large numbers of units.
(e) You may submit a Revitalization application that targets the same project that was targeted in a previously-funded HOPE VI Revitalization grant. However, you may not apply for new HOPE VI funds for units in that project that were funded in the previous grant, even if the previous grant turned out to be inadequate to fund all of the units originally targeted. For example, if a project has 700 units, and you were awarded a HOPE VI Revitalization grant to revitalize 300 of those units, you may submit a new Revitalization application to revitalize the remaining 400 units. You may not apply for supplemental funds to revitalize the original 300 units.
(f) You may not request HOPE VI Revitalization funds to replace units if you have previously received HOPE VI or other public housing funds to replace those same units.
(g) You may use any non-public housing funds to supplement public housing funds for any project cost.
(h) Your application must disclose all prior HUD public housing grant assistance received for the project(s) you have targeted for the physical revitalization related to the proposed revitalization activities. Do not include Modernization funds used for prior rehabilitation activities unrelated to the proposed HOPE VI revitalization activities.
(B)
(a) Up to $50 million of the FY 2000 HOPE VI appropriation has been allocated to fund HOPE VI Demolition grants and will be awarded in accordance with this HOPE VI section of the SuperNOFA.
(b) If all of these funds are not needed for demolition of severely distressed public housing, unused funds will be reallocated to fund eligible HOPE VI Revitalization applications, in rank order.
(c) HUD reserves the right to carry over unused funds to the next fiscal year if they are inadequate to feasibly fund the next-ranked Demolition or Revitalization application.
(2)
(a)
(b)
(c)
(i) You may request a reasonable amount to pay extraordinary site costs necessary to complete the proposed demolition. These costs are in addition to the TDC calculation in Section II(A)(3)(a) of this HOPE VI section of the SuperNOFA, above. Examples of such costs include, but are not limited to: extraordinary hazard abatement; extensive rock and/or soil removal and replacement; removal of extensive underground utility systems; dealing with unusual site conditions such as slopes, terraces, water catchments, lakes, etc.; and dealing with flood plain and other environmental remediation issues.
(ii) Extraordinary site costs must be justified and verified by an engineer or architect licensed by his or her state licensing board who is not an employee of the housing authority or the city. The engineer or architect must provide his or her license number and state of registration on the certification.
(d)
(3)
(b) You may target units in only one public housing project per application.
(c) You may submit more than one application targeting units in a single housing project.
(d) You may request funds for as many or as few units in an application as you wish.
(e) You may request Demolition grant funds in combination with a previously-awarded Revitalization grant or an FY 2000 Revitalization grant application, in accordance with Section VII(A)(1) (d) and (e) of this HOPE VI section of the SuperNOFA, below. The requested HOPE VI Demolition grant funds, in combination with HOPE VI Revitalization grant funds, may not exceed the TDC limit as provided in Section (II)(A)(3)(a), above.
(C)
(2) If you have already applied for Section 8 assistance for the targeted units, you will submit a copy of your Section 8 application with your HOPE VI application.
(3) If you have previously received Section 8 assistance to relocate residents from the targeted severely distressed units, you may still apply for a HOPE VI Revitalization grant to physically replace those same units or a HOPE VI Demolition grant to demolish the units without replacement.
(4) You may request Section 8 assistance to provide either temporary or permanent relocation to families during the demolition, rehabilitation, or construction of the severely distressed project.
(5) You may request Section 8 assistance for all units covered under a HOPE VI Revitalization or Demolition application that will not be replaced with hard units.
(D)
(E)
(A)
(B)
(1) Any PHA that is not designated as “troubled” pursuant to section 6(j)(2) of the 1937 Act;
(2) Any PHA for which a private housing management agent has been selected, or a receiver has been appointed, pursuant to section 6(j)(3) of the 1937 Act; and
(3) Any PHA that is designated as “troubled” pursuant to section 6(j)(2) of the 1937 Act and that:
(a) Is designated as troubled principally for reasons that will not affect its capacity to carry out a revitalization program;
(b) Is making substantial progress toward eliminating the deficiencies of the agency that resulted in its troubled status; or
(c) Is otherwise determined by HUD to be capable of carrying out a revitalization program.
(C)
(a) Demolition of buildings (dwelling units and nondwelling facilities), in whole or in part, including the abatement of environmentally hazardous materials such as asbestos. Section 24(g) of the 1937 Act provides that severely distressed public housing demolished pursuant to a Revitalization Plan is not subject to the provisions of section 18 of the 1937 Act or regulations at 24 CFR part 970. Instead, if you are selected to receive a HOPE VI Revitalization grant, HUD will use information in your HOPE VI Revitalization application to determine whether the proposed demolition can be approved. If you are not selected to receive a HOPE VI Revitalization grant, the information in your application will not be used to process a request for demolition. Please note that demolition is not a required element of a HOPE VI Revitalization application.
(b) Disposition of a severely distressed public housing site, by sale or lease, in whole or in part, in accordance with section 18 of the 1937 Act and implementing regulations at 24 CFR part 970. A long term lease of one year or more which is not incident to the normal operation of the development is considered a disposition.
(c) Rehabilitation, redesign, or reconfiguration of a severely distressed public housing project, including the site on which the project is located, in accordance with 24 CFR part 968 or successor part, as applicable.
(d) New construction of public housing replacement rental housing, both on-site and off-site, in accordance with 24 CFR part 941 or successor part, including mixed-finance development in accordance with subpart F.
(e) Appropriate replacement homeownership assistance for displaced public housing residents or other public housing-eligible low-income families. Consistent with the general programmatic requirements set forth in
(i) Downpayment or closing cost assistance;
(ii) Provision of second mortgages; and/or
(iii) Construction or permanent financing for new construction, acquisition, or rehabilitation costs related to homeownership replacement units.
(f) Acquisition of rental replacement units in existing or new apartment buildings, single family subdivisions, etc., with or without rehabilitation, in accordance with 24 CFR part 941 or successor part.
(g) Public housing development through the acquisition of land in accordance with 24 CFR part 941 or successor part.
(h) Major rehabilitation, other physical improvements, or new construction of community facilities primarily intended to facilitate the delivery of community and supportive services for residents of the targeted development and residents of off-site replacement housing.
(i) Necessary management improvements, including transitional security activities.
(j) Reasonable costs for administration, planning, technical assistance, and fees and costs which are deemed to be incremental costs of implementing the development as specifically approved by HUD, such as fees for architectural and engineering work, program management (if any), and reasonable legal fees. Please note that your project will be subject to HUD guidance and policies on soft costs when issued.
(k) Community and supportive services, including all activities that will promote upward mobility, self-sufficiency, and improved quality of life for the residents of the public housing project involved, including literacy training, job training, day care, transportation, and economic development activities, as further described in Section IV(C)(2) of this HOPE VI section of the SuperNOFA, below.
(l) Economic development activities that promote the economic self-sufficiency of residents under the revitalization program, including the costs of land acquisition for economic development-related activities (provided the PHA enters into a long-term ground lease to govern the development and use of such land is consistent with HUD requirements), and infrastructure and site improvements associated with developing retail/commercial/office facilities. HOPE VI grant funds may not be used to pay hard development costs or to buy equipment for retail or commercial facilities.
(m) Leveraging other resources, including additional housing resources, retail supportive services, jobs, and other economic development uses on or near the project that will benefit future residents of the site.
(n) Relocation, including reasonable moving expenses, for residents displaced as a result of the revitalization of the project.
(i) Relocation carried out as a result of rehabilitation under a Revitalization Plan is subject to the Uniform Relocation Assistance and Real Property Policies Act (42 U.S.C. 4601
(ii) Relocation carried out as a result of acquisition under a Revitalization Plan is subject to the URA and regulations at 24 CFR 941.207 or successor part.
(iii) Relocation carried out as a result of disposition under a Revitalization Plan is subject to section 18 of the 1937 Act as amended.
(iv) Relocation carried out as a result of demolition under a Revitalization Plan is subject to the URA.
(o) Rental assistance under Section 8.
(2)
(a) Demolition of dwelling units in buildings, in whole or in part, including the abatement of environmentally hazardous materials such as asbestos, in accordance with section 18 of the 1937 Act as amended.
(b) Demolition of nondwelling facilities, if demolition is directly related to the demolition of dwelling units.
(c) Minimal site restoration after demolition and subsequent site improvements to benefit the remaining portion of the project in order to provide project accessibility or to make the site more marketable.
(d) Reasonable costs for administration, planning, technical assistance, and fees and costs which are deemed to be incremental costs of carrying out the demolition as specifically approved by HUD.
(e) Relocation and other assistance related to the permanent relocation of families.
(i) You may request up to $3,000 for each family to be displaced by the demolition to carry out relocation activities. HUD recognizes that it is as important to provide relocating families with such services in demolition-only situations as to provide such services in connection with HOPE VI revitalization grants. You are encouraged to partner with other agencies, using alternative funding, for further assistance in achieving relocation objectives.
(ii) The goals of your relocation plan must include helping families to fully understand the choices open to them for alternative housing throughout the jurisdiction, to secure units in neighborhoods of their choice, to participate in programs that will lead to self-sufficiency, to acquire the skills to live in the selected community, and sustain their new living arrangement for the foreseeable future. Programs should be designed to smooth the transition from public to private rental housing, both for relocatees and for members of their new communities. The Office of Public Housing Investments is developing relocation guidance that will pertain to these relocation activities.
(iii) Services should include providing one-on-one move counseling, providing a reasonable time between notification and date to vacate units, and ensuring that Section 8 housing complies with the Section 8 requirements regarding lead-based paint and other hazardous materials. If necessary, HOPE VI funds may be used to modify Section 8 relocation units to make them accessible for residents with disabilities.
(iv) Relocation not pursuant to a HOPE VI Revitalization Plan that is carried out in conjunction with a Section 18 demolition application is subject to the requirements of the URA and section 18 of the 1937 Act.
(v) Relocation not pursuant to a HOPE VI Revitalization Plan that is carried out as a result of demolition in conjunction with a Mandatory Conversion Plan approved by HUD in accordance with 24 CFR part 971 is subject to the requirements of the URA.
(vi) Relocation as a result of demolition pursuant to a HOPE VI Revitalization Plan approved by HUD is subject to the URA.
(A)
(1)
(a) Requires major redesign, reconstruction or redevelopment, or partial or total demolition, to correct serious deficiencies in the original design (including inappropriately high population density), deferred maintenance, physical deterioration or obsolescence of major systems, and other deficiencies in the physical plant of the project;
(b) Is a significant contributing factor to the physical decline of and disinvestment by public and private entities in the surrounding neighborhood;
(c)(i) Is occupied predominantly by families who are very low-income families with children, are unemployed, and dependent on various forms of public assistance; or
(ii) Has high rates of vandalism and criminal activity (including drug-related criminal activity) in comparison to other housing in the area;
(d) Cannot be revitalized through assistance under other programs, such as the program for capital and operating assistance for public housing under the Act, or the programs under sections 9 and 14 of the 1937 Act (as in effect before the effective date under section 503(a) of the Quality Housing and Work Responsibility Act of 1998 (Pub. L. 105-276, approved October 21, 1998, referred to as the Public Housing Reform Act), because of cost constraints and inadequacy of available amounts; and
(e) In the case of individual buildings, is sufficiently separated from the remainder of the project of which the building is part to make use of the building feasible for revitalization; or
(f) That was a project described in paragraphs (a) through (e) above of this Section IV(A) that has been legally vacated or demolished, but for which HUD has not yet provided replacement housing assistance (other than tenant-based assistance).
(2)
(3)
(4)
(5)
(a) The community in which the area is situated is participating in the National Flood Insurance program (see 44 CFR parts 59 through 79), or less than one year has passed since FEMA notification regarding such hazards; and
(b) Where the community is participating in the National Flood Insurance Program, flood insurance is obtained as a condition of execution of a Grant Agreement and approval of any subsequent demolition or disposition application.
(6)
(B)
(1)
(2)
(3)
(b)
(c) Under section 12 of the 1937 Act, wage rate requirements do not apply to individuals who:
(i) Perform services for which they volunteered;
(ii) Do not receive compensation for those services or are paid expenses, reasonable benefits, or a nominal fee for the services; and
(iii) Are not otherwise employed in the work involved (24 CFR part 70).
(d) If other Federal programs are used in connection with your HOPE VI activities, labor standards requirements apply to the extent required by the other Federal programs on portions of the project that are not subject to Davis-Bacon rates under the Act.
(4)
(5)
(6)
(a) Administrative requirements applicable to PHAs are:
(i) 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 part 941 or successor part, subpart F, relating to the procurement of partners in mixed finance developments, except when inconsistent with the provisions of the FY 2000 HUD Appropriations Act or other applicable Federal statutes. Requests for Proposals (RFPs) and Requests for Qualifications (RFQs) must reflect pertinent language from the HOPE VI section of this SuperNOFA; e.g., seeking diversity, accessibility, fair housing requirements, etc.
(ii) OMB Circular A-87 (Cost Principles for State, Local and Indian Tribal Governments);
(iii) 24 CFR 85.26 (audit requirements).
(b) Administrative requirements applicable to non-profit organizations are:
(i) 24 CFR part 84 (Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations);
(ii) OMB Circular A-122 (Cost Principles for Non-Profit Organizations):
(iii) 24 CFR 84.26 (audit requirements).
(c) Administrative requirements applicable to for profit organizations are:
(i) 24 CFR part 84 (Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations);
(ii) 48 CFR part 31 (contract cost principles and procedures);
(iii) 24 CFR 84.26 (audit requirements).
(7)
(b) If you are selected for funding, you must have a Phase I environmental site assessment completed in accordance with the American Society for Testing and Material (ASTM) Standards E 1527-97, as amended, for each affected site. A Phase I assessment is required whether the environmental review is completed under 24 CFR part 50 or 24 CFR part 58. The results of the Phase I assessment must be included in the documents that must be provided to the responsible entity (or HUD) for the environmental review. If the Phase I assessment recognizes environmental concerns or if the results are inconclusive, a Phase II environmental site assessment will be required. You may not carry out activities with respect to the Development, or with respect to any off-site replacement public housing, until HUD has approved a request for release of funds or has completed an environmental review on each affected site, in accordance with either 24 CFR part 58 or 24 CFR part 50.
(c) If the environmental review is completed before HUD approval of the HOPE VI Revitalization Plan (RP) and you have submitted your Request for Release of Funds (RROF), the RP approval letter shall state any conditions, modifications, prohibitions, etc. as a result of the environmental review, including the need for any further environmental review. You must carry out any mitigating/remedial measures required by HUD, or select an alternate eligible property, if permitted by HUD. If the remediation plan is not approved by HUD and a fully-funded contract with a qualified contractor licensed to perform the required type of remediation is not executed, HUD reserves the right to determine that the grant is in default.
(d) If the environmental review is not completed and/or you have not submitted the RROF before HUD approval of the RP, the RP approval letter will instruct you to refrain from undertaking, or obligating or expending funds on, physical activities or other choice-limiting actions, until HUD approves your RROF and the related certification of the responsible entity (or HUD has completed the environmental review). The RP approval letter also will advise you that the approved RP may be modified on the basis of the results of the environmental review.
(e) In accordance with the Grant Agreement, the costs of environmental reviews and hazard remediation are eligible costs under the HOPE VI Program.
(8)
(C)
(1)
(ii) At least two meetings must be held after the publication date of this HOPE VI NOFA, one of which must be held after the plan which will form the basis of the application is established, so that residents and the community are fully informed about the basics of the proposed Revitalization Plan.
(iii) As practical and applicable, the meetings should be conducted in English and the language(s) most appropriate for the community.
(iv) You must ensure that meeting places are accessible for persons with disabilities.
(b)
(i) The HOPE VI planning and implementation process;
(ii) The proposed physical plan, including site and unit design;
(iii) The extent of proposed demolition;
(iv) Planned community and supportive services;
(v) Other proposed revitalization activities;
(vi) Relocation issues, including relocation planning, mobility counseling, and maintaining the HOPE VI community planning process during the demolition and reconstruction phases where temporary relocation is involved;
(vii) reoccupancy plans and policies, including site-based waiting lists; and (viii) Section 3 and employment opportunities to be created as a result of redevelopment activities.
(2)
(b)
(ii) While you are not required to undertake a competitive procurement under 24 CFR part 85 to select a subgrantee, HUD nevertheless requires your assurance that you have:
(
(
(
(iii) HUD encourages you to leverage your HOPE VI grant funds by selecting subgrantees that will provide, in addition to the agreed upon fee-for-service amount, in-kind services on a gratis basis (e.g., leased space at no cost, etc.).
(iv) The selected nonprofit subgrantee must comply with the requirements of 24 CFR part 84.
(v) You may not enter into a subgrant agreement with a for-profit entity or community and supportive services coordinator. Instead, you must conduct a competitive procurement for the services of such entities under 24 CFR part 85. However, if you can demonstrate that the services to be provided by the proposed for-profit entity or by the proposed community and supportive services coordinator can be obtained only from that source, you may request HUD approval to carry out a non-competitive procurement under 24 CFR 85.36(d)(4).
(c)
(ii) CSS activities must be developed in response to a rigorous resident needs identification process and directly respond to the identified needs.
(iii) CSS programs must be of an appropriate scale, type, and variety to meet the needs of all residents (including adults and children) of the severely distressed project, including residents remaining on-site, residents who will relocate permanently to other PHA units or Section 8 housing, residents who will relocate temporarily during the construction phase, and new residents of the revitalized units.
(iv) Non-public housing residents may also participate in CSS programs, as long as the primary users of the programs are residents as described in subparagraph (iii) above.
(v) Your plan must include procedures to track HOPE VI site residents who relocate to alternative housing to assure that everything possible is done to support them to become self-sufficient and live successfully in the alternative housing of their choice.
(vi) CSS programs such as life skills training must be designed to begin promptly after grant award so that residents who will be relocated have time to participate and benefit from such programs before leaving the site.
(vii) Resident training programs must begin promptly after grant award and Section 3 firms must be in place quickly so that residents are trained in time to take advantage of employment opportunities such as jobs and other contractual opportunities in the pre-development, demolition, and construction phases of the revitalization.
(viii) Modern computer technology must be integrated into the education program.
(ix) CSS activities must be coordinated with the efforts of other service providers in your locality, including non-profit organizations, educational institutions, and state and local programs.
(x) CSS activities must be consistent with state and local welfare reform requirements and goals. The social and learning environment must encourage and enable low-income residents to achieve long-term self-sufficiency, particularly persons enrolled in welfare-to-work programs. To that end, it is crucial that local welfare agencies and workforce development agencies are active members of your HOPE VI partnership. Many HOPE VI residents are directly affected by Temporary Assistance to Needy Families (TANF), making these self-sufficiency efforts critical to their success.
(xi) CSS activities must be well integrated with the physical development process, both in terms of timing and the provision of facilities to house on-site service and educational programs.
(d)
(i) Education programs that promote learning and serve as the foundation for young people from infancy through high school graduation, helping them to succeed in academia and the professional world. Such programs, which include after school programs, mentoring, and tutoring, must be created with strong partnerships with public and private educational institutions.
(ii) Adult educational activities, including remedial education, literacy training, tutoring for completion of secondary or post-secondary education, assistance in the attainment of certificates of high school equivalency, and English as a Second Language courses, as needed.
(iii) Job readiness and retention programs which frequently are key to securing private sector commitments to the provision of jobs.
(iv) Employment training programs that include results-based job training, preparation, counseling, development, placement, and follow-up assistance after job placement.
(v) Life skills training on topics such as parenting, consumer education, and family budgeting, aided by the creation and operation of on-site credit unions.
(vi) Motivational and self-empowerment training.
(vii) Homeownership counseling that is designed so that services can begin promptly after grant award so that, to the maximum extent possible, qualified residents will be ready to purchase new homeownership units when they are completed.
(viii) Health care services.
(ix) Substance/alcohol abuse treatment and counseling.
(x) Domestic violence prevention.
(xi) Child care services which provide sufficient hours of operation for parents to achieve self-sufficiency goals; serve appropriate ages as needed to facilitate parental access to education and job
(xii) Transportation as necessary to enable all family members to participate in available CSS programs and/or to commute to their places of employment. (xiii) Entrepreneurship training and mentoring, with the goal of establishing resident-owned businesses.
(e)
(i) Local Boards of Education, public libraries, local community colleges, institutions of higher learning, non-profit or for-profit educational institutions and public/private mentoring programs that will lead to new or improved educational facilities and improved educational achievement of young people in the revitalized development, from birth through higher education.
(ii) Programs that support HUD's Bridging the Digital Divide policy initiative, as described in Section VI(F) of the
(iii) National corporations, local businesses, and other large institutions such as hospitals that can commit to provide entry-level jobs. Employers may agree to train residents or commit to hire residents after they complete jobs preparedness or training programs that are provided by you, other partners, or the employer itself. Such private sector and non-profit partners must be given the opportunity to participate in the development of your CSS programs to assure that they will result in adequate training to prospective employees.
(iv) Job development organizations which link private sector or non-profit employers with low-income prospective employees.
(v) Workforce Development Agencies.
(vi) Organizations that provide residents with job readiness and retention training and support.
(vii) Economic development agencies such as the Small Business Administration, which provide entrepreneurial training and small business development centers.
(viii) Where applicable, Empowerment Zone and Enterprise Community Boards.
(ix) Programs that integrate employment training, education, and counseling and where creative partnerships with local boards of education, state charter schools, TANF, foundations, and private funding sources have been or could be established, such as:
(
(
(
(x) Sources of capital such as foundations, banks, and charitable, fraternal, and business organizations.
(xi) TANF Agencies/welfare departments.
(xii) Non-profit organizations such as the Girl Scouts and the Urban League, both of which have Memoranda of Agreement (MOA) with HUD. Copies of MOAs can be found on the HOPE VI Home Page (www.hud.gov/pih/programs/ph/hope6/hope6.html).
(xiii) Civil rights organizations.
(xiv) Local area agencies on aging, if applicable.
(xv) Local agencies and organizations serving persons with disabilities.
(xvi) Faith-based organizations.
(xvii) Federal, state, and local crime prevention programs and policy efforts, such as:
(
(
(
(
(
(
(
(f)
(D)
(1)
(b)
(c)
(2)
(i) The units, when combined with any proposed homeownership replacement units, if any, do not exceed the total number of units demolished and/or disposed of at the targeted severely distressed project; and
(ii) The units are to be placed under Annual Contributions Contract and operated as public housing units.
(b) Homeownership units will be deemed replacement units only if they, when combined with ACC rental units, do not exceed the total number of units demolished and/or disposed of at the targeted severely distressed project and otherwise meet the requirements listed in Section III(C)(1)(e), above, of this HOPE VI section of the SuperNOFA.
(c) HOPE VI funds may not be used to develop market rate units or affordable housing units which do not qualify as public housing or homeownership replacement units, as described in subparagraphs (a) and (b) above.
(3)
(b) You must enter into a binding Development Agreement within 12 months from the date of HUD's approval of the Revitalization Plan (RP), as described in Section VIII(A)(4) of this HOPE VI section of the SuperNOFA, below. This time period may not exceed 18 months from the date the Grant Agreement is executed.
(c) You must complete construction within 48 months from the date of HUD's approval of the RP. This time period for completion may not exceed 54 months from the date the Grant Agreement is executed.
(d) In accordance with section 24(i) of the 1937 Act, if you do not proceed within a reasonable timeframe, as described in paragraphs (a) through (c) above, HUD shall withdraw any grant amounts that you have not obligated. HUD shall redistribute any withdrawn amounts to one or more other applicants eligible for HOPE VI assistance or to one or more other entities capable of proceeding expeditiously in the same locality in carrying out the Revitalization Plan of the original Grantee.
(4)
(b) New construction must comply with the latest HUD-adopted Model Energy Code issued by the Council of American Building Officials. In addition, HUD encourages you to set higher standards for energy and water efficiency in HOPE VI new construction, which can achieve utility savings of 30 to 50 percent with minimal extra cost. Upon request, HUD will provide technical assistance and training in design and financing to assist your authority, architects, and contractors in improving resource efficiency.
(c) HUD encourages you to design programs that incorporate sustainable construction and demolition practices, such as the dismantling or “deconstruction” of public housing units, recycling demolition debris, and reusing salvage materials in new construction. For articles on the concept of deconstruction, go to the U.S. Forest Service website (www.fpl.fs.fed.us/query.asp) and enter deconstruction as the search term.
(d) Your new construction must comply with the accessibility standards of the Fair Housing Act, section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, and the Architectural Barriers Act of 1968.
(e) HUD encourages you to use PATH technologies in the construction and delivery of replacement housing. PATH (Partnership for Advancing Technology in Housing) is a voluntary initiative that seeks to accelerate the creation and widespread use of advanced technologies to radically improve the quality, durability, environmental performance, energy efficiency, and affordability of our Nation's housing. Further information about PATH can be found in Section VI.(E) of the
(f) There must not be any environmental factors such as sewer moratoriums that would preclude development in the requested locality.
(5)
(E)
(1) Units targeted in an approved or submitted Conversion Plan (i.e., a plan for removal of units from the public housing inventory in accordance with the requirements at 24 CFR 971.7(b)). Refer to Section VII(A)(1)(a) and (b), below, of this HOPE VI section of the SuperNOFA.
(2) Units targeted in an application for demolition which was developed in accordance with section 18 of the 1937 Act, as amended, and approved by HUD by the HOPE VI Demolition application deadline. Refer to Section VII(A)(1)(c), below, of this HOPE VI section of the SuperNOFA.
(3) Units that were targeted for demolition in a previously-approved HOPE VI Revitalization application, in accordance with Section VII(A)(1)(d), below, of this HOPE VI section of the SuperNOFA, where the use of additional demolition funds will not result in exceeding TDC.
(4) Units that are included in an FY 2000 HOPE VI Revitalization application, in accordance with Section VII(A)(1)(e), below, of this HOPE VI section of the SuperNOFA, where the use of additional demolition funds will not result in exceeding TDC.
(F)
(1)
(b) In accordance with section 24(i) of the 1937 Act, if you do not proceed within a reasonable timeframe, in the determination of HUD, HUD shall withdraw any grant amounts that you have not obligated. HUD shall
(2)
(A)
(1)
(2)
(b) To meet the severe distress requirement, you must certify that the public housing project or building in a project targeted in your HOPE VI application meets the definition of severe distress provided in Section IV(A)(1) of this HOPE VI section of the SuperNOFA (in accordance with section 24(j)(2) of the 1937 Act). You will make this certification by signing the HOPE VI Revitalization Applicant Certifications. The Certifications are included in the HOPE VI Application Kit, and the text of the Certifications is included as Appendix A to this HOPE VI section of the SuperNOFA.
(c) A severely distressed project that has been legally vacated or demolished (but for which HUD has not yet provided replacement housing assistance, other than tenant-based assistance) must also satisfy the requirements of paragraph (b) above as to the condition of the site before vacation or demolition.
(3)
(a) Your application might demonstrate appropriateness of your proposal in terms of marketability if it proposes the maximum range of incomes and housing types (rental vs. homeownership, market rate vs. public housing, townhouse vs. detached house, etc.) possible given local conditions.
(b) Your application might demonstrate that the land is being used for the highest and best use, given market conditions and the social goals of your agency.
(c) Your application might demonstrate that there is a demand for the physical development you propose, including residential public, subsidized and market rate units, community facilities, and economic development and retail structures.
(B)
(b) A severely distressed project that has been legally vacated or demolished (but for which HUD has not yet provided replacement housing assistance, other than tenant-based assistance) must also satisfy the requirements of paragraph (a) above as to the condition of the site before vacation or demolition.
(2)
(3)
(i) The notices announcing the meetings. In addition to other means of notification, at least one notice for each meeting must be placed in a commercial newspaper or journal that serves both the public housing project and the broader community.
(ii) A copy of the first page of the meeting sign-in sheets for each meeting, and a certification of the number of signatures collected for each meeting.
(iii) A signed and notarized copy of the minutes which summarizes the discussion. Do not submit a transcript of the meeting.
(b) Submission of the documentation required of the meetings is a curable item and is not rated. If you fail to properly document that you have conducted all of the required meetings, after being provided with the opportunity to correct any deficiencies in accordance with Section VI(B) of this HOPE VI section of the SuperNOFA, below, your application will not be eligible for funding. You may not conduct a required meeting after the application deadline date in order to cure a deficiency identified by HUD.
(C)
(A)
(2) In accordance with Section III(E)(4) of the
(3) Although Section III(B) of the
(a) To provide applicants with the most complete evaluations of their applications as possible;
(b) To provide applicants with technical assistance for any future applications; and
(c) Because HUD will conduct eligibility review, threshold review, completeness review, and rating concurrently, and determinations of threshold eligibility are often not finalized before rating begins.
Regardless of score, however, HUD will not select an application for funding that is submitted by an ineligible applicant or that does not meet all of the threshold requirements of Sections V(A) and (B) above.
(B)
(C)
(2)
(D)
(1) Assess each competitive application;
(2) Assign the final scores; and
(3) Recommend for funding the most highly-rated eligible applications up to the amount of available funding.
(4) HUD reserves the right to make adjustments to funding in accordance with Section III(E) of the
(5) In accordance with the FY 2000 HOPE VI appropriation (Title II of Pub. Law 106-74, 113 Stat. 1047, approved October 20, 1999), HUD may not grant competitive advantage to applications that propose to use HOPE VI grant funds to undertake HOPE VI activities in order to settle litigation or pay judgments.
(E)
(F)
This factor measures the capability and record of your team to manage large-scale redevelopment or modernization projects, manage effective community and supportive service programs, manage private and/or public housing, and obligate funds in a timely manner.
The term “your team,” unless otherwise specified, includes the HOPE VI Coordinator and PHA staff; alternative entity(ies) you choose to serve as your representatives(s) to manage the physical redevelopment, administer community and supportive services and management improvements, and manage the property after completion; developers; program managers; property managers; subcontractors; consultants; and any other public and private entities identified and/or proposed to carry out program activities. HUD will also evaluate the diversity of your team and program participants.
For each aspect of the revitalization effort (physical redevelopment, community and supportive services, and property management), HUD will evaluate the extent to which you have (or will have) the capacity to carry out the work yourself and/or select and manage outside entities. HUD will award the most points to applications that demonstrate the highest degree of capacity to implement activities in a timely manner upon grant award, whether the capacity is within the PHA or by members of team with overall management by the PHA.
HUD does not require you to select a developer and/or program manager, if any, prior to submission of your application, although you may choose to do so. Rather, HUD will evaluate your current capacity to implement a large scale revitalization; or your ability to identify needs in your current staffing and fill such gaps internally or externally in order to successfully
(1)
(i) You and/or the outside development team you have procured, or expect to procure, demonstrate, using specific data or other documentation, where applicable, extensive knowledge and recent, successful experience and capacity in planning, implementing, and managing previous large scale revitalization activities, including physical development, financing, leveraging, and partnership activities. Revitalization activities carried out by this team were completed on-schedule and within budget, and you do not have any outstanding capital program audit findings.
(ii) If you have not yet procured an entity to develop the proposed plan, you have a feasible plan for securing such an entity and your description of what you will include in the Request For Proposal (RFP) or Request for Qualifications (RFQ), as appropriate, to secure such services is well articulated and will result in the selection of a highly capable entity.
(iii) If you were awarded a HOPE VI grant(s) previously, you have demonstrated that the progress of activities is on schedule and you have the capacity to manage an additional HOPE VI revitalization project. HUD will evaluate the current status of development, and your explanation of any delays in implementation of your HOPE VI grant(s), including planning or construction delays. HUD will use information on file to verify any information you provide regarding current HOPE VI grant status.
(iv) You have demonstrated that implementation of your plan can begin immediately after grant award.
(b) You will receive 1 to 4 points if you describe and demonstrate that your method and criteria for selecting a team is good, your current HOPE VI activity is mostly on schedule, and you have the ability to begin implementing your plan with minor adjustments and additional planning after grant award.
(c) You will receive 0 points if you cannot describe and demonstrate that you can procure a qualified team, your current HOPE VI grant is behind schedule, and you do not demonstrate your ability to implement your plan quickly upon grant award, or there is inadequate information in your application to rate this factor.
(2)
(a) You will receive 4 to 5 points if you demonstrate, using specific data or other documentation, where applicable, that:
(i) Your team has recent, successful experience in planning, implementing, and managing the types of community and supportive service (CSS) programs proposed in your application;
(ii) PHA staff has the qualifications and experience to manage and coordinate activities of other staff and partners;
(iii) You have strong relationships and commitments with a wide variety of partners, including TANF and Workforce Development Agencies, that have excellent experience providing the kinds of services proposed.
(b) You will receive 2 to 3 points if you demonstrate and document limited experience and capacity in the above elements (paragraphs (a)(i) through (a)(iii) above).
(c) You will receive 1 point if you demonstrate minimal experience and capacity in the above elements (paragraphs (a)(i) through (a)(iii) above).
(d) You will receive 0 points if you demonstrate no experience or capacity in the above elements or if there is inadequate information in the application to score this factor.
(3)
(a) You will receive 3 to 4 points if you demonstrate that you and/or your property management entity currently have excellent knowledge and recent, successful experience in property management of market rate, affordable, and/or public housing. If you will procure outside property management expertise, you have demonstrated outstanding capacity to secure an entity with excellent experience by thoroughly describing the qualifications you will include in the RFP to procure such services. HUD will evaluate your team's current property management experience, or your capacity to procure an entity with excellent experience with regard to each of the following elements:
(b) You will receive 1 to 2 points if you demonstrate that you or your management entity currently have moderate management capacity with respect to the above elements. If you will seek outside property management expertise, the qualifications you describe in the RFP to procure such services are likely to result in the procurement of an entity with moderate management capacity with respect to the above elements.
(c) You will receive 0 points if you demonstrate that you or your management entity currently has little management capacity with respect to the above elements, or the qualifications you describe to procure a management team are unlikely to result in the procurement of an entity with moderate management capacity with respect to the above elements, or if there is inadequate information in your application to score this factor.
(4)
(5)
(a) You will receive 3 points if you have obligated at least 90 percent of your FY 1998 and prior year Modernization (e.g., Comprehensive Improvement Assistance Program or Comprehensive Grant Program) amounts by the quarter ending before the HOPE VI Revitalization application deadline date. HUD will use the LOCCS disbursement system as of the quarter ending before the application deadline date to verify your obligation rate.
(b) You will receive 2 points if you have obligated between 70 and 89 percent of your Modernization funds.
(c) You will receive 1 point if you have obligated between 50 and 69 percent of your Modernization funds.
(d) You will receive 0 points if you have obligated less than 50 percent of your Modernization funds or if there is inadequate information in the application to rate this factor.
This factor addresses the extent of the need for the revitalization program; the potential impact of the proposed revitalization on the surrounding neighborhood, the need for funding under the HOPE VI program, the identification of need in the community, and the need for affordable housing in the community.
(1)
(a) You will receive 7 points if you demonstrate that the extent of the distress and the need for revitalization satisfies all 4 of the following criteria:
(i) There are major structural and system deficiencies in its infrastructure, roofs, electrical, plumbing, and mechanical systems, lead based paint, settlement, and other deficiencies in Housing Quality Standards;
(ii) There are major site deficiencies, including poor soil conditions, inadequate drainage, deteriorated laterals and sewers, and inappropriate topography;
(iii) There are design deficiencies, including inappropriately high population density, room, and/or unit size and configurations; isolation; indefensible space; inaccessibility for persons with disabilities with regard to individual units, entrance ways, and/or common areas;
(iv) There are environmental conditions that make the site or a portion of the site and its housing structures unsuitable for residential use.
(b) You will receive 5 to 6 points if you demonstrate that the extent of the distress and the need for revitalization satisfies 3 of the 4 above criteria.
(c) You will receive 0 points if you demonstrate that the extent of the distress and the need for revitalization satisfies less than 3 of the above criteria.
(2)
(a) You will receive 5 to 6 points if you can demonstrate that revitalization of the severely distressed project with HOPE VI funds will greatly improve the surrounding neighborhood and community.
(b) You will receive 3 to 4 points if you can demonstrate that revitalization of the severely distressed project with HOPE VI funds will greatly improve the overall health of the surrounding neighborhood and community, i.e., the proposed revitalization has only limited likelihood of spurring significant neighborhood revitalization activities or preventing decline.
(c) You will receive 1 to 2 points if you can demonstrate that revitalization of the severely distressed project will have a minor impact on the surrounding neighborhood and community.
(d) You will receive 0 points if, based on the data submitted, HUD determines that the proposed project and/or the surrounding neighborhood is so severely deteriorated that even if the public housing site is revitalized, it will neither stop the decline nor have any impact on the surrounding neighborhood and community. You will also receive 0 points if there is not enough information in your application to rate this factor.
(3)
(a) You will receive 3 points if the unobligated balance of your FY 1998 and prior year Modernization funds is up to 25 percent of the amount of HOPE VI funds requested.
(b) You will receive 2 points if your unobligated balance is 26-50 percent of the amount of HOPE VI funds requested.
(c) You will receive 1 point if your unobligated balance is 51-75 percent of the amount of HOPE VI funds requested.
(d) You will receive 0 points if your unobligated balance is 76 to 100 percent or greater than the amount of HOPE VI funds requested or if there is inadequate information to rate this factor.
(4)
This factor addresses whether the need for the revitalization of severely distressed public housing is identified in your jurisdiction's Consolidated Plan, and whether severely distressed public housing is identified as an impediment to fair housing choice in your jurisdiction's Analysis of Impediments to Fair Housing Choice (AI). Information on the Consolidated Plan can be found on the HUD Home Page (www.hud.gov/cpd/conplan.html).
(a) You will receive 2 points if: (i) You cite language from your community's Consolidated Plan that identifies revitalization of severely distressed public housing as an urgent need in the community, and you cite language from your community's AI that identifies severely distressed public housing as an impediment to fair housing choice; or
(ii) If the Consolidated Plan/AI are applicable to your jurisdiction but they do not identify severely distressed public housing as an urgent need or an impediment to fair housing choice, you have explained in detail why severe distress of public housing is not identified, described your efforts to alert the jurisdiction to the need for revitalization, and worked with the jurisdiction to amend the Consolidated Plan and AI to include revitalization of severely distressed public housing as an urgent need; or
(iii) If the Consolidated Plan/AI are not applicable to your jurisdiction, you have used other sound and reliable data sources to show that the community has identified the need for revitalization of severely distressed public housing and the urgency in meeting the need. Types of other sources include, but are not limited to, census reports, continuum of care gaps analysis, law enforcement agency crime reports, and your PHA Five-Year and Annual Plan.
(b) You will receive 1 point if your community's Consolidated Plan/AI does not identify the revitalization of severely distressed public housing or
(c) You will receive 0 points if you have not made any efforts to include severely distressed public housing in the Consolidated Plan or AI. If the Consolidated Plan/AI are not applicable to your community, you have not documented your level and urgency of need through other data sources. Or, there is not enough information in your application to rate this factor.
(5)
(a) You will receive 2 points if you have:
(i) Documented the need for affordable housing in the community with statistics and analyses contained in a data source(s) that is sound and reliable, including information on market rental costs as compared to Section 8 fair market rents (FMRs); and
(ii) Provided a thorough analysis that demonstrates that the supply of other affordable housing is inadequate to accommodate families that would be displaced if the targeted severely distressed project was demolished and not replaced. Your analysis must be documented by a comparison of the number of Section 8-eligible rental apartment listings in a newspaper of general circulation in the community over the most recent complete month prior to the HOPE VI application deadline date compared to the number of units needed if the site were to be demolished and residents relocated within the community.
(b) You will receive 1 point if your analysis is less than thorough but nevertheless demonstrates a general need for affordable housing in the community.
(c) You will receive 0 points if your analysis fails to show a need for affordable housing in the community or you do not provide enough information to rate this factor.
This rating factor evaluates the quality of the main components of your plan to revitalize severely distressed public housing. It includes the quality of design, feasibility of activities, your efforts to lessen concentration, and your relocation plan. It also evaluates your community and supportive services plan, your efforts to reach out to residents and members of the community, proposed management principles and policies, and your plans to evaluate your program. HUD will also evaluate your efforts to affirmatively further fair housing.
(1)
(a) You will receive 4 to 5 points if you demonstrate that all aspects of your plan, including your physical, social, and economic approach, are the most appropriate possible given your local conditions, constraints, and opportunities, i.e. your application demonstrates no flaws in each of the following elements:
(b) You will receive 3 points if your plan has flaws in one of the above elements.
(c) You will receive 0 points if your plan has flaws in more than one of the above elements, or there is insufficient information in the application to rate this factor.
(2)
Your proposed site plan, new units, and other buildings must be designed to blend into and enrich the surrounding neighborhood and promote mixed-income, mixed-use communities. Local architecture and design elements and amenities should be incorporated into the new or rehabilitated homes so that the revitalized sites and structures will blend into the broader community and appeal to the market segments for which they are intended. Housing, community facilities, and economic development space must be well integrated. You must select a design team that has the ability to produce such design and/or demonstrate that you have the capacity to secure such a team.
HUD encourages you to propose enhancements to the natural environment such as tree and shrub planting to address natural resource issues such as erosion, stormwater management, and water quality that will result in physical improvements to the site; convert public open space now devoid of green vegetation to a natural, inviting, and more livable environment; and plan for the sustainability of such resources after the revitalization activities are completed. Through an MOU between the Department of Agriculture and HUD, technical assistance to develop a natural resource stewardship program is available to public housing authorities. See the
(a) You will receive 3 points if your proposed site plan, new units, and buildings demonstrate that:
(i) You have proposed a plan that incorporates design elements and amenities into the revitalized homes that will enable them to blend into and enrich the neighborhood and appeal to intended market segments;
(ii) Your proposed housing, community facilities, and economic development space are thoroughly integrated into the community; and
(iii) Your plan proposes extensive and appropriate enhancements of the natural environment.
(b) You will receive 2 points if your proposed site plan, new units, and buildings demonstrate design that adequately addresses the elements above.
(c) You will receive 1 point if your proposed design addresses the above elements in only a perfunctory manner.
(d) You will receive 0 points if your proposed design does not address the above elements or there is inadequate information to rate this factor.
(3)
(a)
(i) Your demonstration of the need for non-public housing units will be based on a preliminary market assessment letter prepared by an independent, third party, credentialed market resource firm or professional.
(ii) Your demonstration of the need for public housing units will be based on the number and percentage of existing families on site that are projected to return and the number of families on your public housing and Section 8 waiting list(s).
(b)
(ii) Your cost estimates represent an economically viable preliminary plan for designing, planning and carrying out your proposed activities in accordance with local costs of labor, materials, and services; and
(iii) Your proposed hard costs are comparable to industry standards for the kind of construction to be performed in the proposed geographic area.
(c)
(d)
(4)
(a)
(b)
(c)
(5)
(a)
(i) Provide counseling to residents who choose Section 8 assistance that will help them to fully understand the full range of housing opportunities available to them in neighborhoods throughout the jurisdiction and to find housing in non-poverty areas.
(ii) Conduct programs designed to prepare residents for the transition to private rental housing, including one-on-one move counseling and life skills training, so that they may sustain their new living arrangement for the foreseeable future.
(iii) Ensure that Section 8 housing complies with the Section 8 requirements regarding lead-based paint and other hazardous materials.
(iv) If necessary, propose to use HOPE VI or other funds to modify Section 8 relocation units to make them accessible for residents with disabilities.
(b)
(c)
(d)
(6)
(a) You will receive 4 to 5 points if: (i) You propose a high-quality, results-
(ii) The plan is well coordinated with strong, experienced service providers;
(iii) The plan was developed using an effective needs assessment; and
(iv) Mechanisms are in place to effectively measure the goals of the program and evaluate success.
(b) You will receive 2 to 3 points if your plan has a flaw in one of the elements listed in paragraphs (i) through (iv) above.
(c) You will receive 1 point if your plan has a flaw in more than one of the elements listed above.
(d) You will receive 0 points if you merely repeat information from the NOFA or if there is inadequate information to rate this factor.
(7)
(a)
(i) Provided affected residents with substantive opportunities to participate in the development of your HOPE VI plan;
(ii) Included all other interested parties, especially members of the surrounding community, in the development of your plans and application; and
(iii) Developed specific plans for continued involvement and participation of residents and the broader community in the planning and implementation of revitalization activities if your application is successful.
(b)
(i) Scheduled informational and planning meetings with affected residents and other interested parties during the development of your application at frequent and convenient times, meeting at least the requirements of Section IV(C)(1) of this HOPE VI section of the SuperNOFA, above;
(ii) Announced meetings (consistent with Section IV(C)(1), above) in ways that are designed to generate the most participation. Methods of announcing upcoming meetings include, but are not limited to:
(
(
(
(iii) Provided day care and, where necessary, transportation to and from the meetings.
(c)
(i) Providing reasonable training and technical assistance on the HOPE VI development process and general principles of development to affected residents to enable them to participate meaningfully in the development of your application, and developing plans to provide further training and technical assistance if your application is successful;
(ii) Providing information to and receiving input from affected residents and other interested parties about your planned revitalization;
(iii) Incorporating input and recommendations of interested parties, especially affected residents, to the extent possible, into your application;
(iv) Generating support for your application among interested parties;
(v) Providing status reports on the development of your application to residents; and
(vi) Providing that appropriate HUD communications are made available to affected residents and the broader community (i.e., a copy of the NOFA; notification of any HUD video conferences regarding the NOFA; computer access to the HUD website, etc.
(d)
(8)
(a) You will receive 3 points if you demonstrate your team's plan and capacity to carry out each of the following 10 elements listed in the “Self-Sufficiency and Economic Diversity” and “Safety and Security” categories below.
(b) You will receive 2 points if you demonstrate your team's plan and capacity to carry out 7 of the 10 elements, which must include the first three elements in the “Self-Sufficiency and Economic Diversity” category.
(c) You will receive 1 point if you demonstrate your team's plan and capacity to carry out 5 of the 10 elements.
(d) You will receive 0 points if demonstrate your team's plan and capacity to carry out fewer than 5 elements, and the operation and management principles you propose to implement at the revitalization site are not likely to result in improved management, or there is insufficient
1. Reward work and promote family stability by promoting positive incentives such as income disregards and ceiling rents;
2. Promote economically and demographically diverse living patterns, e.g., inclusion of persons of different races/ethnic groups, families with or without children, persons with disabilities and able-bodied persons, and the elderly, by:
3. Encourage self-sufficiency by including lease requirements that promote resident involvement in the tenants association, community service, self-sufficiency, and transition from public housing;
4. Complement self-sufficiency programs and result in a mix of residents in the revitalized development who have a range of incomes;
5. Create strong, stable, well-run communities by implementing site-based waiting lists for the redeveloped public housing and/or following project-based management principles.
1. Instituting strict screening requirements such as credit checks, references, home visits, and criminal records checks;
2. Strictly enforcing lease and eviction provisions;
3. Enhancing on-going efforts to eliminate drugs and crime from neighborhoods through collaborative efforts with local law enforcement agencies, the local United States Attorney, and Federal, state, and local crime prevention programs, and program policy efforts such as “One Strike and You're Out” (www.hud.gov:80/progdesc/1strike.html), the “Officer Next Door” initiative (www.hud.gov:80/ond/ond.html), the local the Department of Justice “Weed and Seed” Program task force if the targeted project is located in a designated Weed and Seed area (www.ojp.usdoj.gov/eows); HUD's “Operation Safe Home” Program, and/or HUD's Drug Elimination Programs;
4. Improving the safety and security of residents through the implementation of defensible space principles, anti-crime measures, and the installation of physical security systems such as surveillance equipment, control engineering systems, etc.;
5. Improving the safety of children by promoting the principles of Healthy Homes. Healthy Homes activities are described in Section VI(D) of the
(9)
Definitions of accessibility and adaptability can be found at 24 CFR 8.3. This section can be found at www.access.gpo.gov/nara/cfr/cfr-retrieve.html. In awarding points under this rating factor, HUD will consider the following:
(a)
(i) You will receive 2 points if you propose to implement all of the following suggested accessibility priorities:
(
(
(
(
(
(ii) You will receive 1 point if you do not propose to implement all of the accessibility priorities above but you provide a detailed description why you cannot implement one or more of the priorities;
(iii) You will receive 0 points if you do not propose to implement all of the accessibility priorities and you do not describe in detail why you cannot implement one or more of the priorities; or there is insufficient information in your application to rate this factor.
(b)
(c)
(d)
HUD will evaluate your description of specific steps you will take to:
(i) Address the elimination of impediments to fair housing that were identified in your jurisdiction's Analysis of Impediments to Fair Housing Choice or in any examination of your own programs you may have carried out that identified impediments to fair housing choice within those programs;
(ii) Remedy discrimination in housing; or
(iii) Promote fair housing rights and fair housing choice.
(10)
(a)
(i) The impact of your HOPE VI effort on the lives of the residents;
(ii) The nature and extent of economic development generated in the community;
(iii) The effect of the revitalization effort on surrounding communities, including spillover revitalization activities, property values, etc.; and
(iv) Your success at integrating the physical and social aspects of your strategy and achieving the goals stated in your application.
(b)
(i) Provide a comprehensive description of your team's evaluation plan;
(ii) Demonstrate excellent capacity to be involved and/or support the evaluation; and
(iii) Indicate how the evaluation will be funded.
HUD will rate your application based on the amount of funds and other resources that will be leveraged by the HOPE VI Grant, as measured by the ratio of HOPE VI dollars requested to the value of the financial, in-kind, and/or other assistance for proposed activities which can be added to HUD funds to achieve program purposes, in specific amounts that are committed or projected from your partners and other entities if HOPE VI funds are awarded. Endorsements or general letters of support from organizations or vendors alone will not count as leverage.
In your application, you must provide evidence of each proposed resource by including a letter of commitment, memorandum of understanding, and/or agreement to participate, including any conditions to which the leverage may be subject. HUD recognizes that in some cases, firm commitments cannot be made at the application stage. In such a case, the entity must describe why the firm commitment cannot be made at the current time and must affirm that your PHA and your HOPE VI project meet eligibility criteria for receiving the resource. This is particularly important with regard to Low Income Housing Tax Credits (LIHTC), where forward commitments are typically not possible. All letters of commitment must include the donor organization's name, the specific resource proposed, the dollar amount of the financial or in-kind resource, and the purpose of that resource. The commitment must be signed by an official of the organization legally authorized to make commitments on behalf of the organization. HUD will evaluate the strength of commitment that the letters articulate and calculate the ratio of HUD funds to leveraged funds that HUD deems acceptably documented.
(1)
(a)
(ii) Mortgage secured loans and other debt;
(iii) Insured loans;
(iv) Donations and contributions;
(v) Housing trust funds;
(vi) Homeowner loans;
(vii) Funds committed to build private sector housing in connection with the HOPE VI revitalization program;
(viii) Low Income Housing Tax Credits (LIHTC). If you proposed to use tax credits as a part of your financing, you must include in your application a letter from your State or local Housing Finance Agency that provides information from the allocation plan regarding the total amount and type (4 percent vs. 9 percent) of tax credits available, any setasides available for PHAs, per project funding limits, the schedule of funding rounds, verification that your project meets eligibility criteria, phasing, and other pertinent information that will enhance your project's likelihood to receive the desired tax credits. If your application includes a letter from a Housing Finance Agency which addresses these issues, the tax credits will be considered documented and you may count it in your development resources leverage ratio. If your application does not include such a letter, the amount of tax credit dollars you propose will not be counted as leverage.
(b)
(
(
(v) Foundations;
(vi) Financial institutions, banks or insurers.
(c)
(d)
You will receive 5 points if the ratio is 1:3.
You will receive 4 points if the ratio is 1:2.5.
You will receive 3 points if the ratio is 1:2.
You will receive 2 points if the ratio is 1:1.5.
You will receive 1 point if the ratio is 1:1.
You will receive 0 points if the ratio is less than 1:1 or if there is inadequate information in the application to rate this factor.
(2)
(a)
(b)
(ii) In accordance with Section IV(C)(2)(b) of this HOPE VI section of the SuperNOFA, above, you may enter into subgrantee agreements with organizations, provided that the costs, if any, are verified by an outside entity and the subgrantee is also bringing significant resources to the project.
(c)
You will receive 4 points if the ratio of HOPE VI funds requested for CSS programs to documented, committed CSS funds leveraged from other sources is 1:2 or higher.
You will receive 3 points if the ratio is between 1:1.5 and 1:1.9.
You will receive 2 points if the ratio is between 1:1 and 1:1.49.
You will receive 0 points if the ratio is less than 1:1 or if there is inadequate information in your application to rate this factor.
This factor evaluates your efforts to address the need for revitalized public housing in a holistic and comprehensive manner by coordinating the revitalization of public housing with the overall plans for revitalization and related activities in the broader community, and participating in or committing to participate in the community's Consolidated Planning process.
(1)
(b) HUD will evaluate your efforts to take specific steps to:
(i) Coordinate your proposed activities with related activities of other agencies, groups, or organizations outside the scope of those covered by the Consolidated Plan.
(ii) Develop comprehensive solutions that best complement, support and coordinate other revitalization and related activities, such as plans for changes in transportation, infrastructure, land use, and other issues that may affect the planned public housing revitalization plans.
(iii) Participate in planning efforts to share information about solutions and outcomes with relevant agencies through meetings, information networks, planning processes or other mechanisms.
(c)
(ii) You will receive 2 points if you document that you have made some efforts to coordinate your proposed activities with related groups, but your overall effort does not include a variety of different kinds of groups and/or you do not show strong evidence of active coordination.
(iii) You will receive 1 point if your efforts to coordinate with related groups are not comprehensive and/or your relationships are not well documented or committed.
(iv) You will receive 0 points if you have not provided evidence that you have coordinated with related groups, or there is insufficient information in the application to rate this factor.
(2)
This factor evaluates your efforts to participate in your community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) and to include the revitalization of severely distressed public housing as a need identified in the Consolidated Plan. (A certification of consistency with the Consolidated Plan is a required element of each HOPE VI Revitalization application.)
(a) You will receive 4 to 5 points if you demonstrate that:
(i) You have actively participated in the Consolidated Planning process, as evidenced by citing the inclusion of the need for revitalized public housing from the Consolidated Plan in your application.
(ii) Your participation in the Consolidated Planning process has ensured that your HOPE VI revitalization plans are tied to other revitalization planned in the broader community and the jurisdiction as a whole, and that they are consistent with plans or organizing efforts in the immediate, surrounding neighborhood. If not, you have provided an adequate description of why they are not.
(iii) If the Consolidated Plan is not applicable to your community, you have demonstrated that you have participated in other community-wide planning efforts.
(b) You will receive 1 to 3 points if you have demonstrated that you have participated in the Consolidated Planning process, but the Plan does not address the revitalization of severely distressed public housing.
(c) You will receive 0 points if you have demonstrated some understanding of the Consolidated Planning process, but have made only marginal or no effort to participate. If the Consolidated Plan is not applicable to your community, you have demonstrated only marginal or no effort to participate in other community-wide planning efforts. You also will receive 0 points if there is inadequate information in the application to rate this factor.
You will receive up to 2 bonus points if you propose to revitalize severely distressed public housing that is located in a Federally-designated Empowerment Zone (EZ), Enterprise Community (EC), or Urban Enhanced Enterprise Community (also referred to as EC). To be eligible for the bonus points, activities must serve EZ/EC residents and the application must include a certification that activities are consistent with the strategic plan for the EZ or EC. A listing of eligible EZs and ECs is appended to the
(A)
(1)
(a)
(b)
(i) If you submit a HOPE VI Demolition grant application for units that are targeted in a Conversion Plan that was submitted under 24 CFR part 971 but not yet approved (Priority Group 2), and HUD subsequently approves the Conversion Plan before the HOPE VI Demolition grant application deadline date, you may submit a revised application and it will be reclassified as Priority Group 1. HUD will change the Ordinal to the Ordinal corresponding to the date that the revised application was received.
(ii) If you submit a Conversion Plan but HUD determines that the targeted project does not qualify for conversion under 24 CFR part 971, your HOPE VI Demolition grant application will not be eligible for funding. Please check with your local HUD Office to confirm that your targeted project is eligible for conversion under part 971 before submitting a HOPE VI Demolition grant application based on submission of a Conversion Plan.
(c)
(i) Your Section 18 demolition application must be approved by HUD by the HOPE VI Demolition Application deadline. You are advised that in order to allow for sufficient time for a Section 18 demolition application to be processed, you should submit your Section 18 demolition application to HUD's Special Application Center (SAC) no later than March 14, 2000. If your Section 18 demolition application does not meet the statutory requirements of Section 18, including the requirement for HUD Field Office approval of the Interim or PHA Plan as required by 24 CFR part 903, HUD will not approve the Section 18 demolition application and your HOPE VI Demolition grant application will not be eligible for funding.
(ii) If you have submitted a Section 18 demolition application to the SAC but it has not yet been approved by HUD when you submit your HOPE VI Demolition grant application, your HOPE VI application will not be considered complete and you will not receive an Ordinal until your Section 18 demolition application is approved.
(iii) If HUD has previously approved your Section 18 demolition application but HUD later rescinded the approval, your Section 18 demolition application will not be considered approved by HUD and your HOPE VI Demolition grant application will not be eligible for funding.
(d)
(ii) A HOPE VI Demolition grant application that requests funds for the demolition of units that were not originally targeted for demolition in a previously-approved HOPE VI Revitalization application but that are located in the same project and at the same site that will be revitalized using an existing Revitalization grant qualifies as a Priority Group 4 application.
(iii) The requested HOPE VI Demolition grant funds, in combination with the existing HOPE VI Revitalization grant funds, may not exceed the TDC limit as provided in Section II(A)(3)(a) of this HOPE VI section of the SuperNOFA, above.
(iv) If a Priority Group 4 HOPE VI Demolition application is selected for funding, HUD will approve the planned demolition in its approval of your Revitalization Plan (RP) for the Revitalization grant. If the RP has already been approved, HUD will amend the existing RP approval to include approval of the proposed demolition.
(v) A Section 18 demolition application is not required for a Priority Group 4 HOPE VI Demolition application.
(e)
(ii) The requested HOPE VI Demolition grant funds, in combination with the requested HOPE VI Revitalization grant funds, may not exceed the TDC limit as provided in Section II(A)(3)(a) of this HOPE VI section of the SuperNOFA, above.
(iii) If your HOPE VI Revitalization application is not approved, the corresponding HOPE VI Priority Group 5 Demolition application will be ineligible for funding.
(iv) If your HOPE VI Demolition application is not approved but your HOPE VI Revitalization application is selected for funding, you must be able to show that the Revitalization activities are feasible without the requested HOPE VI demolition funds.
(v) A Section 18 demolition application is not required for a Priority Group 5 HOPE VI Demolition grant application.
(vi) If you choose, you may also submit a separate HOPE VI Demolition application for the same units identified in your Priority Group 5 Demolition grant application, accompanied by an approval of a Section 18 demolition application. This separate HOPE VI Demolition application would be assigned Priority Group 3. You are cautioned, however, that if your HOPE VI Revitalization application is not selected for funding but your Priority 3 HOPE VI Demolition application is selected for funding, your Section 18 demolition application will be processed and you will be expected to carry out the demolition despite the lack of revitalization funds, since you have identified them as severely distressed.
(2)
(B)
(a) Meets each HOPE VI threshold criterion listed in Section V(A) of this HOPE VI section of the SuperNOFA, above; and
(b) Includes each application submission requirement listed in Section IX(B) of this HOPE VI section of the SuperNOFA, below.
(2) If HUD determines that an application is not eligible for funding (e.g., the applicant is not a PHA), HUD will not consider the application further and will immediately notify the applicant that the application has been rejected.
(3) If HUD determines that an application is eligible but incomplete, within one day of receipt of the application, HUD will contact you in writing by fax (followed up with a hard copy by mail) to request the missing information. If HUD finds your application and other applications received on the same day to be incomplete, HUD will notify all such applicants of their missing items on the same day. Since HOPE VI Demolition grant applications are not rated, you may submit information to complete your application at any time before the HOPE VI Demolition grant application deadline date. However, if your application is received on the deadline date and it is missing a required submission, you will have no opportunity to submit any missing item after the deadline date and your HOPE VI Demolition grant application will be ineligible for funding.
(4) If HUD determines that the information you submit in response to a notification of deficiency is correct and completes the application, HUD will change the application's Ordinal to the Ordinal corresponding to the date that HUD received the information.
(5) If HUD determines that the information submitted does not make the application complete, HUD will notify you of the remaining deficiency. You will have the opportunity to submit information in response to notifications of deficiency up until the HOPE VI Demolition application deadline date.
(6) If you do not submit the requested information by the HOPE VI Demolition grant deadline date, your application will be ineligible for funding.
(C)
(1) HUD will fund Priority Group 1 applications by Ordinal.
(2) If funds remain after HUD has funded all eligible Priority Group 1 applications, HUD will fund Priority Group 2 applications by Ordinal.
(3) If funds remain after HUD has funded all eligible Priority Group 2 applications, HUD will fund Priority Group 3 applications by Ordinal.
(4) If funds remain after HUD has funded all eligible Priority Group 3 applications, HUD will fund Priority Group 4 applications by Ordinal.
(5) If funds remain after HUD has funded all eligible Priority Group 4 applications, HUD will fund Priority Group 5 applications by Ordinal.
(6) At any stage, if there are insufficient funds to fund all applications with the next Ordinal, HUD will conduct a lottery among the applications sharing the Ordinal to determine funding. HUD reserves the
(7) If funds remain after all eligible HOPE VI Demolition grant applications have been funded, the remaining funds will be reallocated for HOPE VI Revitalization grants in accordance with Section II(B)(1)(b) of this HOPE VI section of the SuperNOFA, above.
(A)
(2)
(a) You and HUD must execute a HOPE VI Revitalization Grant Agreement in accordance with paragraph (3) below;
(b) The responsible entity must complete an environmental review and you must submit and obtain HUD approval of a request for release of funds and the responsible entity's environmental certification in accordance with 24 CFR part 58 and Section IV(B)(7) of this HOPE VI section of the SuperNOFA, above (or HUD has completed an environmental review under 24 CFR part 50 where HUD has determined to do the environmental review).
(3)
(a) The amount of the grant;
(b) Required submissions;
(c) Procedures for amendments and approvals;
(d) Program Requirements;
(e) Required schedules for the completion of activities;
(f) Environmental assessment requirements;
(g) Covenants and conditions;
(h) Drawdown procedures;
(i) Reporting requirements;
(j) Recordkeeping requirements;
(k) Grant closeout procedures;
(l) Conflict of interest provisions;
(m) Other Federal requirements; and
(n) Default provisions.
(4)
(5)
(2)
(a) You and HUD must execute a HOPE VI Demolition Grant Agreement in accordance with paragraph (3) below;
(b) The responsible entity must complete an environmental review and you must submit and obtain HUD approval of a request for release of funds and the responsible entity's environmental certification in accordance with 24 CFR part 58 and Section IV(B)(7) of this HOPE VI section of the SuperNOFA, above.
(3)
(a) The amount of the grant;
(b) Procedures for amendments and approvals;
(c) Required schedules for the completion of activities;
(d) Program requirements;
(e) Environmental assessment requirements;
(f) Covenants and conditions;
(g) Drawdown procedures;
(h) Reporting requirements;
(i) Recordkeeping requirements;
(j) Grant Closeout procedures;
(k) Conflict of interest provisions;
(l) Other Federal requirements; and
(m) Default provisions.
(A)
(2)
(3)
(a) An Executive Summary.
(b) A list of revitalization team members and a description of team experience in development, delivery of community and supportive service programs, and property management.
(c) Your need for the HOPE VI grant, including a description of existing site
(d) All predevelopment activities, including relocation, hazard abatement, demolition, disposition, and site improvements.
(e) Elements of the proposed physical revitalization, including design; accessibility, visitability, and adaptability; and a description of how the plan will lessen concentration.
(f) Proposed community and supportive services programs.
(g) Your plan for resident and community outreach and involvement.
(h) Current or planned coordination with the revitalization or other related activities of other agencies or organizations, and the relationship of the proposed revitalization to the city or county's Consolidated Plan.
(i) Proposed operation and management principles and policies which will foster self-sufficiency and economic diversity, increase safety and security for residents, and address the elimination of impediments to fair housing.
(j) Your plan to evaluate the program.
(4)
(a) Photographs of distressed public housing and representative photographs of the neighborhood.
(b) Maps of the current site, the neighborhood, and the city.
(c) Map of the proposed site.
(d) Conceptual site plan.
(e) Conceptual design illustrations of proposed units and non-dwelling facilities.
(f) Certification of severe physical distress.
(g) Program schedule.
(h) Public meeting documentation.
(i) Copies of letters or other documentation of objection to the proposed plan.
(j) Staffing and time allocation plan and organizational chart.
(k) Commitments from selected or proposed team members.
(l) Preliminary market assessment letter.
(m) list and documentation of resources; TDC worksheet; certification of extraordinary site costs, if applicable.
(n) Documentation of coordination with related groups.
(o) Letter of commitment to perform evaluation.
(5)
(a) HOPE VI Revitalization Application Data Form (HUD-52860-A)
(b) HOPE VI Budget (HUD-52825-A, Parts I and II)
(c) Section 8 Application (HUD-52515)
(d) HOPE VI Revitalization Applicant Certifications (HUD-52820-A). See Appendix A of this HOPE VI section of the SuperNOFA for the text of these certifications.
(6)
(a) Application for Federal Assistance (SF-424)
(b) Assurances—Construction Programs (SF-424D)
(c) Certification for a Drug-Free Workplace (HUD-50070)
(d) Certification of Payments to Influence Federal Transactions (HUD-50071)
(e) Disclosure of Lobbying Activities (SF-LLL) (if applicable)
(f) Recipient Disclosure/Update Report (HUD-2880)
(g) Certification Regarding Debarment and Suspension (HUD-2992)
(h) Certification of Consistency with the EZ/EC Strategic Plan (HUD-2990)
(i) Certification of Consistency with the Consolidated Plan (HUD-2991)
(j) Acknowledgment of Application Receipt (HUD-2993)
(B)
(2)
(a) Applicant, site, and unit information
(b) Priority group
(c) Narrative of proposed activities, including a demonstration of the appropriateness of the proposal in the context of the local housing market relative to other alternatives
(d) Program schedule
(e) Certification of reasonable and accurate costs
(f) Certification of extraordinary site costs, if applicable, and grant limitations
(g) Documentation of unit eligibility
(h) Section 8 application, if applicable (HUD-52515)
(i) Program budget (HUD-52825-A, parts I and II)
(j) HOPE VI Demolition Applicant Certifications (HUD-52820-B). See Appendix B of this HOPE VI section of the SuperNOFA for the text of these certifications.
(3)
(a) Application for Federal Assistance (SF-424)
(b) Assurances—Construction Programs (SF-424D)
(c) Certification for a Drug-Free Workplace (HUD-50070)
(d) Certification of Payments to Influence Federal Transactions (HUD-50071)
(e) Disclosure of Lobbying Activities (SF-LLL)
(f) Recipient Disclosure/Update Report (HUD-2880)
(g) Certification Regarding Debarment and Suspension (HUD-2992)
(A) The funding authority for HOPE VI Revitalization and Demolition grants under this HOPE VI section of the SuperNOFA is provided by the FY 2000 HUD Appropriations Act under the heading “Revitalization of Severely Distressed Public Housing (HOPE VI).”
(B) The program authority for the HOPE VI Program is section 24 of the U.S. Housing Act of 1937 (42 USC 1437v), as added by section 535 of the Quality Housing and Work Responsibility Act of 1998 (Pub.L. 105-276, 112 Stat. 2461, approved October 21, 1998).
Acting on behalf of the Board of Commissioners of the Housing Authority listed below, as its Chairman, I approve the submission of the HOPE VI Revitalization application of which this document is a part
1. The public housing project or building in a project targeted in this HOPE VI Revitalization application meets the definition of severe distress provided in Section IV.(A)(1) of the HOPE VI section of the FY 2000 HOPE VI NOFA, in accordance with Section 24(j)(2) of the U.S. Housing Act of 1937 (“the Act”).
2. The PHA has not received assistance from the Federal government, State, or unit of local government, or any agency or instrumentality, for the specific activities for which funding is requested in the HOPE VI Revitalization application.
3. The PHA does not have any litigation pending which would preclude timely startup of activities.
4. The PHA is in full compliance with any desegregation or other court order related to Fair Housing (
5. PHA has returned any excess advances received during development or modernization, or amounts determined by HUD to constitute excess financing based on a HUD-approved Actual Development Cost Certificate (ADCC) or Actual Modernization Cost Certificate (AMCC), or that HUD has approved a pay-back plan.
6. There are no environmental factors, such as sewer moratoriums, precluding development in the requested locality.
7. The application is consistent with Environmental Justice Executive Order 12898, in that the proposed public housing will be developed only in environmentally sound and desirable locations and will avoid disproportionately high and adverse environmental effects on minority and low-income communities.
8. In accordance with the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128), the property targeted for acquisition or construction (including rehabilitation) is not located in an area identified by the Federal Emergency Management Agency (FEMA) as having special flood hazards, unless:
(a) The community in which the area is situated is participating in the National Flood Insurance program (see 44 CFR parts 59 through 79), or less than one year has passed since FEMA notification regarding such hazards; and
(b) Where the community is participating in the National Flood Insurance Program, flood insurance is obtained as a condition of execution of a Grant Agreement and approval of any subsequent demolition or disposition application.
9. The application does not target properties in the Coastal Barrier Resources System, in accordance with the Coastal Barrier Resources Act (16 U.S.C. 3501).
If selected for HOPE VI Revitalization funding:
10. The PHA will comply with all policies, procedures, and requirements prescribed by HUD for the HOPE VI program, including the implementation of HOPE VI revitalization activities in a timely, efficient, and economical manner.
11. The PHA will not receive assistance from the Federal government, State, or unit of local government, or any agency or instrumentality, for the specific activities funded by the HOPE VI Revitalization grant. The PHA has established controls to ensure that any activity funded by the HOPE VI Revitalization grant is not also funded by any other HUD program, thereby preventing duplicate funding of any activity.
12. The PHA will not provide to any development more assistance under the HOPE VI Revitalization grant than is necessary to provide affordable housing after taking into account other governmental assistance provided.
13. The PHA will supplement the aggregate amount of the HOPE VI Revitalization grant with funds from sources other than HOPE VI in an amount not less than 5 percent of the amount of HOPE VI grant.
14. In addition to supplemental amounts provided in accordance with Certification 11 above, if the PHA uses more than 5 percent of the HOPE VI grant for community and supportive services, it will provide supplemental funds from sources other than HOPE VI in an amount equal to the amount used in excess of 5 percent.
15. Disposition activity under the grant will be conducted in accordance with Section 18 of the Act.
16. The PHA will carry out acquisition of land, or acquisition of off-site units with or without rehabilitation to be used as public housing, in accordance with 24 CFR part 941, or successor part.
17. The PHA will carry out major rehabilitation and other physical improvements of housing and non-dwelling facilities in accordance with 24 CFR 968.11 2(b), (d), (e), and (g)-(o), 24 CFR 968.130, and 24 CFR 968.135(b) and (d) or successor part.
18. The PHA will carry out construction of public housing replacement housing, both on-site and off-site, and community facilities, in accordance with 24 CFR part 941 or successor part, including mixed-finance development in accordance with subpart F.
19. The PHA will carry out replacement homeownership activities in general conformance with the requirements of 24 CFR part 906 and the income limitations of the Act.
20. The PHA will administer and operate rental units in accordance with all existing public housing rules and regulations, as those requirements now exist or as they may be amended from time to time.
21. The PHA will comply with the requirements of the Fair Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24 CFR part 100); Executive Order 11063 (Equal Opportunity in Housing) and regulations pursuant thereto (24 CFR part 107); the fair housing poster regulations (24 CFR part 110) and advertising guidelines (24 CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) and regulations pursuant thereto (24 CFR part 1).
22. The PHA will address the elimination of impediments to fair housing choice relating to its public housing and particularly to the revitalization of distressed public housing that were identified in the jurisdiction's Analysis of Impediments to Fair Housing Choice, remedy discrimination in housing, and promote fair housing rights and fair housing choice.
23. The PHA will comply with the prohibitions against discrimination on the basis of age pursuant to the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations issued pursuant thereto (24 CFR part 146); the prohibitions against discrimination against, and reasonable modification and accommodation and accessibility requirements for, handicapped individuals under Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8); the Americans with Disabilities Act (42 U.S.C. 12101 et. seq.) and regulations issued pursuant thereto (28 CFR Part 36); and the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and regulations issued pursuant thereto (24 CFR Part 40).
24. The PHA has adopted the goal of awarding a specified percentage of the dollar value of the total of the HOPE VI contracts to be awarded during subsequent fiscal years to minority business enterprises and will take appropriate affirmative action to assist resident-controlled and women's business enterprises in accordance with the requirements of Executive Orders 11246, 11625, 12432, and 12138.
25. The PHA will comply with the requirements of Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) (Employment Opportunities for Lower Income Persons in Connection with Assisted Projects) and its implementing regulation at 24 CFR part 135, including the reporting requirements of subpart E.
26. The PHA will comply with Davis-Bacon or HUD-determined prevailing wage rate requirements to the extent required under Section 12 of the U.S. Housing Act of 1937.
27. As applicable, the PHA will comply with the relocation assistance and real property acquisition requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and government-wide implementing regulations at 49 CFR part 24; relocation regulations at 24 CFR 968.108 or successor part (rehabilitation, temporary relocation); 24 CFR 941.207 or successor part (acquisition); and 24 CFR Section 18 of the 1937 Act as amended (disposition).
28. The PHA will comply with the HOPE VI requirements for reporting and access to records as required in the HOPE VI Revitalization Grant Agreement.
29. The PHA will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821,
30. The PHA will comply with the policies, guidelines, and requirements of OMB
31. The PHA will comply with 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 or successor part, subpart F, relating to the procurement of partners in mixed finance developments, except when inconsistent with the provisions of the 2000 Appropriations Act or other applicable Federal statutes. Requests for Proposals (RFPs) and Requests for Qualifications (RFQs) will reflect pertinent language from the program section of FY 2000 HOPE VI NOFA;
32. The PHA will keep records in accordance with 24 CFR 85.20 that facilitate an effective audit to determine compliance with program requirements, and comply with the audit requirements of 24 CFR 85.26.
33. The PHA will enter into a binding Development Agreement within 12 months from the date of HUD's approval of the Revitalization Plan. In no event may this time period exceed 18 months from the date the Grant Agreement is executed.
34. The PHA will complete construction within 48 months from the date of HUD's approval of the RP. In no event may the time period for completion exceed 54 months from the date the Grant Agreement is executed.
35. All activities that include construction, rehabilitation, lead-based paint removal, and related activities will meet or exceed local building codes. New construction will comply with the latest HUD-adopted Model Energy Code issued by the Council of American Building Officials.
Acting on behalf of the Board of Commissioners of the Public Housing Authority (PHA) listed below, as its Chairman, I approve the submission of the HOPE VI Demolition funding application of which this document is a part and make the following certifications to and agreements with the Department of Housing and Urban Development (HUD) in connection with the application and implementation thereof:
1. The public housing project or building in a project targeted in this HOPE VI Demolition application meets the definition of severe distress provided in Section IV.(A)(1) of the program section of the FY 2000 HOPE VI NOFA, in accordance with Section 24(j)(2) of the U.S. Housing Act of 1937 (“the Act”).
2. The PHA has not received assistance from the Federal government, State, or unit of local government, or any agency or instrumentality, for the specific demolition activities for which funding is requested in the HOPE VI Demolition application.
3. The PHA is in full compliance with any desegregation or other court order related to Fair Housing (
4. The PHA does not have any litigation pending which would preclude timely startup of activities.
5. PHA has returned any excess advances received during development or modernization, or amounts determined by HUD to constitute excess financing based on a HUD-approved Actual Development Cost Certificate (ADCC) or Actual Modernization Cost Certificate (AMCC), or that HUD has approved a pay-back plan.
If selected for HOPE VI Demolition funding:
6. The PHA will comply with all policies, procedures, and requirements prescribed by HUD for the HOPE VI program, including the implementation of HOPE VI Demolition activities in a timely, efficient, and economical manner.
7. The PHA will procure a demolition contractor within six months from the date of Grant Agreement execution, and complete the demolition within two years from the date of Grant Agreement execution.
8. The PHA will not receive assistance from the Federal government, State, or unit of local government, or any agency or instrumentality, for the specific activities funded by the HOPE VI Demolition grant. The PHA has established controls to ensure that any activity funded by the HOPE VI Demolition grant is not also funded by any other HUD program, thereby preventing duplicate funding of any activity.
9. The PHA will not provide to any development more assistance under the HOPE VI Demolition grant than is necessary to perform demolition activities after taking into account other governmental assistance provided.
10. The PHA will comply with the requirements of the Fair Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24 CFR part 100); Executive Order 11063 (Equal Opportunity in Housing) and regulations pursuant thereto (24 CFR part 107); the fair housing poster regulations (24 CFR part 110) and advertising guidelines (24 CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d) and regulations pursuant thereto (24 CFR part 1).
11. The PHA will comply with the prohibitions against discrimination on the basis of age pursuant to the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations issued pursuant thereto (24 CFR part 146); the prohibitions against discrimination against, and reasonable modification and accommodation and accessibility requirements for, handicapped individuals under Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8); the Americans with Disabilities Act (42 U.S.C. 12101
12. The PHA will address the elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments to Fair Housing Choice; remedy discrimination in housing; and promote fair housing rights and fair housing choice.
13. The PHA has adopted the goal of awarding a specified percentage of the dollar value of the total of the HOPE VI contracts to be awarded during subsequent fiscal years to minority business enterprises and will take appropriate affirmative action to assist resident-controlled and women's business enterprises in accordance with the requirements of Executive Orders 11246, 11625, 12432, and 12138.
14. The PHA will comply with the requirements of section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) (Employment Opportunities for Lower Income Persons in Connection with Assisted Projects) and its implementing regulation at 24 CFR part 135, including the reporting requirements of Subpart E.
15. The PHA will comply with HUD-determined prevailing wage rate requirements to the extent required under section 12 of the Act.
16. As applicable, the PHA will comply with the relocation assistance and real property acquisition requirements of section 18 of the Act, as amended (demolition approved by a Section 18 demolition application; and/or the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 and government-wide implementing regulations at 49 CFR part 24 (demolition pursuant to a Section 18 demolition application; demolition approved pursuant to a Mandatory Conversion Plan).
17. The PHA will comply with the HOPE VI requirements for reporting and access to records as required in the HOPE VI Demolition Grant Agreement.
18. The PHA will keep records in accordance with 24 CFR 85.20 that facilitate an effective audit to determine compliance with program requirements, and comply with the audit requirements of 24 CFR 85.26.
19. The PHA will comply with the policies, guidelines, and requirements of OMB Circular A-87 (Cost Principles for State, Local and Indian Tribal Governments) and 24 CFR part 85 (Administrative Requirements for Grants and Cooperative Agreements to State, Local and Federally Recognized Indian Tribal Governments).
The non-standard forms, which follow, are required for your HOPE VI application.
If you are interested in applying for Public Housing Drug Elimination Technical Assistance funding, please review carefully the
See the
Submit the second copy of your application to the appropriate HUD Field Office or HUB with delegated public housing responsibilities for your organization. See Appendix A for a list of HUD offices with delegated responsibilities. You may also call the SuperNOFA Information Center at 1-800-HUD-8929 if you have a question regarding where you should submit your application (persons with hearing or speech impairments may call the Center's TTY number at 1-800-HUD-2209).
You must submit with your application(s) to CSCD, a Confirmation Form documenting that the appropriate HUD Field Office or Hub received your TA application (this form is a threshold requirement).
HUD will review and accept DETAP applications on a first come first serve basis until June 9, 2000, or until funds available under this program are expended. Due to the reduced availability of funds in FY 2000, HUD encourages you to submit early.
For FY 2000, approximately $500,000 is available for Public Housing Drug Elimination Technical Assistance.
(A)
(2) HUD may also initiate TA under this program to identify areas of high risk among HAs and to improve administration of PHDEP grants nationally. HUD initiated TA requires an application with a letter of support from the HUD Field Office. HUD initiated TA is also short-term assistance.
(3) The program will fund the use of consultants having demonstrated knowledge of or specialized experience in providing the following services:
(B)
(1) If you are an RC or RO, you must be an incorporated nonprofit organization or association that meets all seven of the following requirements:
(a) You must be representative of the residents you purport to represent.
(b) You may represent residents in more than one development or in all of the developments of a PHA or Indian tribe or TDHE, but you must fairly represent residents from each development that you represent.
(c) You must adopt written procedures providing for the election of specific officers on a regular basis, but at least once every 3 years.
(d) You must have a democratically elected governing board. The voting membership of your board must consist of residents of the development or developments that you represent.
(e) You must be supported in your application by a PHA or an Indian tribe or TDHE.
(f) You must provide evidence of incorporation.
(g) You must provide evidence of adopted written procedures for electing officers.
(2) If you are an RMC, you must be an entity that proposes to enter into, or that enters into, a management contract with a PHA under 24 CFR part 964, or a management contract with an Indian tribe or TDHE. You must have all seven of the following characteristics:
(a) You must be a nonprofit organization incorporated under the laws of the State or Indian tribe where you are located.
(b) You may be established by more than one RO or RC, so long as each: approves the establishment of your corporation; and has representation on the Board of Directors of your corporation.
(c) You must have an elected Board of Directors.
(d) Your by-laws must require the Board of Directors to include representatives of each RO or RC involved in establishing the corporation.
(e) Your voting members must be residents of the development or developments you manage. (f) You must be approved by the RC. If there is no organized resident organization, a majority of the households of the development must approve the establishment of your organization to determine the feasibility of establishing a corporation to manage the development.
(g) You may serve as either an RMC or RC, so long as your corporation meets the requirements of 24 CFR part 964 for a RC. (In the case of a RMC for an Indian tribe or TDHE, you may serve as both the RMC and the RO, so long as your corporation meets the requirements of this program for a RO.)
(3) You can only submit one application per award period. A PHA and its eligible resident groups, and an Indian tribe and its TDHE may apply during the same award period as long as there is no conflict or overlap in your proposed activities. You are eligible to apply to receive technical assistance even if you are already receiving technical assistance under this program, as long as your request creates no scheduling conflict with other DETAP requests. If HUD initiates TA with your organization, you may not receive more than one type of technical assistance concurrently unless HUD, in consultation with your organization, determines that the TA will not negatively affect the quality of the DETAP.
(4) You are eligible to apply to receive technical assistance whether or not you are already receiving drug elimination funds under the Public and Indian Housing Drug Elimination Program.
(5) You must comply with the laws, regulations, and Executive Orders applicable to the Drug Elimination TA Program, including applicable civil rights laws.
(C)
(a) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs that are unable to document their drug and/or crime problems through crime statistics;
(b) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs that do not have the expertise to develop effective drug and crime prevention programs;
(c) Housing authorities that need assistance in using the PHDEP Semi-Annual Performance Reporting System to evaluate their program.
(d) Housing Authorities that need assistance in developing performance indicators; Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs that need assistance in developing evaluation mechanisms for drug elimination programs and strategies.
(e) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs with special circumstances whose needs fit under the scope of this program section of the SuperNOFA.
(2)
(b) Any activity that is funded under any other HUD program, including TA and training for the incorporation of RCs or RMCs, and other management activities;
(c) Any type of resident or PHA staff member training and technical assistance that does not relate to crime, drug reduction/elimination, risk management or technical assistance to improve the overall administration and management of PHDEP grants and performance goals;
(d) Salary or fees to your staff, or your former staff within a year of their employment;
(e) Underwriting conferences;
(f) Grant Writing Training and Funding Research/Development;
(g) Graffiti Removal/Prevention;
(h) Resident Patrols;
(i) Peer Support;
(j) Alternative Programs;
(k) Leadership Training for Resident Organizations;
(l) Conference speakers;
(m) Program implementation, proposal writing, financial support for existing programs, or efforts requiring more than 30 billable days of technical assistance over a 90 day period or assistance that will require more than 90 days to complete; the purchase of hardware or equipment, or any activities deemed ineligible in the Drug Elimination Program, excluding consultant's fees.
Except as stated below in this section, you must meet the requirements listed
(A)
(1) Applications for short-term technical assistance may be funded up to $15,000, with HUD providing payment directly to your authorized consultant for the consultant's fee, travel, room and board, and other approved costs at the government rate approved by HUD.
(2) Technical assistance initiated by HUD may be for any amount up to $25,000 when HUD staff determine that more than 30 billable days of technical assistance over a 90-day period is justified.
(B)
(C)
(D)
(1) To qualify as an eligible consultant, you should have demonstrated knowledge and specialized experience in one or more of the following general areas:
(a) PHA/Indian tribe or TDHE-related experience with: (i) Agency organization and management;
(ii) Facility operations;
(iii) Strategic plan development, and
(iv) Prevention and intervention programs;
(b) Experience as an independent consultant, or as a consultant working with a firm with related experience and understanding of on-site work requirements, contractual, reporting and billing requirements;
(c) Crisis Intervention/Mediation;
(d) Defensible Space/Crime Prevention through Environmental Design Guidance on the development of Five-year PHA Plans;
(e) Assistance in the development or evaluation of PHDEP performance indicators for each PHDEP activity;
(f) Tools and techniques for gathering crime statistics;
(g) Crime mapping;
(h) Technology Assessments: Determination of how computer software and hardware may be used to improve grant administration (e.g. establishment of a crime statistics database; Training on Best Practices (e.g. Peacemakers/Building Tolerance and Youth Violence Prevention, Wellness Training, Development and Implementation of Kobans, Development of Gun-Buyback programs);
(i) Establishment of Partnerships with Law enforcement partnerships;
(j) Drafting memoranda of understanding with partners;
(k) Translation of the strategic plan components into measurable and attainable goals for the PHDEP Semi-Annual Performance Reporting System;
(l) Plan versus Performance Assessments;
(m) Internet-based computer training as it specifically relates to the administration of the PHDEP.
(2) Additional requirements for consultants include the following:
(a) In addition to the conflict of interest requirements in 24 CFR part 85, no person who is an employee, agent, officer, or appointed official of an eligible applicant may be funded as a consultant to that organization by this Drug Elimination Technical Assistance Program.
(b) If you are a consultant who wishes to provide drug elimination technical assistance services through this program, you must not have had any involvement in the preparation or submission of any DETAP proposal. Your involvement will be considered a conflict of interest, making you ineligible for providing consulting services to the eligible applicant and will disqualify you from future consideration. This prohibition shall also be invoked for preparing and distributing prepared generic or sample applications to entities eligible to apply for funding under this program. If HUD determines that any application submitted by a PHA, Indian tribe or TDHE, RC, RO or RMC duplicates a sufficient amount of any prepared sample to raise issues of possible conflict of interest, and HUD determines you provided and distributed the sample, you will be disqualified from receiving HUD funds.
(c) Consultants accepted into the DETAP are prohibited from soliciting their services to eligible applicants.
(d) HUD-registered consultants are eligible to receive funds to be reimbursed for up to $15,000 for conducting short-term technical assistance. Long-term results are expected from each job. After your work is completed, evaluations from recipients of the technical assistance services will be submitted to HUD on your work performance. The evaluations will be carefully reviewed to make sure the recipients of TA are satisfied with your services. If your performance receives a satisfactory rating, you will be reimbursed by HUD. In extreme cases of technical assistance needs, staff members of HUD Headquarters and field offices may recommend specialized technical assistance for which you can receive up to $25,000 in funds.
You may not have any more than two contracts or purchase orders at one time nor be involved with more than one company at a time that has active technical assistance contracts. You may not have any more than four contracts or purchase orders within the calendar year. If you are working as a member of a multi-person firm, the key individual for the specific contract must be listed on each contract as the point of contact. The point of contact must be on-site more hours than any other contracted staff billing to the purchase order, and that individual may have no more than two purchase orders active at the same time.
(E)
(F)
(a) The Consultant Resource Inventory Questionnaire, including at least three written references, all related to the
(b) A resume;
(c) Documented evidence of the standard daily fee previously paid to you for technical assistance services similar to eligible activities under this DETAP. If you can justify up to the equivalent of $462.00 per day, your evidence must include an accountant's statement, W-2 Wage Statements, or payment statements, supplemented with a signed statement or other evidence from the employer of days worked in the course of the particular project (for a payment statement) or the tax year (for a W-2 Statement).
(2) HUD will determine your specific fee based upon the evidence you submitted under this DETAP.
(3) If you are an employee of a housing agency (HA), Indian tribe, or TDHE, you may not serve as a consultant to your employer. If you serve as a consultant to other than your employer, you must be on annual leave to receive the consultant fee.
(i) Applicants are prohibited from selecting consultants by name from HUD's consultant database.
(ii) Consultants will be recommended to an organization seeking TA, based on factors including previous experience, reasonableness of the fee, and geographic proximity to the site where TA will be provided. Section V of this DETAP section of this SuperNOFA explains this further.
(A)
(B)
If you are requesting TA services, you must meet the following requirements:
(1) The applicant must answer the following questions: Note: You cannot request technical assistance under DETAP by answering “to conduct a needs assessment or survey.” You must be able to discuss what prevents you from identifying, describing, and/or measuring the problems for which you are requesting technical assistance.
(a) Describe in detail the problem, issue or weakness that hinders the proper administration or effectiveness of PHDEP.
(b) Identify what technical assistance you would like to receive.
(c) Explain how the technical assistance sought will improve the administration of the grant or the effectiveness of the PHDEP grant program.
(d) Describe how the technical assistance will be used in assisting you in strategic planning. You may wish to address any or all of the following:
(i) Establishment of a framework for annual program evaluation of PHDEP activities;
(ii) Scheduling data collection for evaluation;
(iii) Identification of appropriate performance indicators, interpretation of results of data collection;
(iv) Improving data collection and data elements;
(v) Guidance on the development of your 5-year plan;
(vi) Preparation assistance meeting your PHDEP semiannual performance reporting requirements; or
(vii) Crime mapping and identification of appropriate hardware and software.
(e) Specify what outcome you expect to achieve and how it will benefit PHDEP over the next five years.
(f) How will the proposed assistance allow you to develop an anti-drug, anti-crime strategy; or how will the proposed assistance fit into your current strategy?
(g) The application must include the form, “HUD Field Office/AONAP Confirmation Form.”
(h) If your application does not meet the requirements described above it will not be considered for funding.
(C)
(2) Only one application will be accepted from an HA, Indian tribe or TDHE; or group of RCs, ROs or RMCs in proximity to one another. HUD may exercise its discretion to consider any two or more applications as one, assuming that the applications are received at the same time, or before approval by the Office of Finance and Accounting and the Office of Procurement and Contracts, executing the contract, and providing notification to the consultant to proceed to work. If two or more applications from HAs or resident groups are combined, the consultant to provide the combined technical assistance should have the capability to administer both or all types of technical assistance being requested by each applicant.
(3) Once your application for TA has been reviewed and found acceptable by HUD, the TA Consultant Database will be searched for consultants who have:
(a) A principal place of business or residence located within the same geographic area as the applicant. For purposes of this program section of the SuperNOFA, the term “geographic area” refers to, in order of priority: city, state, region, and country;
(b) The requisite knowledge, skills, and abilities to respond to the request ; and
(c) The most reasonable (least expensive) fees.
(4) HUD will then forward to you a list of suggested consultants from the consultant database. From this list, you must select a consultant to provide your requested TA.
(5)(a) From the list provided by HUD, you must contact three TA consultants. HUD may request confirmation from each contacted consultant that they were contacted. If HUD determines that any consultant was not contacted, HUD (Headquarters) may consider your selection by the applicant void, and can choose a consultant for you.
(b) After contacting each consultant, you must send a written justification for your recommended selection in order preference. If any are unacceptable, you must also indicate the consultant and the reasons you find them unacceptable.
(c) If you find that all referred consultants lack the requisite expertise, you must provide written detailed documentation justifying this decision. If HUD determines that your justification is adequate, you will be provided with a second list of potential consultants.
(d) If you do not provide HUD the written justification of consultant choice within 30 calendar days, HUD reserves the right to cancel your TA request.
(6)(a) HUD or its agent will work with your selected consultant and you to develop a “statement of work.” The statement of work should include:
(i) A time line and estimated budget;
(ii) A discussion of the kind of technical assistance and skills needed to address the problem, and how the technical assistance requested will address these needs; and
(iii) A description of the current crime and drug elimination strategy, and how the requested technical assistance will
(b)(i) When HUD has completed the authorization to begin work, your selected consultant will be contacted to start work. Your consultant must receive written authorization from HUD or its authorized agent before beginning to provide technical assistance. The requesting organization and the relevant Field Office or Area Office of Office of Native American Programs will also be notified that authorization to begin work has been given.
(ii) Work begun before the authorized date will be considered unauthorized and will not be compensated by HUD.
(iii) Consultants will only be reimbursed for a maximum of 30 days of work, which must be completed in fewer than 90 days from the date of the approved statement of work. The exception to this will be for HUD-Initiated technical assistance.
(A)
(B)
(1) Applications must be signed and certified by both the Executive Director or Tribal Council or authorized TDHE official and a resident leader.
(2) The certification must indicate that:
(a) A copy of the application was sent to the local HUD Field Office, Public Housing Directors, or Administrator, Office of Native American Programs;
(b) The application was reviewed by both the housing authority Executive Director or Tribal Council or authorized TDHE official, and a resident leader of your organization; and
(c) Any technical assistance received will be used in compliance with all requirements in the SuperNOFA.
(3) The application must contain a four page (or fewer) application letter responding to each of the requirements listed in Section V(B) of the DETAP section of the SuperNOFA.
The
In accordance with 24 CFR 50.19(b)(9), the assistance provided under this program relates only to the provision of technical assistance and therefore is categorically excluded from the requirements of the National Environmental Policy Act and is not subject to environmental review under the related laws and authorities. This determination is based on the ineligibility of real property acquisition, construction, rehabilitation, conversion, leasing, or repair for HUD assistance under this program.
The FY 2000 HUD Appropriations Act under the heading, “Drug Elimination Grants for Low-Income Housing.”
SOUTHWEST REGION
The non-standard forms, which follow, are required for your DETAP application.
Approximately $1.140 million.
None.
If you are interested in applying for the Public Housing Drug Elimination Technical Assistance for Safety and Security Grants, please review carefully the General Section of this SuperNOFA and the following additional information.
See the
(A)
The amount allocated for each Public and Indian Housing Drug Elimination Technical Assistance for Safety and Security grant is as follows:
For the Public Housing Authority and Public Housing Police Department Technical Assistance for Safety and Security grant approximately $380,000 is available for the base year.
(2) For the Public Housing Resident Patrol Technical Assistance for Safety and Security grant approximately $380,000 is available for the base year.
(3) For the Public and Indian Housing Crime Prevention through Environmental Design and Youth Violence Prevention Initiatives Technical Assistance for Safety and Security grant approximately $380,000 is available for the base year.
The funding for these three grants through a single funding availability announcement will not affect the ability of eligible applicants to seek DETASS funding. Eligible applicants are able to apply for funding under as few as one, and as many as all three, separate DETASS components. It is not HUD's intent to fund a single applicant in all three categories; however, if there are no other qualified candidates in a category and a single applicant has already been selected in two categories then HUD reserves the right to fund the single applicant in all three categories.
(B)
HUD will judge performance based upon your ability to provide technical assistance on time and within budget and to produce tangible results in the community as a result of the technical assistance efforts such as reductions in crime rates or incidents of vandalism, the number of community patrols initiated. HUD reserves the right to not provide additional funding based upon a determination of poor performance by the TA provider in delivering TA services. Funding amounts per annual renewals may be increased or decreased subject to tasking levels and availability of funding.
(A)
(1)
(a) Facilitate effective relationships between the public housing and law enforcement communities and improve law enforcement service delivery;
(b) Create law enforcement service agreements between housing authorities and local government;
(c) Increase use of Geographic Information Systems to enhance law enforcement and safety and security efforts by Public Housing Authorities and local police Departments; and
(d) Assist Public Housing Authorities, Police Departments, Resident Councils and Resident Management Organizations to assess community safety and security needs based upon analyses of crime data and statistics, location of crime and drug activity and concerns of public housing residents.
(e) Provide community base police training and technical assistance.
(2)
(3)
(a) Increase their knowledge of how environmental design effects safety and security and can be used to reduce incidents of criminal activity, vandalism and drug trafficking;
(b) Assess the impacts of environmental design techniques in creating a sense of community at public housing developments;
(c) Increase their knowledge of effective youth violence prevention and abatement strategies and work with the community to undertake youth violence prevention and abatement strategies.
(B)
A consortia of organizations may apply for one or more DETASS components, but HUD will require that one organization be designated as the legal (lead) applicant.
All eligible TA providers may propose assistance using in-house staff, consultants, sub-contractors and sub-recipients, networks of private consultants and/or local organizations with requisite experience and capabilities. Whenever possible, applicants should have a cadre of resources either on staff or through these networks, available throughout the country so that resources can be effectively deployed in a most cost efficient manner and which are familiar with local issues and opportunities.
All applicants must meet the threshold requirements for each component under which they are seeking funds and the threshold requirements in Section II(B) of the
(C)
(a) Technical assistance to enhance the effective use of security personnel, security guards, housing authority police, local law enforcement agencies who are provided services to the housing authority and residents over and above those normally provided to the public housing community to achieve DETASS goals and objectives;
(b) Technical assistance and training on geographic mapping software, analysis of local geographic mapping systems and how it can be used in conjunction with other state or local crime and drug data bases to assist the public housing authority, local police department, Resident Management organization or Resident Council, local community leaders and elected officials, youth leaders and violence prevention organizations to use the existing data and map where drug and crime activity is occurring in the community, as well as what resources are available in the community to address these incidents.
(c) Analysis and use of drug related crime and drug trafficking or use statistics to increase the effectiveness of anti-drug and security related efforts of the public housing community; Technical Assistance improve communications between the public housing community and local law enforcement officials and community leaders;
(d) Technical assistance for the creation and improvement of tenant patrols and community watch programs
(e) Training programs for public housing staff and management, Resident Management Organizations, Resident Councils, Youth leaders, or local law enforcement officials, state and local agency officials, non-profit organizations engaged in work to reduce crime, drug use or youth violence, in HUD's anti-drug programs, environmental design, resident organization, community policing, and other tools that can be used to increase the safety and security of public housing residents;
(f) Training programs for youth leaders, non-profit organizations working with youth to stem the violence, channel youth gangs to productive, non-violent activities which are designed to increase self-esteem, reduce community tensions and increase a sense of belonging to and giving back to community for youth living in or adjacent to public housing;
(g) Providing training and technical assistance to work with local school officials and teachers to develop after school and in-school programs, including technology based programs to channel violent youth into more productive lives by training them for future careers in the information technology (IT) industry; and
(h) Providing related technical assistance and training at the direction of the HUD GTR.
(2)
(a) Assisting public housing agencies in the implementation and use of a computerized mapping system to track drug use and criminal activity in and around the public housing community to assist public housing security and local police in their efforts to combat drug and drug-related crime;
(b) Assisting local police departments in the use of crime mapping software to improve law enforcement strategies to combat drug use, trafficking and criminal activity in and around the public housing community;
(c) Assisting local police departments and members of the public housing community in assessing mapping software to determine the best product available that is compatible with their existing systems and their anticipated needs; and
(d) Facilitating law enforcement service agreements between housing authorities and local government and provide technical assistance for program implementation.
(e) Providing community base police training and technical assistance.
(3)
(a) Instituting and implementing resident patrols and neighborhood watch and safety and security programs in public housing communities by providing technical assistance training and services to public housing authorities, residents, Resident Management Organizations, Resident Councils, Indian Tribes and Tribally Designated Housing Entities to:
(b) Assisting housing authority staff and residents in understanding the concept, organizational requirements to implement Resident Patrols;
(c) Assisting resident organizations in preparing a tenant patrol strategy, methods for recruiting members, training patrol members in how to handle themselves while on patrol and basic tips and techniques for members of the patrol, identifying funding sources for patrol administration and operations and ensuring that there will be the opportunity for diversity among the members of the resident patrols representative of the diversity of residents living at the housing sites;
(d) Preparing training and informational materials (such as brochures, fact sheets, manuals, videotapes) to explain the concept of Resident Patrols, organizational requirements, roles and responsibilities of various member of the community to achieve a successful resident patrol or neighborhood watch program;
(e) Preparing a training manual on how to establish and operate a resident patrol which includes such topics as:
(xiii) Impact/process evaluation.
(e) Providing training and technical assistance to improve and coordinate the administration of a Resident Patrol, or Neighborhood Watch and Safety and Security Program by resident groups, housing authorities, and police departments;
(f) Providing a number of technical assistance and training packages and materials to Housing Authority and residents interested in developing or improving their patrols.
(g) Designing and develop an evaluation methodology that can be employed by the housing authority community to measure their progress in combating drugs and crime after implementing resident patrols or neighborhood watch programs and in coordinating activities with local law enforcement agencies.
(h) Providing related technical assistance and training at the direction of the HUD GTR.
(4)
(a) Helping public housing authorities, Resident Management Organizations, Resident Councils, Indian Tribes and Tribally Designated Housing Entities, to prepare strategies and plans which incorporate environmental design for crime prevention in their public housing neighborhoods and communities. CPTED include plans for the redesign, renovation, or rehabilitation of existing housing, community facilities, including, but not limited to, neighborhood centers, sidewalks, streets, parks, playgrounds, which may contribute to instances of crime; and
(b) Providing technical assistance services and training to public housing authorities, Resident Management Organizations, Resident Councils, Indian Tribes and Tribally Designated Housing Entities, and non-profit organizations dealing with youth violence prevention and mitigation; youth leaders, educators and others on effective ways to address, prevent and mitigate youth violence, including ways CPTED can be a tool in addressing youth violence issues.
(D)
(1) Developing your application;
(2) Construction of security systems, barriers, hiring of security personnel or guards or other hard construction costs or related items that are eligible for assistance and could be paid for with formula grant funds under the Public Housing Drug Elimination Grant Program.
(3) Consortia of eligible applicants may not apply for this grant unless it establishes one legal lead applicant.
(4) Salary or fees to your staff, or your former staff within a year of their your employment.
(5) An organization selected for funding may not provide technical assistance to itself.
In addition to the program requirements listed in the
(A)
(2) If selected as the lead DETASS provider, the HUD GTR, as an awardee you may be asked by the HUD GTR or Director of the Drug Elimination Grant Program in HUD Headquarter's Washington, DC, to coordinate the activities of other DETASS providers selected under this DETASS section of the SuperNOFA. When directed by any of the above persons, joint activities by DETASS providers may be required.
(3) Under the demand/response system, as directed, DETASS providers will be required to:
(a) Market the availability of their services to existing and potential public housing authorities, police departments and Indian tribes nationwide.
(b) Respond to requests for assistance from the HUD GTR with oversight of the geographic service area for which the technical assistance will be delivered on a first come first serve basis, including responding to priorities established by the HUD GTR.
(c) Conduct a Needs Assessment to identify the type and nature of the assistance needed by the recipients of the assistance. These needs assessments should typically identify the nature of the problem to be addressed by the technical assistance services; the plan of action to address the need including the type of technical assistance services to be provided, the duration of the service, the staff assigned to provide the assistance, anticipated products and/or outcomes, and the estimated cost for the provision of services; and the relationship of the proposed services to the HUD-wide objectives of the Annual Performance Plan and Business Operating Plan;
(d) Address new issues or techniques that can be used to reduce drug use or drug related crime in public housing developments.
(B)
(2) Your nationwide plan must conform to the provisions of the Business Operating Plan (BOP). You may use these BOP/management strategies/workplans in determining your priority work activities, location of activities, and organizations to be assisted during the cooperative agreement performance period.
(3) Your plan must delineate all the tasks and sub-tasks you will undertake nationally. It must show how the grant performance will improve other results expected from the DETASS, and the methodology to be used for measuring the success of the DETASS. A time schedule for delivery of the activities, budget-by-task and staffing plan must be included in the technical assistance delivery plan.
(C)
(D)
(2) Costs for participant travel, per diem and miscellaneous expenses to attend or when attending a DETASS training session are ineligible costs.
(E)
(F)
(G)
(H)
(A)
Applications will be funded in rank order for each DETASS component. In the event of a tie, HUD will select the highest ranking application that can be fully funded. In the event that two or more eligible applications receive the same score, and both cannot be funded because of insufficient funds, the applicant with the highest score in rating factor one will be funded. If rating factor one is scored identically, the scores in rating factors two, three, four and five will be used in that order, until one of the applications receives a higher score. If both applications still score the same then the application which requests the least funding will be
(B)
This factor addresses the extent to which your organization and the staff assigned to your DETASS activities has the skills and experience to successfully implement your proposed activities. In rating this factor, HUD will consider the extent to which your application demonstrates in relation to the DETASS activities you are seeking funds that your organization and staff have:
(1)
In rating this factor, HUD will consider experience within the last five years to be recent; experience pertaining to the specific component and activities being proposed to be relevant. You should clearly specify the staff assigned to the TA component, their years of experience and provide a listing of similar or related experiences that they have undertaken in the recent past, providing dates for each experience. When describing your organization's experience you should also describe the work activity, when it occurred who the project manager was, and if any of the staff on that project will be assigned to this project.
(a) For the Public Housing Authority and Public Housing Police Department Technical Assistance component, an applicant must demonstrate that they have sufficient capacity and technical expertise to:
(i) Serve a population of 500,000 or more;
(ii) Conduct law enforcement assessments in cities of a population 500,000 or more;
(iii) Conduct law enforcement assessments of public housing police departments and the private sector;
(iv) Design, develop and deliver training and technical assistance programs for law enforcement agencies, to include community policing and related training in public housing and the private sector;
(v) Develop and implement law enforcement policies, procedures and manuals, personnel management systems, fiscal tracking systems, dispatch systems, records management, patrol strategy and crime prevention programs in public housing and the private sector;
(vi) Manage the accreditation and re-accreditation process of law enforcement agencies in public housing and private sector;
(viii) Develop and implement law enforcement policies, procedures and manuals and other endemic systems to public housing agencies, public housing law enforcement agencies, and municipal law enforcement agencies;
(ix) Develop technical and physical security systems in public housing and the private sector;
(x) Develop security guard plans in public housing and the private sector;
(xi) Work with Federal, State and local law enforcement agencies;
(xii) Evaluate Public Housing Drug Elimination Program grants for both programmatic effectiveness and efficiency as well as administrative compliance;
(xiii) Conduct security assessments of troubled PHAs; and
(x) Develop or manage law enforcement computerized systems, such as, Community 2020-HUD Community Planning Software (C2020), other Geographic Information Systems (GIS), Networking, Software development, police records management systems, interdepartmental communications systems, and mainframe/PC Systems support.
(b) For the Public Housing Resident Patrol Technical Assistance component, an applicant must demonstrate experience in managing projects of similar type and scope, including proven ability to manage the performance of complex multi-site projects within time and resource limits, the required technical expertise and have had the following law enforcement experiences:
(i) Conducted law enforcement or security assessments in cities with a population of 500,000 or more;
(ii) Had experience in design, development, and delivered training and technical assistance for public housing resident patrol programs, and community crime reduction teams;
(iii) Provided technical assistance to troubled and/or near troubled PHAs;
(iv) Completed multi-security assessments as a single tasking;
(v) Developed and implemented policies, procedures and manuals for resident groups and PHAs;
(vi) Developed and implemented crime prevention programs in public housing;
(vii) Developed technical and physical security systems in public housing;
(viii) Worked with Federal, State and local law enforcement agencies;
(ix) Evaluated Public Housing Drug Elimination Program grants for programmatic effectiveness and efficiency as well as administrative; and
(x) Evaluated crime patterns for adults and juveniles.
(c) For the Public and Indian Housing Crime Prevention through Environmental Design and Youth Violence Prevention Technical Assistance for Safety and Security component, an applicant must demonstrate extensive executive and managerial experience in CPTED concepts and implementation, or possession of like experience in youth violence prevention and training.
(i) For CPTED TA, the applicant must have the skills and knowledge in CPTED, particularly as it has been used in areas of high density populations, areas experiencing youth violence, drug activities and other crime;
(ii) For CPTED TA, the applicant must have developed CPTED assessments in a variety of PHA communities ranging from rural areas to large urban population centers of 500,000 or more.
(iii) For CPTED TA, the applicant must have skills and recent experience in designing methodologies to assess the impacts of CPTED in modifying behavior patterns among youth and residents to create a greater sense of community and reduce violence and criminal and drug activity;
(iv) For CPTED TA, the applicant must have designed and implemented CPTED programs in public housing agencies, to include troubled public housing agencies.
(2)
(3)
(4)
In rating this factor, HUD will consider the extent to which your application:
(1)
(2)
This factor addresses the quality and effectiveness of your proposed work plan and the DETASS component for which you are seeking funding. There must be a relationship between the proposed activities, the community's needs and the purpose of the TA. In rating this factor, HUD will consider the impact of the activity on the target population identified in your application.
In evaluating this factor, HUD will consider the extent to which your proposed work plan:
(1)
(a) A sound work plan under the Public and Indian Housing Crime Prevention through Environmental Design Technical Assistance must include the following activities:
(i) Providing training and technical assistance services on CPTED techniques and strategies, including identification of designs which best stem criminal activity as opposed to designs which support or create opportunities for criminal or violent behavior;
(ii) Identifying funding resources to implement CPTED in public housing, particularly funding options for Indian Tribes and Tribally Designated Housing Entities;
(iii) Preparing case studies, manuals, illustrations explaining elements of CPTED, and similar activities, which can be used by public housing authorities, Resident Management Organizations, Resident Councils, Tribes and Tribally Designated Housing Entities, Youth Violence Prevention and Abatement Organizations and others as design guides to create housing and neighborhoods which feature CPTED.
(iv) Preparing of case studies which illustrate the successful combination of CPTED elements and other crime prevention activities such as resident patrols, and community policing; in public housing and low-income communities and neighborhoods to reduce criminal activity;
(v) Conducting site visits or creating opportunities for TA recipients to meet one-on-one with expert advisors to review and discuss specific plans and to obtain technical assistance on specific design and implementation plans;
(vi) Creating an impact/process evaluation instrument to assist housing authorities in tracking outcome measures for their CPTED strategies;
(vii) Creating assessment instruments that allow public housing authorities, Resident Management Organizations, Resident Councils, Tribes and Tribally Designated Housing Entities, Youth Violence Prevention and Abatement Organizations and others to do their own CPTED assessment to determine what areas in the community or development would benefit from CPTED treatment;
(viii) Creating cost calculation sheets that would allow public housing authorities, Resident Management Organizations, Resident Councils, Tribes and Tribally Designated Housing Entities, Youth Violence Prevention and Abatement Organizations and others to do their own estimations of what it would cost to implement CPTED design changes.
(b) A sound work plan under the Public and Indian Housing Youth Violence Prevention Technical Assistance must include the following activity: implementing a methodology to modify behavior patterns among youth and residents to create a greater sense of community and reduce violence and criminal and drug activity.
(2)
(3)
(4)
This factor addresses your ability to secure community public and private resources, which can be combined with HUD program resources to achieve the purposes of the DETASS component for which you are seeking funds and to improve the effectiveness of your proposed program of technical assistance activities. In evaluating this factor, HUD will consider:
The extent to which you have partnered with other entities to secure additional resources to increase the effectiveness of your proposed program of activities will be taken into account in evaluating this factor. HUD will award a higher number of rating points to those that leverage the greater amount of resources. Points under this Rating Factor will be allocated according to the percentage the leverage amount is against the total dollar amount requested. The greater the leverage of resources, the higher number of points you will receive.
Resources may include funding or in-kind contributions such as services or equipment allocated to the purposes of the award you are seeking. The additional resources may be used to assist your organization in providing the TA services or may be directed to target recipients of the technical assistance services to enable them to implement a local program for which the TA was provided. Resources may be provided by government entities, public or private non-profit organizations, or other entities willing to partner with you. You may also partner with other funding recipients to coordinate the use of resources in the target area.
To receive points for this factor you show evidence of the partner's participation in your program as evidenced by your work activities with the partner as described in your work plan submitted in response to Rating Factor 3 above; the budget you have provided must also reflect the leveraging/partnerships by stipulating the leverage source and the dollar equivalent of the leveraged resources. You must also provide documentation of the commitment by the organization to provide the leveraged resources. Such evidence must be a letter from the organization, individual or entity providing the resources, the name of the entity, the proposed level of commitment and responsibilities that they will undertake as part of the work plan; the dollar value estimated for the proposed in-kind goods or services and/or the actual cash provided. The letter must be signed by an official of the organization legally able to make commitments on behalf of the organization, individual or entity.
If you do not provide the letter documenting the leveraged resources as outlined above, you will receive (0) points for this factor.
This factor addresses the extent to which the applicant coordinated its activities with other known organizations, participates in a Community's Consolidated Planning Process, is aware of the Public Housing Authority's Strategic Plan and Drug Elimination Grant Program goals and objectives, and is working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. In evaluating this factor, HUD will consider the extent to which the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups or organizations prior to submission in order to best complement, support and coordinate all known activities and if funded, the specific steps you will take if funded, to share information on solutions and outcomes with others. Describe any written agreements, memoranda of understanding in place, or that will be in place after award.
(2) Taken or will take steps to work with recipients of technical assistance services to enable them to become actively involved in the local Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) to enable them to bring to the attention of local government officials and others outstanding needs/issues/problems/opportunities related to your achieving the program objectives of your DETASS component.
(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with: Other HUD funded projects/activities outside the scope of those covered by the Consolidated Plan or within the context of the Public Housing Authority's Strategic Plan; and other Federal, State or local government funded activities or activities funded by the private sector, including foundations and universities, that are proposed or on-going in the community that would further the objectives of the DETASS component for which you are requesting funding.
(A)
(2) In addition to the submission requirements listed in Section IV of the
(B)
(1) Standard Form 424, Application for Federal Assistance;
(2) HUD Form 424M, Federal Assistance Funding Matrix;
(3) Standard Form 424A, Summary Budget Information
(4) Standard Form 424B for Assurances Non-Construction Programs
(5) Drug Free Workplace Certification (HUD-50070);
(6) Certification of Payments to Influence Federal Transactions (HUD 50071. If Federal funds were used to lobby on your behalf, you must also submit the Certification and Disclosure Form Regarding Lobbying (SF-LLL);
(7) Applicant/Recipient Disclosure/Up-Date Report (HUD 2880);
(8) Certification Regarding Debarment and Suspension (HUD 2992);
(9) Narrative Statement Responding to the following Factors for Award:
(i) Direct Labor by position or individual, indicating the estimate hours per position, the rate per hour, estimated cost per staff position and the total estimated direct labor cost;
(ii) Fringe benefit by position or individual identifying the rate, the salary base the rate was computed on, estimated cost per position, and the total estimated fringe benefit cost;
(iii) Material costs indicating the item, quantity, unit cost per item, estimated cost per item, and the total estimated material cost;
(iv) Transportation Cost, including the estimated number of trips, number of persons traveling per trip, airline or other travel cost (gasoline costs should be figured on the government per mile rate), per diem rate and total estimated travel costs;
(v) Equipment charges, if any. Equipment charges should identify the type of equipment, quantity, cost, and total estimated equipment costs;
(vi) Consultant costs, if applicable. Indicate the type, estimated number of consultant days, rate per day, total estimated consultant cost and total estimated costs for all consultants;
(vii) Subcontract costs, if applicable. Indicate each individual subcontract and amount;
(viii) Direct costs listed by item, quantity, unit cost, total for each item listed, total other direct costs for the award;
(ix) Indirect costs should indicate the type, approved indirect cost rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for each DETASS component and also the grand total for all DETASS components. The budget dollars should reflect the funding requested on your HUD-424M—Federal Assistance Funding Matrix.
(d) Factor 4—Leveraging Resources including required documentation
(e) Factor 5—Comprehensiveness and Coordination
The General Section of this SuperNOFA provides the procedures for corrections to deficient applications.
In accordance with 24 CFR 50.19(b)(9), the assistance provided under this program relates only to the provision of technical assistance and therefore is categorically excluded from the requirements of the national Environmental Policy Act and is not subject to environmental review under the related laws and authorities. This determination is based on the ineligibility of real property acquisition, construction, rehabilitation, conversion, leasing or repair for HUD assistance under this program.
Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988 (42 USC 11901
If you are interested in applying for funding under this program, please review carefully the General Section of this SuperNOFA and the following additional information.
See the
(A)
(B)
(C)
(2) HUD determines the amount requested for an eligible activity and/or any budget line item is not cost effective;
(3) Insufficient amounts remain under the allocation to fund the full amount you requested, and HUD determines that partial funding is a viable option; or
(4) HUD determines that a reduced grant would prevent duplicative Federal funding.
(A)
Drug-and crime-fighting activities, if only directed to a single assisted housing development, may have the unfortunate effect of simply moving the problem to nearby housing and businesses. The long term solution to the crime problems of assisted housing developments and their surrounding neighborhoods rest in a comprehensive approach that changes the conditions—and the culture that exists. HUD believes that crime fighting efforts are most effective when partnering takes place with law-enforcement agencies at various levels and with a full range of
(a) Have a subgrantee or subrecipient relationship with the local police department and the local district attorney or prosecutor's office. If the local police department, local district attorney or prosecutor's office does not have the legal authority to accept program funds or enter into a binding agreement with you, then you must provide funds through the unit of general local government—city or county.
(b) Enter into partnerships with the owners of, and resident organizations in, assisted housing developments that receive grant funds from you.
Multifamily housing developments that may lack the ability to oversee grant functions may delegate this task to a public housing authority or TDHE by making them a “fiduciary agent”, by signed agreement, which must be part of the application.
(c) Encourage other neighborhood based entities to participate in your program of activities through partnership arrangements. Such entities are community residents; neighborhood businesses; and non-profit providers of support services, including faith-based organizations and their affiliates.
(2)
(a)
(b)
(i) Owners of assisted housing developments in the targeted neighborhood, and
(ii) Resident organizations of these assisted housing developments.
(c)
(i) A HUD-insured, held, or direct mortgage and Rental Assistance Payments (RAP), Rent Supplement, or interest reduction payments, or
(ii) Section 8 project-based assistance with or without HUD interest in the project mortgage.
This emphasis on HUD assisted privately-owned housing does not negate the eligibility of other low-income housing developments assisted by Federal, State, and local government, and not-for-profit sources to apply for the New Approach Anti-Drug Program. By awarding points for neighborhoods with high concentrations of assisted housing, HUD is encouraging you to address the needs of multiple assisted housing developments which may consist of a mix of ownership types and subsidy sources.
(d)
(e)
(f)
(ii) There is no funding associated with SNAP, which relies on existing ideas and resources of the participants. Some common initiatives from these SNAP teams have included the following: community policing, crime watch programs, tenant selection policies, leadership training, individual development or job skills training, expansion of youth activities, police tip line or form, community centers, anti-gang initiatives, police training for security officers, environmental improvements, and a needs assessment survey to determine community needs.
(iii) In addition, a HUD-sponsored initiative to increase the presence of AmeriCorps' Volunteers in Service to America (VISTAs) in assisted housing units has led to the placement of 25 VISTAs on 12 SNAP teams. The AmeriCorps VISTA program, which incorporates a theme of working within the community to find solutions to
(iv) The cities participating in the SNAP initiative include: Atlanta, GA; Boston, Mass; Denver, CO; Houston, TX; Newark, NJ; Philadelphia, PA; Baltimore, MD; Columbus, OH; Detroit, MI; Los Angeles, CA; New Orleans, LA; Little Rock and North Little Rock, AR; Richmond, VA; and Washington, DC.
(v) For more information on SNAP, contact Henry Colonna, National SNAP Coordinator, Virginia State Office, 3600 West Broad Street, Richmond, VA 23230-4920; telephone (804) 278-4500, extension 3027; or (804) 278-4501 (TTY). For more information on AmeriCorps' VISTAs in Assisted Housing, contact Deanna E. Beaudoin, National VISTAs in Assisted Housing Coordinator, Colorado State Office, First Interstate Tower North, 633 17th Street, Denver, CO 80202; telephone (303) 672-5291, extension 1068; or (303) 672-5248 (TTY). These numbers are not toll-free.
(3)
(i) Section 221(d)(3), section 221(d)(4), or section 236 of the National Housing Act (12 U.S.C. 1715l, 1715z-1), provided that such development has been provided a Below Market Interest Rate mortgage, interest reduction payments, or project-based assistance under Rent Supplement, Rental Assistance Payments (RAP) or Section 8 programs. An FHA-insured project that has no project-based subsidy does not qualify as an assisted housing unit for eligibility even if it houses tenants receiving tenant-based assistance, such as Section 8 rental vouchers or certificates.
(ii) Section 101 of the Housing and Urban Development Act of 1965 (12 U.S.C. 1701s); or
(iii) Section 8 of the United States Housing Act of 1937 (42 U.S.C. 1437f). This includes housing with project-based Section 8 assistance, whether or not the mortgage was insured by HUD-FHA. This does not include projects which receive only Section 8 tenant-based assistance (i.e., certificates or vouchers).
(B)
(ii) The owner of an assisted housing development that is assisted by a non-Federal governmental entity or similar housing development supported by nonprofit sources. If you are a unit of general local government, you do not need to be the owner, but must be the operator of such housing;
(iii) PHAs, TDHEs, and Indian tribes are eligible applicants if they own a development with project-based Section 8 assistance, as defined in the U.S. Housing Act of 1937, and that development is included in the proposed plan and is located in the “project area” targeted to receive grant funds. If you do not own such an assisted housing development, you may still participate in the New Approach Anti-Drug Program as a subgrantee or subrecipient of an eligible applicant; or
(b) The development that makes you eligible must be in the neighborhood to be assisted; and
(c) You may not have any outstanding findings of civil rights violations. (See Section II(B) of the
(2)
(C)
(1)
(a) You MUST sign a MOU that provides funds through a subgrantee or subrecipient relationship with the following two entities:
(i) The local police department; and
(ii) The local the local prosecutor's office (district attorney).
(b) The two parties signing the MOU must have the legal authority to enter into a binding agreement with you. These two entities must have jurisdiction in your project area
(2)
(a) The level of current services (baseline) being provided by these entities;
(b) The level of services above this baseline which the entities are committed to providing in support of your grant;
(c) The amount of time to be devoted to the activities by each party;
(d) The skills each party brings to assist in implementation of your specific action plan activities.
Your MOU will be taken into account in reviewing and rating your application, so you should strive to be as specific as possible in your MOU document.
(3)
(D)
(2) The project area must include at least one assisted housing development. See definition in Section III(A)(1) of this program section of the SuperNOFA.
(3) You must provide documentation of the population used to define eligibility as a neighborhood. The documentation may include census data or documentation provided by local government officials or by HUD's Community 2020 program, available by calling 1-800-998-9999, (there may be a charge to you for this information).
(E)
(a)
(b)
(c)
HUD is strongly encouraging that additional law enforcement in the assisted housing developments and surrounding neighborhoods be targeted to implementing an overall proactive crime fighting strategy, rather than merely responding to crime emergencies. Two potentially effective anti-crime strategies that can benefit from additional police presence are:
(i) Combined multi-agency task force initiatives, in which local and Federal law enforcement agencies pool resources, first, to infiltrate organizations that promote violent and/or drug-related crime in the neighborhood and, second, to initiate strategic and coordinated mass arrests to break up these organizations; and
(ii) Community policing (
If reimbursement is provided for community policing activities that are committed to occur over a period of at least 3 years and/or are conducted from a police substation or administration within the neighborhood, the costs during the grant period of constructing such a station or of equipping the substation with communications and security equipment to improve the collection, analysis and use of information about criminal activities in the properties and the neighborhood may be reimbursed.
(d)
(ii) You may only contract with a security service provider that has a policy manual that directs the activities of its personnel and contains the policies, procedures, and general orders that regulate conduct and describe in detail how jobs are to be performed. If you use your own staff to provide security services, then you must have such a policy manual.
(2)
(b)
(3)
(a) New construction or rehabilitation of structures housing police substations or mini-stations;
(b) Installation of barriers (including speed bumps and fences) and appropriate use of close circuit television (CCTV), provided any barriers make reasonable accommodations for persons with disabilities;
(c) Improved door or window security such as locks, bolts, or bars;
(d) Landscaping or other reconfiguration of common areas to discourage drug-related criminal activities; and
(e) Establishment of a Neighborhood Networks center and augmenting existing centers. The costs to develop and establish a new Neighborhood Network center must not exceed $25,000 of the grant funds awarded by HUD.
If there is an established Neighborhood Networks center you may include up to $15,000 for the center for further crime prevention activities, such as additional mentoring and/or tutorial education programs, improving job skill programs, home buyer education, and resident participation in law enforcement community outreach activities such as DARE days and the local office of the FBI's Race Against Drugs activities, etc. No grant funds will be approved for expenditure until the local HUD Field Office approves the Neighborhood Network business plan for the Neighborhood Networks center. A sample of the Neighborhood Network business plan may be found on the Neighborhood Networks web page at www.neighborhoodnetworks.org.
(F)
(1) Treatment or intervention activities;
(2) Costs incurred before the effective date of the grant agreement, including but not limited to consultant fees related to the development of your application or the actual writing of your application;
(3) Purchase of controlled substances for any purpose. Controlled substance has the meaning provided in section 102 of the Controlled Substance Act (21 U.S.C. 802);
(4) Compensating informants, including confidential informants. These should be part of the baseline services provided and budgeted by local law enforcement agencies; or
(5) Although participation in activities with Federal drug interdiction or drug enforcement agencies is encouraged, these grant funds may not be transferred to any Federal agency.
In addition, profiling on any prohibited basis is not allowed.
In addition to the program requirements listed in the
(A)
(B)
(C)
(D)
(2) Subgrants may be made only under a written agreement executed between you, the grantee, and your subgrantee. The agreement must include a program budget that is acceptable to you, and that is consistent with the eligible activities and requirements. The agreement must require the subgrantee to permit you to inspect your subgrantee's work and to follow applicable OMB and HUD administrative requirements, audit requirements, and cost principles, including those related to procurement, drawdown of funds for immediate use only, and accounting for the use of grant funds and implementation of program activities. In addition, your subgrant must describe the nature of the activities to be undertaken by the subgrantee, the scope of the subgrantee's authority, and the amount of any insurance to be carried by you and the subgrantee to protect your respective interests.
(3) You are responsible for monitoring, and for providing technical assistance to, any subgrantee to ensure compliance with applicable HUD and OMB requirements. You must also ensure that subgrantees have appropriate insurance liability coverage.
(E)
(F)
(G)
(H)
(I)
(J)
(A)
(1) HUD will evaluate all eligible applications based on the factors for award identified in this Section V.
(2) After the applications have been scored, HUD will rank them on a national basis. An application must receive a score of at least 70 points, excluding the EZ/EC and Dallas bonus points to be eligible for funding. Awards will be made in ranked order until all funds are expended.
(3) In the event of a tie, HUD will select the applicant with the highest score in Rating Factor 1. If Rating Factor 1 is scored identically, the scores in Rating Factors 2, 3 and 4 will be compared in that order, until one of the applications receives a higher score. If both applications still score the same then the application which requests the least funding will be selected to promote the more efficient use of resources.
(B)
This factor addresses the extent to which you have proper organizational resources necessary to successfully implement the proposed New Approach Anti-Drug Program activities in an effective, efficient, and timely manner. In rating this factor, HUD will consider the extent to which the application demonstrates the capabilities described below:
(1) (
(2) (
(a) (
(b) (
(3) (
(a) Identification of the skills each party will bring to help successfully implement your program and the firmness of the commitments;
(b) evidence of your MOU partners' (and project tenants') pre-application role in developing the plan and prospective role in program implementation;
(c) Indications of the capacity of the assisted housing developments' ownership and management (based on available management reviews by governing public entities) to undertake their share of responsibilities in the partnership (including evidence of whether management carefully screens applicants for units and takes appropriate steps to deal with tenants known to exhibit or suspected of exhibiting criminal behavior) and to cooperate with law enforcement actions on their project premises;
(d) The willingness of the unit of general local government to use its prosecutor's office as its lead agency in implementing the grant;
(e) Participation of additional partners other than those required to sign MOUs (for example, neighborhood business organizations); and
(f) The effectiveness of the partnership structure.
This factor addresses the extent to which there is a need for funding your proposed program activities to address the documented degree of the severity of the drug-related crime problem in the project area proposed for funding. Any collection of data should include summaries at the beginning of the data. In responding to this factor, HUD will evaluate the extent to which you have explained a critical level of need for your proposed activities and have indicated the urgency of meeting the need in the target area. You must include a description of the extent and nature of drug-related crime “in and around” the housing units or developments proposed for funding.
To the extent that you can provide objective crime data specific to the community or targeted development proposed for funding, your application is eligible to be awarded up to the full 25 points. If you do not provide documented objective crime data specific to the community or targeted development proposed for funding, your application is only eligible to receive up to 15 points for this factor.
You will be evaluated on the following:
(1) (
(a) Police records or other verifiable information from records on the types or sources of drug related crime in your targeted developments and surrounding area;
(b) The number of lease termination's or evictions for drug-related crime at your targeted developments; and
(c) The number of emergency room admissions for drug use or that result from drug-related crime. Such information may be obtained from police departments and/or fire departments, emergency medical service agencies and hospitals. The number of police calls for service from housing authority developments that include resident initiated calls, officer-initiated calls, domestic violence calls, drug distribution complaints, found drug paraphernalia, gang activity, graffiti that reflects drugs or gang-related activity, vandalism, drug arrests, and abandoned vehicles.
For PHAs, such data should include housing authority police records on the types and sources of drug related crime “in and around” developments as reflected in crime statistics or other supporting data from Federal, State, Tribal or local law enforcement agencies.
If you submit objective data you do not need to submit other crime data. You should include summaries with the objective data that establish the drug related crime problem.
(2) (
(a) Surveys of residents and staff in your targeted developments surveyed on drug-related crime or on-site reviews to determine drug/crime activity; and government or scholarly studies or other research in the past year that analyze drug-related crime activity in the targeted developments.
(b) Vandalism cost at your targeted developments, including elevator vandalism (where appropriate) and other vandalism attributable to drug-related crime.
(c) Information from schools, health service providers, residents and Federal, State, local, and Tribal officials, and the verifiable opinions and observations of individuals having direct knowledge of drug-related crime and the nature and frequency of these problems in developments proposed for assistance. (These individuals may include Federal, State, Tribal, and local government law enforcement officials, resident or community leaders, school officials, community medical officials, substance abuse, treatment (dependency/remission) or counseling professionals, or other social service providers.)
(d) The school dropout rate and level of absenteeism for youth that you can relate to drug-related crime. If crime or other statistics are not available at the development or precinct level, you must use other verifiable, reliable and objective data; and
(e) To the extent that your community's Consolidated Plan identifies the level of the problem and the urgency in meeting the need, references to the Consolidated Plan should be included in your response. HUD will review more favorably those applicants who used the Consolidated Plan to identify need, when applicable.
This factor addresses the quality and anticipated effectiveness of your proposed action plan using grant funds and other resources in taking a comprehensive community-based approach toward the problem of drugs and drug-related crime in the neighborhood identified in your application.
Your application must include an action plan for crime reduction and elimination efforts, describing in detail: the specific activities to be undertaken; the parties responsible for or involved in the activities for each development proposed for assistance; and the dollar amount and extent of resources committed to each activity or service proposed.
In evaluating this factor, HUD will consider the following:
(1) (
(a) The extent to which your proposed activities provide services over the existing baseline of services currently provided to the project area;
(b) The extent to which the activities of the two required MOU entities are comprehensive and, as result of collective actions, will effectively work together. If you provide for a comprehensive approach, you will receive a higher number of rating points. HUD will provide only one-half of the eligible points under this subfactor if your application only includes an MOU with either:
(i) The local law enforcement entity; or
(ii) The local prosecutor (district attorney) with jurisdiction over the neighborhood identified in your application. If you include no MOUs with either party, you will receive zero points.
(c) The extent to which you have partnered with appropriate neighborhood and community stakeholders;
(d) The extent to which the resources allocated and the budget proposed are adequate to conduct the work plan as proposed; and
(e) Your rationale for the proposed activities and methods and why you believe the activities will be effective in reducing drug use and drug-related crime. If you are proposing new methods for which there is limited knowledge of the effectiveness, you should provide the basis for modifying past practices and rationale for why you believe the modification will yield more effective results.
(2) (
(3) Up to two (2) additional points will be awarded to any application submitted by the City of Dallas, Texas, to the extent this subfactor is addressed. Due to an order of the U.S. District Court for the Northern District of Texas, Dallas Division, with respect to any application submitted by the City of Dallas, Texas, HUD's consideration of this subfactor will consider the extent to which the applicant's plan for the use of New Approach Anti-Drug funds will be used to eradicate the vestiges of racial segregation in the Dallas Housing Authority's programs consistent with the Court's order.
This factor addresses your ability to secure community and government resources, in-kind services from local governments, non-profit entities, including resident organizations, for-profit entities, or private organizations to be combined with HUD's program resources to achieve program purposes. To be considered as documented evidence of leveraging, you must submit a letter signed by the organization head authorized to commit the organization which details the amount of funds or type of services to be provided. The letter also must identify the dollar value
(1) Evidence of the extent and amount of the commitment of funding, staff, or in-kind resources, partnership agreements, and on-going or planned cooperative efforts with law enforcement agencies, memoranda of understanding, or agreements to participate. Such commitments must be signed by an official of the organization legally able to make commitments for the organization. This evidence of commitment must include organization name, resources, and responsibilities of each participant. This also includes interagency activities already undertaken, participation in local, state, Tribal, or Federal anti-drug related crime efforts such as: education, training and employment provision components of Welfare Reform efforts, Operation Weed and Seed, Operation Safe Home, local law enforcement initiatives and/or successful coordination of its law enforcement, or other activities with local, state, Tribal, or Federal law enforcement agencies.
(2) HUD may award more points for applications with a higher percentage of these resources as compared to New Approach Anti-Drug funds requested.
This factor addresses the extent to which you have coordinated your activities with other known organizations, participants or have promoted participation in a community's Consolidated Planning process. You should demonstrate that you are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which: (1) You have coordinated your proposed activities with those of other groups or organizations prior to submission in order to best complement, support, and coordinate all known activities and if funded, the specific steps you will take to share information on solutions and outcomes with others. Describe any written agreements and memoranda of understanding currently in place, or that will be in place after award. (2) You have taken or will take specific steps to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities the applicant proposes.
(3) You have shared and coordinated information on solutions and outcomes with other law-enforcement and governmental agencies, and have described any written agreements in place or that will be put in place.
(4) You have taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:
(a) Other HUD-funded project/activities outside the scope of those covered by the Consolidated Plan, and
(b) Other Federal, State, or locally funded activities, including those proposed or on-going in the community.
Each New Approach Anti-Drug application must provide the items listed in this Section VI of this program section of the SuperNOFA. Your application must contain the items listed in this Section VI(B). These items include the standard forms, certifications, and assurances listed in the
(A) Application Cover Letter;
(B) Congressional Summary—Summary of your proposed program activities in five (5) sentences or less:
(C) A Neighborhood Description. The neighborhood description must include a basic description (e.g., boundaries and size), population, number of housing units in the neighborhood, a map, a population profile (e.g., relevant census data on the socio-economic, ethnic and family makeup of neighborhood residents), and the basis on which the area meets the definition of “neighborhood” as described in this program section of the SuperNOFA (i.e., describe and include a copy of the comprehensive plan, ordinance or other official local document which defines the area as a neighborhood, village, or similar geographical designation). If the entire jurisdiction is defined as a neighborhood by virtue of having a population at less than 25,000, indicate the jurisdiction's population under the 1990 census and describe/include more recent information which gives the best indication as to the current population.
(D) The description of the assisted housing development(s) in the neighborhood. This must include the name of the project; the name of the project owner; the nature, sources, and program titles of all project-based subsidies or other assistance provided to the development by units of government or private nonprofit entities. Any names of public or nonprofit assisted housing programs other than programs sponsored by HUD should be accompanied by a description of the program and the name and business phone number of a contact person responsible for administering the program. For the subsidy provider, you must include the number of housing units in the development, and the number of housing units in the development that meet the definition of “assisted housing units” in this funding announcement, and a description of the restrictions on rents and resident incomes that, in combination with the subsidy provided to the development, qualify the units as assisted/affordable in accordance with the definition in this program section of the SuperNOFA; and the number, geographic proximity (adjoining, adjacent, or scattered site, and if scattered site, the distance between the two buildings which are furthest apart), and type (single family detached, townhouse, garden, elevator) of buildings in the development.
(E) Application for Federal Assistance, Standard Form (SF) 424, signed by the chief executive officer of your organization.
(F) An action plan which describes the activities and roles to be undertaken by you and each subgrantee or subrecipient of program funds. This action plan may be attached to and referenced in your MOU.
(G) Narrative responses to the factors for award including any required documentation identified under each factor.
(H) A line item budget which identifies salaries, fringe benefits, consultants or subgrantees, equipment, supplies, travel, and general and
(I) Overall budget and timetable that includes separate budgets, goals, milestones, and timetables for each activity and addresses milestones towards achieving the goals described above; and indicates the contributions and implementation responsibilities of each partner for each activity, goal, and milestone.
(J) The number of staff years, the titles and professional qualifications, and respective roles of staff assigned full or part-time to grant implementation by the applicant/grantee.
(K) Your plan and lines of accountability (including an organization chart) for implementing your grant activity, coordinating the partnership, and assuring that your and your subgrantees' commitments will be met. There must be a discussion of the various agencies of the unit of government that will participate in grant implementation (which must include the prosecutor's office and the police department.
The
Prior to the award of grant funds under the program, HUD will perform an environmental review to the extent required under the provisions of 24 CFR part 50. Should the environmental review indicate adverse environmental impacts, your application may be downgraded or rejected. The
This program is authorized under the Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, 2000 (Pub.L. 106-74, approved October 20, 1999), under the heading “Drug Elimination Grants for Low-Income Housing.”
Please see Appendix A to the Multifamily Housing Drug Elimination Program section of this SuperNOFA for a list of the HUD Field Offices for Multifamily Housing.
The non-standard forms, which follow, are required for your New Approach Anti-Drug application.
If you are interested in applying for funding under this program, please review carefully the
See the
(A)
The Multifamily Housing Hub offices will select applicants for award according to the process discussed in Section V of this program section of the SuperNOFA.
(B)
(C)
(1) HUD determines that some elements of your proposed action plan are ineligible for funding;
(2) Insufficient amounts remain under the allocation to fund the full amount you requested, and HUD determines that partial funding is a viable option; or
(3) HUD determines that a reduced grant would prevent duplicative Federal funding.
(A)
(B)
(1) To be eligible for funding, you must meet all of the applicable threshold requirements of Section II(B) of the
(a) Sections 221(d)(3) below market interest rate, or 236 of the National Housing Act;
(b) Section 101 of the Housing and Urban Development Act of 1965; or
(c) Any development receiving project-based assistance under Section 8 of the United States Housing Act of 1937. This includes Section 202, Section 515, State Housing Finance Agency, Moderate Rehabilitation, Section 8 New Construction and Substantial Rehabilitation, 221(d)(3), 221(d)(4), and 236 developments.
(2) If you are a management agent, you may prepare applications and sign application documents if you provide written authorization from the owner as part of your application.
(3) If your eligibility status changes during the course of the grant term, making you ineligible to receive a grant (e.g. due to prepayment of mortgage, sale of property, or opting out of a Section 8 Housing Assistance Payment (HAP) contract), HUD has the right to terminate your grant.
(4) To be eligible, developments must also meet the following criteria:
(a) Are current in mortgage payments or are current under a workout agreement;
(b) Meet HUD's Uniform Physical Conditions Standards (codified in 24 CFR part 5, subpart G), based on the most recent physical inspection report and responses thereto, as evidenced by a score of 60 or better or an approved plan for developments scoring less than 60, and
(C) Are in compliance with your regulatory agreement, HAP Contract, and other outstanding directives.
(5) Eligible owners may apply for and receive both Multifamily Housing Drug Elimination Grants and New Approach Anti-Drug grants.
(C)
With the very real need to protect occupants of HUD-assisted housing and the areas around the housing, the civil rights of all citizens must be protected. Your proposed strategies should be developed to ensure that crime-fighting and drug prevention activities are not undertaken in such a manner that civil rights or fair housing statutes are violated. You may not use race, color, sex, religion, national origin, disability, or familial status to profile persons as suspects or otherwise target them in conducting these activities. In addition, all segments of the population should be represented in developing and implementing your crime-fighting strategies.
(1)
Your physical improvements may include systems to limit building access to development residents; installation of barriers, lighting systems, fences, bolts, locks; landscaping or reconfiguration of common areas to discourage drug-related crime; or other physical improvements that enhance security and discourage drug-related activities. Rehabilitation of existing space for use by drug-related intervention and prevention programs is an eligible activity.
(2) The provision of training, communications equipment, and other related equipment for use by voluntary tenant patrols acting in cooperation with local law enforcement officials is an eligible activity.
(3)
(a)
(i)
(ii)
(iii)
(iv)
(b)
(c)
(i) Drug treatment supportive services designed for youth and/or maternal drug abusers. Examples of services are: prenatal/postpartum care; specialized counseling for women; or, parenting classes. You are encouraged to draw upon approaches that have proven effective with similar populations.
(ii) Formal referral arrangements to treatment programs not in and around the development when treatment costs from sources other than this program are available.
(iii) Transportation for residents to out-patient treatment and/or support programs.
(iv) Family/collateral counseling.
(v) Linking programs with educational/vocational counseling.
(vi) Coordinating services with appropriate local drug agencies, HIV-related service agencies, and mental health and public health programs.
(D)
(1) Hiring of, or contracting for, employment of security guards to provide security services in and around the development.
(2) Any activity or improvement that is normally funded from project operating revenues for routine maintenance or repairs, or those activities or improvements that may be funded through reasonable and affordable rent increases;
(3) The acquisition of real property or those physical improvements that involve the demolition of any units in your development or displacement of tenants;
(4) Costs incurred prior to the effective date of your grant agreement, including consultant fees for surveys related to your application or its preparation;
(5) Reimbursement of local law enforcement agencies for additional security and protective services;
(6) Employment of one or more individuals to investigate drug-related crime in and around federally-assisted low-income developments and/or to provide evidence relating to such crime in any administrative or judicial proceeding;
(7) Treatment of residents at any in-patient medical treatment programs or facilities;
(8) Detoxification procedures designed to reduce or eliminate the presence of toxic substances in body tissues of a patient;
(9) Maintenance drug programs; [Maintenance drugs are medications that are prescribed regularly for a long period of supportive therapy (e.g., methadone maintenance), rather than for immediate control of a disorder.]
(10) Programs to treat alcoholism; and
(11) Funding of police informants who provide information about drug-related activity.
In addition to the requirements listed in Section II of the
(A)
(B)
(C)
(D)
(E)
(F)
(G)
(A)
The maximum number of points for this program is 102. This includes two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as described in the
(B)
The Hub Offices will conduct the selection process as follows: Where a Multifamily Hub covers more than one Field Office jurisdiction, the Hub Office will first select the highest ranked application in each Field Office for funding. After this selection, the Hub will use remaining funds to fully fund as many applications as possible in rank order, regardless of Field Office. Hub Offices representing only one Field Office shall use their distribution of funds to fully fund in rank order as many applications as possible. Any funds still remaining after the Hub Office distribution by rank will be forwarded to Headquarters, which shall make awards to fund as many remaining applications as possible by national rank order. All applications must receive a score equal to or greater than the minimum score of 70 without bonus points to be considered for funding.
This year's revised process balances a geographic distribution with a process that gives priority to the most highly rated applications. Your application will primarily compete for funding with other applications submitted within that same Hub Office jurisdiction.
(C)
(D)
This factor addresses the extent to which you have organizational resources necessary to successfully implement your proposed activities in a timely manner. In rating this factor, HUD will consider the extent to which you demonstrate the capabilities described below.
(1)
(a) The knowledge and experience of your staff and your administrative capacity to manage grants, including administrative support functions, procurement, lines of authority, and fiscal management capacity. Your narrative must include a discussion of financial capacity, staff resources, and prior experience that will enable you to effectively administer a grant and meet reporting requirements. Your narrative should not exceed five pages.
(b) HUD's evaluation approach. (i) For Public Housing Authorities (PHAs) and tribally designated housing entities (TDHEs) that had previously applied as IHAs, HUD will also consider such measurements as the uniform crime index, physical inspections, agency monitoring of records, Line of Credit Control System (LOCCS) Reports, audit and such other relevant information available to HUD on the capacity of the owner or manager to administer the grant.
(ii) For owners of federally-assisted low income housing, HUD will also consider the most recent Management Review (including Rural Housing Management Review), HUD's Uniform Physical Conditions Standards review, State Agency review, physical inspection, and other relevant information available to HUD on the capacity of the owner and manager to undertake the grant.
(2) (Deduct up to 5 points for prior poor performance) Your performance in administering Drug Elimination funding in the previous 5 years. HUD will consider your participation in HUD grant programs within the preceding five years and evaluate the degree of your success in implementing and managing these grant programs. HUD will look at program implementation, timely drawdown of funds, timely submission of required reports with satisfactory outcomes related to the plan and timetable, audit compliance, whether there are any unresolved findings from prior HUD reports (e.g., performance or finance) reviews of audits undertaken by HUD, the Office of Inspector General, the General Accounting Office or independent public accountants).
For PHAs, your past experience will be evaluated in terms of your ability to attain demonstrated measurable progress in tracking drug related crime, enforcement of screening and lease procedures in implementation of the “One Strike and You're Out Initiative” (as applicable), the extent to which you have formed a collaboration with Tribal, State and local law enforcement agencies and courts to gain access to criminal conviction records of potential tenants to determine their suitability for residence in public housing. Such data will be measured and evaluated based on your Public Housing Management Assessment Program (PHMAP) score (24 CFR part 901).
This factor addresses the extent to which there is a need for funding your proposed program activities to address a documented problem in the target area (i.e., the degree of the severity of the drug-related crime problem in the development(s) proposed for funding). In responding to this factor, HUD will evaluate your application based on the extent to which a critical level of need for your proposed activities is explained and you provide a justification for the urgency of meeting the need in your development(s) and the area around your development(s). Your application must include a description of the extent and nature of drug-related crime “in and around” the housing units or development(s) you propose for funding.
(1)
The statistics and information you provide must include the following:
(a)
(i) Police records or other verifiable information from records on the types or sources of drug related crime in the targeted development and surrounding area;
(ii) The number of lease terminations or evictions for drug-related crime at the targeted development; and
(iii) The number of emergency room admissions for drug use or that result from drug-related crime. Such information may be obtained from police Departments and/or fire departments, emergency medical service agencies and hospitals. The number of police calls for service from your development that include resident initiated calls, officer-initiated calls, domestic violence calls, drug distribution complaints, found drug paraphernalia, gang activity, graffiti that reflects drugs or gang-related activity, vandalism, drug arrests, and abandoned vehicles.
(iv) To the extent possible, you should obtain statistics on Part I and Part II crimes, as defined by the Uniform Crime Reporting (UCR) System. Part 1 crimes include: criminal homicide, forcible rape, robbery, aggravated assault two (including domestic violence through use of a weapon or by means likely to produce death or great bodily harm), burglary-breaking or entering, larceny-theft (except motor vehicle theft), motor vehicle theft, and arson. Part II crimes include: assaults, forgery and counterfeiting, fraud, embezzlement, vandalism, weapons (carrying or possessing), prostitution and commercialized vice, sex offenses (except forcible rape, prostitution, and commercialized vice), drug abuse violations, gambling, offenses against the family and children, driving under the influence, violation of liquor laws, drunkenness, disorderly conduct, vagrancy, all other offenses related to curfew and loitering laws and runaways.
For PHAs, such data should include housing authority police records on the types and sources of drug related crime “in and around” developments as reflected in crime statistics or other supporting data from Federal, State, Tribal, or local law enforcement agencies.
(b)
(i) A letter or supporting documentation from your local law enforcement agency or another relevant neighborhood organization explaining why the objective data mentioned above is not available, and
(ii) A narrative explanation of the reasons why objective data could not be obtained, what efforts were made to obtain it, and what efforts will be made (if possible) during the grant period to begin obtaining the data. Such data may include the following:
(2)
This factor addresses the quality and effectiveness of your proposed work plan. In rating this factor, HUD will consider the impact of your proposed activities and the tangible benefits that can be attained by the community and by the target population. Your application must include a detailed narrative describing each proposed activity for crime reduction and elimination efforts for each development proposed for assistance, the amount and extent of resources committed to each activity or service proposed, and process used to collect, maintain, analyze and report Part I and II crimes as defined by the Uniform Crime Reporting (UCR System, as well as police workload data.
In evaluating this factor, HUD will consider the following:
(1)
(a) An explanation of how any proposed physical improvements, services, and training programs will be accessible and visitable to persons with disabilities and a statement that they will meet the accessibility requirements of 24 CFR part 8, Nondiscrimination Based on Handicap in Federally Assisted Programs and Activities of the Department of Housing and Urban Development;
(b) A discussion of how any drug education services that you propose to undertake directly or through a subcontract will reflect the objectives of your program plan;
(c) A specific explanation of how you plan to incorporate the active participation of youth in planning prevention programs and services targeted to their needs; and
(d) If you propose drug treatment activities, you must provide a letter from your Single State Agency (or State license provider or authority with drug program coordination responsibilities in your State) that states that your program is effectively coordinating, developing, and implementing drug treatment programs in partnership with that entity.
(2)
(a) A description of established performance goals for the results to be achieved during the period of your grant. The goals must be objective, quantifiable, and measurable, and they must be outcome or result-oriented. Outcomes include accomplishments, results, impact and the ultimate effects of the program on the drug or crime problem in the target/development area.
(b) An explanation of how your proposed activities enhance and are coordinated with on going or proposed programs sponsored by HUD, such as Neighborhood Networks, Campus of Learners, Operation Safe Home, “One Strike and You're Out”, Department of Justice Weed and Seed efforts, or any other prevention/intervention/treatment activities in your community. Explain the specific steps you will take to share and coordinate information on solutions and outcomes with other law-enforcement and governmental agencies, and a description of any written agreements in place or that will be put in place by you with these entities.
(3)
(4)
(5)
(6)
(a) You must provide evidence that you actively sought comments, suggestions, and support from residents for your proposed plan. State the steps you took to obtain this information and support. Demonstrate that you made your proposed plan available and that you requested comments in the language(s) of the tenants residing in your development(s).
(b) Describe and provide written documentation of these comments, suggestions, and support. HUD needs clear evidence that the residents agree with, support, and will work with your proposed program. If applicable, you must explain why you do not have written documentation of such support or did not receive any comments or suggestions.
(c) Describe how residents will be involved in implementing your program. If involvement would be minimal or not appropriate, please state and explain why.
To receive points under this rating factor, you must provide evidence of the level and type of participation and support by the local government or law enforcement agency for your proposed activities. This should include the level of assistance received from local government, community organizations, and/or law enforcement agencies. If a community organization is providing you with staff or supporting services, you must include a letter from each organization providing staff or support in order to receive maximum points. Each letter must specify what type of participation or contributions the organization will make to your program. Such letters must be from businesses, non-profit or public agencies within your unit of general local government (
This factor addresses the extent to which you coordinate your activities with other known organizations, participate or promote participation in your community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider your prior efforts and future plans to coordinate with other local agencies and organizations as follows:
(1)
(2)
(3)
(A) There is no limit to the number of developments per application. However, all developments in one application must be eligible and located in the same Field Office jurisdiction. You must demonstrate in Rating Factor 3 “Soundness of Approach—(Quality of the Plan)” that your program will be feasible to implement among all proposed developments. In addition, you must provide pertinent information for each Rating Factor for each proposed development.
(B) Your application must contain the items listed in this Section V(B). These items include the standard forms, certifications, and assurances listed in the
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
(10)
(11)
(1)
(2)
(3)
(4)
(5)
(a) “Objective Crime Data” (
(b) Other supporting, verifiable data on the extent of drug-related crime in the target area. If you submit other relevant information in place of objective data, you must also provide the following:
(i) A letter or supporting documentation from your local law enforcement agency or another relevant neighborhood organization explaining why objective data are not available, and
(ii) A narrative explanation of the reasons why objective data could not be obtained, what efforts were made to obtain them, and what efforts will be made (if possible) during the grant period to begin obtaining the data.
(6)
(a) An explanation of the anticipated effectiveness of your plan and proposed activities in reducing or eliminating drug-related crime problems immediately and over an extended period.
(b) Evidence and explanation of how proposed activities have been effective in similar circumstances in controlling drug-related crime.
(c) A description of the process you will use to maintain, analyze, and report Part I and II crimes, as well as police workload data.
(d) An explanation of the extent to which your program to eliminate crime in your development or neighborhood will expand fair housing choice and will affirmatively further fair housing.
(e) Evidence that you actively sought comments, suggestions, and support from residents for your proposed plan. Provide written documentation of these comments, suggestions, and support. If applicable, you must explain why you do not have written documentation of such support or did not receive any comments or suggestions. Describe how residents will be involved in implementing your program.
(f) Drug Treatment Program Certification (if applicable).
(7)
(8)
(a) An explanation of the specific steps you have taken or will take to develop linkages or coordinate comprehensive solutions through meetings, information networks, planning processes, or other mechanisms. Explain your past efforts or planned efforts for involvement with relevant community activities.
(b) An explanation of the specific steps you have taken or will take to become active in your community's Consolidated Planning process.
The
It is anticipated that most activities under this program are categorically excluded under 24 CFR 50.19 (b)(4), (b)(12), or (b)(13). If grant funds will be used to cover the cost of any non-exempt activities, HUD will perform an environmental review to the extent required by 24 CFR part 50, prior to grant award.
This program is authorized under Chapter 2, subtitle C, title V of the Anti-Drug Abuse Act of 1988 (42 U.S.C. 11901
The non-standard forms, which follow, are required for your Multifamily Housing Drug Elimination Program application.
If you are interested in applying for funding under any of these programs, please review carefully the
After publication of this SuperNOFA, grant renewals will be accepted until all funds are awarded for Service Coordinators.
See the
Submit your second copy of your application to the local HUD Field Office with delegated public or assisted housing responsibilities attention: Director, Office of Public Housing. See Appendix A of the SuperNOFA for a list of HUD offices with delegated responsibility. The original application and one copy must be sent to the GMC. You may also call the SuperNOFA Information Center at 1-800-HUD-8929 if you have a question regarding where you should submit your application. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-HUD-2209.
On the application due date, hand carried applications will be accepted until 12:00 midnight in the South Lobby at HUD Headquarters, 451 Seventh Street, SW, Washington DC 20410.
(A)
(B)
(C)
(1)
(a)
(i) Grants will be made directly to resident organizations to: increase resident involvement and participation in their housing developments; develop resident management opportunities; provide resident-led business or cooperative development opportunities; and obtain necessary supportive services for self-sufficiency.
(ii) The maximum grant award for this funding category is $100,000 per applicant.
(b)
(i)
(ii)
(iii) The maximum amounts for CB/CR are as follows: $100,000 for City-Wide Resident Organizations (CWROs) per applicant, and $240,000 per applicant for all other eligible applicants in these funding categories. Applicants are required to allocate two-thirds of the total grant to direct funding of CB or CR activities for Site-Based Resident Associations (RAs). CWROs are required to serve a minimum of 3 RAs. All other applicants are required to serve a minimum of 10 RAs.
(2)
(i) The Resident Service Delivery Models (RSDM) funding category provides grants to Public Housing Agencies (PHAs), or directly to resident management corporations, resident councils, or resident organizations, and nonprofit entities supported by residents. There are two sub-categories of grants under this funding category: Family—Grants for program-related activities and supportive services to establish and implement comprehensive programs that achieve resident self-sufficiency for families; and Elderly and Disabled—Grants for independent living for the elderly and persons with disabilities.
(iii) For RSDM, the maximum grant awards are as follows:
(
(
(
(
(3)
(i) The Service Coordinator Renewal category provides grants to PHAs to address the needs of public housing residents who are elderly and disabled persons. Service coordinators help residents obtain supportive services that are needed to maintain independent living. Only renewals of prior FY 1995 Public Housing Elderly and Disabled Service Coordinator grants will be funded under this ROSS competition; no applications for new Service Coordinator grants will be accepted.
(ii) These funds may only be used as follows:
(iii) The application period for SC renewals is open until all funds are awarded.
(D)
(E)
(A)
(B)
(1) Child care;
(2) After-school activities for youth;
(3) Job training;
(4) Twenty/20 Education Communities (TECs) (formerly Campus of Learners) activities; and
(5) English as a Second Language (ESL) classes.
(1) Most of its activities are conducted within the jurisdiction of a single housing agency;
(2) There are no incorporated Resident Councils or Resident Management Corporations within the jurisdiction of the single housing agency;
(3) It has experience in providing start-up and capacity-building training to residents and resident organizations; and
(4) Public housing residents representing unincorporated Resident Councils within the jurisdiction of the single housing agency must comprise the majority of the board of directors.
(1) It is national (i.e., conducts activities or provides services in at least two HUD Areas or two States);
(2) It has experience in providing start-up and capacity-building training to residents and resident organizations; and
(3) Public housing residents representing different geographical locations in the country must comprise the majority of the board of directors.
(1) Has a condition defined as a disability in section 223 of the Social Security Act;
(2) Has a developmental disability as defined in section 102 of the Developmental Disabilities Assistance Bill of Rights Act; or
(3) Is determined to have a physical, mental, or emotional impairment which:
(a) Is expected to be of long-continued and indefinite duration;
(b) Substantially impedes his or her ability to live independently; and
(c) Is of such a nature that such ability could be improved by more suitable housing conditions.
The term “person with disabilities” does not exclude persons who have the disease of acquired immunodeficiency syndrome or any conditions arising from the etiologic agent for acquired immunodeficiency syndrome. In addition, no individual shall be considered a person with disabilities, for purposes of eligibility for low-income housing, solely on the basis of any drug or alcohol dependence.
The definition provided above for persons with disabilities is the proper definition for determining program qualifications. However, the definition of a person with disabilities contained in section 504 of the Rehabilitation Act of 1973 and its implementing regulations must be used for purposes of reasonable accommodations.
(1) The RMC must adopt written procedures such as by-laws, or a constitution which provides for the election of residents to the governing board by the voting membership of the public housing residents. The elections must be held on a regular basis, but at least once every 3 years. The written procedures must provide for the recall of the resident board by the voting membership. These provisions shall allow for a petition or other expression of the voting membership's desire for a recall election, and set the percentage of voting membership which must be in agreement in order to hold a recall election. This threshold shall not be less than 10 percent of the voting membership.
(2) The RMC must have a democratically elected governing board that is elected by the voting membership. At a minimum, the governing board should consist of five elected board members. The voting membership must consist of heads of households (any age) and other residents at least 18 years of age or older and whose name appear on a lease for the unit in the public housing that the resident council represents.
(3) The RMC may represent residents residing in:
(a) Scattered site buildings in areas of contiguous row houses;
(b) One or more contiguous buildings;
(c) A development; or
(d) A combination of the buildings or developments described above.
(1) The RRO is regional (i.e., not limited by HUD Areas);
(2) The RRO has experience in providing start-up and capacity-building training to residents and resident organizations; and
(3) Public housing residents representing different geographical locations in the region must comprise the majority of the board of directors.
(1) The RMC shall be a nonprofit organization that is validly incorporated under the laws of the State in which it is located;
(2) The RMC may be established by more than one RC, so long as each such council:
(a) Approves the establishment of the corporation; and
(b) Has representation on the Board of Directors of the corporation.
(3) The RMC shall have an elected Board of Directors, and elections must be held at least once every 3 years;
(4) The RMC's by-laws shall require the Board of Directors to; include resident representatives of each RC involved in establishing the corporation; include qualifications to run for office, frequency of elections, procedures for recall; and term limits if desired;
(5) The RMC's voting members shall be heads of households (any age) and other residents at least 18 years of age and whose name appears on the lease of a unit in public housing represented by the RMC;
(6) Where an RC already exists for the development, or a portion of the development, the RMC shall be approved by the RC board and a majority of the residents. If there is no RC, a majority of the residents of the public housing development it will represent must approve the establishment of such a corporation for the purposes of managing the project; and
(7) The RMC may serve as both the RMC and the RC, so long as the corporation meets the requirements of 24 CFR part 964 for an RC.
(1) The SRO is Statewide;
(2) The SRO has experience in providing start-up and capacity-building training to residents and resident organizations; and
(3) Public housing residents representing different geographical locations in the State must comprise the majority of the Board of Directors.
(C)
(1)
(2)
(3)
(a) Training related to resident-owned business or cooperative development and technical assistance for job training and placement in housing developments;
(b) Technical assistance and training in resident managed business development through: feasibility and market studies; development of business plans; outreach activities; and innovative financing methods including revolving loan funds and the development of credit unions; and legal advice in establishing a resident-managed business entity or cooperative. Revolving loan funds can not be used for acquisition, disposition, or physical development.;
(c) Establishing and funding revolving loan funds. Revolving loan funds can not be used for acquisition, disposition, or physical development;
(d) Training residents, as potential employees of an RMC, in skills directly related to the operation, management, maintenance and financial systems of a development;
(e) Training residents with respect to fair housing requirements; and
(f) Gaining assistance in negotiating management contracts and designing a long-range planning system.
(g) Providing social support needs (such as self sufficiency and youth initiatives) including:
(h) Feasibility studies to determine training and social services needs;
(i) Training in management-related trade skills, computer skills, and similar skills;
(j) Management-related employment training and counseling including job search assistance, job development assistance, job placement assistance, and follow up assistance;
(k) Supportive services including: child care services; educational services, remedial education, literacy training, ESL instruction, assistance in attaining a GED; vocational training including computer training; health care outreach and referral services; meal services for the elderly or persons with disabilities; personal assistance to maintain hygiene/appearance for the elderly or persons with disabilities; housekeeping assistance for the elderly or persons with disabilities; transportation services; congregate services for the elderly or persons with disabilities; and case management;
(l) Training for programs such as child care, early childhood development, parent involvement, volunteer services, parenting skills, before and after school programs;
(m) Training programs on health, nutrition, safety and substance abuse; Food costs that are directly attributable to the nutrition and health training are eligible grant expenditures. These are not food costs associated with entertainment.
(n) Workshops for youth services including: child abuse and neglect prevention, tutorial services, youth leadership skills, youth mentoring, peer pressure reversal, life skills, and goal planning. The workshops can be held in partnership with community-based organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, Campfire, and Big Brother/Big Sisters;
(o) Training in the development of strategies to successfully implement a youth program. For example, assessing the needs and problems of youth, improving youth initiatives that are currently active, and training youth, housing agency staff, resident management corporations and resident councils on youth initiatives and program activities;
(p) Physical improvements to facilities at public housing developments to provide space for self-sufficiency activities for residents, i.e. to provide cosmetic improvements and repairs to space to conduct community activities; or to expand existing community space for your proposed ROSS activities. Your physical improvements may not exceed 50% of the total grant amount and must be directly related to providing space for self-sufficiency activities for residents. Refer to Office of Management and Budget (OMB) Circular A-87, Cost Principles for State, Local and Indian Tribal Governments;
(i) Renovation, conversion, and repair costs may be essential parts of physical improvements. In addition, architectural, engineering, and related professional services required to prepare
(ii) The renovation, conversion, or combination of vacant dwelling units in a PHA development to create common areas to accommodate the provision of supportive services is an eligible activity for physical improvements.
(iii) The renovation of existing common areas in a PHA development to accommodate the provision of supportive services.
(iv) The renovation or repair of facilities located near the premises of one or more PHA developments to accommodate the provision of supportive services.
(v) If renovation, conversion, or repair is done off-site, the PHA or owner must provide documentation that it has control of the proposed property for not less than 2 years and preferably for 4 years or more. Control can be evidenced through a lease agreement, ownership documentation, or other appropriate documentation.
(vi) All renovations must meet appropriate accessibility requirements.
(q) Establishing and operating centers that use technology and telecommunications for job training, after-school youth programs and educational activities.
(4)
(a) Entertainment, including associated costs such as food and beverages, except normal per diem for meals related to travel performed in connection with implementing the Work Plan. (See HUD Travel Notice 99-24 for more specific guidance.)
(b) Purchase or rental of land.
(c) Activities not directly related to the welfare-to-work initiatives (e.g., lead-based paint testing and abatement and operating capital for economic development activities).
(d) Purchase of any vehicle (car, van, bus, etc.).
(e) Payment of salaries for routine project operations, such as security and maintenance, or for applicant staff, except that a reasonable amount of grant funds may be used to hire a person to coordinate the Resident Management and Business Development grant activities or coordinate on-site social services.
(f) Payment of fees for lobbying services.
(g) Any expenditures that are fraudulent, wasteful or otherwise incurred contrary to HUD or OMB directives.
(h) Any cost otherwise eligible under this program section of the SuperNOFA for which funds are being provided from any other source.
(i) Entertainment equipment such as televisions, radios, stereos, and VCRs. An exception to this item may be granted by the HUD Field Office if funding is being utilized specifically for the purposes of establishing a business directly related to radio, television or film or some other form of technical communication, and equipment is being utilized for training of residents or RAs. All such exceptions must be authorized in writing by the HUD Field Office before purchases may be made.
(j) The cost of application preparation is not eligible.
(5)
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(ii)
(6)
(D)
(1)
(b) Eligible applicants cited above may submit either one application for conflict resolution or one application for capacity building under this funding category.
(c) Non-profits that operate as associations or networks that administer programs that benefit public housing resident organizations are also eligible for this funding category.
(2)
(i) Establishing violence-free zones to enhance the quality of living environment for public housing residents. The eligible activities for your proposed program must address one or more of the following areas: violent crime, youth violence, and/or violent gang activity in your housing development or living environment. These areas must be addressed in your application. You must at a minimum focus on one of these areas, but may include the others where appropriate. Your grant application must include specific processes or techniques to prevent and reduce violent crime that are measurable within the grant term. Implementation strategies may include training at the grass roots level, resident employment; resident partnership with local law enforcement; personal skill-building to strengthen individual character development; and management techniques for preventing violence. You must identify the public housing development(s) that will serve as the focus for proposed grant activities. Any other areas, (e.g., negatively impacted neighborhoods and assisted/insured housing developments) which benefit from your proposed grant activities must be adjacent to the public housing development;
(ii) Training programs on mediation and communication skills;
(iii) Training programs on dispute resolution and reconciliation, including training addressing racial, ethnic and other forms of diversity;
(iv) Workshops for youth services including: child abuse and neglect prevention, tutorial services, youth leadership skills, youth mentoring, peer pressure reversal, life skills, social skills, goal planning, health, wellness and nutrition. The workshops may be held in partnership with community-based organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, Campfire and Big Brother/Big Sisters, etc. Food costs that are directly attributable to the actual nutrition, wellness and health training are an eligible grant expenditure. These are not food costs associated with entertainment.
(v) Training in the development of strategies to successfully implement a youth program. For example, assessing the needs and problems of youth, improving youth initiatives that are currently active, and training youth, housing agency staff, resident management corporations and resident councils on youth initiatives and program activities.
(b)
(i) Training Board members in community organizing, Board development, and leadership training;
(ii) Conducting the feasibility of training existing resident groups for resident management or for a specific resident management project;
(iii) Assisting in the creation of an RMC, such as consulting and legal assistance to incorporate, preparing by-laws and drafting a corporate charter;
(iv) Developing the management capabilities of existing resident organizations;
(v) Determining the feasibility of homeownership by residents, including assessing the feasibility of other housing (including HUD-owned or held single or multi-family) affordable for purchase by residents.
(3)
(a) In addition, physical development activities are not eligible for funding under CB or CR grants.
(b) The cost of application preparation is not eligible.
(4)
(5)
(D)
(1)
(b)
(c) IROs with 501(c) status may apply as non-profit entities under this funding category.
(2)
(b)
(3)
(4)
(a)
(b)
(i) Renovation, conversion, and repair costs may be essential parts of physical improvements. In addition, architectural, engineering, and related professional services required to prepare architectural plans or drawings, write-ups, specifications or inspections may also be part of the cost components to implement physical improvements;
(ii) The renovation, conversion, or combination of vacant dwelling units in a housing development to create common areas to accommodate the provision of supportive services is an eligible activity for physical improvement;
(iii) The renovation of existing common areas in a housing development to accommodate the provision of supportive services is an eligible activity for physical improvements;
(iv) The renovation or repair of facilities located near the premises of one or more housing developments to accommodate the provision of supportive services is an eligible activity for physical improvements;
(v) If renovation, conversion, or repair is done off-site, you must provide documentation that you have control of the proposed property for not less than 2 years and preferably for 4 years or more. Control can be evidenced through a lease agreement, ownership documentation or other appropriate documentation.
(vi) All renovations must meet appropriate section 504 accessibility requirements.
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(i) 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.
(ii) Computer-based educational opportunities, skills training, and entrepreneurial activities.
(iii) Homeownership training and counseling, development of feasibility studies and preparation of homeownership plans/proposals.
(iv) Education including but not limited to: remedial education; computer skills training; career counseling; literacy training; assistance in the attainment of certificates of high school equivalency; two-year college tuition assistance; trade school assistance; youth leadership skills and related activities (activities may include peer leadership roles training for youth counselors, peer pressure reversal, life skills, and goal planning). Academic support shall not be limited to TANF recipients.
(v) Youth mentoring of a type that mobilizes a potential pool of role models to serve as mentors to public housing youth. Mentor activities may include after-school tutoring, help with problem resolution issues, illegal drugs avoidance, job counseling, or mental health counseling.
(vi) Transportation costs, as necessary to enable any participating family member to receive available services to commute to his or her training or supportive services activities or place of employment.
(vii) Personal well-being (e.g., family/parental development counseling, parenting skills training for adult and teenage parents, self-development counseling, support groups/counseling for victims of domestic violence, and/or families with a mentally ill member, etc.).
(viii) Supportive health care services (e.g., outreach and referral services to substance and alcohol abuse treatment and counseling, mental health services, wellness programs). Food costs that are directly attributable to the actual nutrition and health training are an eligible grant expenditures. These are not food costs associated with entertainment.
(ix) Contracting for case management services or employment of case managers, which must ensure confidentiality about resident's disabilities.
(x) Establishing and/or operating centers that use technology and telecommunications for job training, after-school youth programs and educational activities.
(xi) Administrative costs may include, but are not limited to, purchase of furniture, office equipment and supplies, quality assurance, travel, and utilities. Administrative costs must not exceed 20% of the total grant costs.
(xii) Stipends. No more than $200 per participant per month of the grant award may be used for stipends for active trainees and program participants to cover the reasonable costs related to participation in training and other activities.
(j)
(i) Meal service adequate to meet nutritional need;
(ii) Assistance with daily activities;
(iii) Housekeeping aid;
(iv) Transportation services;
(v) Wellness programs, preventive health education, referral to community resources;
(vi) Personal emergency response;
(vii) Congregate services—includes supportive services that are provided in a congregate setting at a conventional public housing development; and
(viii) Case management.
(5)
(i) Elderly Service Coordinator salary funding;
(ii) Payment of wages and/or salaries to participants receiving supportive services and/or training programs, except that grant funds under family RSDM may be used to hire a resident(s) as a Program Coordinator or to provide training program activities;
(iii) Purchase or rental of land;
(iv) New construction, materials, costs;
(v) Purchase of vehicles; and
(vi) Cost of application preparation is not eligible.
(6)
(E)
(1)
(2)
(3)
(4)
(a)
(i) Working with community service providers to coordinate the provision of services and to tailor the services to the needs and characteristics of eligible residents;
(ii) Establishing a system to monitor and evaluate the delivery, impact, effectiveness and outcomes of supportive services under this program;
(iii) Coordinating this program with other independent living or self-sufficiency, education and employment programs;
(iv) Performing other duties and functions to assist residents to remain independent, and to prevent unnecessary institutionalization; and
(v) Mobilizing other national and local public/private resources and partnerships.
(b)
(5)
(b) The cost of application preparation is not eligible.
(6)
The requirements of this section are applicable to all applicants, and grantees under this announcing of funding availability.
(A)
(B)
(C)
(D)
(E)
Applicants for Resident Management and Business Development grants are required to address application submission requirements, but are not required to address selection factors. HUD will accept for funding the first five eligible applications from each of the ten federal regions on a first-come, first-serve basis for 120 days after publication of this SuperNOFA. Any funds remaining after making awards to the first five eligible applications from each region will be awarded to the next eligible application from each region, then the next, and so forth until funds are exhausted. If sufficient funds are not available in any round to fund an eligible application from each region, the eligible applications will then be funded in the order in which they were received regardless of region. Where physical development activities are proposed, HUD will perform an environmental review, to the extent required by 24 CFR part 50, prior to award. The results of the environmental review may require that proposed activities be modified or proposed sites rejected. If all funds are not awarded in one funding category, funds are transferable to other ROSS funding categories in this ROSS competition.
Applicants for Conflict Resolution or Capacity Building grants are required to address application submission requirements but are not required to address selection factors. Eligibility will be determined by applications that meet the threshold requirements of Section IV of this program section of the SuperNOFA. HUD will accept for funding the first two eligible applications from each of the ten federal regions on a first-come, first-serve basis for 90 days after this SuperNOFA is published. Any funds remaining after making awards to the first two eligible applications from each region will be awarded to the next eligible application
(1) Three types of reviews will be conducted: a screening to determine if your application submission is complete and on time; a threshold review to determine applicant eligibility; and a technical review to rate your application based on the five rating factors provided in this section. A minimum score of 55 is required to be considered for funding. If you are not the PHA, where physical development activities are proposed, HUD will perform an environmental review, to the extent required by 24 CFR part 50, prior to award. The results of the environmental review may require that proposed activities be modified or proposed sites rejected.
(2) The selection process is designed to achieve geographic diversity of grant awards throughout the country. HUD will first select the highest ranked application from each of the ten federal regions for funding. After this “round,” HUD will select the second highest ranked application in each of the ten federal regions for funding (the second round). HUD will continue this process with the third, fourth, and so on, highest ranked applications in each federal region until the last complete round is selected for funding. If available funds exist to fund some but not all eligible applications in the next round, HUD will make awards to those remaining applications in rank order regardless of region and will fully fund as many as possible with remaining funds. In addition, if all funds are not awarded in this funding category, funds are transferable to other funding categories in this ROSS Competition.
The factors for rating and ranking applicants and maximum points for each factor are provided below. The maximum number of points available for this program is 102. This includes two EZ/EC bonus points, as described in the
This factor addresses the extent to which the applicant has the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor HUD will consider the extent to which the proposal demonstrates:
(a)
(b)
(a)
(b)
To receive a high score, you must demonstrate your (or your proposed Administrator's) program compliance and successful implementation of any resident self-sufficiency, security or independence oriented grants (including those listed below) awarded to you or overseen by your Administrator. If you or your Administrator has no prior experience in operating programs that foster resident self-sufficiency, security or independence you will receive a score of 0 on this factor. Your past experience may include, but is not limited to, administering the following grants: Family Investment Center Program; Youth Development Initiative under Family Investment Center Program; Youth Apprenticeship Program; Apprenticeship Demonstration in the Construction Trades Program; Urban Youth Corps Program; HOPE I Program; Public Housing Service Coordinator Program; Public Housing Drug Elimination Program; Tenant Opportunities Program; Economic Development and Supportive Services; and Youth Sports Program.
This factor addresses the extent to which there is a need for funding your proposed program activities to address a documented problem in the target area. You will be evaluated on the extent to which they document a critical level of need in the development or your proposed activities in the area where activities will be carried out. In responding to this factor, you will be evaluated on:
HUD will award up to 18 points based on the quality and comprehensiveness of the needs assessment document.
(a) To obtain maximum points for Family RSDM applications, this document must contain statistical data which provides:
(i) A thorough socioeconomic profile of the eligible residents to be served by your program, in relationship to PHA-wide and national public and assisted housing data on residents who are on TANF, SSI benefits, or other fixed
(ii) Specific information on training, contracting, and employment through the PHA.
(iii) An assessment of the current service delivery system as it relates to the needs of the target population, including the number and type of services, the location of services, and community facilities currently in use;
(iv) A description of the goals, objectives, and program strategies that will result in the successful transition of residents from welfare-to-work.
(b) In order to obtain maximum points for Elderly and Persons with Disabilities RSDM applications, the needs assessment document should contain statistical data that provide:
(i) The numbers of residents needing assistance for activities of daily living.
(ii) An assessment of the current service delivery system as it relates to the needs of the target population, including the number and type of services, the location of services, and community facilities currently in use.
(iii) A description of the goals, objectives, and program strategies that will result in increased independence for proposed program participants.
Documentation of the level of priority the locality's, or in the case of small cities, the State's, Consolidated Plan has placed on addressing the needs. You may also address needs in terms of fulfilling the requirements of court actions or other legal decisions or which expand upon the Analysis of Impediments to Fair Housing Choice (AI) to further fair housing. If you address needs that are in your community's Consolidated Plan, AI, or a court decision, or identify and substantiate needs in addition to those in the AI, you will receive a greater number of points than applicants who do not relate their proposed program to the approved Consolidated Plan or AI or court action. There must be a clear relationship between your proposed activities, community needs and the purpose of the program funding for you to receive points for this factor.
This factor addresses the quality and cost-effectiveness of your proposed work plan. In rating this factor HUD will consider: the viability and comprehensiveness of your strategies to address the needs of residents; budget appropriateness/efficient use of grant; the speed at which you can realistically accomplish the goals of the proposed RSDM program; the soundness of your plan to evaluate the success of your proposed RSDM program at completion and during program implementation; and resident and other partnerships; and policy priorities.
The score under this subfactor will be based on the viability and comprehensiveness of your strategies to address the needs of residents.
(a)
(i) For Family RSDM applications, the extent to which your plan provides services that specifically address the successful transition from welfare to work of non-elderly families. To receive a high score, your plan must include case Management/counseling, job training/development/placement (and/or business training/development/startup), child care, and transportation services.
(ii) In order to receive maximum points, the goals and objectives of your proposed plan must represent significant achievements related to welfare-to-work and other self-sufficiency/independence goals. Specifically for those residents affected by welfare reform, the number of residents employed or resident businesses started are preferable to the number of residents receiving training.
(iii) For Elderly and Persons with Disabilities RSDM applications, services in your plan should include case management, health care, congregate services and transportation. To obtain maximum points, you must describe the goals, objectives, and program strategies that will result in increased independence for proposed program participants; your services must be located in a community facility; and must be available on a 12-hour basis or as needed by the eligible residents.
(b)
The score in this factor will be based on the following:
(a)
(b)
(c)
(2 Points for Family RSDM applicants and 4 Points for Elderly and Persons with Disabilities RSDM applicants. More points are awarded in Elderly and Persons with Disabilities RSDM applications in order to balance other sections of the rating criteria where points are not applicable to an Elderly and Persons with Disabilities RSDM applicant)
The score in this factor will be based on a reasonable response that you can accomplish the goals of your proposed RSDM program. To receive a high score, you must demonstrate that it will make substantial program implementation progress within the first six months after grant execution, including putting staff in place, finalizing partnership arrangements, completing the development of requests for proposals, and achieving other milestones that are prerequisites for implementation of the program. In addition, you must demonstrate that your proposed timetable for all components of the proposed program is feasible considering the size of your award and activities and results that can be accomplished within the 36-month time limit.
(3 Points for Family RSDM and Elderly and Persons with Disabilities RSDM) The score in this factor will be based on the soundness of your plan to evaluate the success of your proposed RSDM program both at the completion of your program and during program implementation. At a minimum, you must track the goals and objectives of your proposed work plan program, which must include, if applicable, a plan for monitoring your Contract Administrator's performance. Your application should track specific measurable achievements for the use of program funds, such as number of residents employed, salary scales of jobs obtained, persons removed from welfare roles 12 months or longer, number of elderly or persons with disabilities residents receiving supportive services, and number of persons receiving certificates for successful completion of training in careers such as computer technology.
(a)
(b)
(i) The division of responsibilities/management structure of your proposed partnership relative to the expertise and resources of your partners;
(ii) The extent to which the partnership as a whole addresses the unmet resident needs; and (iii) The extent to which the addition of the partners provides the ability to meet needs that the applicant could not meet without the partner(s).
(c)
This factor addresses your ability to secure community resources (note: financing is a community resource) that can be combined with HUD's program resources to achieve program purposes. You must have at least a 25% cash or in-kind match to receive points under this rating factor. Leveraging in excess of the 25% of the grant amount will receive a higher point value. In evaluating this factor HUD will consider:
The extent to which you have partnered with other entities to secure additional resources to increase the effectiveness of your proposed program activities. The budget, the work plan, and commitments for additional resources and services, other than the grant, must show that these resources are firmly committed, will support the proposed grant activities and will, in combined amount (including in-kind contributions of personnel, space and/or equipment, and monetary contributions) equal at least 25% of the RSDM grant amount proposed in this application. “Firmly committed” means there must be a written agreement with the provider of resources, signed by an official legally able to make commitments on behalf of the organization. The signed, written agreement may be contingent upon you receiving a grant award. Other resources and services may include: the value of in-kind services, contributions or administrative costs provided to the applicant; funds from Federal sources (not including RSDM funds); funds from any State or local government sources; and funds from private contributions. You may also partner with other program funding recipients to coordinate the use of resources in your target area.
You must provide evidence of leveraging/partnerships by including in the application letters of firm commitments, Memoranda of Understanding, or agreements to participate from those entities identified as partners in the application. To be firmly committed there must be a written agreement with the provider of resources signed by an official legally able to make commitments on behalf of the organization. This agreement may be contingent upon you receiving a grant award. Each letter of commitment, Memorandum of Understanding, or agreement to participate should include the organization's name, proposed level of commitment and responsibilities as they relate to the proposed program.
This factor addresses the extent to which your program reflects a coordinated, community-based process of identifying needs and building a system to address the needs by using available HUD funding resources and other resources available to the community.
In evaluating this factor HUD will consider the extent to which your application addresses:
(1)
(2)
(3)
(D)
Applicants for Service Coordinators are required to address application submission requirements but are not required to address selection factors. Eligibility will be determined by applications that meet the threshold requirements of Section IV of this program section of the SuperNOFA. HUD will accept for funding all eligible renewals until funds are exhausted.
All applications for assistance under the ROSS competition regardless of funding categories must include the forms, certifications and assurances listed in Section IV of the
SF-424, Application Federal Assistance;
The standard forms can be found in Appendix B to the
All applicants must include the following information regardless of the category under which they are applying for funds.
(1) ROSS Application Cover Sheet;
(2) ROSS Fact Sheet;
(3) ROSS Program Summary;
(4) Certification of Consistency and Compliance with threshold requirements of General Section of the SuperNOFA;
(5)
(b) Your must demonstrate that the cash or in-kind resources and services, which you will use as match amounts (including resources from a Comprehensive Grant, other governmental units/agencies of any type, and/or private sources, whether for-profit or not-for-profit), are firmly committed and will support the proposed grant activities. “Firmly committed” means there must be a written agreement to provide the resources and services signed by an official legally able to make commitments on behalf of the organization and specifies the cash and/or in-kind assistance to be provided. If offering in-kind assistance, the letter should provide an estimated dollar value for the in-kind services. The written agreement may be contingent upon your receiving a grant award. The following are guidelines for valuing certain types of in-kind contributions:
(c) The value of volunteer time and services shall be computed at a rate of six dollars per hour except that the value of volunteer time and services involving professional and other special skills shall be computed on the basis of the usual and customary hourly rate paid for the service in the community where the activity is located; and
(d) The value of any donated material, equipment, building, or lease shall be computed based on the fair market value at time of donation. Such value shall be documented by bills of sales, advertised prices, appraisals, or other information for comparable property similarly situated not more than one-year old taken from the community where the item or activity is located, as appropriate. You may also satisfy the match requirement by establishing the in-kind value of computer and office equipment, software and space used for training in computer technology, education/employment and skills development for sufficiency training programs such as Twenty/20 Education Communities (TEC Centers).
(B)
Applicants for Resident Management and Business Development grants are required to address application submission requirements, but are not required to address selection factors. Only threshold requirements, and not application submission requirements, will be used for determining eligibility for first-come first serve funding.
All applications for funding under this funding category must contain the following documents and information (Please note that items 1-8 are threshold requirements used to determine awards for this category; items 9-13 will be used for grant administration):
(1) Your application must contain a written certification that at least 51 percent of the public housing residents (including Section 8 tenants as applicable) to be included in the proposed program are currently eligible to receive, are currently receiving, or have received within the preceding four years, assistance or services funded under the TANF, SSI, or food stamp programs.
(2) Your application must contain a signed Memorandum of Understanding (MOU) between the RA and PHA which describes the specific roles, responsibilities and activities to be undertaken by all parties to the MOU. Your MOU, at a minimum must identify the principal parties (i.e. the name of the PHA and RA, the terms of agreement), expectations or terms for each party, and indicate that the agreement pertains to the support of your grant application.
This document is the basis for the foundation of the relationship between the Ra and PHA. The MOU must be precise and outline the specific duties and objectives to be accomplished under the grant. All MOUs must be finalized, dated and signed by duly authorized officials of both the RA and PHA upon submission of the
(3) Accessible Community Facility. You must provide written evidence (e.g. through an executed use agreement if the facility is to be provided by an entity other than the PHA) that a majority of the proposed activities will be administered at community facilities within easy transportation access (i.e., walking or by direct (no transfers required), convenient, inexpensive and reliable transportation of the property represented by the PHA. The written agreement must certify that community facilities meet the structural accessibility requirement of section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act of 1990.
(4) Your application must contain letter(s) of support indicating supplemental grant funds of not less than 25% of the grant amount. See section VI (A) (5) of the program section of this SuperNOFA.
(5) You must provide either a signed certification from HUD or an Independent Public Accountant that your financial management system and procurement procedures fully comply with 24 CFR part 84, or your application must contain a signed Contract Administrator Partnership Agreement that you will use the services of a Contract Administrator in administering your grant. Applicants that are troubled PHAs are required to provide written agreement that a Contract Administrator has been retained for the term of the grant. In cases where the Contract Administrator is the PHA, the Contract Administration responsibilities can be incorporated into the MOU discussed above.
(6) If you are a RA/RC/RMC/CWRO you must include evidence that your organization is registered with the State as a nonprofit corporation at the time of application submission or has section 501(c) status with the United States Internal Revenue Service at the time of application . Evidence of State registration shall be a copy of the certificate of incorporation or certificate of good standing from the State Government (i.e. Secretary of State or Secretary of Corporations). Evidence of 501 (c) status shall be a copy of the IRS 501 (c) designation.
(7) Certification of Resident Council Board Elections. If you are a Resident Organization, you must submit certifications of the RA board election as required by HUD, signed by the local PHA and/or an independent third party monitor and notarized;
(8) List of RAs participating with the City-Wide Resident Organization (CWRO). You must list in your application, the name(s) of RAs that will receive services and you must submit letters of support from each RA identified in your application;
(9) Physical Improvements. You must submit a description of the renovation or conversion to be conducted along with a budget and timetable for those activities. You must demonstrate a firm commitment of assistance from one or more sources ensuring that supportive services will be provided for not less that 2 years following the completion of renovation, conversion, or repair activities funded under this ROSS competition.
The following are application submission requirements and will not be used for determining eligibility for first-come first serve funding.
(10) Explanations for proposed grant activities must be provided by narrative statements or descriptions;
(11) Resident Management and Business Development grant applications must include a narrative description (two page limit) describing the activities that you will carry out with RMBD grant funds. Your description must include specific goals, objectives and program strategies that will result in successful transition of residents from welfare to work or other proposed grant activities;
(12) Your RMBD application must provide information about the RA, including its history, staff qualifications, and its previous experience (two page limit). For proposed grant staffing, you must include a resume or summary of qualifications for all proposed grant staff:
(13) You must provide a summary of a proposed work plan to carry out proposed grant activities. This work plan must include tasks, budgeted amounts, and dates for all activities during the grant period.
All applications for funding under this funding category must contain the following documents and information (Please note that items 1-5 are threshold requirements used to determine awards for this category; items 6-10 will not be used to select awardees):
(1) Written Agreement with Mediator. Only conflict Resolution applicants must develop a work plan with a professional mediator or “grass roots” mediation organization (mediation/partner) that outlines the roles and responsibilities of each party. The work plan must specify that the mediation/partner will train grantee staff and/or volunteers such that the grantee will be capable of providing mediation assistance independently by the end of the grant term.
(2) Mediation Experience/Referral Agreement. Only conflict Resolution applicants must provide evidence that their mediator/partner has at least one year of experience in providing mediation services and at least one year of mediation training. Include either one referral agreement with a judicial, law enforcement, or social service agency such as the court system or Welfare Department for mediation of public housing residents, or a narrative description of direct experience with public or assisted housing residents.
(3) Applicant Nonprofit Status. You must provide evidence that your organization has registered with the State as a nonprofit corporation or has 501(c) nonprofit corporation status with the United States Internal Revenue Service at the time of application submission.
(4) Your application must contain letter(s) of support indicating supplemental grant funds of not less than 25% of the grant amount. See section VI(A)(5) of this program section of the SuperNOFA.
(5) List of RAs Receiving Support. In CB and CR applications, you must list in your application the name of the RAs that will receive training, technical assistance and/or coordinated supportive services and you must submit letters of support from each entity identified in your application.
The following are application submission requirements. Only threshold requirements, and not application submission requirements, will be used to determine eligibility for first-come first serve funding.
(6) Explanations for proposed grant activities must be provided by narrative statements or descriptions as well as the forms indicated below:
(7) Needs Assessment. For the CB and CR grant applications you must provide a narrative description of proposed activities that addresses the following information:
(i) A description of the geographic boundaries of the RAs or RMCs included in the application;
(ii) A description of the public housing community;
(iii) A detailed description of the issues or problems involved with each RA to be served by the grant; and
(iv) The resources that are currently being devoted to the problem or issue under consideration.
(8) Proposed Program Activities. Resident Management and Business Development grant applications must include a narrative description describing the activities that you will carry out with CB/CR grant funds. Your description must include specific goals, objectives and program strategies that will result in successful proposed grant activities;
(9) Experience and Staffing. Your CB/CR grant application must provide information about the RA, including its history, staff qualifications, and its previous experience (two page limit). For proposed grant staffing, you must include a resume or summary of qualifications for all proposed grant staff:
(10) Budget and Cost Information. You must provide a summary of your proposed work plan to carry out your proposed grant activities. The work plan must include tasks/activities, budgeted amounts, and start and end dates for all activities during the grant period.
All applications for funding under this funding category must contain the following documents and information (Please note that items 1-9 are threshold requirements used to determine scoring of ranking and ranking factors for this category):
(1) Your application must contain a written certification that at least 51 percent of the public housing residents (including Section 8 tenants as applicable) to be included in the proposed program are currently eligible to receive, are currently receiving, or have received within the preceding four years, assistance or services funded under the TANF, SSI, or food stamp programs.
(2) Elderly and/or Disabled Housing Development Certification. A certification that at least 25% of the residents of the development(s) proposed for grant activities are elderly and/or non-elderly people with disabilities at the time of application.
(3) Accessible Community Facility. You must provide evidence (e.g. through an executed use agreement if the facility is to be provided by an entity other than the PHA) that a majority of the proposed activities will be administered at community facilities within easy transportation access (i.e., walking or by direct (no transfers required), convenient, inexpensive and reliable transportation of the property represented by the PHA. The written agreement must certify that the community facilities meet the structural accessibility requirements of section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act of 1990.
(4) Your application must contain letter(s) of support indicating supplemental grant funds of not less than 25% of the grant amount. See section VI (A)(5) of this program section of the SuperNOFA.
(5) Physical Improvements. You must submit a description of the renovation or conversion to be conducted along with a budget and timetable for those activities. You must demonstrate a firm commitment of assistance from one or more sources ensuring that supportive services will be provided for not less that 2 years following the completion of renovation, conversion, or repair activities funded under this ROSS competition.
(6) You must provide either a signed certification from HUD or an Independent Public Accountant that your financial management system and procurement procedures fully comply with 24 CFR part 84, or your application must contain a signed Contract Administrator Partnership Agreement that you will use the services of a Contract Administrator in administering your grant. Applicants that are troubled PHAs are required to provide evidence that a Contract Administrator has been retained for the term of the grant. In cases where the Contract Administrator is the PHA, the Contract Administration responsibilities can be incorporated into the MOU discussed above.
(7) Applicant Non-Profit Status. Except for PHAs, you must provide evidence that the applicant is registered with the State as a nonprofit corporation or has 501(c) status with the United States Internal Revenue Service at the time of application submission. Evidence of State registration shall be a copy of the certificate of incorporation or certificate of good standing from the State Government (i.e. Secretary of State or Secretary of Corporations). Evidence of 501(c) status shall be a copy of the IRS 501(c) designation.
(8) Certification of Resident Council Board Elections;
(9) List of RAs Receiving Support. In RSDM applications you must list in your application the name of the RAs that will receive training, technical assistance and/or coordinated supportive services and must submit letters of support from each entity identified in your application.
(10) Responses to Factors of Award may be narrative statements or descriptions and the forms indicated below:
All applications for funding under this funding category must contain the following documents and information (Please note that items 1-4 are threshold requirements used to determine renewal funding for this category):
(1) Elderly Housing Development Certification. A certification that at least 25% of the residents of the development(s) proposed for grant activities are elderly and/or non-elderly people with disabilities at the time of application.;
(2) Accessible Community Facility. The application must provide evidence (e.g., through an executed use agreement or MOU if the facility is to be provided by an entity other than the PHA. The majority of the proposed activities will be administered at community facilities within easy transportation access, i.e., walking or by direct (no transfers required), convenient, inexpensive and reliable transportation, to the property represented by the PHA. Your executed use agreement or MOU must specifically state that the community facilities meet the structural accessibility requirements of section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act of 1990.
(3) Your application must contain letter(s) of support indicating supplemental grant funds of not less
(4) SC Request Letter Format; The following are application submission requirements. Only threshold requirements, and not application submission requirements, will be used for determining eligibility for renewal funding.
(5) Evidence of comparable salaries in local area;
(6) Lead Agency letter format (if appropriate);
The
It is anticipated that most activities under this ROSS funding will be categorically excluded under 24 CFR 50.19(b)(3), (b)(9), (b)(12), or (b)(14). An applicant proposing any acquisition, including long-term leasing, disposition, or physical development activities is prohibited from rehabilitating, converting, leasing, repairing or constructing property, or committing or expending HUD or non-HUD funds for these types of program activities, until one of the following has occurred:
(1) If the grantee is not a PHA, HUD has completed an environmental review to the extent required by 24 CFR part 50, prior to grant award.
(2) If the grantee is a PHA, HUD has approved the grantee's Request for Release of Funds (HUD Form 7015.15) following a Responsible Entity's completion of an environmental review under 24 CFR part 58, where required, or if HUD has determined in accordance with § 58.11 to perform the environmental review itself under part 50, HUD has completed the environmental review.
Section 34 of the U.S. Housing Act of 1937.
The non-standard forms, which follow, are required for the ROSS application.
If you are interested in applying for funding under this program, please review carefully the
See the
HUD has available a maximum of up to $6.0 million for the OTAG program, as appropriated in Pub. L. 105-65, “Multifamily Assisted Housing Reform and Affordability Act of 1997” (MAHRA), (Title V-HUD Multifamily Housing Reform, Subtitle A—Section 514—Mortgage Restructuring and Rental Assistance Sufficiency Plan), amended by section 534 of the Department of Veterans Affairs and Housing and Urban Development and Independent Agencies Appropriations Act, 2000.
(A)
(B)
(a) A resident-controlled nonprofit organization with a majority of the board consisting of residents of HUD assisted housing, and have at least two years of experience in resident organizing and education;
(b) A Community-Based Organization (CBO), with at least two years of experience in resident organizing and education; or
(c) A public entity such as: Community action, legal service, and fair housing counseling agencies; state and local government agencies; and intermediaries.
(2) These grants will be awarded on a community-, city-, county-, multi-county-, or state-wide basis. Approved grantees must initiate an outreach program that will identify, deliver training to, and develop a process to organize the unorganized residents of eligible low-income housing so they can participate in the changes occurring at the property and understand the options available to them. If your group is applying for an OTAG you must have at least two years of experience in organizing and training tenants to create a tenant organization that is able to keep tenants informed of their rights and responsibilities under Section 8, or have an affiliation with an organization that has such experience. However, the affiliated organization providing the experience must
(3) All funds expended under this program section of the NOFA must be used for tenant activities as described later in this program section.
(4) The definition of a CBO is: A private nonprofit organization that:
(a) Is organized under state or local laws;
(b) Has no part of its earnings accruing to the benefit of any member, founder, contributor, or individual;
(c) Is neither controlled by, nor under the direction of, individuals or entities seeking to derive profit or gain from the organization;
(d) Does not include a public body (including the participating jurisdiction) or an instrumentality of a public body. The state or local government may not have the right to appoint more than one-third of the membership of the CBO's governing body and no more than one-third of the board members can be public officials;
(e) Has a standard of financial accountability that conforms to 24 CFR part 84;
(f) Has among its purposes the provision of decent housing that is affordable to low-income and moderate-income persons, as evidenced in its charter, articles of incorporation, resolutions or by-laws;
(g) Is accountable to low-income community residents by:
(i) Having at least one-third of its governing board's membership consisting of low-income neighborhood residents, other low-income community residents, or elected representatives of low-income neighborhood organizations. For urban areas, “community” may be a neighborhood or neighborhoods, town, village, county, or multi-county area or state; and
(ii) Providing a formal process for low-income program beneficiaries to advise the CBO on its decisions regarding the acquisition, rehabilitation and management of affordable housing.
(C)
(1) Identifying residents and resident groups living in eligible properties. Eligible properties include any property with an expiring Section 8 contract that may not be renewed and properties whose tenants have received notice that the owner intends to prepay its HUD-insured mortgage;
(2) Providing outreach and training to tenants to explain the changes to the Section 8 contract renewal or the impact the non-renewal will have on tenants;
(3) Organizing residents of eligible low-income housing so the tenants can effectively participate in the decision making resulting from the changes in the rental assistance or changes in the building's ownership;
(4) Performing outreach, training, and counseling consisting of fair housing counseling, which may include teaching sound housing management, maintenance, and financial management and requirements of the Fair Housing Act, to residents and resident groups living in eligible OTAG properties;
(5) Delivering project-based, community-, city-, county-, or state-wide training programs on resident homeownership options;
(6) Establishing an information clearinghouse as a resource to resident organizations, community groups and potential purchasers within their assigned jurisdiction;
(7) Creating informational materials about changes to current Section 8 contracts for local/state-wide distribution;
(8) Assisting tenants and others approved by HUD to understand their rights under the Section 8 renewal or opt-out process;
(9) Educating parties outside the Department (including but not limited to appraisers, financial institution officials, state and local government officials, community groups, and owner entities) about changes to Section 8 contracts, impacts on the property, and the OTAG process;
(10) Reimbursing the expenses of individual tenants necessary to attend tenant meetings, limited to child care and transportation (the grantee shall multiply $1.00 times the number of units in the building to determine the total amount of funds available for reimbursement; tenants attending the meeting may be reimbursed for actual expenses, with the aggregate reimbursement not to exceed this amount.);
(11) Purchasing of computers that are necessary for the proposed activities of this grant (reimbursement shall be limited to $1,000); and
(12) Other activities approved by HUD, which will further the purposes of the grant.
(D)
(1) Purchase of land or buildings or any improvements to land or buildings or real estate brokering fees;
(2) Activities already being performed or that would result in duplication of funding;
(3) Activities completed prior to date funding is approved under this NOFA;
(4) Activities that do not meet the purposes and intent of this NOFA; and
(5) Entertainment, including associated costs such as food and beverages, including refreshments and supplies for organizational meetings.
(A)
(B)
All accounting and other records associated with OTAG administration must be made available to HUD or its designee upon request.
(C)
(1) Funds received under the OTAG program shall not be used to supplant or duplicate other resources for the proposed activities. In carrying out your duties under this program, you must avoid even the appearance of a conflict of interest. All executives, board members, key management personnel, or any other person or entity with direct or indirect control, are required to execute a Conflict of Interest Certification at the time of execution of your Grant Agreement and on each anniversary date of execution.
(2) If you are providing services under your Grant Agreement that are related to a specific property, and any group related to that property receives grant funds under an Intermediary Technical Assistance Grant (ITAG) program, you must cease billing for activities related to that property under the Grant Agreement within 30 days.
(3) If you provide any services (e.g., consultant) to any property or entity that receives ITAG or OTAG funding, they must report such services and the compensation received for such services in the reports submitted under the Grant Agreement. All OTAG and consultant services under an OTAG grant must be maintained with separate records and funds cannot be co-mingled.
(4) You may only receive funding under another technical assistance grant program (i.e., Public Entity Grants) if the proposed activities qualify under the terms of such grants and do not duplicate activities eligible under your OTAG's Grant Agreement.
(D)
(E)
Two types of reviews will be conducted: (1) A threshold review to determine applicant eligibility; and (2) evaluation of your response to the factors for award described below.
(A)
(B)
HUD will rate your application based on your organization's capacity and staffing to carry out activities of the kind proposed in your application. In rating this factor HUD will consider the extent to which your proposal demonstrates:
(1)
(2)
(3)
(4)
(5)
This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the urgency of meeting the need in the area you targeted for assistance. Need will be evaluated based on the number of properties with project-based assistance in the geographic area for which you propose to provide services and in which the HAP contracts expire between January 2000 and December 31, 2003. Points will be awarded based on the following:
Additional points will be awarded based on the number of properties in which the owner has opted-out of the Section 8 contract within the geographic area in the period from 1997-1999.
A list of projects with project-based assistance and a list of properties in which the owner opted out of Section 8 will be made available with the application kit.
This factor addresses the quality and cost-effectiveness of your proposed work plan. There must be a clear relationship between your proposed activities, community needs and the purpose of the program funding to receive points for this factor. This factor will be evaluated based on the extent to which your proposed activities will:
(1)
(2)
(3)
This factor addresses your ability to secure community assets, resources and/or financing to achieve program purposes. In evaluating this factor HUD will consider:
(1)
(2)
Evidence of commitment must include letters of firm commitment signed by the chief executive officer of organizations legally able to commit the organization, indicating the dollars or in-kind services or donations to be provided to the applicant to conduct your program activities. Letters of commitment, memoranda of understanding, or agreements to
This factor addresses the extent to which the applicant coordinates its activities with other known organizations, participates or promotes participation in a community's Consolidated Planning process, and is working toward addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. In evaluating this factor, HUD will consider the extent to which you can demonstrate that you have:
(1)
(2)
(3)
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other federal, state or locally funded activities, including those proposed or on-going in the community.
(c) The HUD Field Office that has responsibility for the projects in which you will carry out activities.
(C)
Funds will be awarded based upon the highest scores, which represent the best overall assessment of the potential of the proposed work activities for achieving the principal objectives of this competition. Applicants not found to be technically qualified will not be considered for funding. If two or more applications have the same number of points, a resident-controlled (51 percent or more of Board participation by HUD tenants) nonprofit organization will receive priority rating over a nonprofit organization that is not resident-controlled.
HUD reserves the right to make selections out of rank order to provide for geographic distribution of funded OTAGs. The approach HUD will use, if it decides to implement this option, will be to award to the highest ranked applicant in a state, and to fund the next highest ranked applicants in another state before duplicating funding for any one state.
After all applications have been rated and ranked and selections have been made, HUD may require that all winners participate in negotiations to determine the specific terms of the Statement of Work and the grant budget. In cases where HUD cannot successfully conclude negotiations, or a selected applicant fails to provide HUD with requested information, awards will not be made. In such instances, HUD may elect to offer an award to the next highest ranking applicant. After award but before grant execution, winners will be required to provide a certification from an Independent Public Accountant or the cognizant government auditor, stating that the financial management system employed by the applicant meets prescribed standards for fund control and accountability required by OMB Circular A-133, Uniform Administrative Requirements for Grant Agreements With Institutions of Higher Education, Hospitals, and other Non-Profit Organizations, Revised OMB Circular A-110, or 24 CFR part 85 for states and local governments, or the Federal Acquisition Regulations (for all other applicants). This information should contain the name and telephone number of the Independent Auditor, cognizant federal auditor, or other audit agency, as applicable.
(A) Your OTAG application must contain the items listed in this Section VI(A). These items include the standard forms, certifications, and assurances listed in the
(1) Application for Federal Assistance, SF-424;
(2) Federal Assistance Funding Matrix, HUD-424M;
(3) Budget Information, SF-424A;
(4) Assurances for Non-Construction, SF-424B
(5) Certification of Drug-Free Workplace, HUD-50070;
(6) Disclosure of Lobbying Activities, SF-LLL (if applicable);
(7) Applicant/Recipient Disclosure/Update Form, HUD-2880;
(8) Certification Regarding Debarment and Suspension, HUD-2992;
(9) Certification of Consistency with the EZ/EC Strategic Plan, HUD-2990 (if applicable);
(10) A narrative response to Rating Factor 1—Capacity. Information about applicant, including your history, staff qualifications, and experience
(11) In response to Rating Factor 2, a map outlining the proposed geographic area in which you will perform OTAG activities, including your determination of the number of Projects with HAP contract expirations between January 1, 2000 and December 31, 2003 and the number of Section 8 contracts that an owner has opted out of during the period from 1997-1999.
(12) A narrative response to Rating Factor 3, including a proposed plan of activities you will carry out, including your proposed budget to carry out the proposed activities
(13) A narrative response to Rating Factor 4, including signed third-party
(14) A narrative response to Rating Factor 5; and
(15) Acknowledgment of Application Receipt form.
(B) Your application must meet all the applicable threshold requirements of the General Section of this SuperNOFA.
The General Section of the SuperNOFA provides the procedures for corrections to deficient applications.
In accordance with 24 CFR 50.19(c)(9) and (13) and 58.34(a)(9) and 58.35(b)(2), the assistance provided by these programs relates only to the provision of technical assistance and supportive services (up to $6.0 million) and is categorically excluded from the requirements of the National Environment Policy Act and not subject to environmental review under the related laws and authorities. This determination is based on the ineligibility of real property acquisition, construction, rehabilitation, conversion, leasing or repair for HUD assistance under these technical assistance programs.
Section 514, Multifamily Assisted Housing Reform and Affordability Act of 1997, and section 534 of the Department of Veteran Affairs and Housing and Urban Development and Independent Agencies Appropriations Act, 2000.
(1) Up to $14.1 million for proposals for general economic development projects, and;
(2) Up to $10.0 million for regional economic development projects.
If you are interested in applying for funding under this program, please review carefully the
See the
When submitting your application, please refer to
See the
A maximum of $24.1 million is available for the EDI program for FY 2000, as appropriated in Pub.L. 106-74, the FY 2000 HUD Appropriations Act.
If any additional funds become available during Fiscal Year 2000, HUD may either fund additional applicants in accordance with this program section of this SuperNOFA or may add these funds to any future EDI competitions. If additional funds are used for this competition, they shall be distributed in proportion to the demand for funds in general economic development projects and regional economic development projects. Eligible applications in both categories will be funded in rank order.
(A)
In addition to funding general economic development projects, HUD is announcing for FY 2000 its intention to target a specific amount for regional economic development projects. Regional economic development projects are those which demonstrate broad economic benefit to a region and result from a project undertaken by combinations of units of general local governments formalized through an executed inter-municipal agreement among the participants. HUD believes such projects are deserving of special consideration based on their cross-jurisdictional and regional benefits,
One application shall be submitted for each regional economic development project which must consist of two parts: Part I, Lead Applicant's Submission, must include a Cooperative Agreement which stipulates a workplan for the regional economic development project. The Cooperative Agreement must be executed by the chief executives of the participating jurisdictions. The Cooperative Agreement workplan must indicate the overall purpose, objectives and accomplishments expected from carrying out the project. Your application shall also include the Standard Form 424, the required certifications signed by the lead applicant, and other materials as described in Section IV(D) of this program section of this SuperNOFA. The lead applicant shall be responsible for coordinating actions of the workplan with respect to timing and scheduling. Part II of the application, Participating Members' Plans, shall contain discrete EDI and Section 108 loan guarantee requests by each participating member identifying activities to be financed by the jurisdiction with grant funds and guaranteed loan proceeds and shall meet the other requirements described more fully in Section VI D(2). The member submission must be consistent with the member's applicable portion of the Cooperative Agreement submitted by the lead applicant. HUD reserves the right to clarify any discrepancies between the lead applicant's submission and the participating member's submission under the provisions regarding technical discrepancies described in the
HUD will rate the regional economic development project as a whole, including the details included in the Cooperative Agreement workplan submitted by the applicant. Economic development projects may include projects where the participating partners invest in one project with each participating partner's role (e.g. specific contributions to the project, funding being provided) demonstrating how the activity is both necessary to further the regional objectives while accruing benefits to residents of the jurisdiction. An economic development project might also include projects carried out within the boundaries of each participating member's jurisdiction where the effect of carrying out the project activities in multiple jurisdictions will create a regional synergy that will result in a reduction or elimination of high poverty levels, high unemployment rates or otherwise support other on-going economic development projects.
HUD reserves the right to determine whether an application qualifies for ranking as a regional economic development project as described above, or meets the general economic development project category.
(1)
(2)
(b) The CDBG program provides grant funds (approximately $4.240 billion in FY 2000) by formula to eligible local governments (either directly or through States) to carry out community and economic development activities. The Section 108 loan guarantee program provides local governments with a source of financing for economic development, public facilities and other eligible large scale physical development projects. HUD is authorized pursuant to Section 108 to guarantee notes issued by CDBG entitlement communities, and non-entitlement units of general local government eligible to receive funds under the State CDBG program. The Section 108 program is subject to the regulations of 24 CFR part 570 applicable to the CDBG program, as described in 24 CFR part 570, subpart M. EDI grants must support Section 108 loan guarantees as generally described in this program section of this SuperNOFA.
(c) For FY 2000, the Section 108 program is authorized at $1.261 billion in loan guarantee authority. The full faith and credit of the United States will be pledged to the payment of all guarantees made under Section 108. Under this program, communities (and States, if applicable) pledge their continuing CDBG allocations as security for loans guaranteed by HUD. The Section 108 program, however, does
(3)
(a) By strengthening the economic feasibility of the projects financed with Section 108 funds (and thereby increasing the probability that the project will generate enough cash to repay the guaranteed loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation techniques.
(4)
(5)
(6)
(a)
(b)
(i) The use of EDI grant funds may be structured in appropriate cases to improve the likelihood that project-generated cash flow will be sufficient to cover debt service on the Section 108 loan and directly to enhance the security of the guaranteed loan. One technique for accomplishing this approach is over-collateralization of the Section 108 loan.
(ii) An example is the creation of a loan pool funded with both Section 108 and EDI grant funds. The community would make loans to various businesses from the combined pool at an interest rate equal to or greater than the rate on the Section 108 loan. The total loan portfolio would be pledged to the repayment of the Section 108 loan.
(c)
(d)
(i) While the rates on loans guaranteed under Section 108 are only slightly above the rates on comparable U.S. Treasury obligations, they may nonetheless be higher than can be afforded by businesses in severely economically distressed neighborhoods. The EDI grant can be used to make Section 108 financing affordable.
(ii) EDI grant funds could serve to “buy down” the interest rate up front, or make full or partial interest
(e)
(B)
(2) Applicants for both general economic development projects and regional economic development projects must comply with the threshold requirements of Section II of the
(C)
(2) Each activity assisted with Section 108 loan guarantee or EDI funds must meet a national objective of the CDBG program as described in 24 CFR 570.208. You must clearly identify in your narrative statement (as described in Section V.(B) below) the CDBG national objective your proposed project will achieve and provide the appropriate CDBG national objectives regulatory citation found at 24 CFR 570.208. Also, you must address, when applicable, how your proposed activities will comply with the public benefit standards of the CDBG program as reflected in the regulation at 24 CFR 570.209 for the CDBG Entitlement and Small Cities programs or 24 CFR 570.482 for the State CDBG program.
(3) In the aggregate, your use of CDBG funds, including any Section 108 loan guarantee proceeds and section 108(q) (EDI) funds provided pursuant to this program section of this SuperNOFA, must comply with the CDBG primary objectives requirement as described in section 101(c) of the Act and 24 CFR 570.200(c)(3), or 24 CFR 570.484 in the case of State grantees.
(4) For purposes of a unit of general local government's compliance with CDBG primary and national objectives and public benefit regulations for regional economic development projects, only the EDI grant funds and section 108 loan guarantee proceeds made available to each unit of general local government participating in the project shall be counted toward that unit's primary objective, low and moderate income benefit national objective, and public benefit percentage goals. In addition, each unit of general local government's Section 108 outstanding obligations for purposes of compliance with 24 CFR 570.705(a)(2) (regarding maximum outstanding section 108 guaranteed obligations) shall include only those obligations issued by such unit of general local government itself, not those issued by other participating jurisdictions.
(A)
(B)
(C)
(1) Each EDI application must be accompanied by a request for new Section 108 loan guarantee assistance. Notwithstanding the form of your request for new section 108 loan guarantee assistance under paragraphs (a), (b), (c), or (d) of this section below, you must include citations to the specific regulatory subsections supporting activity eligibility and national objectives compliance for the project described in your application. Both the EDI and Section 108 funds must be used in conjunction with the same economic development project. This request may take any of several forms as defined below.
(a) A formal application for new Section 108 loan guarantee(s), including the documents listed at 24 CFR 570.704(b).
(b) A brief description (not to exceed three pages) of the project to be applied for in a new Section 108 loan guarantee application(s). Such 108 application(s) must be submitted within 60 days of a notice of EDI selection, with HUD reserving the right to extend such period on a case-by-case basis where HUD determines there is evidence of good cause. EDI awards will be conditioned on approval of actual Section 108 loan commitments. This Section 108 application description must be sufficient to support the basic eligibility of the proposed project and activities for Section 108 assistance. (See Section III(C) of this program section of this SuperNOFA.)
(c) A copy of a pending, unapproved Section 108 loan guarantee application, and any proposed amendments to the Section 108 application which are related to the EDI application. The applicant's submission of such an EDI/Section 108 application shall be deemed by HUD to constitute a request to suspend separate processing of the Section 108 application. The Section 108 application will not be approved until on or after the date of the related EDI award.
(d) A request for a Section 108 loan guarantee assistance (analogous to Section IV(C)(1)(a) or (b) above) that proposes to increase the amount of a previously approved application. However, any amount of Section 108
(2) Further, a Section 108 loan guarantee amount that is required to be used in conjunction with a prior EDI or Brownfields Economic Development Initiative (BEDI) grant award, whether or not the Section 108 loan guarantee has been approved as of the date of this SuperNOFA, is not eligible for an EDI award under this SuperNOFA. For example, if a public entity has a previously approved Section 108 loan guarantee commitment of $12 million, even if none of the funds have been utilized, or if the public entity had previously been awarded an EDI grant of $1 million and had certified that it will submit a Section 108 loan application for $10 million in support of that EDI grant, the public entity's EDI application under this SuperNOFA must propose to increase the amount of its total Section 108 loan guarantee commitments beyond those amounts (the $12 million or $10 million in this example) to which it has previously agreed.
(D)
(1) EDI grants must not be used as a resource to immediately repay the principal of a loan guaranteed under Section 108. Repayment of principal is only permissible with EDI grant funds as a matter of security if other sources projected for repayment of principal prove to be unavailable.
(2) You may not use Section 108 funds to finance activities that also include financing generated through the issuance of federally tax exempt obligations. Pursuant to Office of Management and Budget (OMB) Circular A-129 (Policies for Federal Credit Programs and Non-Tax Receivables), Section 108 guaranteed loan funds may not directly or indirectly support federally tax-exempt obligations.
(3) HUD will not consider for funding any EDI proposal in which the related Section 108 loan guarantee would be used solely as security. EDI funds are to be used to support and enhance activities financed with Section 108 loan guarantee proceeds from HUD's interim lending or public offering mechanisms and thereby leverage greater use of the Section 108 program. Awarding EDI funds to a project which would use the Section 108 guarantee only as a security guarantee for other financing can be tantamount to making a simple grant to the project and thereby fails to fulfill the goals of the EDI program.
(E)
(F)
(2) HUD will cap EDI awards at a maximum of $2 million for both general and regional economic development projects. Any application in excess of $1 million may be reduced below the amount requested by the applicant if HUD determines that such a reduction is appropriate. In the case of regional economic development projects, these caps shall apply to the total project amount for the regional economic development project.
(3) If additional EDI grant funds become available (e.g., from recaptures, appropriations) to HUD, HUD reserves the right to award grants under this SuperNOFA during FY 2000 whose aggregate total may exceed the $24.1 million announced in this program section of this SuperNOFA, up to the maximum amount authorized by law. If HUD decides to award grants from these additional funds, HUD may make such funds available in proportion to the demand for funds in either the general economic development projects or regional economic development projects and the projects shall be funded in rank order.
(4) In the event you are awarded an EDI grant that has been reduced below the original request (e.g. the application contained some activities that were ineligible or there were insufficient funds to fund the last competitive application at the full amount requested or there were technical deficiencies that could not be resolved), you will be required to modify your project plans and application to conform to the terms of HUD's approval before HUD will execute a grant agreement. HUD also will proportionately reduce or deobligate the EDI award if you do not submit approvable Section 108 loan guarantee applications on a timely basis (including any extension authorized by HUD) in the amount required by the EDI/108 leveraging ratio which will be approved by HUD as a special condition of the EDI grant award (see Section IV(E)(1) above of this program section of the SuperNOFA). Any modifications or amendments to your application approved pursuant to this SuperNOFA, whether requested by you or by HUD, must be within the scope of the approved original EDI application in all respects material to rating the application, unless HUD determines that the revised application remains within the competitive range and is otherwise approvable under this SuperNOFA competition.
(5) In the case of requested increase in guarantee assistance for a project with a previously approved Section 108 loan guarantee commitment (as further discussed in Section IV(C)(1)(d), above), the EDI assistance approved will be based on the increased amount of Section 108 loan guarantee assistance.
(6) Pursuant to another portion of this SuperNOFA, HUD is simultaneously announcing the availability of $25 million of Brownfields Economic Development Initiative (BEDI) funds. While HUD will permit applicants to pursue BEDI and EDI funds for the same project, HUD requires that the BEDI and EDI applications (and their components)
(G)
(2) HUD notice to you of the amount and conditions of EDI funds awarded, based upon review of the EDI application, constitutes an obligation of grant funds, subject to compliance with the conditions of award and execution of a grant agreement. EDI funds must not be disbursed to the public entity before the issuance of the related Section 108-guaranteed obligations.
(H)
(A)
(2) All technically acceptable applications will be scored under the selection criteria below. Applications will be selected for funding in two groups as follows:
(a) All acceptable EDI grant applications for general economic development projects will be separately ranked in order of points assigned with the applications receiving more points ranking above those receiving fewer points. Acceptable economic development applications must meet the threshold requirements stipulated in the
(b) All acceptable EDI applications for regional economic development projects will be separately ranked in order of points assigned with the application receiving more points ranking above those receiving fewer points. Acceptable applications for regional economic development projects are those that meet the threshold requirements in the
Economic development projects may include projects where the participating partners invest in one project with each participating partner's role (e.g. funding, planning) being explained to demonstrate how the activity is both necessary to further the regional objectives while accruing reasonable benefits to residents of the partner's jurisdiction. An economic development project might also include projects carried out within the boundaries of each participating member's jurisdiction where the effect of carrying out the project activities in multiple jurisdictions will create a regional synergy that will cause a reduction to or elimination of the regional problem or condition (e.g., high poverty levels, high unemployment). The workplan must describe such jurisdictional efforts and the extent to which their combined efforts accomplish the objectives of the regional economic development project. Regional economic development projects will be funded in rank order until the total aggregate amount of the applications funded is equal to up to $10 million (subject to the Department's discretion described in section V(A)(4) below);
(c) If there are more EDI funds than general economic development projects qualified for funding then such excess funds can be shifted to fund regional economic development projects qualified for funding.
(3) After selection, but prior to award, if HUD determines that your application could be funded at a lesser EDI grant amount than requested consistent with feasibility of the funded project or activities and the purposes of the Act, HUD reserves the right to reduce the amount of the EDI award and/or increase the required Section 108 loan guarantee commitment, if necessary. An application in excess of $1 million may be reduced below the amount requested by the applicant if HUD determines that such a reduction is appropriate.
(B)
(1) Provide narrative statements describing the activities that you will carry out with the EDI grant funds. Your narrative statement must not exceed three (3) 8.5′′ by 11″ pages.
(2) Describe how your proposed uses of EDI funds will meet the national objectives under 24 CFR 570.208 for the CDBG program and qualify as eligible activities under 24 CFR 570.703.
(3) You must respond to the rating factors below. Each of the listed rating factors (or, where applicable, each
(4) Print your narrative statements in 12 point type/font, and use sequentially numbered pages.
(C)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which you have the organizational resources necessary to successfully implement your proposed activities in a timely manner. The rating of the “applicant” or the “applicant's organization and staff” for will include any subcontractors, consultants, subrecipients, and members of consortia that are firmly committed (i.e., has a written agreement or a signed letter of understanding with the applicant agreeing in principle to its participation and role in the project). In rating this factor, HUD will consider the following:
(1) With regard to the EDI/Section 108 project you propose, you should demonstrate that you have the capacity to implement the specific steps required to successfully carry out your proposed EDI/Section 108 project. This includes factors such as your:
(a) Performance in the administration of your CDBG, HOME or other programs;
(b) Previous experience, if any, in administering a Section 108 loan guarantee;
(c) Performance and capacity in carrying out economic development projects;
(d) Ability to conduct prudent underwriting;
(e) Capacity to manage and service loans made with the guaranteed loan funds or previous EDI or BEDI grant funds;
(f) Capacity to carry out your projects and programs in a timely manner; and,
(g) If applicable, your capacity to manage projects under this program section of this SuperNOFA along with any federal funds awarded as a result of a federal urban Empowerment Zone/Enterprise Community designation (including Enhanced Enterprise Community (EEC) designation).
(2) If you have previously received an EDI or BEDI grant award(s), you must describe the status of the implementation of those project(s) assisted with EDI or BEDI funds, any delays that have been encountered and the actions you are taking to overcome any such delays to carry out the project in a timely manner. For such previously funded EDI or BEDI grant projects, HUD will consider the extent to which you have used the awarded EDI or BEDI grant funds and the associated Section 108 guaranteed loan funds, and the accomplishments achieved.
(3) The capacity of subrecipients, nonprofit organizations and other entities that have a role in implementing your proposed program will be included in this review.
(4) In addition to the application, HUD also may rely on information from performance reports, financial status information, monitoring reports, audit reports and other information available to HUD in making its determination under this factor.
(5) For regional economic development projects submitted under Part II of the application by each participating member: the extent to which the participating member's description under this factor is supportive of and compatible with the description in the overall workplan incorporated into the Cooperative Agreement.
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding your proposed activities based on levels of distress, and an indication of the urgency of meeting the need/distress in your target area.
(1) In applying this factor, HUD will consider current levels of distress in the immediate community to be served by your project and the jurisdiction applying for assistance. If you are able to indicate a level of distress in the immediate project area that is greater than the level of distress in your jurisdiction as a whole, HUD will give your application a higher score for this factor. HUD requires you to use sound and reliable data that is verifiable to support the level of distress you claim in your application. You must provide a source for all information you cite and indicate the publication date or origination date of the data.
(2) In previous EDI competitions, the poverty rate was often considered the best indicator of distress. Therefore, at a minimum, your response must provide the poverty rate for your jurisdiction as a whole and for the areas to be served and/or where the EDI/Section 108 funded project is located; however, in addition, you may demonstrate the level of distress with other factors such as income levels and unemployment rates.
(3) Regional economic development projects only: Additionally, the lead applicant must identify the region's problems that have impacted negatively or adversely on sound regional economic development growth and the attractiveness of the region for economic development opportunities requiring immediate attention to correct which changes are the result of national shifts in the economy. HUD requires the use of sound and reliable data (e.g., U.S. Census data, statistical reports, university studies/reports) to document such national shifts or conditions to support the claims in your application.
(4) To the extent that your Consolidated Plan and your Analysis of Impediments to Fair Housing choice (AI) identifies the level of distress in the community and the neighborhood in which your project is being carried out, you should include references to such documents in preparing your response to this factor. Also, you should discuss the extent to which the analysis of impediments identifies unhealthy environmental conditions in your project area, and how such conditions negatively impact your target neighborhood.
(5) For regional economic development projects submitted under Part II of the application by each participating member: HUD will evaluate the extent to which the participating member's description under this factor is supportive of and compatible with the description in the overall workplan incorporated into the Cooperative Agreement.
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of your proposed plan. There must be a relationship between the proposed activities, community needs and purposes of the program funding for you to receive points for this factor. In rating this factor, HUD will consider the following:
(1) The quality of your plan/proposal for the use of EDI funds and Section 108 loan funds, including the extent to which your proposed plan for effective use of EDI grant/Section 108-guaranteed loan funds will address the needs you described in Rating Factor 2 above
(2) The extent to which your plan is feasible and likely to achieve its stated purpose. HUD's desire is to fund projects and activities which will quickly produce demonstrable results and advance the purposes of the EDI program, including the number of jobs to be created by the project and the impact of the project on job creation that will benefit individuals on welfare or low to very low income persons. You should demonstrate that you have a clear understanding of the steps required to implement your project, the actions that you and others responsible for implementing your project must complete. You must include a time schedule for carrying out your project. You must use the timeline form contained in the Appendix A to this program section of this SuperNOFA.
(3) For Regional economic development projects: Points will be received for this factor to the extent to which:
(a) Your workplan is feasible there are specific projects and activities and benefits to be derived from the projects and activities in your plan that will work to address the specific regional needs described in Rating Factor 2;
(b) Responsibilities are delineated;
(c) Activities/actions undertaken by the participating partners are shown to contribute to the cooperative undertaking and will effect cohesiveness in the cooperative relationship; and
(d) The extent to which your proposal addresses the conditions that have negatively and adversely impacted the region's competitiveness with other regions and emphasizes solutions to such regional problems that stress emerging technologies, environmentally sound developments and/or tourism. Where proposed activities for regional economic development projects are designed to enhance existing cultural and historic resources of national significance that will benefit from the project, your application will receive a higher rating score. Resources of national significance are those recognized by the Federal Government, such as historic properties, historic battlefields, declared scenic rivers or environmental safe areas. Your plan/proposal will be evaluated on the extent to which it will contribute to the physical and economic revitalization of the region and strengthen its economic health through job creation, improving the local tax base and similar or other benefits;
(4) The extent to which your proposed project addresses your Analysis of Impediments and the needs identified in Rating Factor 2; the extent to which such project activities will result in the physical and economic improvement for the residents in the neighborhood in which your project will be carried out; the extent to which you will offer residents an opportunity to relocate to environmentally healthy housing or neighborhoods; or the extent to which residents will benefit from the funded project to enable them to continue to live in a redeveloped or revitalized neighborhood and thus share in the anticipated economic benefits your project is expected to generate.
(5) The extent to which your project incorporates one or more elements that facilitate a successful transition of welfare recipients from welfare to work. Such an element could include, for example, linking your proposed project or loan fund to social and/or other services needed to enable welfare recipients to successfully secure and carry out full-time jobs in the private sector; provision of job training to welfare recipients who might be hired by businesses financed through the proposal; and/or incentives for businesses financed with EDI/section 108 funds to hire and train welfare recipients.
(6) Due to an order of the U.S. District Court for the Northern District of Texas, Dallas Division, with respect to any application submitted by the City of Dallas, Texas, HUD's consideration of the response to this factor, “Soundness of Approach,” will include the extent to which Dallas” plan for the use of EDI funds and Section 108 loans will be used to eradicate the vestiges of racial segregation in the Dallas Housing Authority's programs consistent with the Court's order. Up to two (2) additional points will be awarded to any application submitted by the City of Dallas, Texas, to the extent this subfactor is addressed.
(7) For regional economic development projects submitted under Part II of the application by each participating member: The extent to which the participating member's description under this factor is supportive of and compatible with the description in the overall workplan contained in the Cooperative Agreement.
[Page limits for the response to this factor are listed separately for each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which your response demonstrates the financial need and feasibility of your project and the leverage ratio of Section 108 loan proceeds to EDI grant funds. This factor has three subfactors, each with its own maximum point total:
(1)
[Your response to this subfactor is limited to one (1) page.]
The minimum ratio of Section 108 funds to EDI funds in any project may not be less than 1:1. The extent to which your proposed project leverages an amount of Section 108 funds beyond the 1:1 ratio will result in your receiving a higher number of points. If you have a ratio of 1:1, your application will not receive any points under this subfactor. If you use your EDI grant to leverage more new Section 108 commitments, your application will receive more points under this subfactor.
(2)
[Your response to this subfactor is limited to three (3) pages.]
HUD will consider the extent to which you demonstrate that your project is financially feasible. In responding to this subfactor, you must clearly address the question of why the EDI funds are critical to the success of this project. Your response should include these items as applicable:
(a) Project costs and financial requirements. You should provide a funding sources and uses statement (not included in the 3 page narrative limit), as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts you will establish in connection with the economic development project.
(c) The reasonableness of the costs of any credit enhancement paid with EDI grant funds.
(d) The amount of program income (if any) you will receive each year during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than subrecipients) (either as an absolute rate or as a plus/minus spread to the Section 108 rate).
(f) Underwriting criteria that you will use in determining project feasibility.
(3)
(4) For regional economic development projects submitted under Part II of the application by each participating member: Your application will be evaluated based on the extent to which the participating member's description under this factor is supportive of and compatible with the description in the overall workplan incorporated into the Cooperative Agreement.
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which you have coordinated your activities with other known organizations; you participate or promote participation in your or a State's Consolidated Planning process; and you are working towards addressing a need in a comprehensive manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups or organizations before submission, in order to best complement, support and coordinate all known activities; and developed specific steps to share information on solutions and outcomes with others. Describe any written agreements or memoranda of understanding in place, or that will be in place after award. For regional economic development projects, these are agreements in addition to your Cooperative Agreement signed by your participating members.
(2) Developed linkages, or specific steps to develop linkages with other activities, programs or projects (through meetings, information networks, planning processes or other mechanisms to coordinate activities), so that solutions are holistic and comprehensive. Describe any linkages with other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan, as well as established linkages and outreach with residents of your project area.
(3) For Regional economic development projects. The extent to which your workplan demonstrates collaboration with Federal agencies including but not limited to those mentioned in Rating Factor 3 above, as well as the U.S. Department of Commerce and the Small Business Administration and evidence of existing Federal, state and not-for-profit presence and participation in regional economic development (through evidence of funding, providing in-kind contributions, participating in planning efforts, coordinating activities, providing other resources, etc.) will be critical to the overall competitiveness of your plan/proposal for this factor. Further, the workplan will be evaluated on the extent to which the regional economic development project includes specific steps taken or to be taken to protect the environment, and evidences authority to proceed with the project by having received from or filed with the appropriate agencies of your unit of general local government, other unit(s) of general local government, as well as state and federal agencies for any necessary zoning classification, waivers, general permits, special use permits, assessment districts designation, public easements and rights-of way.
(4) For regional economic development projects submitted under Part II of the application by each participating member: The extent to which the participating member's description under this factor seems supportive of and compatible with the description in the overall workplan contained in the Cooperative Agreement.
A.
that the first 6 application items in Appendix A to this program section of the SuperNOFA are applicable to both EDI and BEDI (the BEDI funding announcement follows). The remaining application items are applicable to regional economic development projects.
(B)
(C)
(D)
(E)
(F)
(1) Rating Factor 1: Capacity and Relevant Organizational Experience. Provide a narrative indicating your capacity and the relevant capacity of your organization and staff to perform the work for which you are requesting funding.
(2) Rating Factor 2: Need Statement Identifying the level of Distress/Extent of the Problem. Provide a narrative statement including any documentation supporting your statement of need. You may also use optional form HUD-40076-EDI/BEDI as a format to respond to this factor for award.
(3) Rating Factor 3: Soundness of Approach. Include your activities, budget and time frame for conducting activities in your response (see form HUD40076-EDI/BEDI).
(4) Rating Factor 4: Leveraging Resources/Financial Need. Your response should include a completed copy of form HUD-40076-EDI/BEDI, “Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses Statement.”
(5) Rating Factor 5: Comprehensiveness and Coordination. Provide a narrative response to this factor.
(G)
(1) Application for Federal Assistance (Standard Form (SF) 424).
(2) Federal Assistance Funding Matrix (HUD 424M).
(3) Standard Form for Assurances—Non-Construction Programs (SF 424B) and/or Standard Form for Assurances—Construction Programs (SF 424D)—not applicable for this program section.
(4) Drug-Free Workplace Certification, HUD-50070.
(5) Certification of Payments to Influence Federal Transactions, HUD- 50071, and if engaged in Lobbying, the Disclosure Form Regarding Lobbying, SF-LLL.
(6) Applicant/Recipient Disclosure/Update Report, HUD-2880
(7) Certification Regarding Debarment and Suspension, HUD-2992
(8) Certification of Consistency With EZ/EC Strategic Plan, HUD-2990
These forms are found in the Appendix B to the
If you wish to receive an acknowledgment of HUD's receipt of your application, please submit a completed Acknowledgment of Receipt of Application form.
(H)
(1) Part 1:
(2) Transmittal Letter signed by the authorized representative of your organization indicating that you are submitting your application for funding under the Economic Development Initiative Program and you are requesting funding consideration for a Regional Economic Development Project.
(3) Checklist and Submission Table of Contents (form HUD-40076-EDI/BEDI) indicating the page numbers where the submission items can be found in your application.
(4) A Cross-Jurisdictional Funding Sources and Uses Statement.
(5) Cross-Jurisdictional letters of Commitment signed by authorized officials of each of the jurisdictions participating in your regional economic development project and indicating they agree to the Work Plan submitted with your application.
(6) Certifications specified in Section II(G) of the
The required forms include:
(1) Application for Federal Assistance (SF 424).
(2) Federal Assistance Funding Matrix (HUD 424M).
(3) Standard Form for Assurances—Non-Construction Programs (SF 424B) and/or Standard Form for Assurances—Construction Programs (SF 424D) as applicable to your proposed work plan.
(4) Drug-Free Workplace Certification, HUD-50070.
(5) Certification of Payments to Influence Federal Transactions, HUD 50071, and if engaged in Lobbying, the Disclosure Form Regarding Lobbying, SF-LLL.
(6) Applicant/Recipient Disclosure/Update Report, HUD-2880.
(7) Certification Regarding Debarment and Suspension, HUD-2992.
(8) Certification of Consistency With EZ/EC Strategic Plan, HUD-2990.
(9) A Cooperative Agreement, executed on behalf of each of the participating members by its authorized representative which describes the nature of the project and the activities to be carried out in each jurisdiction and which activities will be financed with EDI and Section 108 loan guarantee proceeds. The agreement must include a certification that the entities have the capacity to carry out the eligible activities under the regional economic development project as required.
(10) A Workplan attached to the agreement which shall contained, as described in Section V(B) of this program section of this SuperNOFA, a narrative statement (3 page limit) describing the activities that you will carry out with the EDI grant funds;
(11) Responses in the Workplan to each of the rating factors (within the page limits provided for each factor or sub-factor as applicable). The rating factors for award and submission requirements are:
(a) Rating Factor 1: Capacity and Relevant Organizational Experience. Provide a narrative indicating your capacity and the relevant capacity of your organization and staff to perform the work for which you are requesting funding.
(b) Rating Factor 2: Need Statement Identifying the level of Distress/Extent of the Problem. Provide a narrative statement including any documentation supporting your statement of need. You may also use optional form HUD as a format to respond to this factor for award (form HUD-40076-EDI/BEDI).
(c) Rating Factor 3: Soundness of Approach. Include your activities, budget and time frame for conducting activities in your response.
(d) Rating Factor 4: Leveraging Resources/Financial Need. Your response should include a completed copy of HUD Form, “Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses Statement” (form HUD-40076-EDI/BEDI)
(e) Rating Factor 5: Comprehensiveness and Coordination. Provide a narrative response.
(12)
(a) A request for loan guarantee assistance under Section 108 as further described in Section IV(C) of this program section of the SuperNOFA. Full application guidelines for the Section 108 loan guarantee program are found at 24 CFR 570.704;
(b) As described in Section V(B) of this program section of this SuperNOFA, a narrative statement (3 page limit) describing the activities that you will carry out with the EDI grant funds; Responses to each of the rating factors (within the page limits provided for each factor or sub-factor as applicable) which must be supportive of and compatible with the description in the Workplan attached to the Cooperative Agreement for each corresponding factor. The rating factors for award and submission requirements are:
(i) Rating Factor 1: Capacity and Relevant Organizational Experience. Provide a narrative indicating your capacity and the relevant capacity of your organization and staff to perform the work for which you are requesting funding.
(ii) Rating Factor 2: Need Statement Identifying the level of Distress/Extent of the Problem. Provide a narrative statement including any documentation supporting your statement of need. You may also use optional form HUD-40076-EDI/BEDI) as a format to respond to this factor for award.
(iii) Rating Factor 3: Soundness of Approach. Include your activities, budget and time frame for conducting activities in your response.
(iv) Rating Factor 4: Leveraging Resources/Financial Need. Your response should include a completed copy of HUD Form 40076-EDI/BEDI), “Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses Statement”
(v) Rating Factor 5: Comprehensiveness and Coordination. Provide a narrative response.
The
(A)
(B)
Section 108(q), Title I, Housing and Community Development Act of 1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
The first 6 non-standard forms, which follow, are required for your EDI (General) or BEDI applications. The remaining forms are applicable to regional economic development project applications.
If you are interested in applying for funding under this program, please review carefully the General Section of this SuperNOFA and the following additional information.
See the
When submitting your application, please refer to BEDI, and include your name, mailing address (including zip code) and telephone number (include area code).
See the
HUD has available a maximum of $25 million for the BEDI program, as appropriated in the FY 2000 HUD Appropriations Act for the purpose of assisting public entities in the redevelopment of brownfields.
(A)
(1)
(2)
The CDBG program provides grant funds (approximately $4.240 billion in FY 2000) by formula to local governments (either directly or through States) to carry out community and economic development activities. The Section 108 loan guarantee program provides local governments with a source of financing for economic development, public facilities, and other eligible large scale physical development projects. HUD is authorized pursuant to Section 108 to guarantee notes issued by CDBG entitlement communities and non-entitlement units of general local government eligible to receive funds under the State CDBG program. Regulations governing the Section 108 program are found at 24 CFR part 570, subpart M. It must be noted that the Section 108 program is subject to the regulations of 24 CFR part 570 applicable to the CDBG program as described in 24 CFR part 570, subpart M. EDI and BEDI grants must support Section 108 loan guarantees as generally described under the above section entitled “Purpose of the Program.”
For FY 2000, the Section 108 program is authorized at $1.261 billion in loan guarantee authority. The full faith and credit of the United States will be pledged to the payment of all guarantees made under Section 108. Under this program, communities (and States, if applicable) pledge their continuing CDBG allocations as security for loans guaranteed by HUD. The Section 108 program, however, does
(3)
(a) By strengthening the economic feasibility of the projects financed with Section 108 funds (and thereby increasing the probability that the project will generate enough cash to repay the guaranteed loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation techniques.
(4)
(5)
(6)
(7)
(a)
(b)
(c)
(d)
(i) The use of BEDI grant funds may be structured in appropriate cases so as to improve the likelihood that project-generated cash flow will be sufficient to cover debt service on the Section 108 loan and directly to enhance the guaranteed loan. One technique for accomplishing this approach is over-collateralization of the Section 108 loan.
(ii) An example is the creation of a loan pool funded with both Section 108 and BEDI grant funds. The community would make loans to various businesses from the combined pool at an interest rate equal to or greater than the rate on the Section 108 loan. The total loan portfolio would be pledged to the repayment of the Section 108 loan.
(e)
(f)
(i) While the rates on loans guaranteed under Section 108 are only slightly above the rates on comparable U.S. Treasury obligations, they may nonetheless be higher than can be afforded by businesses in severely economically distressed neighborhoods. The BEDI grant can be used to make Section 108 financing affordable.
(ii) BEDI grant funds could serve to “buy down” the interest rate up front, or make full or partial interest payments, allowing the businesses to be financially viable in the early start-up period not otherwise possible with Section 108 alone. This strategy would be particularly useful where a community was undertaking a large commercial/retail project in a distressed neighborhood to act as a catalyst for other development in the area.
(g)
(B)
(C)
(2) Each activity assisted with Section 108 loan guarantee or BEDI funds must meet a national objective of the CDBG program as described in 24 CFR 570.208. Applicants must clearly identify in their narrative statement (as described in Section V(B) of this program section below) the CDBG national objective to be achieved by the proposed project and provide the appropriate CDBG national objective regulatory citation found at 24 CFR 570.208. Applicants must also address, when applicable, how the proposed activities will comply with the public benefit standards of the CDBG program as reflected in the regulation at 24 CFR 570.209 for the Entitlement and Small Cities programs or 24 CFR 570.482 for the State CDBG program.
(3) In the aggregate, a grantee's use of CDBG funds, including any Section 108 loan guarantee proceeds and section 108(q) (EDI) funds provided pursuant to this program section of this SuperNOFA, must comply with the CDBG primary objectives requirements as described in section 101(c) of the Act and 24 CFR 570.200(c)(3) or 570.484 in the case of State grantees.
(A)
(B)
(C)
(a) A full application for new Section 108 loan guarantee(s), including the documents listed at 24 CFR 570.704(b).
(b) A brief description (not to exceed three pages) of the project to be applied for in a new Section 108 loan guarantee application(s). Such 108 application(s) will be submitted within 60 days of a notice of BEDI selection, with HUD reserving the right to extend such period for good cause on a case-by-case basis. BEDI awards will be conditioned on approval of actual Section 108 loan commitments. The application description must be sufficient to support the basic eligibility of the proposed project and activities for Section 108 assistance. (See Section III(C) of this program section of the SuperNOFA.)
(c) A copy of a pending, unapproved Section 108 loan guarantee application, and any proposed amendments to the Section 108 application which are related to the BEDI application. The applicant's submission of such a BEDI/Section 108 application shall be deemed by HUD to constitute a request to suspend separate processing of the Section 108 application. The Section 108 application will not be approved until on or after the date of the related BEDI award.
(d) A request for a Section 108 loan guarantee amendment (analogous to Section IV(C)(1)(a) or (b) of this BEDI section of the SuperNOFA) that proposes to increase the amount of a previously approved application. However, any amount of Section 108 loan guarantee authority approved before HUD's announcement of a BEDI grant for the same project pursuant to this SuperNOFA is not eligible to be used in conjunction with a BEDI grant under this SuperNOFA.
(2) Further, a Section 108 loan guarantee amount that is required to be used in conjunction with a prior EDI or BEDI grant award, whether or not the Section 108 loan guarantee has been approved as of the date of this SuperNOFA, is not eligible for a BEDI award under this SuperNOFA. For example, if a public entity has a previously approved Section 108 loan guarantee commitment of $12 million, even if none of the funds have been utilized, or if the public entity had previously been awarded an EDI grant of $1 million and had certified that it will submit a Section 108 loan application for $10 million in support of that EDI grant, the public entity's application under this program section of this SuperNOFA must propose to increase the amount of its total Section 108 loan guarantee commitments beyond those amounts (the $12 million or $10 million in this example) to which it has previously agreed.
(D)
(1) BEDI grants shall not be used as a resource to immediately repay the principal of a loan guaranteed under Section 108. Repayment of principal is only permissible with BEDI grant funds as a matter of security if other sources projected for repayment of principal prove to be unavailable.
(2) You should not use Section 108 funds to finance activities which also include financing generated through the issuance of federally tax exempt obligations. Pursuant to Office of Management and Budget (OMB) Circular A-129 (Policies for Federal Credit Programs and Non-Tax Receivables), Section 108 guaranteed loan funds may not directly or indirectly support federally tax-exempt obligations.
(3) HUD will not consider for funding any BEDI proposal in which the related Section 108 loan guarantee would be used solely as security. BEDI funds are to be used to support and enhance activities financed with Section 108 loan guarantee proceeds from HUD's interim lending or public offering mechanisms and thereby leverage greater use of the Section 108 program. Awarding BEDI funds to a project which would use the Section 108 guarantee only as a security guarantee for other financing can be tantamount to making a simple grant to the project and thereby fails to fulfill the goals of the BEDI program.
(4) BEDI grant funds shall not be used in any manner by grantees to provide public or private sector entities with funding to remediate conditions caused by their actions, where the public entity (or other known prospective beneficiary of the proposed BEDI grant) has been determined responsible for causation and remediation by order of a court or a Federal, State, or local regulatory agency, or is responsible for the remediation as part of a settlement approved by such a court or agency.
(5) Applicants may not propose projects on sites which are listed or proposed to be listed on EPA's National Priority List (NPL). Further, applicants are cautioned against proposing projects on sites where the nature and degree of environmental contamination is not well quantified or which are the subject of on-going litigation or environmental enforcement action.
(E)
For example, if you request a BEDI grant of $1 million, you will be required to leverage a minimum of at least $1 million in new Section 108 loan guarantee commitments. Of course, even though there is a minimum ratio of 1:1, applications with higher ratios will receive more points under Rating Factor 4, “Leveraging Resources/Financial Need” and, all other things being equal, will be more competitive. You are encouraged to propose projects with a greater leverage ratio of new Section 108 to BEDI grant funds (assuming such projects are financially viable). For example $1 million of BEDI could leverage $12 million of new Section 108 loan commitments. HUD intends that the BEDI funds will be used for projects that leverage the greatest possible amount of Section 108 loan guarantee commitments. Because a fundable application is competitive in part because of the applicant's proposed ratio of BEDI funds to funds guaranteed by a Section 108 loan guarantee, HUD will condition a BEDI grant award on the grantee's achievement of that specific ratio. Your failure to meet that condition by obtaining timely HUD approval of a commitment for, and issuance of, the required Section 108 guaranteed obligations ratio may result in the cancellation and recapture of all or a proportionate share of the BEDI grant award.
(2) HUD will cap BEDI awards at a maximum of $2 million. Any application in excess of $1 million may be reduced below the amount requested by the applicant if HUD determines that such a reduction is appropriate.
(3) In the event you are awarded a BEDI grant that has been reduced below the original request (e.g., your application contained some activities that were ineligible or there were insufficient funds to fund the last competitive application at the full amount requested), you will be required to modify your project plans and application to conform to the terms of HUD approval before execution of a grant agreement. HUD also will proportionately reduce or deobligate the BEDI award if you do not submit an
(4) In the case of requested amendments to a previously approved Section 108 loan guarantee commitment (as further discussed in Section IV(C)(1)(d) of this program section above), the BEDI assistance approved will be based on the increased amount of Section 108 loan guarantee assistance. Pursuant to another portion of this SuperNOFA, HUD is simultaneously announcing the availability of up to $24.1 million of EDI funds. While HUD will permit you to pursue BEDI and EDI funds for the same project, HUD requires that your BEDI and EDI applications (and components contained in the applications) be independent of one another. Thus, each application should have an identifiable amount of Section 108 funding associated with its respective request for EDI and BEDI funds, for purposes of determining the leverage of Section 108 funding to the corresponding amount of EDI or BEDI funds requested. Further, the proposed amount of Section 108 borrowing associated with either the BEDI or EDI grant must not be used to determine leverage of other financial sources under Rating Subfactor 4(3). Further, if you seek both BEDI and EDI funds for the same project, you must include, in your response to Rating Factor 3 and the “Financial feasibility” portion of Rating Factor 4, a discussion of how your project can be financed and implemented if you fail to obtain either BEDI or EDI funds under this SuperNOFA.
(F)
(2) HUD's notice to you of the amount and conditions of BEDI funds awarded, based upon review of the BEDI application, constitutes an obligation of grant funds, subject to compliance with the conditions of award and execution of a grant agreement. BEDI funds will not be disbursed to the public entity before the issuance of the related Section 108 guaranteed obligations.
(3) If additional BEDI grant funds become available to HUD as the result of recaptures prior to the date of this SuperNOFA, HUD reserves the right to award grants under this SuperNOFA whose aggregate total may exceed the $25 million announced in this SuperNOFA, up to the maximum amount authorized by law.
(A)
(2) Once scores are assigned, HUD will rank all applications in order of points assigned, with the applications receiving more points ranking above those receiving fewer points. Applications will be funded in rank order.
(3) Prior to award, if HUD determines that an application rated, ranked and fundable could be funded at a lesser BEDI grant amount than requested consistent with feasibility of the funded project or activities and the purposes of the Act, HUD reserves the right to reduce the amount of the BEDI award and/or increase the required Section 108 loan guarantee commitment, if necessary, in accordance with such determination. An application in excess of $1 million may be reduced below the amount requested by the applicant if HUD determines that such a reduction is appropriate.
(4) HUD may decide not to award the full amount of BEDI grant funds available under this program section of this SuperNOFA and may make any remaining amounts available under a future SuperNOFA.
(5) HUD desires to fund projects which will quickly produce demonstrable results. BEDI grant awards will contain conditions requiring you to adhere to your stated timeframes for implementing your proposed projects and drawing Section 108 and EDI funds. Failure to adhere to these schedules may be cause for HUD to recapture the BEDI funds.
(B)
(2) Describe how your proposed uses of BEDI funds will meet the national objectives for the CDBG program under 24 CFR 570.208 and qualify as eligible activities under 24 CFR 570.703.
(3) Respond to the rating factors below. Each of the listed rating factors (or, where applicable, each subfactor) below has a separate page limitation specified.
(4) Print your narrative statements in 12 point type/font, and use sequentially numbered pages.
(C)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which you have the organizational resources necessary to successfully implement the proposed activities in a timely manner. The rating of the “applicant” or the “applicant's organization and staff” for technical merit or threshold compliance, unless otherwise specified, will include any subcontractors, consultants, subrecipients, and members of consortia that are firmly committed (i.e. have a written agreement or a signed letter of understanding with you agreeing in
(1) With regard to the BEDI/Section 108 project you propose, you should demonstrate that you have the capacity to implement the specific steps required to successfully carry out the proposed BEDI/Section 108 project. This includes factors such as your:
(a) Performance in the administration of your CDBG, HOME or other programs;
(b) Previous experience, if any, in administering a Section 108 loan guarantee;
(c) Performance and capacity in carrying out economic development projects;
(d) Performance and capacity to carry out Brownfields redevelopment projects;
(e) Ability to conduct prudent underwriting;
(f) Capacity to manage and service loans made with the guaranteed loan funds or previous EDI or BEDI grant funds;
(g) Capacity to carry out your projects and programs in a timely manner; and,
(h) If applicable, your capacity to manage projects under this program section of this SuperNOFA along with any federal funds awarded as a result of a federal urban Empowerment Zone/Enterprise Community designation (including Enhanced Enterprise Community (EEC) designations).
(2)(a) If you have previously received an EDI or BEDI grant award(s), you must describe the status of the implementation of those project(s) assisted with EDI or BEDI funds, any delays that have been encountered and the actions you are taking to overcome any such delays in order to carry out the project in a timely manner. For such previously funded EDI or BEDI grant projects, HUD will consider the extent to which you have used the awarded EDI or BEDI grant funds and the associated Section 108-guaranteed loan funds.
(b) Further, if you have EDI or BEDI funds and related Section 108 loan guarantee authority available as a result of earlier HUD awards and commitments for activities such as (but not limited to) economic development loan funds, community development banks, and community and individual investment corporations, you should use those existing financial resources before applying for additional BEDI or EDI funds and Section 108 commitments. If HUD determines that you could fund your project from such existing resources, HUD will reduce your score under this rating factor to 0.
(3) The capacity of subrecipients, nonprofit organizations and other entities that have a role in implementing your proposed program will be included in this review. HUD also may rely on information from performance reports, financial status information, monitoring reports, audit reports and other information available to HUD in making its determination under this factor.
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding your proposed activities based on levels of distress, and an indication of the urgency of meeting the need/distress in your target area.
(1) In applying this factor, HUD will consider current levels of distress in the immediate community to be served by your project and the jurisdiction applying for assistance. If you are able to indicate a level of distress in the immediate project area that is greater than the level of distress in your jurisdiction as a whole, HUD will give your application a higher score under this factor than other applications that do not. HUD requires you to use sound and reliable data that is verifiable to support the level of distress you claim in your application. You must provide a source for all information you cite and indicate the publication date or origination date of the data.
(2) In previous EDI competitions, the poverty rate was often considered the best indicator of distress. You must provide the poverty rate for your jurisdiction as a whole and for the areas to be served and/or where the BEDI/Section 108-funded project is located; however, in addition, you may demonstrate the level of distress with other factors such as income levels and unemployment rates.
(3) To the extent that your Consolidated Plan and its Analysis of Impediments to Fair Housing choice (AI) identifies the level of distress in the community and the neighborhood in which your project is being carried out, you should include references to such documents in preparing your response to this factor. Also, you should discuss the extent to which the analysis of impediments identifies unhealthy environmental conditions, such as contaminated soil and/or water and how such conditions negatively impact your target neighborhood.
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of your proposed plan. There must be a clear relationship between the proposed activities, community needs and purposes of the program funding for you to receive points for this factor. In rating this factor, HUD will consider the following:
(1) The quality of your plan/proposal for using BEDI funds and Section 108 loan funds, including the extent to which your proposed plan for effective use of BEDI grant/Section 108-guaranteed loan funds will address the needs you described in Rating Factor 2 above regarding the distress and extent of the problem in your immediate community and/or jurisdiction. As part of the response to this factor, you should identify the eligible activities you will carry out and fully describe how your project will achieve a CDBG national objective. You should make substantial efforts to demonstrate how your proposed project would mitigate or otherwise address the distress you identified in Rating Factor 2 above.
(2) The extent to which your plan is logically, feasibly, and substantially likely to achieve your stated purpose. HUD's desire is to fund projects and activities that will quickly produce demonstrable results and advance the public interest including the number of jobs to be created by the project. You should demonstrate that you have a clear understanding of the steps required to implement your project, the actions that you and others responsible for implementing the project must complete. You must include a reasonable time schedule for carrying out your project. The application kit contains a timeline form that you must use to indicate your project timing.
(3) The extent to which your response to this factor takes into account certain site selection, planning, and environmental issues. Further, you are cautioned against proposing projects on sites where the nature and degree of environmental contamination is not well quantified or that are the subject of on-going litigation or environmental enforcement. Sites with unknown or exceptionally expensive contamination problems may be beyond the scope of the BEDI program's financial resources, and sites subject to pending and current litigation may not be available for remediation and development in a timeframe consistent with HUD's desire for rapid progress in the use of BEDI and Section 108 funds.
(4) The extent to which your projects will integrate environmental justice concerns and provide demonstrable benefits for affected communities and their residents. The BEDI program is intended to promote the clean up and redevelopment of brownfields sites.
(5) The extent to which your proposed project addresses your Analysis of Impediments and the needs identified in Rating Factor 2; the extent to which such project activities will result in the physical and economic improvement for the residents in the neighborhood in which your project will be carried out; the extent to which you will offer residents an opportunity to relocate to environmentally healthy housing or neighborhoods; or the extent to which residents will benefit from the funded project to enable them to continue to live in a redeveloped or revitalized neighborhood and thus share in the anticipated economic benefits and environmental improvements your project is expected to generate.
(6) The extent to which your project incorporates one or more elements that facilitate a successful transition of welfare recipients from welfare to work. Such an element could include, for example, linking your proposed project or loan fund to social and/or other services needed to enable welfare recipients to successfully secure and carry out full-time jobs in the private sector; provision of job training to welfare recipients who might be hired by businesses financed through the proposal; and/or incentives for businesses financed with BEDI/section 108 funds to hire and train welfare recipients.
(7) Due to an order of the U.S. District Court for the Northern District of Texas, Dallas Division, with respect to any application submitted by the City of Dallas, Texas, HUD's consideration of the response to this factor, “Soundness of Approach” will include the extent to which Dallas” plan for BEDI funds and Section 108 loans will speed eradication of the vestiges of racial segregation in the Dallas Housing Authority's programs consistent with the Court's order. Up to two (2) additional points will be awarded to any application submitted by the City of Dallas, Texas, to the extent this subfactor is addressed.
[Page limits for the response to this factor are listed separately for each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which your response demonstrates the financial need and feasibility of your project and the leverage ratio of Section 108 loan proceeds to BEDI grant funds. This factor has three subfactors, each with its own maximum point total:
(1)
(2)
(a) Project costs and financial requirements. You should provide a funding sources and uses statement (not included in the 3 page narrative limit), as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts you will establish in connection with your economic development project.
(c) The reasonableness of the costs of any credit enhancement you pay with BEDI grant funds.
(d) The amount of program income (if any) you will receive each year during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than subrecipients) (either as an absolute rate or as a plus/minus spread to the Section 108 rate).
(f) Underwriting criteria that you will use in determining project feasibility.
(3)
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which you have coordinated your activities with other known organizations; you participate or promote participation in your or a State's Consolidated Planning process; and you are working towards addressing a need in a comprehensive manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups or organizations before submitting your application, in order to best complement, support and coordinate all known activities; and developed specific steps to share information on solutions and outcomes with others. Describe any written agreements or memoranda of understanding in place, or that will be in place after award.
(2) Developed linkages, or specific steps to develop linkages with other activities, programs or projects (through meetings, information networks, planning processes or other mechanisms to coordinate your activities), so that solutions are holistic and comprehensive. Describe any linkages with other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan, as well as established linkages and outreach with residents of your project area.
(3) Coordinated your efforts with other Federal, State or locally supported activities, including EPA's various Brownfields initiatives, and those proposed or on-going in the community.
(A) Public entities seeking BEDI assistance must make a specific request for that assistance, in accordance with the requirements of this program section of this SuperNOFA.
(B) You must submit an original and one copy of the items listed below to HUD Headquarters (see the section “Addresses For Submitting Applications in this program section of this SuperNOFA). In addition, you must submit one additional copy directly to the Community Planning and Development Division of the appropriate HUD Field Office for your jurisdiction.
(C) Your BEDI application consists of the items listed in this Section VI(C). These items include the standard forms, certifications, and assurances listed in Section II(G) of the
(1)
(2)
(3)
(4)
(5)
(a) Rating Factor 1: Capacity and Relevant Organizational Experience. Provide a narrative indicating your capacity and the relevant capacity of your organization and staff to perform the work for which you are requesting funding.
(b) Rating Factor 2: Need Statement Identifying the level of Distress/Extent of the Problem. Provide a narrative statement including any documentation supporting your statement of need. You may also use optional form HUD-40076-EDI/BEDI as a format to respond to this factor for award.
(c) Rating Factor 3: Soundness of Approach. Include your activities, budget and time frame for conducting activities in your response (see form HUD-40076-EDI/BEDI).
(d) Rating Factor 4: Leveraging Resources/Financial Need. Your response should include a completed copy of form HUD-40076-EDI/BEDI, “Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses Statement.”
(e) Rating Factor 5: Comprehensiveness and Coordination. Provide a narrative response to this factor.
(D) A single application must contain a request for funds for a single BEDI/108 project. You may submit more than one application for each additional unrelated BEDI/108 project. Each application will be rated and ranked individually. In no event will HUD rate and rank more than one BEDI project per application.
(E) Your application must meet all of the applicable threshold requirements of Section II(B) of the
The
(A)
(B)
(2) Brownfields are often located in distressed neighborhoods, contribute to neighborhood blight, and lower the quality of social, economic, and environmental health of communities. The BEDI program is intended to promote the clean up and redevelopment of brownfields sites and, to this end, HUD expects that projects presented for BEDI funding will integrate environmental justice concerns and provide demonstrable benefits for affected communities and their residents.
Section 108(q), Title I, Housing and Community Development Act of 1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
If you are interested in applying for funding under this program, please review carefully the
See the
The amount available for this program is approximately $20,000,000
(A)
Decent, safe, and sanitary non-luxury dwellings developed under SHOP must be made available to eligible homebuyers at prices below the prevailing market prices. Eligible homebuyers are low-income families (families whose annual incomes do not exceed 80 percent of the median income for the area, as established by HUD) who are unable to purchase a dwelling. Housing assisted under this Notice must involve community participation through the use of homebuyers and/or volunteers in the construction of dwellings and by other activities which involve the community in the project.
(B)
Your application may not propose a partnership with or funding for any affiliate or consortium member which is also included in another SHOP application. You must assure that any affiliate, consortium member, or potential subrecipient under your FY 2000 application is not also seeking funding from another SHOP applicant for FY 2000 funds.
(C)
In addition to the program requirements listed in the General Section of this SuperNOFA, you are subject to the following SHOP requirements:
(A)
(1) Developing, through significant amounts of sweat-equity and volunteer labor, at least 30 dwellings at an average cost of no more than $10,000 per unit in SHOP funds;
(2) Using your grant to leverage other sources of funding, including private or other public funds;
(3) Developing quality dwellings that comply with local building and safety codes and standards and which will be available to homebuyers at prices below the prevailing market price; and
(4) Scheduling activities to expend all grant funds awarded and substantially fulfill your construction obligations under your grant agreement within 24 months after grant funds are first made available to you.
(B)
(A)
(B)
HUD reserves the right to fund less than the full amount requested in any application to ensure a fair distribution of the funds and that dwellings will be developed on a national geographically-diverse basis as required by the statute. HUD will not fund any portion of an application that is ineligible for funding under program statutory requirements, or which does not meet the requirements of the
(C)
(1) You, the applicant, must be eligible to apply under SHOP (see Section III(B) of this program section of the SuperNOFA).
(2) The amount of funding you request must support no less than 30 self-help units and may not exceed an average amount of $10,000 per unit.
(3) The population you plan to serve must be eligible under SHOP (see Section III(A) of this program section of the SuperNOFA).
(4) You must demonstrate that you have completed at least 30 self-help homeownership units within a national or regional area (where the homebuyers contributed a significant amount of sweat-equity and/or volunteer labor toward the construction of the dwellings) within the 24-month period preceding the publication of this SuperNOFA.
(1) Evidence of your non-profit status, such as a copy of a current Internal Revenue Service ruling that your organization is exempt from taxation under section 501(c)(3) or 501(c)(4) of the Internal Revenue Code of 1986. Where an IRS ruling is unavailable, you may submit a certified copy of your approved charter, articles of incorporation or bylaws demonstrating that you are established as a nonprofit organization under state law. If you are a consortium, each participant in your consortium must be a nonprofit organization, but only the lead entity should submit evidence of its nonprofit status. However, the lead entity must maintain a copy of the above-described documentation for each participant in your consortium.
Submission threshold requirements (2) through (4) require no additional submissions. These requirements are addressed under the submission requirements for the rating factors listed in Section V(D) of this program section of the SuperNOFA below.
(D)
This factor examines the extent to which you, as a single applicant or as a consortium (including sub-recipients and/or members of the consortium, if any), have the experience and organizational resources necessary to carry out the proposed activities in a timely manner.
In evaluating this factor, HUD will consider your recent and relevant experience in carrying out the activities you propose, and your administrative ability, and fiscal management ability. HUD may also rely on information from performance reports, financial status information, monitoring reports, audit reports and other information available to HUD in making its determination under this factor. If you are not a current recipient of HUD funds, you may submit evidence of internal or external performance reports or other information which will assist HUD in making this determination.
(1) You must describe your past experience in carrying out activities that are the same as, or similar to, the activities you propose for funding, and demonstrate reasonable success in carrying out those activities. You may demonstrate such reasonable success by showing that your previous activities were carried out as proposed and in a timely manner. You must show that established benchmarks were met and performance reports were prepared, as required. You must also describe any delays that were encountered, and the actions you took to overcome such delays to successfully complete your program.
(2) You must demonstrate that you have completed at least 30 self-help homeownership units within a national or regional area (where the homebuyers contributed sweat-equity and/or volunteer labor toward the construction of the dwellings) within the 24-month period preceding the publication of this SuperNOFA.
(3) You must provide a description of your management structure. You must also describe how you will staff and manage your proposed activities.
(4) You must demonstrate your ability to handle financial resources with adequate financial control and accounting procedures. Your existing financial control procedures must meet 24 CFR 84.21, “Standards for Financial Management Systems.” You must provide a copy of your most recent audit (only an audit of the lead entity must be
(5) You must demonstrate your experience and ability in constructing and altering homes with accessibility features, when necessary.
This factor examines the extent to which you identify the community need, or problem, or distress that your proposed activities will target, and the urgency of meeting that need.
The purpose of this factor is to make sure that funding is provided where a need for funding exists. Under this factor, you must identify the need or needs in the community that your proposed activities are designed to address or, if you plan to select specific subrecipients only after you receive SHOP funding, you must demonstrate how you plan to identify need prior to your selection of any subrecipients.
(1) Identify the communities or areas in which your proposed activities will be carried out or how you will select communities or projects based on need after you have received an award under SHOP.
(2) Depending on the type of activities proposed, the kind of information you submit to demonstrate the need or needs in the target area may include, but is not limited to, one or more of the following:
(a) Housing market data such as information included in the local Five Year Comprehensive Plan or other data sources;
(b) Data dealing with such factors as housing density, housing affordability, housing age or deterioration, and lack of adequate infrastructure or utilities;
(c) Data on the need for accessible homes in the area;
(d) Evidence of housing discrimination;
(e) Evidence from the local Analysis of Impediments to Fair Housing Choice which shows the need for this program.
This factor examines the quality of your plan of proposed activities. In evaluating this factor HUD will consider:
(1) The specificity in your plan; your established benchmarks for performance; your schedule for expending funds and completing construction; your proposed budget and the cost effectiveness of your program; and your plans to reach all potentially-eligible homebuyers, including those with disabilities or least likely to apply.
(2) How your planned activities further one or more of the policy priorities of the Department. Departmental policy priorities are:
(i) Affirmatively furthering fair housing by promoting greater opportunities for housing choice for all segments of the population regardless of race, color, religion, national origin, sex, familial status and disability;
(ii) Promoting healthy homes;
(iii) Providing opportunities for self-sufficiency, particularly for persons enrolled in Welfare to Work programs;
(iv) Providing educational and job training opportunities through such initiatives as Neighborhood Networks, and linking programs to AmeriCorps activities; and
(v) Enhancing on-going efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as “One Strike and You're Out” or the “Officer Next Door” initiative.
(3) Your SHOP strategy to employ the President's Partnership for Advancing Technology in Housing (PATH) technologies to improve the affordability, durability, energy efficiency, environmental protection, disaster resistance and safety of housing. HUD will consider how your planned activities exceed prevailing national building practices by: reducing costs of housing; improving durability and reducing maintenance costs; increasing safety and disaster resistance; and reducing energy consumption and environmental impact. For additional information, PATH's web address is http://www.pathnet.org.
(1) Identify all activities you propose to fund with SHOP.
(2) Provide a timetable for the selection of your participating local affiliates or partners, if they are not specified in the application.
(3) Submit a construction and completion schedule which expends SHOP funds within 24 months and demonstrates that remaining housing construction will be completed within a reasonable period of time.
(4) List the benchmarks against which HUD is to measure your performance progress in expending funds, completing activities, and substantially fulfilling the obligations of SHOP.
(5) Describe how your proposed activities address the need or needs you have identified under Rating Factor 2, above.
(6) List the long-and short-term benefits from your activities to the community and targeted groups within the community, and describe how you will ascertain and measure the benefits.
(7) Provide a detailed budget with a break-out for each proposed task and each budget category (acquisition, infrastructure improvements, and administration) in the SF-424A.
(8) Demonstrate that projected costs for the proposed activities do not deviate substantially from the norm in the locale in which your activities will take place, will not exceed an average cost of $10,000 per home in SHOP funds, and your ability to carry out your proposed activities cost effectively.
(9) Describe how the policy priorities of the Department are furthered and PATH technologies are addressed by your proposed activities.
(10) Describe how you will reach potential homebuyers through the use of services and materials that are accessible or visitable to all persons, including persons with disabilities (e.g., languages, formats, locations, distribution, use of minority media to attract those least likely to apply).
(11) Describe how activities will benefit eligible homebuyers and your selection factors for participating homebuyers.
(12) Describe how your proposed activities will yield long-term results and innovative strategies or “best practices” that can be readily disseminated to other organizations, communities, and/or State and local governments.
(13) Describe how your program will provide reasonable accommodations for persons with a variety of disabilities by providing “sweat equity” assignments which can be performed by the client regardless of disability; accessible housing regardless of the nature of the disability of its intended residents; and “visitable” housing for all clients.
This factor addresses your ability to secure other resources that can be combined with HUD's program resources to achieve the purposes of SHOP. HUD will consider the extent to which you document firm commitments of resources in the form of cash funding, in-kind contributions, or personnel from Federal, State, local, and private sources, who are jointly referred to as your leverage partners. HUD will also consider the extent that the applicant's proposed sweat-equity requirements and other leveraged resources will serve to reduce costs to the homebuyers.
(1) Provide a list of amounts and sources of all firm commitments of cash
(2) Provide copies of written evidence to support your list of firm commitments from the source of the commitment. There must be a written agreement to provide the resources. The written agreement may be contingent upon you receiving a grant award.
(3) Provide a description of the individual sweat-equity requirements of your program and how this contribution of labor will serve to reduce the costs of the home to the homebuyer. Reasonable accommodation must be allowed for persons with a variety of disabilities to participate in your program.
This factor addresses the extent to which your application reflects a coordinated, comprehensive approach to identifying community needs and addressing them on an ongoing basis. In evaluating this factor, HUD will consider:
(1) The extent to which you demonstrate the support and participation of the community's residents, organizations, businesses, and government in the design and implementation of the proposed activities.
(2) The specific steps you will take to share information on solutions, outcomes, and best practices resulting from the activities, if funded.
(3) The specific steps you have taken or will take to coordinate, through meetings, information networks, planning processes, or other mechanisms, your activities with other proposed or on-going activities in the community funded by Federal, State, local, or private sources.
(1) Describe what role residents, community leaders and organizations, and government and private entities in the targeted community have had, or will have, in planning the activities described in your application and what role they will have in carrying out such activities.
(2) Describe how you will share with others information on solutions and outcomes resulting from the activities, if funded.
(3) Describe the specific steps you have taken or will take to become active in the community's Consolidated Plan and Analysis of Impediments to Fair Housing Choice process; or the community's Indian Housing Plan process; and to address, through these processes, the needs that are the focus of the proposed activities.
(4) Describe the specific steps you have taken, or will take, to coordinate your activities with other proposed or on-going activities in the community funded by Federal, State, local, or private sources (through meetings, information networks, planning processes, or other mechanisms).
Your application consists of the items listed in this Section VI. The standard forms, certifications, and assurances that are applicable to this funding (collectively, referred to as the “standard forms”) can be found in Appendix B to the
Narrative Statement Addressing:
Forms, Certifications and Assurances:
The
The provisions contained in Section 305(c) of the Multifamily Housing Property Disposition Reform Act of 1994, Environmental Review, implemented in the Environmental Review regulations at 24 CFR part 58, are applicable to properties assisted with SHOP funds. All SHOP assistance is subject to the National Environmental Policy Act of 1969 and related federal environmental authorities. SHOP grant applicants are cautioned that no federal or non-federal funds or assistance which limits reasonable choices or could produce a significant adverse environmental impact may be committed to a project until all required environmental reviews and notifications have been completed by a unit of general local government, tribe or State and until HUD approves a recipient's request for release of funds under the environmental provisions contained in 24 CFR part 58.
The funding made available under this program section of the SuperNOFA is authorized by section 11 of the Housing Opportunity Program Extension Act of 1996 (42 U.S.C. 12805 note) (the “Extension Act”).
If you are interested in applying for funding under this program, please review carefully the General Section of this SuperNOFA and the following additional information.
See the
Approximately $40,000,000 is available for the Youthbuild Program. The net available program funds will be divided between two categories of grants as described in Section III(C) of this program section of the SuperNOFA:
1. $4,800,000—Grants for new applicants for up to $300,000; and
2. $35,200,000—Grants for up to $700,000.
(A)
(1) To provide economically-disadvantaged young adults with opportunities to obtain an educational experience that will enhance their employment skills, as a means to achieving self-sufficiency;
(2) To foster the development of leadership skills and commitment to community;
(3) To expand the supply of permanent affordable housing for homeless and low- and very low-income persons by providing implementation grants for carrying out a Youthbuild program.
(4) To provide disadvantaged young adults with meaningful on-site training experiences in housing construction and rehabilitation to enable them to render a service to their communities by helping to meet the housing needs of homeless persons and low-income families;
(5) To give, to the greatest extent feasible, job training, employment, contracting and other economic opportunities to low-income persons.
(B)
(2) Relocation payments and other assistance required to comply with HUD's regulation at 24 CFR 585.308;
(3) Costs of ongoing training and technical assistance needs related to carrying out a Youthbuild program;
(4) Education, job training, counseling, employment, leadership development services and optional activities that meet the needs of the participants including entrepreneurial training, drivers' education, internships, programs for those with learning disabilities, and in-house staff training.
(5) Outreach to potential participants;
(6) Wages, benefits, and need-based stipends for participants; and Administrative costs—Youthbuild funds for these costs should not exceed 15 percent of the total amount of Youthbuild assistance, unless a higher amount is justified to support capacity development by a private nonprofit organization.
Please refer to HUD's regulation at 24 CFR 585.305 for further details on eligible activities.
In addition to the program requirements listed in the
(A)
(B)
(C)
(1) Educational and job training services.
(2) Leadership training, counseling, and other support activities.
(3) On-site training through actual housing rehabilitation and/or new construction work, including the provision of alternative training experiences that are necessary as a reasonable accommodation for students with disabilities. Your application must contain a letter from the property owner management company(ies) allowing access to the housing site(s) for on-site construction training. Each program must be structured so that 50 percent of each participant's time is spent in on-site training and the other 50 percent in educational training.
(D)
(E)
(1) Affirmatively furthering fair housing by promoting greater opportunities for housing choice for minorities and persons with disabilities;
(2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs;
(4) Providing educational and job training opportunities and linking programs to Americorps activities; and
(5) Promoting welfare reform. Refer to HUD's regulation at 24 CFR 585.3 for a detailed description of program components.
You, the applicant, must meet all of the applicable threshold requirements of Section II(B) of the
(A)
If two or more applications are rated fundable, and have the same score, but there are insufficient funds to fund all of them, HUD will select the application(s) with the highest score for Rating Factor 3(1) under Soundness of Approach. If two or more applicants still have the same score, the highest score in the following factors will be selected sequentially until one highest score can be determined: Rating Factor 1 (Capacity and Experience), Rating Factor 4 (Leveraging of Resources), Rating Factor 2 (Need).
(C)
(1)
(2)
(D)
(E)
(F)
(G)
(H)
This factor addresses the qualification and experience of you the applicant and participating parties to implement a successful young adult education and training program within six months of execution of the grant agreement. HUD will review and evaluate the information provided documenting capability. In assigning points for this criterion, HUD will consider evidence in your application that demonstrates the following:
(1) Experience in implementing and operating a comprehensive, integrated,
(a) Young adult education and training programs, including programs for low-income persons from economically distressed neighborhoods.
(b) Young adult leadership development training and related activities for young adults.
(c) Young adult on-site training in housing construction or rehabilitation for the production of sound and affordable housing for homeless persons and low-income families.
(2) The extent to which you or participating parties have been successful in past education, training, and employment programs and activities, including Federally-funded Youthbuild programs. If you have received a Youthbuild grant, you must submit copies of your last two progress reports or, if applicable, a closeout report. In applying the rating criteria, HUD will take into consideration your performance (including meeting target dates and schedules) as reported.
(3) The extent to which you, including your program director, principal staff, or participating parties have demonstrated past ability to leverage other resources to cover administrative, educational, and training costs.
(4) The extent to which you demonstrate that your proposed Staff and Program Manager possess the background, experience, and capacity to conduct the proposed project, as evidenced by recent work experience in managing projects of the same or similar size, dollar amount, and types of activities as those proposed in the application.
This factor addresses the extent to which there is a need for funding—your proposed program activities and an indication of the urgency of meeting the need in the target area. Documentation of need should address the extent to which you document a critical level of need for the proposed activities in the area where activities will be implemented. The documentation must apply to the targeted area rather than the entire locality. If the target area is an entire locality or State, then documenting need at this level is appropriate.
Your documentation of need should demonstrate the extent and urgency of the problem the proposed activities address. To the extent that your community's Consolidated Plan or Analysis of Impediments to Fair Housing Choice (AI) identifies the level of the problem and the urgency in meeting the need, you should include references to these documents in your response. HUD will review more favorably those applicants that use these documents to identify need. If you have no Consolidated Plan, points will not be taken against you. Examples of data you might use to demonstrate need include, but are not limited to, economic and demographic data relevant to the target area, including poverty and unemployment rates; levels of homelessness; extent of drug usage and crime statistics; lead poisoning rates; housing market data available from HUD Reports or other data sources including the Public Housing Authorities' Five Year Comprehensive Plan, State or local Welfare Department's Welfare Reform Plan (including, where applicable, the Welfare to Work Plan Addendum); and/or lack of other Federal, State, or local funding that could be or are used to address the problem HUD program funds are designed to address. If the proposed activity is not covered under the scope of the Consolidated Plan and AI, you should indicate such, and use other official data sources to identify the level of need and the urgency in meeting the need. Types of other sources include, but are not limited to, Census reports, Continuum of Care gaps analysis, law enforcement agency crime reports, Public Housing Authorities' Five Year Comprehensive Plan, HUD's Consolidated Plan for your jurisdiction, state or county agency reports or studies, etc.
(1) (30 points) HUD will consider the overall quality and feasibility of your proposed statement of work as measured by the specific activities and tasks that meet; the overall objectives of—your Youthbuild program and the intent of this announcement of funding availability; whether the proposed program activities will be accomplished within the projected time frame; whether the proposed program activities are comprehensive and integrated; and the potential for success of the proposed program. Areas HUD will consider in evaluating the overall quality of the proposed program are:
(a) Outreach, recruitment and selection activities including:
(i) Specific steps you will take to attract potential eligible participants who are unlikely to be aware of this program (because of race, ethnicity, sex or disability) and selection strategies;
(ii) Special outreach efforts you will make to recruit eligible young women, young women with dependent children, and persons receiving public assistance; and
(iii) Recruitment arrangements you have made with public agencies, courts, homeless shelters, local school systems, local workforce development systems, community-based organizations, etc.
(b) Educational and job training services and activities including:
(i) The types of in-class academic and vocational instruction you will provide;
(ii) The number and qualifications of program instructors and ratio of instructors to participants;
(iii) Scheduling plan for classroom and on-the-job training needed to meet program requirements and ensure timely completion of your program;
(iv) Reasonable payments of participants' wages, stipends, and incentives.
(c) Leadership development, including the leadership development training you will offer to participants, and strategies for providing the training to build group cohesion and peer support.
(d) Support services. You must document counseling and referral services to be offered to participants, the type of counseling, social services, and/or need-based stipends you will provide. To receive higher points, support services must be documented by letter of commitment from providers.
(e) On-site training, including:
(i) The housing construction or rehabilitation activities participants will undertake at the site(s) to be used for the on-site training component of the program;
(ii) The qualification and number of on-site supervisors;
(iii) The ratio of trainers to students;
(iv) The number of students per site; and
(v) The amounts, wages, and/or stipends you will pay to participants during on-site work.
(f) Job placement assistance, including your commitments, strategies, and procedures for:
(i) Participant placement in related employment, enrollment in postsecondary education programs, job development, starting business enterprises, or other opportunities leading to economic independence; and
(ii) Follow-up assistance and support activities to program graduates.
(2)
(3) HUD will award up to two (2) additional points to any application submitted by the City of Dallas, Texas, to the extent this subfactor is addressed. Due to an order of the U.S. District Court for the Northern District of Texas, Dallas Division, with respect to any application submitted by the City of Dallas, Texas, HUD will consider the extent to which the application's proposed activities will eradicate the vestiges of racial segregation in the Dallas Housing Authority's programs consistent with the Court's order.
This factor addresses the extent to which firm commitment of resources are obtained from Federal, State, local, and private and nonprofit sources other than from you the applicant. In assigning points for this criterion, HUD will consider the level of non-housing resources obtained for cash or in-kind contributions to cover the following kinds of areas:
(1) Social services (i.e., counseling and training);
(2) Use of existing vocational, adult, and bilingual educational courses;
(3) Donation of labor, resource personnel, supplies, teaching materials, classroom, and/or meeting space;
(4) Other commitments.
In rating this element, HUD will consider only those contributions for which current firm commitments have been provided. HUD will evaluate the level of non-housing resources proposed based on their importance to the total program. Leveraging will only be counted if you have documented proof. Letters of commitment should include the dollar amount and be signed by the donors.
This factor addresses the extent to which your program reflects a coordinated, community-based process of identifying needs and building a system to address the needs by using available HUD funding resources and other resources available to the community.
In evaluating this factor, HUD will consider the extent to which you demonstrate that you have:
(1) Coordinated your proposed activities with those of other groups or organizations in order to best complement, support, and coordinate all known activities, and the specific steps you will take to share information on solutions and outcomes with others. You should describe any written agreements, memoranda of understanding in place, or those that will be in place after award.
(2) Taken or will take specific steps to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities you propose.
(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes, or other mechanisms with:
(a) Other HUD funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other activities funded by HUD, Federal, State, or local sources, including those proposed or on-going in the community(s) served.
(A)
(1) Guidance on evidence of site access:
(i) If the applicant or joint applicant have a contract or option to purchase the property, you should provide a statement to that effect and include a copy of the contract or option;
(ii) If a third party owns the property or has a contract or option to purchase, that third party must provide a letter to you stating the nature of the ownership and specifically providing you with access to the property for the purposes of the program and the time frame in which the property will be available. In the case of a contract or option, include a copy of the document; and
(iii) You must provide the required certification that the proposed activities are consistent with the HUD-approved Consolidated Plan in accordance with 24 CFR part 91 and referenced in Section II(G)(7) of the
(B)
(1) SF-424, Application for Federal Assistance.
(2) HUD-424M, Federal Assistance Funding Matrix.
(3) SF-424A, Budget Information for Non-Construction Programs.
(4) SF-424B, Assurances for Construction Programs.
(5) SF-424C, Budget Information for Construction Programs.
(6) HUD-50070, Certification of Drug-Free Workplace.
(7) HUD-2880, Applicant/Recipient Disclosure/Update Form.
(8) HUD-50071, Certification of Payments to Influence Certain Federal Transactions.
(9) SF-LLL, Disclosure of Lobbying Activities (if applicable).
(10) HUD-2992, Certification Regarding Debarment and Suspension.
(11) Letters from property owners allowing access to the housing site for construction training.
(12) Submission of 501(c)(3) status and/or letter certifying non-profit status if the applicant is a public non-profit organization.
(13) Narrative Response to Factors for Award.
(13) HUD-2990, Certification of Consistency with the EZ/EC Strategic Plan (if applicable);
The
Environmental procedures apply to HUD approval of grants when you propose to use Youthbuild funds to cover any costs for the lease, acquisition, rehabilitation, or new construction of real property proposed for housing project development. Environmental procedures do not apply to HUD approval of your application when you propose to use your Youthbuild funds solely to cover costs for classroom and/or on-the-job construction training and support services.
If you propose to use your Youthbuild funds to cover any costs of the lease, acquisition, rehabilitation, or new construction of real property, you must submit all relevant environmental information in your application to support HUD decisionmaking in accordance with the environmental procedures and standards set forth in HUD Regulation 24 CFR 585.307.
This program is authorized under subtitle D of title IV of the Cranston-Gonzalez National Affordable Housing Act, as added by section 164 of the Housing and Community Development Act of 1992 (Pub.L. 102-550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild Program regulations are found in 24 CFR part 585.
1. If you propose to use Youthbuild funds to cover any costs of the lease, acquisition, rehabilitation, or new construction or real property, you shall submit all relevant environmental information in your application to support HUD decisionmaking in accordance with the environmental procedures and standards set forth in 24 CFR 585.307. For each proposed Youthbuild property for which HUD environmental procedures apply, you are to prepare a separate Exhibit 2C(15) in which you supply HUD with environmental threshold information and letters from qualified data sources (see definition below) which support the information. HUD will review your submission and determine how, if necessary, HUD will comply with any Federal laws and authorities that may be applicable to your property proposed for Youthbuild funding. If environmental procedures apply and Exhibit 2C(15) with supporting documentation is not included then the application will be deemed ineligible.
You are to follow these instructions for preparing Exhibit 2C(15). The instructions advise you on how to obtain and document certain information to be supplied to HUD in this exhibit. Before selecting a property for Youthbuild funding, you should read these instructions and be advised that HUD encourages you to select, to the extent practicable, properties and locations that are free of environmental hazards and problems discussed in these instructions. The responses to the environmental criteria in Exhibit 2C(15) will be used to determine environmental approval or disapproval by HUD of proposals for physical development of properties.
2. After selecting a property for proposed Youthbuild funding, you are to determine the activities to be undertaken with your Youthbuild funds. You are to indicate in section E whether the Youthbuild funds will be used for:
(a) Lease or purchase of a property;
(b) Minor rehabilitation or
(c) Major rehabilitation; or
(d) New construction of housing.
The activities proposed for Youthbuild funding will determine the kind of data that you will need to obtain from a qualified data source in order to complete Exhibit 2C(15).
3. Once you have selected a property and determined the activities for Youthbuild funding, you are advised to check with your city or county agency that administers HUD's Community Development Block Grant program and performs environmental reviews, or the local planning agency. The reason is that most, if not all, the data needed for preparing Exhibit 2C(15) is readily available from the local community development agency and the local planning agency. You are advised to ask the environmental staff of those agencies the following:
(a) Has the agency ever prepared an environmental review of the proposed Youthbuild property or the neighborhood in which the property is located, and if so, would it provide a copy to the applicant for use by HUD;
(b) Would the agency assist you in completing section G; or if the agency is not able to help complete any item in section G, would the agency advise you which local or State agency is the appropriate qualified data source for obtaining the information.
Also, you should check with the local planning agency before proceeding elsewhere for the information.
You are advised that the cost of preparing information and analyses needed for Exhibit 2C(15) is an eligible cost under the Youthbuild program and is reimbursable if you are approved for a grant.
4. The following definitions are of key terms used in these instructions. Most of the other terms are technical and their definition would be known to qualified data sources.
(a)
(b)
(i) Where the estimated cost of the work is less than 75 percent of the property value after completion;
(ii) That does not involve changes in land use from residential to nonresidential, or from nonresidential to residential;
(iii) That does not involve the demolition of one or more buildings, or parts of a building, containing the primary use served by the project; and
(iv) That does not increase unit density by more than 20 percent.
For minor rehabilitation of a building located in a floodplain, the criteria for substantial improvement modify this definition. (See Item B 3 below)
(c)
(i) Where the estimated cost of the work is 75 percent or more of the property value after completion; or
(ii) That involves changes in land use from residential to nonresidential, or from nonresidential to residential; or
(iii) That involves the demolition of one or more buildings, or parts of a building, containing the primary use served by the project; or
(iv) That increases unit density by more than 20 percent.
(d)
(e)
Because each Federal environmental law or authority has compliance requirements that differ according to the type of proposed activity to be funded, you are required to supply information in Exhibit 2C(15) only for the type of activity for which the Youthbuild grant will be used.
(a) If you propose new construction or major rehabilitation of multifamily housing, you must supply complete and reliable environmental threshold information for items 1 through 13 in section G.
(b) If you propose new construction of single family housing, you must supply complete and reliable environmental threshold information for items 1 through 12 in section G.
(c) If you propose minor rehabilitation of multifamily or single-family housing, or the purchase or lease of a property, you must supply complete and reliable environmental threshold information for items 1 through 7 in section G.
5. Applicants subject to HUD's environmental procedures are to submit Exhibit 2C(15) and accompanying documentation to HUD with the applications for grant assistance. Such applicants are prohibited from committing or expending State, local or other funds to undertake property rehabilitation, construction (including demolition), or acquisition (including lease), until HUD and the grantee execute a grant agreement for the proposed Youthbuild project.
6. HUD reserves the right to disqualify any application where one or more environmental thresholds are exceeded if HUD determines that the compliance review cannot be conducted and satisfactorily completed within the HUD review period for Youthbuild applications.
The threshold and documentation requirements for each of the Federal environmental laws and authorities are described below, following the same order as they appear in section G.
1. Site within designated coastal barrier resources:
Threshold: Youthbuild applicants are prohibited by Federal law from using Federal financial assistance for properties, if the properties are located within designated coastal barriers of the Atlantic Ocean, Gulf of Mexico, and the Great Lakes (Coastal Barrier Resources Act, as amended, 16 U.S.C. 3501).
* Documentation: You are to select either A or B for the condition that best describes the property and report the option selected in item 1 of section G.
A. You state that your program operates in a community that does not contain any shores along the Atlantic Ocean, the Gulf of Mexico, or the Great Lakes.
B. If your program operates in a community that does contain shores along the Atlantic Ocean, the Gulf of Mexico, or the Great Lakes, you must provide HUD with a finding made by a qualified data source stating that the proposed property is not located within a designated coastal barrier resource by citing the map panel number of the official maps issued by the Department of the Interior (DOI) on the basis of which the finding was made.
2. Site contaminated with toxic chemicals and radioactive materials:
Threshold: Under HUD policy, as described in HUD Notice 79-33 (Policy Guidance to Address the Problems Posed by Toxic Chemicals and Radioactive Materials), HUD will not approve the provision of financial assistance to residential properties located on contaminated sites. Sites known or suspected to be contaminated by toxic chemicals or radioactive materials include but are not limited to sites: (i) listed on either an EPA Superfund National Priorities List (NPL) or CERCLA (Comprehensive Environmental Response, Compensation, and Liability Act) List, or equivalent State list; (ii) located within 3,000 feet of a toxic or solid waste landfill site; or (iii) with an underground storage tank (which is not a residential fuel tank).
* Documentation: You are to select either A or B for the condition that best describes property and report the option selected in item 2 of section G.
A. You are providing HUD with a finding made by a qualified data source stating that the proposed Youthbuild property and any neighboring properties do not contain any sites known or suspected to be contaminated with toxic chemicals and radioactive materials.
B. You are providing any site contamination data by a qualified data source in your letter for HUD's evaluation of contamination and/or suspicion of any contamination of a proposed property or any neighboring properties.
3. Site affecting a floodplain:
Threshold: A property located within a floodplain and proposed for funding is subject to Executive Order 11988, Floodplain Management. The Executive Order directs HUD to avoid, where practicable, proposed financial support for any floodplain property, whenever HUD has options to approve properties in flood-free locations. The Order does not apply to existing single-family properties proposed for purchase or lease except for: (i) property that is located within a floodway or coastal high hazard area; and (ii) substantial improvement. Substantial improvement for flood hazard purposes means any property rehabilitation which: (a) increases the unit density of the property; or (b) equals or exceeds 50 percent of the market value of the property before rehabilitation, but excluding the costs for correcting health, sanitary, and safety code violations. Note: Proposed funding for substantial improvement and new construction are subject to the Executive Order decision making process. This may result in a disqualification of your application (refer above to number 7 under “Instructions to Applicants”).
* Documentation: You are to select A or B for the condition that best describes your property and report the option selected in item 3 of section G.
A. You are providing HUD with a finding made by a qualified data source stating that the property is not located within the Special Flood Hazard Area (SFHA).
B. You are providing HUD with a finding made by a qualified data source that the property is located within the Special Flood Hazard Area (SFHA) and indicating if whether the property is located within a floodway or coastal high hazard area.
The information for A and B must provide HUD with the flood map panel number obtained either from the official maps issued for the National Flood Insurance Program or from the property appraisal report used to make the finding.
For all proposed rehabilitation of properties that are located within a SFHA, you must provide HUD with estimates of: (i) the property value before rehabilitation, and (ii) the cost of the proposed rehabilitation. Provide the estimates in section F.
If the property is found to be located within a SFHA, proceed to item 4 on flood insurance protection. Otherwise proceed to item 5.
4. Building requiring flood insurance protection:
Threshold: HUD will estimate the amount and period of flood insurance coverage that is to be made a condition of approval of any HUD financial assistance for a building located within a Special Flood Hazard Area (SFHA). The Flood Disaster Protection Act of 1973 requires owners of HUD-assisted buildings to purchase and maintain flood insurance protection as a condition of approval of any HUD financial assistance for the proposed purchase, rehabilitation, or new construction of any SFHA building. The law prescribes the coverage period and dollar amount of flood insurance protection.
Proof of Purchase of Flood Insurance Protection: You must provide HUD with proof of purchase of flood insurance protection for any proposed Youthbuild building located within the SFHA, whenever HUD funding is being used for property purchase, rehabilitation, or new construction. The standard documentation for compliance is the Policy Declarations form issued by the National Flood Insurance Program (NFIP) or issued by any property insurance company offering coverage under the NFIP. Whenever the requirement applies to coverage which extends to future years, the grant agreement will require that the insured has its insurer automatically forward to HUD, in the same manner as to the insured, an information copy of the Policy Declarations form, which is used to verify compliance. The Youthbuild applicants responsibility ceases in cases where a mortgage loan is approved requiring flood insurance as condition of loan approval by a lender (other than the Youthbuild applicant), whose responsibility is to assure flood insurance coverage for the loan.
*Documentation: You are to select either A or B for the condition that best describes your property and report the option selected in item 4 of section G.
A. You already own the property and attach a copy of the Policy Declarations form confirming that a current flood insurance policy is in effect and the policy provides adequate coverage for the building proposed for the Youthbuild project located within the Special Flood Hazard Area.
B. After you have purchased (or constructed, in the case of proposed new construction) the Youthbuild property, you must obtain and maintain flood insurance protection. For the term and amount of coverage prescribed by law, you must provide HUD with a copy of the Policy Declarations form confirming that the flood insurance policy is in effect and the policy provides adequate coverage for the Youthbuild building located within the Special Flood Hazard Area.
5. Site within clear zones or accident potential zones of airports and airfields:
Threshold: HUD policy as described in 24 CFR part 51, subpart D applies to HUD approval of financial assistance to: (a) properties located within clear zones; and (b) in the case of new construction or major rehabilitation, properties located within accident potential zones.
(a) Clear zones: New construction and major rehabilitation of a property that is located on a clear zone site is prohibited. HUD financial assistance in a clear zone is allowed only for the proposed lease, purchase, or minor rehabilitation of properties (24 CFR 51.302(a)). For HUD funding approval for any property in a clear zone: (a) HUD will give advance written notice to the prospective property buyer in accord with 24 CFR 51.303(a)(3); and (b) a copy of the HUD notice signed by the prospective property buyer will be placed in the property file. The written notice informs the prospective property buyer of: (i) the potential hazards from airplane accidents which studies have shown more likely to occur within clear zones than in other areas around the airport/airfield; and (ii) the potential acquisition by airport or airfield operators, who may wish to buy the property at some future date as part of a clear zone acquisition program.
(b) Accident potential zones: For properties located within the accident potential zone (APZ), HUD shall determine whether the use of the property is generally consistent with Department of Defense “Land Use Compatibility Guidelines for Accident Potential Zones.”
*Documentation: You are to select either A or B for the condition that best describes your property and report the option selected in item 5 of section G.
A. The property is not located within 3,000 feet of a civil airport or military airfield.
B. If your property is located within 3,000 feet of a civil airport or military airfield, you must provide HUD with a finding from the airport operator stating whether or not the property is located within a runway clear zone at a civil airport, or a clear zone or accident potential zone at a military airfield.
For properties that are located within a runway clear zone or a clear zone or accident potential zone, if you propose to rehabilitate such a property you must provide HUD with estimates of: (i) the cost of the proposed rehabilitation, and (ii) the property value after completion of the rehabilitation. The estimates are to be provided in section F.
6. Site is or affects an historic property:
Threshold: Only if a property is proposed for rehabilitation or new construction must HUD in consultation with the State Historic Preservation Officer (SHPO), and following the Department of the Interiors Standards and Guidelines for Evaluation, make a determination whether the property is:
(a) Listed on or formally determined to be eligible for listing on the National Register of Historic Places;
(b) Located within or directly adjacent to an historic district; or
(c) A property whose area of potential effects includes an historic district or property.
Historic properties and districts are subject by law to special protection and historic preservation processing which HUD must perform to comply with the regulations of the Advisory Council on Historic Preservation (ACHP: 36 CFR part 800). Note: If you are using information from the SHPO as a qualified data source you need to allow sufficient time to obtain the information from the SHPO. You may wish to make special arrangements with the SHPO for rapid review of the proposed property where this is practicable. In addition, for properties determined to be historic properties, HUD will require 30 to 90 days in most cases for HUD to perform historic preservation compliance with the ACHP regulations. This may result
*Documentation: You are to select one of the following options that best describes the condition of your property and report the option selected in item 6 of section G.
A. You propose financial assistance for rehabilitation or new construction, and are providing HUD with a SHPO's finding that the proposed Youthbuild activity:
1. Is located within an area where there are no historic properties; or
2. Will have no effect on historic properties; or
3. Will have an effect on historic properties not considered adverse.
B. You propose financial assistance for rehabilitation or new construction, and are providing HUD with a SHPOs finding that the proposed Youthbuild activity will have an adverse effect on historic properties.
C. You are providing HUD with a copy of a letter from the SHPO stating any reasons for not being able to provide you with the requested information and finding.
7. Site near hazardous industrial operations:
Threshold: Properties that are located near hazardous industrial operations handling fuels or chemicals of an explosive or flammable nature are subject to HUD safety standards (24 CFR 51, Subpart C). However, under the Youthbuild program, these standards would apply only if you propose: (i) construction of a building; (ii) conversion of a non-residential land use to a residential land use including making habitable a building condemned for habitation; or (iii) rehabilitation that increases the density of a residential structure by increasing the number of dwelling or rooming units. In the case of tanks containing common liquid fuels, the requirement for an acceptable separation distance (ASD) calculation only applies to storage tanks that have a capacity of more than 100 gallons.
*Documentation: You are to select one of the following options that best describe the condition of the property, and report the option selected in item 7 of section G.
A. The proposed project does not include: (i) construction of a building; (ii) conversion of a non-residential land use to a residential land use including making habitable a building condemned for habitation; or (iii) rehabilitation that increases the density of a residential structure by increasing the number of dwelling or rooming units.
B. The proposed project includes: (i) construction of a building; (ii) conversion of a non-residential land use to a residential land use including making habitable a building condemned for habitation; or (iii) rehabilitation that increases the density of a residential structure by increasing the number of dwelling or rooming units; and you are providing HUD with a finding by a qualified data source that the proposed property is not located within the immediate vicinity of hazardous industrial operations handling fuel or chemicals of an explosive or flammable nature by citing data used and the maps used.
C. The applicant proposes: (I) construction of a building; (ii) conversion of a non-residential land use to a residential land use including making habitable a building condemned for habitation; or (iii) rehabilitation that increases the density of a residential structure by increasing the number of dwelling or rooming units; and the grantee provides HUD a finding made by a qualified data source stating: (1) that the proposed property is located within the immediate vicinity of hazardous industrial operations handling fuel or chemicals of an explosive or flammable nature; (2) the type and scale of such hazardous industrial operations; (3) the distance of such operations from the proposed property; (4) a preliminary calculation of the acceptable separation distance (ASD) between such operations and the proposed property; and (5) a recommendation as to whether it is safe to use the property in accord with 24 CFR 51, Subpart C.
8. Site near high noise source:
Threshold: For new construction which is to occur in high noise areas (i.e. exceeding 65 decibels), applicants shall incorporate noise attenuation features to the extent required by HUD environmental criteria and standards contained in Subpart B (Noise Abatement and Control) of 24 CFR part 51. Approvals in a Normally unacceptable noise zone require a minimum of 5 decibels additional sound attenuation for buildings having noise-sensitive uses if the day-night average sound level is greater than 65 decibels but does not exceed 70 decibels, or a minimum of 10 decibels of additional sound attenuation if the day-night average sound level is greater than 70 decibels but does not exceed 75 decibels.
Proposed housing sites with above 75 decibels are unacceptable and the noise attenuation measures require the approval of the Assistant Secretary for Community Planning and Development. In Unacceptable noise zones, HUD strongly encourages conversion of noise-exposed sites to non-housing land uses compatible with the high noise levels.
For major rehabilitation projects involving five or more dwelling units located in the “Normally Unacceptable” and “Unacceptable” noise zones, HUD actively seeks to have project sponsors incorporate noise attenuation features, given the extent and nature of the rehabilitation being undertaken and the level of exterior noise exposure.
*Documentation: You are to select A or B for the condition that best describes their project and report the option selected in item 8 of section G.
A. You are providing HUD with a finding made by a qualified data source stating that the property proposed by the applicant for a major rehabilitation or new construction project involving five or more dwelling units is not located within: (i) 1,000 feet of a major noise source, road, or highway; (ii) 3,000 feet of a railroad; or (iii) 1 mile of a civil or 5 miles of a military airfield.
B. The applicant provides HUD with a finding made by a qualified data source: (i) stating that the plans for the property proposed by the applicant for a major rehabilitation or new construction project involving five or more dwelling units will incorporate noise attenuation features in accord with HUD environmental criteria and standards contained in Subpart B (Noise Abatement and Control) of 24 CFR part 51; (ii) stating whether the property is located within a “Normally Unacceptable” or “Unacceptable” noise zone; and (iii) providing HUD plans and a statement of the anticipated interior noise levels.
9. Site affecting coastal zone management:
Threshold: Only for proposed activities involving new construction or major rehabilitation of multifamily housing does the Coastal Zone Management (CZM) authority apply. Projects which can affect the coastal zone must be carried out in a manner consistent with the approved State coastal zone management program under Sec. 307 of the Coastal Zone Management Act of 1972, as amended.
*Documentation: You are to select either A or B for the condition that best describes the project and report the option selected in item 9 of section G.
A. You state that your project is not located within a coastal zone, as defined by the States Coastal Zone Management Plan.
B. If your project is located within a coastal zone, you are providing HUD with a finding made by the State CZM agency that the project proposed by the applicant is consistent with the
10. Site affecting a sole source aquifer:
Threshold: The sole source aquifer authority applies primarily to activities involving proposed new construction or conversion to housing of non-residential property. Projects which can affect aquifers designated by the Environmental Protection Agency (EPA) must be reviewed for impact on such designated aquifer sources. The Safe Drinking Water Act of 1974 requires protection of drinking water systems which are the sole or principal drinking water source for an area and which, if contaminated, would create a significant hazard to public health.
*Documentation: You are to select either A or B for the condition that best describes their project and report the option selected in item 10 of section G.
A. You are providing HUD with a finding made by a qualified data source stating that the proposed property is not located on nor does it affect a sole source aquifer designated by EPA.
B. If your project proposes new construction or conversion activities that are located on or may affect any sole source aquifer designated by the EPA, you are identifying the aquifer and providing HUD with an explanation of the effect on the aquifer from a qualified data source, and/or a copy of any comments on the proposed project that have been received from the EPA Regional Office as well as from any State or local agency with jurisdiction for protecting the drinking water system.
11. Site affecting endangered species:
Threshold: The Endangered Species Protection (ESP) authority applies primarily to activities involving proposed new construction or conversion to housing of a non-residential property. Projects which can affect listed or proposed endangered or threatened species or critical habitats require consultation with the Department of the Interior in compliance with the procedure of Section 7 of the Endangered Species Act of 1973, as amended.
*Documentation: You are to select either A or B for the condition that best describes the property and report the option selected in item 11 of section G.
A. If your project proposes new construction or conversion activities, you are providing HUD with a finding made by a qualified data source that the project is not likely to affect any listed or proposed endangered or threatened species or critical habitat. The finding shall indicate whether the project is located within a critical habitat, and if so, explain why the project is not likely to affect the species or habitat.
B. If your project proposes new construction or conversion activities that are likely to affect listed or proposed endangered or threatened species or critical habitat, you are providing HUD with a statement from a qualified data source explaining the likely affect, and/or a finding made by the Fish and Wildlife Service of the Department of the Interior stating as acceptable the proposed mitigation that you will provide to protect any affected endangered or threatened species or critical habitat.
12. Site affecting a designated wetland:
Threshold: New construction or conversion to housing of a non-residential property located within a designated wetland is subject to Executive Order 11990, Protection of Wetlands. This Executive Order directs HUD to avoid, where practicable, financial support for new construction on wetland property.
Proposed funding for new construction or conversion is subject to the Executive Order decision making process. This may result in a disqualification of the application (refer above to number 7 under “Instructions to Applicants”).
* Documentation: You are to select A or B for the condition that best describes the property and report the option selected in item 12 of section G.
A. You are providing HUD with a finding made by a qualified data source stating that the property is not located within a designated wetland where new construction or conversion is proposed.
B. You are providing HUD with a finding made by a qualified data source that the property is located within a designated wetland, which applies only to property where new construction or conversion is proposed.
The information for A and B must provide HUD with the wetland panel number obtained from official maps issued by the Department of the Interior on the basis of which the finding was made, or where DOI has not mapped the area, a letter or other documentation from the Army Corps of Engineers or other Federal agency.
13. Significant impact to the human environment:
Threshold: HUD must perform an environmental assessment of any property proposed for major rehabilitation or new construction except for a single-family property having one-to-four dwelling units. It is the policy of the Department to reject proposals which have significant adverse environmental impacts and to encourage the modification of projects in order to enhance environmental quality and minimize environmental harm. This policy is authorized by the National Environmental Policy Act (NEPA) and the implementing regulations of the Council on Environmental Quality and HUD's Environmental Rule at 24 CFR part 50.
* Documentation: You are to provide HUD with any information on any adverse environmental impacts that affect the property or that the project would create. You are to report this data on a separate sheet and attach it to Exhibit 2C(15). Examples of adverse impacts are: soil instability and erodibility; natural or person-made hazards and nuisances; air pollution; inadequate infrastructure (e.g., water supply, waste water treatment, storm water management, solid waste collection), inadequate public services (i.e., fire, police, health care, social services, schools, parks) and transportation; and encroachment on prime farmlands and wild and scenic river areas. You are to identify any significant impacts to the human environment.
The non-standard forms, which follow, are required for your Youthbuild application.
If you are interested in applying for funding under any of the Continuum of Care Homeless Assistance programs, please review carefully the
See the
Approximately $850 million is available for this competition in FY 2000. Any unobligated funds from previous competitions or additional funds that may become available as a result of deobligations or recaptures from previous awards or budget transfers may be used in addition to 2000 appropriations to fund applications submitted in response to this program section of this SuperNOFA. The funds available for the Continuum of Care program can be used under any of three programs that can assist in creating community systems for combating homelessness. The three programs are:
(1) Supportive Housing;
(2) Shelter Plus Care; and
(3) Section 8 Moderate Rehabilitation for Single Room Occupancy Dwellings for Homeless Individuals.
The chart in the Appendix A to this program section of this SuperNOFA summarizes key aspects of the programs, and also provides the citations for the statutes and regulations that authorize these programs. The regulations listed in the chart provide more detailed descriptions of each of the programs.
As in previous funding availability announcements for the Continuum of Care Homeless Assistance Programs, HUD will not specify amounts for each of the three programs this year. Instead, the distribution of funds among the three programs will depend largely on locally determined priorities and overall demand. Local priorities notwithstanding, due to recent Congressional action, not less than 30 percent of this year's total homeless assistance appropriation of $1.020 billion must be used for permanent housing projects. (See Sections V(A)(4)(b) and V(A)(7) of this program section of the SuperNOFA for additional information.) Should Congress pass and the President sign legislation prior to this year's grant announcement permitting eligible S+C renewals selected for funding in the 2000 competition to be funded from sources other than the McKinney Act, HUD reserves the right to exercise this authority. Should this authority be exercised, HUD will skip over these selected S+C renewal projects funded from sources other than the McKinney Act in choosing projects from Continuum of Care priority lists for McKinney Act funding in this year's competition. These skipped over S+C renewal projects will not count against your continuum's prorata need amount, thus increasing the funds available for other projects. You should plan for this eventuality when developing your Continuum of Care priority list. All Shelter Plus Care renewals selected for funding, regardless of funding source, will count toward the 30 percent permanent housing requirement.
(A)
(1)
A Continuum of Care system consists of four basic components:
(a) A system of outreach and assessment for determining the needs and conditions of an individual or family who is homeless;
(b) Emergency shelters with appropriate supportive services to help ensure that homeless individuals and families receive adequate emergency shelter and referral to necessary service providers or housing finders;
(c) Transitional housing with appropriate supportive services to help those homeless individuals and families who are not prepared to make the transition to permanent housing and independent living; and
(d) Permanent housing, or permanent supportive housing, to help meet the long-term needs of homeless individuals and families.
A Continuum of Care system is developed through a community-wide or region-wide process involving nonprofit organizations (including those representing persons with disabilities), government agencies, other homeless providers, housing developers and service providers, private foundations, neighborhood groups, and homeless or formerly homeless persons. A Continuum of Care system should address the specific needs of each homeless subpopulation: the jobless, veterans, persons with serious mental illnesses, persons with substance abuse issues, persons with HIV/AIDS, persons with multiple diagnoses, victims of domestic violence, youth, and any others. The term “multiple diagnoses” may include diagnoses of multiple physical disabilities or multiple mental disabilities or a combination of these two types.
As an applicant, the community process you use in developing a Continuum of Care system should include interested veteran service organizations. To ensure that the Continuum of Care system addresses the needs of homeless veterans, it is particularly important that you involve veteran service organizations with specific experience in serving homeless veterans. In addition, given the large number of youths aging out of the Foster Care system each year, you should seek to include persons knowledgeable on this issue in the planning process and ensure that your continuum of Care system adequately addresses this need.
Your application will be given a high score under the Continuum of Care scoring factors if the application demonstrates the achievement of two basic goals:
• That you have provided maximum participation by non-profit providers of housing and services; homeless and formerly homeless persons; state and local governments and agencies; veteran service organizations; organizations representing persons with disabilities; the private sector; housing developers; foundations and other community organizations.
• That you have created, maintained and built upon a community-wide inventory of housing and services for homeless families and individuals; identified the full spectrum of needs of homeless families and individuals; and coordinated efforts to obtain resources, particularly resources sought through this program section of the SuperNOFA, to fill gaps between the current inventory and existing needs. This coordinated effort must appropriately address all aspects of the continuum, especially permanent housing.
Should HUD determine, in its sole discretion, that sufficient evidence exists to confirm that the entity responsible for convening and managing the Continuum of Care process in a community has failed in the past to conduct a fair process, including a priority selection process that gives equal consideration to projects proposed by non profit organizations, HUD reserves the right to prohibit that entity and the individuals comprising that entity from participating in that capacity in the future. In making this determination, HUD will consider as evidence court proceedings and decisions, or the determinations of other independent and impartial review bodies. Entities and individuals so prohibited under this authority will be notified in writing within 15 days of the publication of this Continuum of Care NOFA in the
In deciding the geographic area you will cover in your Continuum of Care strategy, you should be aware that the single most important factor in being awarded funding under this competition will be the strength of your Continuum of Care strategy when measured against the Continuum of Care rating factors described in this SuperNOFA. When you determine what jurisdictions to include in your Continuum of Care strategy area, include only those jurisdictions that are involved in the development and implementation of the Continuum of Care strategy.
The more jurisdictions you include in the Continuum of Care strategy area, the larger the pro rata need share that will be allocated to the strategy area (as described in Section V(A)(4) of this program section of the SuperNOFA). However, it would be a mistake to include jurisdictions that are not fully involved in the development and implementation of the Continuum of Care strategy since this would adversely affect the Continuum of Care score. If you are a rural county, you may wish to consider working with larger groups of contiguous counties to develop a region-wide or multi-county Continuum of Care strategy covering the combined service areas of these counties.
Since the basic concept of a Continuum of Care strategy is to create a single, coordinated, inclusive homeless assistance system for an area, the areas covered by Continuum of Care strategies should not overlap. If your Continuum of Care strategy geographically overlaps to the extent that they are essentially competing with each other, projects in the applications/Continuum of Care that receive the highest score out of the possible 60 points for Continuum of Care will be eligible for up to 40 points under Need. Projects in the competing applications/Continuum of Care with the less effective Continuum of Care strategies will be eligible for only 10 points under Need. In no case will the same geographical area be used more than one time in assigning Need points. The local HUD Field Office can help you determine if any of the areas proposed for inclusion by your Continuum of Care system is also likely to be claimed under another Continuum of Care system in this competition.
(2)
To promote permanent housing, a special incentive is being provided to Continuum of Care systems that place an eligible, new permanent housing project in the number one priority slot on the priority list. See Section V(A)(4)(b) of this program section of the SuperNOFA for a description of this incentive.
HUD will use this priority list to award up to 40 points per project under the “Need” scoring factors. Higher priority projects will receive more points under Need than lower priority projects. A project priority chart is included in the application kit and you should complete and submit it. If you do not submit clear project priority designations for the continuum, or if HUD, at its sole discretion, cannot determine priority designations, then HUD will give all projects the lowest score for Need.
Your local needs analysis process must consider the need to continue funding for projects expiring in calendar year 2001, and you must assign a priority to those projects requesting renewal. HUD will not fund renewals out of order on the priority list except as may be necessary to achieve the new 30 percent overall permanent housing requirement. HUD reserves the authority to use FY 2001 funds, if available, to conditionally select for one year of funding lower-rated eligible SHP renewal projects that are assigned 40 need points in continuum of care systems that: (1) Would not otherwise receive funding; and (2) have not previously been awarded funds under this authority.
Regardless of the priority assigned to expiring projects, you should fully consider how persons currently being served by those projects will continue to be served, and address this issue in your gaps analysis. In previous competitions, some renewal projects that were not assigned top priority by a locality did not receive funding. To the extent your community desires to have such projects renewed, you should give them the top priorities on the priority projects listing in the application. It is also important that they meet minimum project eligibility, capacity, and quality standards identified in this program section of the SuperNOFA or they will be rejected.
For the renewal of a Supportive Housing Program project, Supportive Housing Demonstration Program project or SAFAH project, you may request funding for one (1), two (2) or three (3) years. For the renewal of a Shelter Plus Care project, the grant term is fixed at five (5) years as required by statute. You may request up to the amount determined by multiplying the number of units under lease at the time of application for renewal funding under this SuperNOFA by the applicable current Fair Market Rent(s) by 60 months. While full funding of existing grants may be requested, there is no guarantee that the entire amount will be awarded. As is the case with SHP, HUD will recapture Shelter Plus Care grant funds remaining unspent at the end of the original grant period when it renews a grant.
This program section of the SuperNOFA is not applicable to the renewal of funding under the SRO program. For further guidance on SRO renewals, please contact your local HUD Field Office.
As a project applicant, you are eligible to apply for renewal of a grant only if you have executed a grant agreement for the project directly with HUD. If you are a project sponsor or subrecipient who has not signed such an agreement, you are not eligible to apply for renewal of these projects. HUD will reject applications for renewal submitted by ineligible applicants. If you have questions about your eligibility to apply for project renewal, contact the local HUD field office. To be considered an applicant when applying as part of a consolidated application, you must submit an originally signed HUD Form SF-424 and the necessary certifications and assurances.
(B)
(C)
(A)
(1)
• Under section 8(e)(2) of the United States Housing Act of 1937, no single project may contain more than 100 assisted units;
• Under 24 CFR 882.802, applicants that are private nonprofit organizations must subcontract with a Public Housing Authority to administer the SRO assistance;
• Under section 8(e)(2) of the United States Housing Act of 1937 and 24 CFR 882.802, rehabilitation must involve a minimum expenditure of $3,000 for a unit, including its prorated share of work to be accomplished on common areas or systems, to upgrade conditions to comply with the Housing Quality Standards.
• Under section 441(e) of the McKinney Act and 24 CFR 882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit each year to take into account changes in construction costs. This cost limitation applies to rehabilitation that is compensated for in a Housing Assistance Payments Contract. For purposes of Fiscal Year 2000 funding, the cost limitation is raised from $17,500 to $17,850 per unit to take into account increases in construction costs during the past 12-month period.
(2)
(3)
• Where an applicant for Supportive Housing Program funding is a State or unit of general local government that utilizes one or more nonprofit organizations to administer the homeless assistance project(s), administrative funds provided as part of the SHP grant must be passed on to the nonprofit organization(s) in proportion to the administrative burden borne by them for the SHP project(s). HUD will consider States or units of general local government that pass on at least 50
• HUD anticipates publishing an amendment to SHP program regulations in the near future, which amendment would allow HUD to pay up to 75% of the annual operating costs for supportive housing in every year of the grant. The current rule, found at 24 CFR 583.125(c), allows HUD to pay up to 75% in the first two years of the grant and up to 50% in the remaining years. If the amendment of this section is published with final effect before conditional selection of awards under this NOFA, the amendment will apply to grants awarded in this competition.
(B)
(C)
(D)
(E)
(1)
• HUD will deobligate SHP funds if you have not demonstrated site control within one (1) year after you were initially notified of the grant award, as provided in 24 CFR 583.320(a), subject to the exceptions noted in that regulation.
• Except where HUD finds that delay was due to factors beyond your control, HUD may deobligate SHP funds if the you do not meet the following additional timeliness standards:
(2)
• For Tenant-based Rental Assistance, for Sponsor-based Rental Assistance, and for Project-based Rental Assistance without rehabilitation, you must start the rental assistance within twelve (12) months of the initial announcement of the grant award.
• For Project-based Rental Assistance with rehabilitation, you must complete the rehabilitation within twelve (12) months of initial notification of your grant award.
(3)
For projects carried out under the SRO program and the SRO component of the S+C program, the rehabilitation work must be completed and the Housing Assistance Payments contract executed within twelve (12) months of execution of the Annual Contributions Contract. HUD may reduce the number of units or the amount of the annual contribution commitment if, in HUD's determination, the Public Housing Authority fails to demonstrate a good faith effort to adhere to this schedule.
(A)
(1)
• You must be eligible to apply for the specific program;
• You must demonstrate ability to carry out the project(s). With respect to each proposed project, this means that in addition to knowledge of and experience with homelessness in general, the organization carrying out the project, its employees, or its partners, must have the necessary experience and knowledge to carry out the specific activities proposed, such as housing development, housing management, and service delivery;
• If you or the project sponsors are current or past recipients of assistance under a HUD McKinney Act program or the HUD Single Family Property
• You and the project sponsors must be in compliance with applicable civil rights laws and Executive Orders, and must meet the threshold requirements of Section II(B) of the
(2)
• The population to be served must meet the eligibility requirements of the specific program, as described in this program section;
• At least one of the activities for which assistance is requested must be eligible under the specific program, as described in the program regulations;
• The housing and services proposed must be appropriate to the needs of the persons to be served. HUD may find a project to be inappropriate if:
An SHP project renewal will be considered as having met this requirement through its previously approved grant application.
• The project must be cost-effective in HUD's opinion, including costs associated with construction, operations, and administration, with such costs not deviating substantially from the norm in that locale for the type of structure or kind of activity;
• Supportive services only projects, and all others, must show how participants will be helped to access permanent housing and achieve self-sufficiency. An SHP renewal will be considered as having met this requirement through its previously approved grant application;
• For the Section 8 SRO program, at least 25 percent of the units to be assisted at any one site must be vacant at the time of application; and
• For those projects proposed under the SHP innovative category: Whether or not a project is considered innovative will be determined on the basis that the particular approach proposed is new within its geographic area, and can be replicated.
(3)
(a)
• The existence of a coordinated and inclusive community process, including organizational structure(s), for developing and implementing a Continuum of Care strategy which includes nonprofit organizations (such as veterans service organizations, organizations representing persons with disabilities, and other groups serving homeless persons), State and local governmental agencies, other homeless providers, housing developers and service providers, private foundations, local businesses and the banking community, neighborhood groups, and homeless or formerly homeless persons; and
• That a well-defined and comprehensive strategy has been developed which addresses the components of a Continuum of Care system (
(b)
• Describes the gap analysis performed, uses reliable information and sources that are presented completely and accurately, and establishes the relative priority of homeless needs identified in the Continuum of Care strategy; and
• Proposes projects that are consistent with the priority analysis described in the Continuum of Care strategy, describes a fair project selection process, explains how gaps identified through the analysis are being addressed, and correctly completes the priority chart.
When HUD reviews a community's Continuum of Care to determine the points to assign, HUD will consider whether the community took its renewal needs into account in preparing its project priority list. (See discussion on renewals in Section III(A)(2) of this NOFA.)
(c)
(d)
(e)
(4)
(a)
(b)
(c)
In the case of competing applications from a single jurisdiction or service area, projects in the application that received the highest score out of the possible 60 points for Continuum of Care are eligible for up to 40 points under Need. Projects in the competing applications with lower Continuum of Care scores are eligible for only 10 points under Need.
(5)
(6)
(a)
When insufficient funds remain to fund all projects having the same total score, HUD will first fund permanent housing projects if necessary to achieve the 30 percent overall permanent housing requirement. HUD will then break ties among the remaining projects with the same total score by comparing scores received by the projects for each of the following scoring factors, in the order shown: Need, Overall Continuum of Care (COC) score, COC Process and Strategy, COC Gaps and Priorities, and COC Supplemental Resources. The final tie-breaking factor is the priority number of the competing projects on the applicable COC priority list(s).
(b)
(7)
In accordance with the appropriation for homeless assistance grants in the Fiscal Year 2000 Appropriation Act for HUD (Pub.L. 106-24, approved October 20, 1999; 113 Stat. 1047), HUD will use not less than 30 percent of the total FY 2000 homeless grant assistance appropriation to fund projects that meet the definition of permanent housing. Projects meeting the definition of permanent housing are: (1) new Shelter Plus Care projects; (2) Shelter Plus Care renewal projects; (3) Section 8 SRO projects; and (4) new and renewal projects designated as permanent housing for homeless persons with disabilities under the Supportive Housing Program. Since the FY 2000 homeless grant assistance appropriation is $1.020 billion, not less than $306 million must be awarded to permanent housing projects unless an insufficient number of approvable permanent housing projects is submitted in which case HUD will carry over the amount of the permanent housing funding shortfall to next year's competition. This permanent housing funding requirement may result in higher scoring non-permanent housing projects being skipped over to fund lower scoring permanent housing projects or, within a continuum, higher priority non-permanent housing projects being skipped over to fund lower priority permanent housing projects.
In accordance with section 429 of the McKinney Act, HUD will award Supportive Housing funds as follows: not less than 25 percent for projects that primarily serve homeless families with children; not less than 25 percent for projects that primarily serve homeless persons with disabilities; and not less than 10 percent for supportive services not provided in conjunction with supportive housing. After projects are
In accordance with section 463(a) of the McKinney Act, as amended by the Housing and Community Development Act of 1992, at least 10 percent of Shelter Plus Care funds will be awarded for each of the four components of the program: Tenant-based Rental Assistance; Sponsor-based Rental Assistance; Project-based Rental Assistance; and Section 8 Moderate Rehabilitation of Single Room Occupancy Dwellings for Homeless Individuals (provided there are sufficient numbers of approvable projects to achieve these percentages). After projects are rated and ranked, based on the factors described above, HUD will determine if the conditionally selected projects achieve these minimum percentages. If necessary, HUD will skip higher-ranked projects in order to achieve these minimum percentages.
In accordance with section 455(b) of the McKinney Act, no more than 10 percent of the assistance made available for Shelter Plus Care in any fiscal year may be used for programs located within any one unit of general local government. In accordance with section 441(c) of the McKinney Act, no city or urban county may have Section 8 SRO projects receiving a total of more than 10 percent of the assistance made available under this program. HUD is defining the 10 percent availability this fiscal year as $10 million for Shelter Plus Care and $10 million for Section 8 SRO. However, if the amount awarded under either of these two programs exceeds $100 million, then the amount awarded to any one unit of general local government (for purposes of the Shelter Plus Care program) or city or urban county (for the purposes of the SRO program) could be up to 10 percent of the actual total amount awarded for that program.
Lastly, HUD reserves the right to reduce the amount of a grant if necessary to ensure that no more than 10 percent of assistance made available under this program section of the SuperNOFA will be awarded for projects located within any one unit of general local government or within the geographic area covered by any one Continuum of Care. If HUD exercises a right it has reserved under this program section of the SuperNOFA, that right will be exercised uniformly across all applications received in response to this program section of the SuperNOFA.
(B)
The application kit provides the application materials, including Form SF-424 and certifications, that must be used in applying for homeless assistance under this SuperNOFA. These application materials substitute for the forms, certifications, and assurances listed in Section II(G) of the General Section of the SuperNOFA (collectively, the “standard” forms).
In addition to the required narratives, the items that you must submit to HUD as part of the application for homeless assistance funding are as the following. The standard forms can be found in Appendix B to the General Section of the SuperNOFA. The remaining forms (i.e., excluding such items as narratives), referred to as the non-standard forms can be found as Appendix B to this program section of the SuperNOFA):
1. 2000 Application Summary Form.
2. Continuum of Care and Project Exhibits.
3. Gaps Analysis Form.
4. Project Priorities Form.
5. Project Leveraging Form.
6. EZ/EC Certification.
7. SF-424.
8. Applicant Certifications.
9. Consolidated Plan Certification(s).
The application requires a description of the Continuum of Care system and the proposed project(s). To ensure that no applicant is afforded an advantage in the rating of the Continuum of Care element (described in Section V(A)(3) above), HUD is establishing a limitation of 25 pages, excluding required multiple page tables or charts but including any attachments, on the length of Exhibit 1 of any application submitted in response to this NOFA. HUD will not consider the contents of any pages exceeding this limit when rating the Continuum of Care element of any application. The application kit also contains certifications that the applicant will comply with fair housing and civil rights requirements, program regulations, and other Federal requirements, and (where applicable) that the proposed activities are consistent with the HUD-approved Consolidated Plan of the applicable State or unit of general local government, including the Analysis of Impediments to Fair Housing Choice and the Action Plan to address these impediments. Projects funded under this SuperNOFA shall operate in a fashion that does not deprive any individual of any right protected by the Fair Housing Act (42 U.S.C. 3601-19), section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), the Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.), Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d), Section 109 of the Housing and Community Development Act of 1974 (42 U.S.C. 5301) or the Age Discrimination Act of 1974 (42 U.S.C. 6101). Section II(D) of the
There are three options for submitting an application under this program section of the SuperNOFA.
Options one and two are not substantively different and will be considered equally competitive. Applicants are advised that projects that are not a part of a Continuum of Care strategy will receive few, if any, points under the Continuum of Care rating factors.
The
(A)
(B)
The Supportive Housing Program is authorized by title IV, subtitle C, of the Stewart B. McKinney Homeless Assistance Act (McKinney Act), 42 U.S.C. 11381. Funds made available under this program section of the SuperNOFA for the Supportive Housing Program are subject to the program regulations at 24 CFR part 583.
The Shelter Plus Care program is authorized by title IV, subtitle F, of the McKinney Act, 42 U.S.C. 11403. Funds made available under this program section of the SuperNOFA for the Shelter Plus Care program are subject to the program regulations at 24 CFR part 582.
The Section 8 Moderate Rehabilitation Program for Single Room Occupancy Dwellings for Homeless Individuals (SRO) is authorized by section 441 of the McKinney Act, 42 U.S.C. 11401. Funds made available under this NOFA for the SRO program are subject to the program regulations at 24 CFR part 882, subpart H.
(2) States and units of general local government may apply for projects under the Long-Term category of grants, if activities will serve areas that were not eligible for HOPWA formula allocations in Fiscal Year 2000. Appendix A in this program section of the SuperNOFA identifies the formula areas.
If you are interested in applying for funding under this program, please review carefully the
See the
Submit the two (2) copies of your application to the area CPD Field Office or Offices that serve the area in which activities are proposed. For multi-state efforts you must submit two copies of your application to the Field Office that serves your main office. The list of addresses for area CPD Field Offices is provided as Appendix B of this program section of this SuperNOFA. If you propose nationwide activities, you must send all copies to the HUD headquarters office. When submitting your applications, please refer to HOPWA, and include your name, mailing address (including zip code), facsimile and telephone number (including area code).
Approximately $23,026,000 is being made available for funding under this program section of the SuperNOFA. Additional funds may be awarded if funds are recaptured, deobligated, appropriated or otherwise made available during the fiscal year.
(A)
(B)
(A)
(1) Grants for Special Projects of National Significance (SPNS) that, due to their innovative nature or their potential for replication, are likely to serve as effective models in addressing the housing and related supportive service needs of low-income persons living with HIV/AIDS and their families. Under this program section of the SuperNOFA, HUD will set-aside up to 40% of the funds allocated to SPNS to projects targeting underserved populations as defined in Section (D); and
(2) Grants for projects that are part of Long-Term Comprehensive Strategies (Long-Term) which provide housing and related supportive services for low-income persons living with HIV/AIDS and their families in areas that are not eligible for HOPWA FY 2000 formula allocations found in Appendix A of this program section of this SuperNOFA.
(B)
(2) States and units of general local government may apply for grants for projects under the Long-Term category of grants, if proposed activities will serve areas that were not eligible to receive HOPWA formula allocations in Fiscal Year 2000. A list of the formula areas and a list of the areas not eligible to receive HOPWA Formula funds, can be found in Appendix A of this program section of this SuperNOFA. Nonprofit
(3) Nonprofit organizations must have appropriate credentials, in accordance with HOPWA regulations at 24 CFR 574.3. If you are a nonprofit organization, to be an eligible applicant or project sponsor, you must either:
The statutory definition reads:
The term “nonprofit organization” means any nonprofit organization (including a State or locally chartered, nonprofit organization) that—(i) is organized under State or local laws; (ii) has no part of its net earnings inuring to the benefit of any member, founder, contributor, or individual; (iii) complies with standards of financial accountability acceptable to the Secretary; and (iv) has among its purposes significant activities related to providing services or housing to persons with acquired immunodeficiency syndrome or related diseases.
HUD interprets the use of the term “related diseases” in this definition to include HIV infection.
Adequate documentation of nonprofit status includes the following:
(a) In lieu of an IRS exemption for nonprofits in Puerto Rico, a ruling from the Treasury Department of the Commonwealth of Puerto Rico granting income tax exemption under section 101 of the Income Tax Act of 1954, as amended (13 LPRA 3101);
(b) In lieu of documentation under section 501(c)(3), documentation of an IRS ruling of tax exempt status under section 501(c)(4), (6), (7), (9), or (19);
(c) Documentation of satisfying the statutory criteria by submitting the following four items:
(i) Certification by an appropriate official of the jurisdiction under whose laws the nonprofit organization was organized that your organization was so organized and is in good standing;
(ii) Documentation that your organization is a certified United Way member agency or other documentation that shows that no inurement of benefits to the managers of your organization occurs;
(iii) Documentation from a CPA or Public Accountant that your organization has a functioning accounting system that is operated in accordance with generally acceptable accounting principles or that a qualifying entity is designated for that activity, or the United Way member agency certification noted in item (ii); and
(iv) A certified copy of your nonprofit organization's articles of incorporation, by-laws, statement of purposes, board of director's resolution or a similar document that includes a provision demonstrating its purpose regarding significant activities for persons living with HIV/AIDS.
If your organization does not provide the requested documentation, you are not eligible to receive funds and serve as the grantee or as a project sponsor. However, you may collaborate with eligible nonprofit organizations or with a government agency that applies for the grant and assist them, for example, in planning for the proposed activities, identifying needs in your community and identifying clients who will be assisted. In addition, you may do work under contract with a grantee for services funded by this grant.
(C)
(a) Housing information services (including fair housing counseling).
(b) Project-based or tenant-based rental assistance.
(c) New construction of a community residence or SRO dwelling.
(d) Acquisition, rehabilitation, conversion, lease or repair of facilities to provide housing and services.
(e) Operating costs for housing.
(f) Short-term rent, mortgage and utility payments to prevent homelessness.
(g) Supportive services. Many of the clients who will be served by the HUD program covered by this NOFA may need services in addition to housing. It is important that you design programs which enhance access to those needed services, including access to health-care, AIDS drug assistance, and other services funded through the Ryan White CARE Act or other Federal, State, local or private funds. While HUD recognizes that there are many ways to ensure that clients receive the services they need, to the extent possible, the Department encourages you to develop housing programs which do not require participation in services as a part of your or your project sponsor's tenancy requirements.
(h) Administrative expenses (see limits for grantees and sponsors).
(i) Resource identification to establish, coordinate and develop housing assistance resources and technical assistance in establishing and operating a community residence. HUD will not select under this notice an application that is primarily directed at providing these activities, since national HOPWA technical assistance funds are being made available under the Community Development Technical Assistance (CDTA) part of this notice for this purpose. You may propose a resource identification or technical assistance component in your application, if the amount of funds designated for these activities are less than 20 percent of the proposed program activity costs; and
(j) As authorized by the statute, you may propose other activities in your application, if approved by HUD, including data collection on project outcomes, as described below in paragraph (2). HUD will not approve proposals that depend on future decisions on how funds are to be used, for example, a proposal to establish a local request-for-proposal process to select activities or project sponsors. You must identify your project sponsors at the time of the application.
(2) You may request up to $50,000 to collect information and report to HUD, or a third party designated by HUD, on project outcomes. If you requested these funds, you must propose data collection activities in your application. The persons who will conduct these activities may include an expert third-party. Project outcome activities include:
(a) Defining monitoring questions that will be addressed and examined during the project period;
(b) Specifying outcome measures;
(c) Developing instruments to assess project outcomes and systems outcomes;
(d) Training project staff in the collection of data;
(e) Monitoring data collection activities to assure that submissions are complete and accurate, including data coding and entry;
(f) Summarizing data collected; and
(g) Preparing reports summarizing findings, including the standard HOPWA Annual Progress Report.
(D)
Collaborations pair organizations that are experienced in developing or operating housing facilities and housing assistance programs with community-based organizations that provide services or use culturally-sensitive efforts to reach persons in underserved communities, but may have little or no experience in meeting the housing needs of persons living with HIV/AIDS. This team approach is expected to: (1) strengthen the organization—improve capacity to develop, operate, manage, and evaluate housing assistance programs for persons living with HIV/AIDS; (2) serve underserved populations—help reach underserved populations in areas that lack housing and health care infrastructure; and (3) Increase Planning—develop holistic community approaches to better coordinate housing and related services in communities impacted by HIV and AIDS. Note: All assistance provided to targeted underserved communities must be in accordance with the requirements of the Fair Housing Act. In order to support these collaborations and to encourage new collaborations to receive HOPWA funding, up to 40% of the funds targeted toward SPNS applications will be awarded to applications with these collaborations to serve underserved populations.
To be considered as a collaboration, in your application you must:
• Identify and evidence the experience of all collaborating organizations as detailed under Rating Factor 1 of this program section of the SuperNOFA in the Capacity of the Applicant and Project Sponsors and Relevant Organizational Experience section of your application;
• Identify the underserved population and evidence in the Description of Unmet Need section of your application as detailed under Rating Factor 2 that substantial housing and related service needs of the identified underserved population living with HIV/AIDS and their families are not being met in the area. For the purposes of this program NOFA, the Department has defined underserved populations as low-income populations living with HIV/AIDS and their families, such as racial or ethnic minority groups, women, persons living in rural areas, or other underserved groups as determined by your service area, whose housing and related service needs are not currently being met in the service area. To meet the program definition of underserved group, you must show the unmet need in the provision of housing and related supportive services for the identified underserved population in your service area by presenting reliable statistics and data sources (i.e. Census, health department statistics, research, scientific studies, and Needs Analysis of Consolidated Plan and/or Continuum of Care documentation). HUD will consider your presentation of statistics and data sources based on soundness and reliability and the specificity of information to the underserved population and the area to be served; and
• Evidence the method, by which your plans will, as defined above, strengthen the organization, serve underserved populations, increase planning, and support fair housing in the Soundness of Approach section of your application as detailed under Rating Factor 3 of this program section of the SuperNOFA.
If HUD determines that the application fails to meet the above considerations, the application will not be considered for funding under the 40 percent of SPNS funds allocated for collaborative projects targeting underserved populations. HUD will consider the application under the remaining SPNS category.
(A)
(1) Required HOPWA national performance goal. Your proposed activities must:
Increase the amount of housing assistance and related supportive services to low-income persons living with HIV/AIDS and their families to enable them to achieve housing stability and access to health-care and related supportive services.
(2) Measure your performance. After each year of operation, you must report on the number of short-term and permanent housing units that were provided with HOPWA funding, and number of additional persons served with related supportive services. HUD will measure your progress and achievements in evaluating your performance on your HOPWA grant. Examples of reporting performance measures are:
(a) In your community over the last year, a transitional housing facility providing 5 units of housing was operated with HOPWA funds. Residents also received drug and/or alcohol abuse treatment and counseling by qualified staff. During that year, ten persons resided in the facility and benefited from the intense on-site assistance, which also included helping them develop and follow a plan to find permanent housing and continue treatment after leaving the facility, including monthly phone contacts or visits by staff; and
(b) Over the last 12 months, a nonprofit organization distributed tenant-based rental assistance vouchers to 15 households within your three-county metropolitan area. The vouchers provided for on-going housing assistance (up to three years) and the program advised the clients on tenant-landlord issues and arranged for housing quality standard inspections of the apartments selected. A case manager who is funded under the Ryan White CARE Act program, advised the tenants and helped them access health-care and other services from providers in this community. During this year, 22 persons received permanent housing assistance with HOPWA funds and for three of these families who were unable to find housing within 30 days, additional efforts were made and an appropriate apartment was located and used.
(B)
(1) If you acquire or lease a site, you are required to gain site control within one year of your selection (i.e, one year from the date of the signing of your selection letter by HUD);
(2) If you propose to use HOPWA funds to undertake rehabilitation or new construction activities, you are required to begin the rehabilitation or construction within 18 months of your selection and to complete that activity within 3 years from the date of your selection letter by HUD; and
(3) You are requested to provide an initial report to the Field Office and the Headquarters on the startup of the planned activities within six months of your selection. Please outline any accomplishments in implementing the funds along with identifying any barriers or issues for which the Department may provide assistance.
Except as noted in paragraph (2) for rehabilitation or construction activities, you must begin to operate your program within one year from your selection. If a selected project does not meet the appropriate performance benchmark, HUD reserves the right to cancel or withdraw the grant funds.
(C)
(D)
(E)
(A)
(1) Your application meets the threshold requirements found in the
(2) A Certification of Consistency with Consolidated Plans is provided as Appendix C to this program section of the SuperNOFA. Under the HOPWA program, proposed activities that are located in a jurisdiction are required to be consistent with the jurisdiction's current, approved Consolidated Plan, including the Analysis of Impediments to Fair Housing choice and the Action Plan to address these impediments, except that this certification is not required for projects that propose to undertake activities on a national basis; and
(3) You are currently in compliance with the Federal requirements contained in 24 CFR part 574, subpart G, “Other Federal Requirements.”
(B)
(C)
(D)
Please address the following factor on not more than five (5) double-spaced, typed pages. This factor addresses the extent to which you and any project sponsor has the organizational resources necessary to successfully implement your proposed activities in a timely manner. If you will be using project sponsor(s) in your project, you must identify each project sponsor in your application. HUD will award up to 20 points based on your and any project sponsor's ability to develop and operate your proposed program, such as housing development, management of housing facilities or units, and service delivery, in relation to which entity is carrying out an activity.
(1) With regard to both you and any project sponsor(s), HUD will consider:
(a) Past experience and knowledge in serving persons with HIV/AIDS and their families;
(b) Past experience and knowledge in programs similar to those proposed in your application;
(c) Experience and knowledge in monitoring and evaluating program performance and disseminating information on project outcomes; and
(d) Past experience as measured by expenditures and measurable progress in achieving the purpose for which funds were provided.
(2) In reviewing the elements of paragraph (1), HUD will consider the extent to which your proposal demonstrates:
(a) The knowledge and experience of the proposed project director and staff, including the day-to-day program manager, consultants and contractors in planning and managing the kind of activities for which you are requesting funds. You and any project sponsor will be judged in terms of recent, relevant and successful experience of staff to undertake eligible program activities, including experience and knowledge in serving persons with HIV/AIDS and their families.
(b) Your and/or the sponsor's experience in managing complex interdisciplinary programs, especially those involving housing and community development programs directly relevant to the work activities proposed and carrying out grant management responsibilities.
(c) If you and/or the sponsor received funding in previous years in the program area for which you are currently seeking funding, you and your sponsor's past experience will be
(i) Meeting performance benchmarks, as applicable, in program development and operation;
(ii) Meeting project goals and objectives, such as, that the number of persons assisted was comparable to the number that was planned at the time of application;
(iii) Submitting timely performance reports; and
(iv) Expending 80% of prior funding by the application due date of this program section of the SuperNOFA.
Please address the following factor on not more than five (5) double-spaced, typed pages. This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the urgency of meeting the need in the target area. Up to 20 points will be awarded for this factor.
(1)
(2)
(a) If you apply for a proposed Special Project of National Significance, you must describe a need that is not currently addressed by other projects or programs in the area; also describe any unresolved or emerging issues, and the need to provide new or alternative forms of assistance that, if provided, would enhance your area's programs for housing and related care for persons living with HIV/AIDS and their families; or
(b) If you apply for a project that is part of a Long-Term Comprehensive Strategy in an area that does not receive a HOPWA formula allocation, you must describe the need that is not currently addressed by other projects or programs in the area; you must also describe any unresolved or emerging issues, and/or the need to provide forms of assistance that enhance the community's strategy for providing housing and related services to eligible persons.
HUD will consider your presentation of statistics and data sources based on soundness, reliability and the specificity of information to the target population and the area to be served. If you propose to serve a subpopulation of eligible persons on the basis that these persons have been traditionally and are currently underserved (e.g., persons with multiple disabilities including AIDS), your application must document the need for this targeted effort through statistics and data sources that support the need of this population in your service area.
(3)
(a) Five points will be awarded, if your SPNS application proposes to serve clients in an area that does not qualify for HOPWA formula allocation; or
(b) Up to five points will be awarded, if you propose to continue the operations of HOPWA funded activities that have been supported by HOPWA competitive funds in the year immediately prior to this application and that have operated with measurable success. To receive the highest ratings in this factor, you must describe what unmet need would result if funding for the project was not renewed and describe your efforts to secure other sources of funding to continue this project. You must also show that you operated with measurable progress and your previous HOPWA-funded activities have been carried out and are nearing completion of the planned activities in a timely manner. Measurable progress is defined as: (i) meeting performance benchmarks, as appropriate, in program development and operation, (ii) meeting project goals and objectives, such as, that the number of persons assisted is comparable to the number that was planned at the time of application, (iii) submitting timely performance reports, and (iv) expending 80% of prior funding by the application due date of this program section of the SuperNOFA.
(4)
Please address the following factor on not more than fifteen (15) double-spaced, typed pages. This factor addresses the method by which your plan meets your identified needs. HUD will award up to 40 points based on the extent to which your plan evidences a sound approach in its responsiveness to the persons that you will be assisting and how it offers model qualities in providing supportive housing opportunities for low-income persons living with HIV/AIDS and their families, when compared to other applications and projects funded under previous HOPWA competitions. The points will be awarded as follows:
(1) Responsiveness
(a)
(i) The projected numbers of persons to be served through each activity for each year of your program;
(ii) The projected number of housing units to be provided through your project, (unless you are proposing supportive service only activities) and;
(iii) The specific organizations that will provide housing either through an agreement with your organization or through funding from your project.
(b)
(i)
(ii)
(2) Model Qualities
(a)
(b)
(c)
(d)
(e)
This factor addresses your ability to secure community resources which can be combined with HUD's program resources to achieve program purposes. HUD will award up to 10 points based on the extent to which resources from other public or private sources have been committed at the time of application, to support your project. To achieve the highest ratings for this factor, you must evidence commitments of leveraged resources that match or exceed the amount of HOPWA funds that are requested.
In establishing leveraging, HUD will not consider other HOPWA-funded activities, entitlement benefits inuring to eligible persons, or conditioned commitments that depend on future fund-raising or actions. In assessing the use of acceptable leveraged resources, HUD will consider the likelihood that State and local resources will be available and continue during the operating period of your grant. In evaluating this factor HUD will also consider:
(1) The extent to which you document leveraged resources, such as funding and/or in-kind services from governmental entities, private organizations, resident management organizations, educational institutions, or other entities to achieve the purposes
(2) The extent to which the documented resources evidence that you have partnered with other entities to make more effective use of available public or private resources. Partnership arrangements may include funding or in-kind services from local governments or government agencies, nonprofit or for-profit entities, private organizations, educational institutions, or other entities that are willing to partner with you on proposed activities, or partnering with other program funding recipients to make more effective use of resources within the geographic area covered by your award.
To receive highest leveraging points, you must document the cash value of leveraged resources pledged to your project(s). Appropriate language is described below:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
Please address the following factor on not more than five (5) double-spaced, typed pages. This factor addresses the extent to which the you coordinated the specific proposal with other known organizations, consulted prospective clients or persons with HIV/AIDS in designing your proposal, participates or promotes participation in the jurisdiction's Consolidated Planning process, and in a community's Continuum of Care Homeless Assistance planning process (if homeless persons are to be served by proposed activities), and is working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. HUD will award up to 10 points based on your proposal's comprehensiveness and coordination. In order to ensure that resources are used to their maximum effect within the community, it is important that you be involved in HUD's planning processes for community development and homeless assistance resources. If you, your sponsors, or others partnering with you have been involved in these processes, you should describe that involvement under this factor.
HUD will consider the extent to which your activities were planned with community involvement in a larger community or regional plans which links the provision of health care, supportive services, and housing. Also, how planned activities are proposed to be carried out with HOPWA funds and other resources in order to provide a comprehensive and responsive range of housing and related supportive services to meet the changing needs of persons with HIV/AIDS. Your proposal should demonstrate that housing is provided in conjunction with the client's access to health-care and other supportive services in the area to be served, including assistance provided under the Ryan White CARE Act programs.
In evaluating this factor, HUD will consider the extent to which you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups or organizations prior to submission, to best complement, support, and coordinate all known activities; and if funded, the specific steps you will take to share information on solutions and outcomes with others. You should describe any written agreements, memoranda of understanding in place, or that will be in place after award.
(2) Been actively involved in your community's Continuum of Care
In the case of technical assistance providers, you will be evaluated on the specific steps you will take to work with recipients of technical assistance services to inform them of, and get them involved in, the community's Continuum of Care Homeless Assistance planning process and/or the jurisdiction's Consolidated Planning process, as applicable. HUD will review more favorably your application if you can demonstrate you are active or are working with recipients of technical assistance to get them involved in local and State planning processes.
(3) Developed linkages, or specific steps you will take to develop linkages with other activities, programs or projects through meetings, information networks, planning processes, or other mechanisms, to coordinate your activities so solutions are holistic and comprehensive, including linkages with:
(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b) Other activities funded by the Federal, State, or local government, including those proposed or on-going in the community.
(E)
HUD reserves the right to achieve greater diversity in the selection of applications by selecting the highest rated application in a State where no applicant has been the recipient of any prior HOPWA competitive grant or formula allocation over a higher rated application in a State that has received prior HOPWA funding. In selecting a lower rated application, HUD will not select an application that is rated below 50 points.
In the event of a tie between applications in a category of assistance, HUD reserves the right to break the tie: by selecting the proposal that increases geographic diversity as defined in the prior paragraph; and, if greater geographic diversity is not achievable, by selecting the proposal that was scored higher on a rating criterion in the following order: Soundness of Approach: Responsiveness and Model Qualities (Rating Factor 3); Comprehensiveness and Coordination (Rating Factor 5); the Capacity of the Applicant and Relevant Organizational Experience (Rating Factor 1); the Need/Extent of the Problem (Rating Factor 2); and Leveraging Resources (Rating Factor 4).
HUD will notify you in writing if you are conditionally selected. You may be notified subsequently of any modification made by HUD, the additional project information necessary for grant award, and the date of deadline for submission of the required information. In the event that a conditionally-selected applicant is unable to meet any conditions for fund award within the specified, HUD reserves the right not to award funds to the applicant, but use those funds to make awards to the next highest rated applications in this competition; to restore amounts to a funding request that had been reduced in this competition; or to add amounts to funds available for the next competition.
Your HOPWA application must contain the following items in the order shown below. The standard forms can be found in Appendix B to the
(A)
Item 5—Add e-mail address of the contact person;
Item 7—The applicable letters are “A” for State; “B, C, or D” for a unit of local government; or “N” for Nonprofit;
Item 9—Enter U.S. Department of Housing and Urban Development or HUD if not preprinted
Item 10—Enter 14-21 and the title “Housing Opportunities for Persons with AIDS Program” or “HOPWA” for the Catalogue of Federal Domestic Assistance;
Item 15—You must complete the budget on SF-424 and the HOPWA Project Budget Form. Please make sure that both the total budget on the SF-424 and the “Total Budget” section on the HOPWA Project Budget Form are the same. In the event that the total budgets are in conflict, HUD will refer to the HOPWA Project Budget form.
Item 16—Check “No”.
(B)
(C)
(D)
(1)
(2)
(3)
(E)
(F)
(1)
(2)
(3)
(4)
(5)
After your entire application is assembled, please mark each exhibit with an appropriately numbered tab and number every page of the application sequentially. Complete the HOPWA Application Checklist found in Appendix C to this program section of the SuperNOFA. Attach the HOPWA Application Checklist to the front of your application.
The
(A)
In the event that Congress authorizes the Department to delegate environmental responsibility pursuant to 24 CFR part 58, responsible entities (including units of general local government, States, Indian tribes, and Alaska native villages) will assume the environmental responsibilities for projects being funded through FY 2000 HOPWA funds. Upon authorization, successful applicants will be notified of their environmental responsibilities.
(B)
(C)
The grantee and program sponsor must comply with the existing requirements of the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and implementing regulations at 24 CFR part 35, as applicable.
This program is authorized under the AIDS Housing Opportunity Act (42 U.S.C. 12901). The regulations for HOPWA are found at 24 CFR part 574.
If you are interested in applying for funding under this program, please review carefully the
See the
1. Applications for projects proposed to be located within the jurisdiction of the Seattle, Washington and the Anchorage, Alaska Offices must be submitted to the Portland, Oregon Office.
2. Applications for projects proposed to be located within the jurisdiction of the Sacramento, California Office must be submitted to the San Francisco, California Office.
3. Applications for projects proposed to be located within the jurisdiction of the Cincinnati, Ohio Office must be submitted to the Columbus, Ohio Office.
4. Applications for projects proposed to be located within the jurisdiction of the Washington, DC Office must be submitted to the Baltimore, Maryland Office.
The application kit also includes a listing of the Multifamily Hubs and Program Centers, their addresses and telephone numbers, including TTY numbers. This information is also available from HUD's SuperNOFA Information Center at 1-800-HUD-8929 and from the Internet through the HUD web site at http://www.hud.gov. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-HUD-2209.
HUD encourages minority organizations to participate in this program and strongly recommends that prospective applicants attend the local HUD Office workshop. At the workshops, HUD will explain application procedures and requirements as well as address concerns such as local market conditions, building codes and accessibility requirements, historic preservation, floodplain management, displacement and relocation, zoning, and housing costs. If you are interested in attending the workshop, make sure that your name, address and telephone number are on the appropriate HUD Office's mailing list so that you will be informed of the date, time and place of the workshop. Persons with disabilities should call the appropriate HUD Office to ensure that any necessary arrangements can be made to enable your attendance and participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office if you have any questions concerning the submission of applications to that particular office and to request any materials distributed at the workshop.
For FY 2000, $426,258,926 is available for capital advances for the supportive housing for the elderly program. The FY 2000 HUD Appropriations Act (HUD Appropriations Act) provides $610,000,000 for capital advances, including amendments to capital advance contracts, for supportive housing for the elderly as authorized by section 202 of the Housing Act of 1959, and for project rental assistance, and amendments to contracts for project rental assistance, for supportive housing for the elderly under section 202(c)(2) of the Housing Act of 1959.
In accordance with the waiver authority provided in the HUD Appropriations Act, the Secretary is waiving the following statutory and regulatory provision: the term of the project rental assistance contract is reduced from 20 years to 5 years. HUD anticipates that at the end of the contract terms, renewals will be approved subject to the availability of funds. In addition to this provision, HUD will reserve project rental assistance contract funds based on 75 percent rather than on 100 percent of the current operating cost standards for approved units in order to take into account the average tenant contribution toward rent.
The allocation formula used for Section 202 reflects the “relevant characteristics of prospective program participants,” as specified in 24 CFR 791.402(a). The FY 2000 formula consists of one data element: a measure of the number of one and two person renter households with incomes at or below HUD's Very-low Income Limit (50 percent of area median family income, as determined by HUD, with an adjustment for household size), which have housing deficiencies. The counts of elderly renter households with housing deficiencies were taken from a special tabulation of the 1990 Decennial Census. The formula focuses the allocation on targeting the funds based on the unmet needs of elderly renter households with housing problems.
Under Section 202, 85 percent of the total capital advance amount is allocated to metropolitan areas and 15 percent to nonmetropolitan areas. In addition, each HUD Office jurisdiction receives sufficient capital advance funds for a minimum of 20 units in metropolitan areas and 5 units in nonmetropolitan areas. The total amount of capital advance funds to
A fair share factor is developed for each metropolitan and nonmetropolitan portion of each local HUD Office jurisdiction by dividing the number of renter households for the jurisdiction by the total number of rental households in the United States. The resulting percentage for each local HUD Office jurisdiction is then adjusted to reflect the relative cost of providing housing among the HUD Office jurisdictions. The adjusted needs percentage for the applicable metropolitan or nonmetropolitan portion of each jurisdiction is then multiplied by the respective total remaining capital advance funds available nationwide.
Based on the allocation formula, HUD has allocated the available capital advance funds as shown on the following chart:
(A)
Project rental assistance contract (PRAC) funds are used to cover the difference between what the residents pay for rent and the HUD-approved expense to operate the project. Project Rental Assistance Contract funds may also be used to provide supportive services and to hire a service coordinator in those projects serving the frail elderly residents. The supportive services must be appropriate to the category or categories of frail elderly residents to be served.
(B)
A Sponsor or Co-sponsor may not apply for more than 200 units of housing for the elderly in a single Hub or more than 10 percent of the total units allocated to all HUD Offices. Also, no single application may propose more than the number of units allocated to a HUD office or 125 units, whichever is less. Reservations for projects will not be approved for fewer than 5 units. Affiliated entities that submit separate applications are considered to be a single entity for the purpose of these limits.
(C)
(D)
In addition to the program requirements listed in the
(A)
(B)
(C)
(a) The total development cost of the property or project attributable to dwelling use (less the incremental development cost and the capitalized operating costs associated with any excess amenities and design features you must pay for) may not exceed:
$33,638 per family unit without a bedroom;
$38,785 per family unit with one bedroom;
$46,775 per family unit with two bedrooms;
$35,400 per family unit without a bedroom;
$40,579 per family unit with one bedroom;
$49,344 per family unit with two bedrooms.
(b) These cost limits reflect those costs reasonable and necessary to develop a project of modest design that complies with HUD minimum property standards; the accessibility requirements of § 891.120(b); and the project design and cost standards of § 891.120 and § 891.210.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in Section IV(C)(1) of this program section of the SuperNOFA, above, by up to 140 percent in any geographic area where the cost levels require, and may increase the development cost limits by up to 160 percent on a project-by-project basis. This increase may include covering additional costs to make dwelling units accessible through rehabilitation.
(b) If HUD finds that high construction costs in Alaska, Guam, the Virgin Islands, or Hawaii make it infeasible to construct dwellings, without the sacrifice of sound standards of construction, design, and livability, within the development cost limits provided in Section IV(C)(1) of this program section of the SuperNOFA, above, the amount of the capital advances may be increased to compensate for such costs. The increase may not exceed the limits established under this section (including any high cost area adjustment) by more than 50 percent.
(D)
(E)
(A)
The HUD Office will notify you in writing if your application is missing any of the exhibits or portions of exhibits and you will be given 14 days from the date of the HUD notification to submit the information required to cure the noted deficiencies. The items identified by an asterisk (*) must be dated on or before the application deadline date.
(B)
(1) Exhibit 4(d)(iii), Evidence of permissive zoning, and/or
(2) Exhibit 7(g), Form-HUD 2991, Certification of Consistency with the Consolidated Plan.
The information required to cure the above identified deficiencies includes the deficient Exhibit and documentation showing that the information had been requested from the third party at least 45 days prior to the application deadline date.
The HUD office will make a determination on an appeal before making its selection recommendations. All applications will be either rated or technically rejected at the end of technical review. If your application meets all program eligibility requirements after completion of technical review, it will be rated according to the rating factors in Section V(D) of this Section 202 Program section of the SuperNOFA.
(C)
Once this process has been completed, HUD offices may combine their unused metropolitan and nonmetropolitan funds in order to select the next ranked application in either category, using the unit reduction policy described above, if necessary.
After the offices have funded all possible projects based on the process above, combined metropolitan and nonmetropolitan residual funds from all HUD Offices in each Multifamily Hub will be combined. These funds will be used first to restore units to projects reduced by HUD offices based on the above instructions. Second, additional applications within each Multifamily Hub will be selected in rank order with only one application selected per HUD Office. More than one application may be selected per HUD Office if there are no approvable applications in other HUD Offices within the Multifamily Hub. This process will continue until there are no more approvable applications within the Multifamily Hub that can be selected with the remaining funds without skipping over any application. HUD may use any remaining residual funds, however, to select the next rank-ordered application by reducing the number of units by no more than 10 percent rounded to the nearest whole number, provided the reduction will not render the project infeasible or result in the project being less than five units.
Funds remaining after these processes are completed will be returned to Headquarters. HUD will use these funds to restore units to projects reduced by HUD offices as a result of the instructions for using their residual funds. Second, HUD will use these funds for selecting applications based on field offices' rankings beginning with the highest rated application nationwide. Only one application will be selected per HUD office from the national residual amount. If there are no approvable applications in other HUD offices, the process will begin with the selection of the next highest rated application nationwide. This process will continue until all approvable applications are selected using the available remaining funds.
(D)
This factor addresses the extent to which you have the organizational resources to successfully implement the proposed activities in a timely manner. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which your application demonstrates your ability to develop and operate the proposed housing on a long-term basis, considering the following:
(a)
(b)
This factor addresses the extent to which there is a need for funding the proposed activities to address a documented problem in the target area. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(4)(a) and (B)(4)(b) of Section VI of this program section of the SuperNOFA. In evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a determination by the HUD Office. In making this determination, HUD will consider your evidence of need in the area, as well as other economic, demographic, and housing market data available to the HUD office. The data could include information on the number of existing Federally assisted housing units (HUD and RHS) for the elderly in the area and current occupancy in such facilities; Federally assisted housing for the elderly under construction or for which fund reservations have been issued; and in accordance with an agreement between HUD and the RHS, comments from the RHS on the demand for additional assisted housing and the possible harm to existing projects in the same housing market area. The Department will also review more favorably those applications which establish a connection between the proposed project and the community's Analysis of Impediments to Fair Housing Choice (AI) or other planning document that analyzes fair housing issues and is prepared by a local planning or similar organization. You must show how your proposed project will address an impediment to fair housing choice described in the AI or meet a need identified in the other type of planning document.
This factor addresses the quality and effectiveness of your proposal. There must be a clear relationship between your proposed activities, the community's needs and purposes of the program funding for your application to receive points for this factor. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d) and (B)(4)(e) of Section VI of this program section of the SuperNOFA. In evaluating this factor, HUD will consider the following:
(a)
(b)
(i) The site will be deemed acceptable if it increases housing choice and opportunity by:
(ii) For the purpose of this competition, the term “minority neighborhood (area of minority concentration)” is defined as one where any one of the following statistical conditions exists:
(c)
(d)
(e)
(f)
(g)
This factor addresses your ability to secure other community resources which can be combined with HUD's program resources to achieve program purposes. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(3)(c) and (B)(3)(d) of Section VI of this program section of the SuperNOFA.
(a)
(b)
This factor addresses the extent to which you coordinated your activities with other known organizations, participate or promote participation in the community's Consolidated Planning process, and are working toward addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h) and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(a)
(b)
(c)
(d)
(A)
In addition to this relief of paperwork burden in preparing applications, you will be able to submit information and exhibits you have previously prepared for prior applications under Section 202, Section 811, or other funding programs. Examples of exhibits that may be readily adapted or amended to decrease the burden of application preparation include, among others, those on previous participation in the Section 202 or Section 811 Programs, your experience in provision of housing and services, supportive services plan, community ties, and experience serving minorities.
(B)
(1) Form HUD-92015-CA, Application for Section 202 Supportive Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a private nonprofit organization or nonprofit consumer cooperative, including the following:
(2)(a) Articles of Incorporation, constitution, or other organizational documents;
(2)(b) By-laws;
(2)(c) IRS tax exemption ruling (this must be submitted by you and each Co-Sponsor, including churches). A consumer cooperative that is tax exempt under State law, has never been liable for payment of Federal income taxes, and does not pay patronage dividends may be exempt from the requirement set out in the previous sentence if it is not eligible for tax exemption.
(3) A description of your purpose, community ties, and experience, including the following:
(3)(a) A description of your purpose, current activities and how long you have been in existence;
(3)(b) A description of your ties to the community at large and to the minority and elderly communities in particular;
(3)(c) A description of local government support for the project (including financial assistance, donation of land, provision of services, etc.);
(3)(d) Letters of support for your organization and for the proposed project from organizations familiar with the housing and supportive services needs of the elderly that you expect to serve in the proposed project;
(3)(e) A description of your housing and/or supportive services experience. The description should include any rental housing projects and/or supportive services facilities that you have sponsored, owned, and/or operated; your past or current involvement in any programs other than
(3)(f) A description, if applicable, of your efforts to involve elderly persons, including minority elderly persons, in the development of the application, as well as your intent to involve elderly persons in the development and operation of the project.
(3)(g) A description of the steps you took to identify and coordinate your application with other organizations to complement and/or support the proposed project as well as the steps you will take, if funded, to share information on solutions and outcomes relative to the development of the proposed project.
(3)(h) A description of your involvement in the community's Consolidated Planning process including:
(3)(h)(i) An identification of the lead/facilitating agency that organizes/administers the process;
(3)(h)(ii) An identification of the Consolidated Plan issue areas in which you participate;
(3)(h)(iii) Your level of participation in the process, including active involvement with any neighborhood-based organizations, associations, or any committees that support programs and activities that enhance projects or the lives of residents of the projects, such as the one proposed in your application.
If you are not currently active, describe the specific steps you will take to become active in the Consolidated Planning process. (Consult the local HUD Office for the identification of the Consolidated Plan community process for the appropriate area.)
(3)(i) A description of the linkages that you have developed or plan to develop with other related activities, programs or projects in order that the development of the project provides a comprehensive and holistic solution to the needs of the target population.
(4) Project information, including the following:
(4)(a) Evidence of need for supportive housing. Such evidence would include a description of the category or categories of elderly persons the housing is intended to serve and evidence demonstrating sustained effective demand for supportive housing for that population in the market area to be served, taking into consideration the occupancy and vacancy conditions in existing Federally assisted housing for the elderly (HUD and RHS;
(4)(b) A description of how the proposed project will benefit the target population and the community in which it will be located.
(4)(c) A description of the project, including the following: (4)(c)(i) A narrative description of the building design, including a description of the number of units with bedroom distributions, any special design features, amenities, and/or community space, and how this design will facilitate the delivery of services in an economical fashion and accommodate the changing needs of the residents over the next 10-20 years.
If these community spaces, amenities, or features would not comply with the project design and cost standards of 24 CFR 891.120 and the special project standards of 24 CFR 891.210, you must state your ability and willingness to contribute both the incremental development cost and continuing operating cost associated with the community spaces, amenities, or features;
(4)(c)(ii) A description of whether and how the project will promote energy efficiency, and, if applicable, innovative construction or rehabilitation methods or technologies to be used that will promote efficient construction.
(4)(d) Evidence that the Sponsor has site control and permissive zoning, including the following:
(4)(d)(i) Acceptable evidence of site control is limited to any one of the following:
(
(
(
(
(
(4)(d)(ii) Whether you have title to the site, a contract of sale, an option to purchase, or are acquiring the site from a public body, you must provide evidence (a title policy or other acceptable evidence) that the site is free of any limitations, restrictions, or reverters which could adversely affect the use of the site for the proposed project for the 40-year capital advance
A proposed project site may not be acquired or optioned from a general contractor (or its affiliate) that will construct the section 202 project or from any other development team member.
(4)(d)(iii) Evidence that the project as proposed is permissible under applicable zoning ordinances or regulations, or a statement of the proposed action required to make the proposed project permissible and the basis for your belief that the proposed action will be completed successfully before the submission of the firm commitment application (
(4)(d)(iv) A narrative topographical and demographic description of the suitability of the site and area, and how the site will promote greater housing opportunities for minority elderly and elderly persons with disabilities, thereby affirmatively furthering fair housing; (NOTE: You can best demonstrate your commitment to affirmatively furthering fair housing by describing how your proposed activities will assist the jurisdiction in overcoming impediments to fair housing choice identified in the applicable jurisdictions's Analysis of Impediments to Fair Housing Choice (AI), which is a component of the jurisdiction's Consolidated Plan, or any other planning document that addresses fair housing issues. The applicable Consolidated Plan and AI may be the Community's, the County's, or the State's, to which input should have been provided by local community organizations, agencies in the community, and residents of the community. Alternatively, a document that addresses fair housing issues and remedies to barriers to fair housing in the community that was previously prepared by a local planning, or similar organization, may be used. Applicable impediments could include the need for improved housing quality and services for elderly minority families, lack of affirmative marketing and outreach to minority elderly persons, and the need for quality eldercare services within areas of minority concentration when compared with the type and quality of similar services and housing in nonminority areas.
(4)(d)(v) A map showing the location of the site and the racial composition of the neighborhood, with the area of racial concentration delineated;
(4)(d)(vi) A Phase I Environmental Site Assessment, in accordance with the American Society for Testing and Material (ASTM) Standards E 1527-97, as amended. The Phase I study must be completed and submitted with the application. Therefore, it is important that you start the site assessment process as soon after publication of this SuperNOFA as possible.
If the Phase I study indicates the possible presence of contamination and/or hazards, you must decide whether to continue with this site or choose another site. Should you choose another site, the same environmental site assessment procedure identified above must be followed for that site.
For properties to be acquired from the FDIC/RTC, include a copy of the FDIC/RTC prepared Transaction Screen Checklist or Phase I Environmental Site Assessment, and applicable documentation, per the FDIC/RTC Environmental Guidelines.
If you choose to continue with the original site on which the Phase I study indicated contamination or hazards, you must undertake a detailed Phase II Environmental Site Assessment by an appropriate professional. If the Phase II Assessment reveals site contamination, the extent of the contamination and a plan for clean-up of the site must be submitted to the local HUD office. The plan for clean-up must include a contract for remediation of the problem(s) and an approval letter from the applicable Federal, State, and/or local agency with jurisdiction over the site. In order for the application to be considered for review under this FY 2000 funding competition, you must submit this information to the local HUD office on or before June 19, 2000.
This could be an expensive undertaking. You must pay for the cost of any clean-up and/or remediation.
(4)(d)(vii) A letter from the State Historic Preservation Officer (SHPO) indicating whether the proposed site has any historical significance. If you cannot obtain a letter from the SHPO due to the SHPO not responding to your request or the SHPO responding that it cannot or will not comply with the requirement, you must submit the following:
(
(
(
(4)(e) Provision of supportive services in the proposed facility:
(4)(e)(i) A detailed description of the supportive services proposed to be provided to the anticipated occupancy;
(4)(e)(ii) A description of public or private sources of assistance that reasonably could be expected to fund the proposed services;
(4)(e)(iii) The manner in which such services will be provided to such persons (
(5) A list of the applications, if any, that you have submitted or are planning to submit to any other HUD office in response to this announcement of Section 202 Program funding availability or the announcement of Section 811 Program (Supportive Housing for Persons with Disabilities) funding availability, published elsewhere in this SuperNOFA. Indicate by HUD office, the proposed location by city and State, and the number of units requested for each application. Include a list of all FY 1999 and prior year projects to which you are the Sponsor that have not been finally closed. Such projects must be identified by project number and HUD office.
(6) A statement that:
(6)(a) Identifies all persons (families, individuals, businesses, and nonprofit organizations), by race/minority group, and status as owners or tenants, occupying the property on the date of submission of the application for a capital advance;
(6)(b) Indicates the estimated cost of relocation payments and other services;
(6)(c) Identifies the staff organization that will carry out the relocation activities; and
(6)(d) Identifies all persons that have moved from the site within the past 12 months.
If any of the relocation costs will be funded from sources other than the section 202 capital advance, you must provide evidence of a firm commitment of these funds. When evaluating applications, HUD will consider the total cost of proposals (i.e., cost of site acquisition, relocation, construction, and other project costs).
(7)
(7)(a)
(7)(b)
(7)(c)
(7)(d)
(7)(e)
(7)(f)
(7)(g)
All certifications must be made by the public official responsible for submitting the Plan to HUD. The certifications must be submitted as part of the application by the application submission deadline date set forth in this program section of the SuperNOFA. The Plan regulations are published in 24 CFR part 91.
(7)(h)
(7)(i)
(7)(j)
(7)(k)
(7)(k)(i)
(7)(k)(ii)
(7)(k)(iii)
(7)(k)(iv)
(7)(k)(v)
(7)(k)(vi)
The
In accordance with 24 CFR part 50, all Section 202 assistance is subject to the National Environmental Policy Act of 1969 and applicable related Federal environmental authorities. The environmental review provisions of the Section 202 Program regulations are in 24 CFR 891.155(b).
The Section 202 Supportive Housing for the Elderly Program is authorized by
Please see Appendix A to the Section 811 Program Section of this SuperNOFA. Submit your completed application (an original and four copies) to the Director of the appropriate Multifamily Hub Office or Multifamily Program Center as listed in Appendix A to the Section 811 program section of this SuperNOFA with the following exceptions:
1. Applications for projects proposed to be located within the jurisdiction of the Seattle, Washington and the Anchorage, Alaska Offices must be submitted to the Portland, Oregon Office.
2. Applications for projects proposed to be located within the jurisdiction of the Sacramento, California Office must be submitted to the San Francisco, California Office.
3. Applications for projects proposed to be located within the jurisdiction of the Cincinnati, Ohio Office must be submitted to the Columbus, Ohio Office.
4. Applications for projects proposed to be located within the jurisdiction of the Washington, DC Office must be submitted to the Baltimore, Maryland Office.
The non-standard forms, which follow, are required for your Section 202 Program application.
If you are interested in applying for funding under this program, please review carefully the
See the
1. Applications for projects proposed to be located within the jurisdiction of the Seattle, Washington and the Anchorage, Alaska Offices must be submitted to the Portland, Oregon Office.
2. Applications for projects proposed to be located within the jurisdiction of the Sacramento, California Office must be submitted to the San Francisco, California Office.
3. Applications for projects proposed to be located within the jurisdiction of the Cincinnati, Ohio Office must be submitted to the Columbus, Ohio Office.
4. Applications for projects proposed to be located within the jurisdiction of the Washington, DC Office must be submitted to the Baltimore, Maryland Office.
The application kit also includes a listing of the Multifamily Hubs and Program Centers, their addresses and telephone numbers, including TTY numbers. This information is also available from HUD's SuperNOFA Information Center at 1-800-HUD-8929 and from the Internet through the HUD web site at http://www.hud.gov. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-HUD-2209.
HUD encourages minority organizations to participate in this program and strongly recommends prospective applicants attend the local HUD Office workshop. At the workshops, HUD will explain application procedures and requirements, as well as address concerns such as local market conditions, building codes and accessibility requirements, historic preservation, floodplain management, displacement and relocation, zoning, and housing costs. If you are interested in attending the workshop, make sure that your name, address and telephone number are on the appropriate HUD Office's mailing list so that you will be informed of the date, time and place of the workshop. Persons with disabilities should call the appropriate HUD Office to assure that any necessary arrangements can be made to enable their attendance and participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office if you have any questions regarding the submission of applications to that particular office and to request any materials distributed at the workshop.
For FY 2000, $108,774,343 for capital advances is available for the Section 811 Program of Supportive Housing for Persons with Disabilities. The FY 2000 HUD Appropriations Act (HUD Appropriations Act) provides $201,000,000 for capital advances, including amendments to capital advance contracts; for supportive housing for persons with disabilities, as authorized by section 811 of the National Affordable Housing Act of 1990 (NAHA); and for project rental assistance, including amendments to contracts for project rental assistance, for supportive housing for persons with disabilities under section 811 of the NAHA.
Twenty-five percent (25%) of this amount is being set aside for tenant-based rental assistance for persons with disabilities administered through public housing agencies (PHAs) and nonprofit organizations under the Mainstream Housing Opportunities for Persons with Disabilities Program which is found elsewhere in this SuperNOFA.
In accordance with the waiver authority provided in the HUD Appropriations Act, the Secretary is waiving the following statutory and regulatory provision: The term of the project rental assistance contract is reduced from 20 years to 5 years. HUD anticipates that at the end of the contract terms, renewals will be approved subject to the availability of funds. In addition to this provision, HUD will reserve project rental assistance contract funds based on 75 percent rather than on 100 percent of the current operating cost standards for approved units in order to take into account the average tenant contribution toward rent.
The allocation formula used for Section 811 reflects the “relevant characteristics of prospective program participants,” as specified in 24 CFR 791.402(a). The FY 2000 formula consists of two data elements from the 1990 Decennial Census: (1) The number of non-institutionalized persons age 16 or older with a work disability and a mobility or self-care limitation and (2) the number of non-institutionalized persons age 16 or older having a
A work disability is defined as a health condition that had lasted for 6 or more months which limited the kind (restricted the choice of jobs) or amount (not able to work full time) of work a person could do at a job or business. A mobility limitation is defined as a health condition that lasted for 6 or more months, making it difficult for the person to go outside the home alone. This includes outside activities, such as shopping or visiting a doctor's office. A self-care limitation is defined as a health care limitation that had lasted for 6 or more months which made it difficult for the person to take care of his/her own personal needs such as dressing, bathing, or getting around inside the home. Temporary (short term) problems such as broken bones that are expected to heal normally are not considered problems.
Under the Section 811 Program, each HUD Office jurisdiction receives sufficient capital advance funds for a minimum of 10 units. The total amount of capital advance funds to support this minimum set-aside is then subtracted from the total capital advance available. The remainder is fair shared to each HUD Office jurisdiction whose fair share would exceed the set-aside based on the allocation formula fair share factors described below.
The fair share factors were developed by taking the sum of the number of persons in each of the two elements for each state, or state portion, of each local HUD Office jurisdiction as a percent of the sum of the two data elements from the Decennial Census, described above, for the total United States. The resulting percentage for each local HUD Office is then adjusted to reflect the relative cost of providing housing among the local HUD Office jurisdictions. The adjusted needs percentage for each local HUD Office is then multiplied by the total amount of capital advance funds available nationwide.
The Section 811 capital advance funds have been allocated, based on the formula above, to 51 local HUD Offices as shown on the following chart:
(A)
Project rental assistance contract (PRAC) funds are used to cover the difference between the tenants' contributions toward rent (30 percent of adjusted income) and the HUD-approved cost to operate the project.
(B)
(C)
(D)
(1) Nursing homes, infirmaries and medical facilities;
(2) Transitional housing facilities;
(3) Manufactured housing facilities;
(4) Intermediate care facilities;
(5) Community centers, with or without special components for use by persons with disabilities;
(6) Sheltered workshops and centers for persons with disabilities;
(7) Headquarters for organizations for persons with disabilities; and
(8) Refinancing of Sponsor-owned facilities without rehabilitation.
In addition to the program requirements listed in the
(A)
(B)
(C)
(a)
Non-elevator structures:
$33,638 per family unit without a bedroom;
$38,785 per family unit with one bedroom;
$46,775 per family unit with two bedrooms;
$59,872 per family unit with three bedrooms;
$66,700 per family unit with four bedrooms.
For elevator structures:
$35,400 per family unit without a bedroom;
$40,579 per family unit with one bedroom;
$49,344 per family unit with two bedrooms;
$63,834 per family unit with three bedrooms;
$70,070 per family unit with four bedrooms.
(b) For group homes only:
(c) These cost limits reflect those costs reasonable and necessary to develop a project of modest design that complies with HUD minimum property standards; the minimum group home requirements of 24 CFR 891.310(a) (if applicable); the accessibility requirements of 24 CFR 891.120(b) and 891.310(b); and the project design and cost standards of 24 CFR 891.120.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in Section IV(C)(1) of this program section of the SuperNOFA by up to 140 percent in any geographic area where the cost levels require, and may increase the development cost limits by up to 160 percent on a project-by-project basis.
(b) If HUD finds that high construction costs in Alaska, Guam, the Virgin Islands or Hawaii make it infeasible to construct dwellings, without the sacrifice of sound standards of construction, design, and livability, within the development cost limits provided in Section IV(C)(1) of this program section of the SuperNOFA, the amount of capital advances may be increased to compensate for such costs. The increase may not exceed the limits established under this section (including any high cost area adjustment) by more than 50 percent.
(c) For group homes only, HUD Offices may approve increases in the development cost limits in Section IV(C)(1)(b), above, in areas where you can provide sufficient documentation that high land costs limit or prohibit project feasibility. An example of acceptable documentation is evidence of at least three land sales which have actually taken place (listed prices for land are not acceptable) within the last two years in the area where your project is to be built. The average cost of the documented sales must exceed seven percent of the development cost limit for your project in order for an increase to be considered.
(D)
(a) Evidence of site control, or
(b) A reasonable assurance that you will have control of a site within six months of notification of fund reservation.
(2) Accordingly, if you have control of a site at the time you submit your application, you must include evidence of such as described in Section VI(B)(4)(d)(i) of this program section of the SuperNOFA relative to site control and in the application kit. If you do not have site control, you must provide the information required in Section VI(B)(4)(d)(x) of this program section of the SuperNOFA relative to identification of a site and in the application kit for identified sites as a reasonable assurance that site control will be obtained within six months of fund reservation notification.
(3) Under Criterion (a) of Rating Factor 3 in Section V(D), below, related to your proposed site, your application has the potential of earning 15 points. Criterion (a)(i) is related to site approvability and is worth a maximum of 7 points. Three points for Criterion (a)(ii) will be awarded if your project will represent an integrated housing model (e.g., condominium units scattered within one or more buildings or non-contiguous independent living units on scattered sites). Criterion (a)(iii) which is worth five points for site control will be awarded as outlined in Section IV(D)(5) below. Regardless of whether you submit evidence of site control or have identified a site without obtaining control of the site, the site will be evaluated based on its proximity or accessibility to shopping, medical facilities, transportation, places of worship, recreational facilities, places of employment and other necessary services to the intended tenants.
(4) To meet the “proximity” or “accessibility” test, you must demonstrate that community services and amenities described above are either near or accessible to the residents. Sites where the community services and amenities described above are either near or accessible to the residents other than solely by a project residence or private vehicle will be rated more favorably than sites where residents must depend upon the project residence or private vehicle to access such community services and amenities. Your application will also be evaluated to determine whether it complies with the site and neighborhood standards in 24 CFR 891.125.
(5) Criterion (a)(iii) relates to the existence of legally acceptable site control. If you:
(a) Submit evidence of site control for all proposed sites in your application,
(b) The evidence is determined to be legally acceptable for all of the sites, and
(c) All of the sites are approvable (i.e., receive a score of 1 or higher for Criterion (a)(i), your application will receive 5 points for Criterion (a)(iii).
(6) If your application contains evidence of site control where either the evidence or the site is not approvable, your application will not be rejected provided you indicate in your application that you are willing to seek an alternate site and provide an assurance that site control will be obtained within six months of fund reservation notification.
(E)
(1) HUD will reject your application if the supportive services certification:
(i) Is not submitted with your application and is not submitted to HUD within the 14-day cure period; or
(ii) Indicates that the provision of supportive services is not well designed to address the individual health, mental health and other needs of persons with disabilities who will live in your project.
(2) In addition, if the agency completing the certification will be a major funding or referral source for your proposed project or be responsible for licensing the project, HUD will reject your application if either the agency's supportive services certification indicates—or, where the agency fails to complete item 2 or 3 of the certification, HUD determines that:
(i) You failed to demonstrate that supportive services will be available on a consistent long-term basis; and/or
(ii) The proposed housing is not consistent with State or local agency plans/policies governing development and operation of housing for persons with disabilities.
Any prospective resident of a Section 811 project who believes he/she needs supportive services must be given the choice to be responsible for acquiring his/her own services or to take part in your Supportive Services Plan which must be designed to meet the individual needs of each resident. Residents or applicants may not be required to accept any supportive service as a condition of occupancy or admission.
(F)
(2)
(3)
(G)
(H)
(I)
(A)
The HUD Office will notify you in writing if your application is missing any of the above exhibits or portions of exhibits and will give you 14 days from the date of the notification to submit the information required to cure the noted deficiencies. The items identified by an asterisk (*) must be dated on or before the application deadline date.
(B)
(1) Exhibit 7(g), Form HUD-2991, Certification of Consistency with the Consolidated Plan; and/or
(2) Exhibit 7(l), Certification for Provision of Supportive Services. The information required to cure the above identified deficiencies includes the deficient Exhibit and documentation showing that the information had been requested from the third party at least 45 days prior to the application deadline date.
The HUD Office will make a determination on an appeal before making its selection recommendations. Your application(s) will be either rated or technically rejected at the end of technical review. If your application meets all program eligibility requirements after completion of technical review, your application will be rated according to the Rating Factors in Section V(D) below.
(C)
After this process is completed, residual funds from all HUD Offices within each Multifamily Hub will be combined. First, these funds will be used to restore units to projects reduced by HUD Offices based on the above instructions. Second, additional applications within each Multifamily Hub will be selected in rank order with only one application selected per HUD Office. More than one application may be selected per HUD Office if there are no approvable applications in other HUD Offices within the Multifamily Hub. This process will continue until there are no more approvable
Funds remaining after these processes are completed will be returned to Headquarters. First, HUD will use these funds to restore units to projects reduced by HUD Offices as a result of the instructions for using their residual funds. Second, HUD will use these funds for selecting applications based on field offices' rankings, beginning with the highest rated application nationwide. Only one application will be selected per HUD Office from the national residual amount. If there are no approvable applications in other HUD Offices, the process will begin again with the selection of the next highest rated application nationwide. This process will continue until all approvable applications are selected using the available remaining funds.
(D)
This factor addresses the extent to which you have the organizational resources to successfully implement the proposed activities in a timely manner. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which your application demonstrates your ability to develop and operate the proposed housing on a long-term basis, considering the following:
(a) (
(b) (
(c) (
This factor addresses the extent to which there is a need for funding the proposed activities to address a documented problem in the target area. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(4)(a) and (B)(4)(b) of Section VI of this program section of the SuperNOFA. In evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a determination by the HUD Office. In making this determination, HUD will consider your evidence of need in the area, as well as other economic, demographic, and housing market data available to the HUD Office. The data could include the availability of existing comparable subsidized housing for persons with disabilities and current occupancy in such housing, comparable subsidized housing for persons with disabilities under construction or for which fund reservations have been issued, and, in accordance with an agreement between HUD and RHS, comments from RHS on the demand for additional comparable subsidized housing and the possible harm to existing projects in the same housing market area. The Department also will review more favorably those applications which establish a connection between the proposed project and the community's Analysis of Impediments to Fair Housing Choice (AI) or other planning document that analyzes fair housing issues and is prepared by a local planning or similar organization. You must show how the proposed project will address an impediment to fair housing choice described in the AI or meet a need identified in the other type of planning document.
This factor addresses the quality and effectiveness of your proposal. There must be a clear relationship between the proposed activities, the community's needs and purposes of the program funding for your application to receive points for this factor. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d), and (B)(4)(e) of Section VI of this program section of the SuperNOFA. In evaluating this factor, HUD will consider the following:
(a)(i)
(a)(ii)
(a)(iii)
(b)
(i) The site will be deemed acceptable if it increases housing choice and opportunity by:
(ii) For the purpose of this competition, the term “minority neighborhood (area of minority concentration)” is defined as one where any one of the following statistical conditions exists:
(c)
(d)
(e)
This factor addresses your ability to secure other community resources which can be combined with HUD's program resources to achieve program purposes. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(3)(c) and (B)(3)(d) of Section VI of this program section of the SuperNOFA.
(a) (
(b) (
This factor addresses the extent to which you coordinated your activities with other known organizations, participate or promote participation in the community's Consolidated Planning process, and are working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community. Submit information responding to this factor in accordance with Application Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h), and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(a)
(b)
(c)
(d)
(A)
In addition to this relief of paperwork burden in preparing applications, you are able to use information and exhibits previously prepared for prior applications under Section 811, Section 202, or other funding programs. Examples of exhibits that may be readily adapted or amended to decrease the burden of application preparation include, among others, those on previous participation in the Section 202 or Section 811 programs, your experience in the provision of housing and services, supportive services plans, community ties, and experience serving minorities.
(B)
You may apply for a scattered site project in one application
(1) Form HUD-92016-CA, Application for Section 811 Supportive Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a nonprofit organization, including the following:
(2)(a) Articles of Incorporation, constitution, or other organizational documents;
(2)(b) By-laws;
(2)(c) IRS section 501(c)(3) tax exemption ruling (this must be submitted by you and all Co-Sponsors, including churches).
If you received a section 811 fund reservation within the last three funding cycles, you are not required to submit the documents described in paragraph (2)(a), (2)(b), and (2)(c), above. Instead, you must submit the project number of the latest application selected and the HUD office to which it was submitted. If there have been any modifications or additions to the subject documents, indicate such, and submit the new material.
(2)(d) The number of people on your board and the number of those people who have disabilities.
(3) A description of your purpose, community ties, and experience, including the following:
(3)(a) A description of your purpose, current activities and how long you have been in existence;
(3)(b) A description of your ties to the community at large and to the minority and disability communities in particular;
(3)(c) A description of local government support for the project (including financial assistance, donation of land, provision of services, etc.);
(3)(d) Letters of support for your organization and for the proposed project from organizations familiar with the housing and supportive services needs of the persons with disabilities that you expect to serve in the proposed project (e.g., the local center for independent living, the Statewide Independent Living Council);
(3)(e) A description of your housing and/or supportive services experience. The description should include any rental housing projects (including integrated housing developments) and/or supportive services facilities that you have sponsored, owned, and/or operated; your past or current involvement in any programs other than housing that demonstrates your management capabilities (including financial management) and experience, and your experience in serving persons with disabilities and minorities; and the reasons for receiving any increases in fund reservations for developing and/or operating any previously funded Section 811 or Section 202 projects. The description should include data on the facilities and services provided, the racial/ethnic composition of the populations served, if available, and information and testimonials from residents or community leaders on the quality of the activities. Examples of activities that could be described include housing counseling, nutrition and food services, special housing referral, screening and information projects.
(3)(f) A description, if applicable, of your efforts to involve persons with disabilities (including minority persons with disabilities) and the local center for independent living in the development of your application and in the development and operation of the project.
(3)(g) A description of the steps you took to identify and coordinate your application with other organizations to complement and/or support your proposed project as well as the steps you will take, if funded, to share information on solutions and outcomes relative to the development of your proposed project.
(3)(h) A description of your involvement in the community's Consolidated Planning process, including:
(3)(h)(i) An identification of the lead/facilitating agency that organizes/administers the process;
(3)(h)(ii) An identification of the Consolidated Plan issue areas in which you participate;
(3)(h)(iii) Your level of participation in the process, including active involvement with any neighborhood-based organizations, associations or any committees that support programs and activities that enhance projects, or the lives of residents of projects, such as the one proposed in your application.
If you are not currently active, describe the specific steps you will take to become active in the Consolidated Planning process. (Consult the local HUD Office for the identification of the Consolidated Plan community process for the appropriate area.)
(3)(i) A description of the linkages that you have developed or plan to develop with other related activities, programs (for example, the Mainstream Housing Opportunities for Persons with Disabilities Program) or projects in order that the development of the project provides a comprehensive and holistic solution to the needs of the target population.
(4) Project information including the following:
(4)(a) Evidence of need for supportive housing. Such evidence would include a description of the proposed population and evidence demonstrating sustained effective demand for supportive housing for the proposed population in the market area to be served, taking into consideration the occupancy and vacancy conditions in existing comparable subsidized housing for persons with disabilities, State or local needs assessments of persons with disabilities in the area, the types of supportive services arrangements currently available in the area, and the use of such services as evidenced by data from local social service agencies. Also, a description of how information in the community's Analysis of Impediments to Fair Housing Choice was used in documenting the need for the project.
(4)(b) A description of how the proposed project will benefit the target population and the community in which it will be located;
(4)(c) A description of the project, including the following:
(4)(c)(i) A narrative description of the building(s) including the number and type of structure(s), number of bedrooms if group home, number of units with bedroom distribution if independent living units (including dwelling units in multifamily housing developments, condominiums and cooperatives), number of residents with disabilities, and any resident manager per structure; an identification of all community spaces, amenities, or features planned for the housing and a description of how the spaces, amenities, or features will be used, and the extent to which they are necessary to accommodate the needs of the proposed residents. If these community spaces, amenities, or features would not comply with the project design and cost standards of § 891.120 and the special project standards of § 891.310, you must demonstrate your ability and willingness to contribute both the incremental development cost and continuing operating cost associated with the community spaces, amenities, or features; and a description of how the design of the proposed project will promote the integration of the residents into the surrounding community and the ability of the residents to live as independently as possible; and
(4)(c)(ii) A description of whether and how the project will promote energy efficiency, and, if applicable, innovative construction or rehabilitation methods or technologies to be used that will promote efficient construction.
(4)(d) Evidence of control of an approvable site, OR identification of a site for which you provide a reasonable assurance that you will obtain control within 6 months from the date of fund
(4)(d)(i) Acceptable evidence that you have site control, which is limited to any one of the following:
(
(
(
(
(
(4)(d)(ii) Whether you have title to the site, a contract of sale, an option to purchase or are acquiring a site from a public body, you must provide evidence (a title policy or other acceptable evidence) that the site is free of any limitations, restrictions, or reverters which could adversely affect the use of the site for the proposed project for the 40-year capital advance period under HUD's regulations and requirements (
A Proposed project site may not be acquired or optioned from a general contractor (or its affiliate) that will construct the section 811 project or from any other development team member.
(4)(d)(iii) Evidence that your project as proposed is permissible under applicable zoning ordinances or regulations, or a statement of the proposed action required to make your proposed project permissible. You must provide the basis for your belief that the proposed action will be completed successfully before the submission of the firm commitment application (
(4)(d)(iv) A narrative topographical and demographic description of the suitability of the site and area as well as a description of the area surrounding the site, the characteristics of the neighborhood, how the site will promote greater housing opportunities for minorities and persons with disabilities thereby affirmatively furthering fair housing. (NOTE: You can best demonstrate your commitment to affirmatively furthering fair housing by describing how proposed activities will assist the jurisdiction in overcoming impediments to fair housing choice identified in the applicable jurisdiction's Analysis of Impediments to Fair Housing Choice (AI), which is a component of the jurisdiction's Consolidated Plan, or any other planning document that addresses fair housing issues. The applicable Consolidated Plan and AI may be the Community's, the County's, or the State's, to which input should have been provided by local community organizations, agencies in the community, and residents of the community. Alternatively, a document that addresses fair housing issues and remedies to barriers to fair housing in the community that was previously prepared by a local planning, or similar organization, may be used. Applicable impediments could include a lack of units that are accessible to persons with disabilities, a lack of transportation services or other assistance that would serve persons with disabilities, or the need for improved housing quality and services for all persons with disabilities.
(4)(d)(v) A map showing the location of the site and the racial composition of the neighborhood, with the area of racial concentration delineated.
(4)(d)(vi) A Phase I Environmental Site Assessment, in accordance with the American Society for Testing and Material (ASTM) Standards E 1527-97, as amended, in order for the application to be considered as an application with site control. The Phase I study must be completed and submitted with the application. The Phase I study is not a curable deficiency for the Section 811 Program. Therefore, it is important that you start the site assessment process as soon after publication of this SuperNOFA as possible.
If the Phase I study indicates the possible presence of contamination and/or hazards, you must decide whether to continue with this site or choose another site. Should you choose another site, the same environmental site assessment procedure identified above must be followed for that site.
For properties to be acquired from the FDIC/RTC, include a copy of the FDIC/RTC prepared Transaction Screen Checklist or Phase I Environmental Site Assessment,
If you choose to continue with the original site on which the Phase I study indicated contamination or hazards, you must undertake a detailed Phase II Environmental Site Assessment by an appropriate professional. If the Phase II Assessment reveals site contamination, the extent of the contamination and a plan for clean-up of the site must be submitted to the local HUD Office. The plan for clean-up must include a contract for remediation of the problem(s) and an approval letter from the applicable Federal, State, and/or local agency with jurisdiction over the site. In order for your application to be considered as an application with site control you must submit this information to the local HUD Office on or before June 19, 2000.
This could be an expensive undertaking. You must pay for the cost of any clean-up and/or remediation.
(4)(d)(vii) A letter from the State Historic Preservation Officer (SHPO) indicating whether the proposed site(s) has any historical significance. If you cannot obtain a letter from the SHPO due to the SHPO not responding to your request or the SHPO responding that it cannot or will not comply with the requirement, you must submit the following:
(
(
(
(4)(d)(viii) A statement that you are willing to seek a different site if the preferred site is unapprovable and that site control will be obtained within six months of notification of fund reservation.
(4)(d)(ix) If you are requesting an exception to the project size limits found in Section IV(F) of this program section of the SuperNOFA, describe why the site was selected and demonstrate the following:
(
(
(C) Your project is compatible with other residential development and the population density of the area in which your project is to be located;
(
(
(
(
(4)(d)(x) A description of the location of the site, including its street address, its unit number (if condominium), neighborhood/community characteristics (to include racial and ethnic data), amenities, adjacent housing and/or facilities, and how the site will promote greater housing opportunities for minorities and persons with disabilities thereby affirmatively furthering fair housing. You can best demonstrate your commitment to affirmatively furthering fair housing by describing how your proposed activities will assist the jurisdiction in overcoming impediments to fair housing choice identified in the community's AI or any other planning document that addresses fair housing issues. Examples of the applicable impediments include the need for improved housing quality and services for minority persons with disabilities and the need for quality services for persons with disabilities within the type and quality of similar services and housing in minority areas;
(4)(d)(xi) A description of the activities undertaken to identify the site, as well as what actions must be taken to obtain control of the site, if approved for funding;
(4)(xii) An indication as to whether the site is properly zoned. If it is not, an indication of the actions necessary for proper zoning and whether these can be accomplished within six months of fund reservation award, if approved for funding;
(4)(d)(xiii) A status of the sale of the site; and
(4)(d)(xiv) An indication as to whether the site would involve relocation.
(4)(e) A supportive services plan (a copy of which must be sent to the appropriate State or local agency as instructed in Section IV(E) of this program section of the SuperNOFA) that includes:
(4)(e)(i) A detailed description of whether the housing is expected to serve persons with physical disabilities, developmental disabilities, chronic mental illness or any combination of the three. Include how and from whom/where persons will be referred to and accepted for occupancy in the project.
(4)(e)(ii) Information concerning limitation of occupancy, if applicable. You may, with the approval of the Secretary, limit occupancy within housing developed under this program section of the SuperNOFA to persons with disabilities who have similar disabilities and require a similar set of supportive services in a supportive housing environment. However, the Owner must permit occupancy by any qualified person with a disability who could benefit from the housing and/or services provided, regardless of the person's disability. If you are requesting approval to limit occupancy in your proposed project(s), you must submit the following:
(
(
(
(
(4)(e)(iii) A detailed description of the supportive service needs of the persons with disabilities that the housing is expected to serve.
(4)(e)(iv) A list of community service providers, including those that are consumer-controlled, and letters of intent to provide services to residents of the proposed project(s) from as many potential service providers as possible. You must make this list available to any residents who wish to be responsible for acquiring their own supportive services. However, a provider may not require residents to accept any particular service.
(4)(e)(v) The evidence of each service provider's capability and experience in providing such supportive services (applicable even if you will be the service provider);
(4)(e)(vi) Identification of the extent of State and/or local agency involvement in the project (i.e., funding for the provision of supportive services, referral of residents, or licensing the project). If there will be any State or local agency involvement, a description of the State or local agency's philosophy/policy concerning housing for the population to be served and a demonstration that your application is consistent with State or local plans and policies governing the development and operation of housing for the same disabled population;
(4)(e)(vii) If you will be making any supportive services available to the residents or will be coordinating the availability of any supportive services, a letter providing:
(
(
(
(4)(e)(viii) A description of how the residents will be afforded opportunities for employment.
(4)(e)(ix) An indication as to whether the project will include a unit for a resident manager; and
(4)(e)(x) A statement that you will not condition occupancy on the resident's acceptance of any supportive services.
(5) A list of the applications, if any, that you have submitted or are planning to submit to any other HUD Office in response to this Section 811 funding announcement under this SuperNOFA or announcement for funding under this SuperNOFA of the Section 202 Program of Supportive Housing for the Elderly. Indicate, by HUD Office, the number of units requested and the proposed location by city and State for each application. Include a list of all FY 1999 and prior year projects to which you are a party, identified by project number and HUD Office, which have not been finally closed.
(6) A statement that:
(6)(a) Identifies all persons (families, individuals, businesses, and nonprofit organizations) by race/minority group and status as owners or tenants occupying the property on the date of submission of the application for a capital advance;
(6)(b) Indicates the estimated cost of relocation payments and other services;
(6)(c) Identifies the staff organization that will carry out the relocation activities; and
(6)(d) Identifies all persons that have moved from the site within the last 12 months. (This requirement applies to applications with site control only. Sponsors of applications with identified sites that are selected will be required to submit this information at a later date once they have obtained site control.)
If any of the relocation costs will be funded from sources other than the section 811 capital advance, you must provide evidence of a firm commitment of these funds. When evaluating applications, HUD will consider the total cost of proposals (i.e., cost of site acquisition, relocation, construction and other project costs).
(7)
(7)(a)
(7)(b)
(7)(c)
(7)(d)
(7)(e)
(7)(f)
(7)(g)
All certifications must be made by the public official responsible for submitting the Plan to HUD. The certifications must be submitted as part of the application by the application submission deadline date set forth in this program section of the SuperNOFA. The Plan regulations are published in 24 CFR part 91.
(7)(h)
(7)(i)
(7)(j)
(7)(k)
(7)(k)(i)
(7)(k)(ii)
(7)(k)(iii)
(7)(k)(iv)
(7)(k)(v)
(7)(k)(vi)
(7)(l)
(7)(l)(i) Provision of supportive services is well designed to serve the needs of persons with disabilities the housing is expected to serve;
(7)(l)(ii) Supportive services will be available on a consistent, long-term basis; and
(7)(l)(iii) Proposed housing is consistent with State or local plans and policies governing the development and operation of housing to serve individuals of the proposed occupancy category(ies) if the State or local agency will provide funding for the provision of supportive services, refer residents to the project or license the project. (The name, address, and telephone number of the appropriate agency will be identified in the application kit and can also be obtained from the appropriate HUD Office.)
(7)(m)
The
In accordance with 24 CFR part 50, all Section 811 assistance is subject to the National Environmental Policy Act of 1969 and applicable related Federal environmental authorities. The environmental review provisions of the Section 811 Program regulations are in 24 CFR 891.155(b).
Section 811 of the Cranston-Gonzalez National Affordable Housing Act (Pub. L. 101-625, approved November 28, 1990), as amended by the Housing and Community Development Act of 1992) (Pub. L. 102-550, approved October 28, 1992), and by the Rescissions Act (Pub. L. 104-19, approved July 27, 1995) authorized a new supportive housing program for persons with disabilities, and replaced assistance for persons with disabilities previously covered by section 202 of the Housing Act of 1959 (section 202 continues, as amended by section 801 of the NAHA, and the HCD Act of 1992, to authorize supportive housing for the elderly).
(1) The first line of the mailing address for all offices is Department of Housing and Urban Development. Telephone numbers listed are not toll-free.
(2) Applications for projects proposed to be located within the jurisdiction of the Seattle, Washington and the Anchorage Alaska Offices must be submitted to the Portland, Oregon Office.
(3) Applications for projects proposed to be located within the jurisdiction of the Sacramento, California Office must be submitted to the San Francisco, California Office.
(4) Applications for projects proposed to be located within the jurisdiction of the Cincinnati, Ohio Office must be submitted to the Columbus Ohio Office.
(5) Applications proposed to be located within the jurisdiction of the Washington, DC Office must be submitted to the Baltimore Maryland Office.
Southern Bell Tower, 301 West Bay Street,
Jacksonville, FL 32202-5121,
(904) 232-2626,
TTY Number: (904) 232-2631
Chicago, IL 60604-3507,
(312) 353-5680,
TTY Number: (312) 353-5944
The non-standard forms, which follow, are required for your Section 811 Program application.
Applications are also being invited from PHAs for one-year budget authority funding (non-Section 811 funds) that HUD anticipates may be available for the Mainstream Program in FY 2000. Specifically, any portion of the $40 million in one-year budget authority contained in FY 2000 appropriations related to designated housing plans; preferences in occupancy for the elderly in certain types of Section 8 project-based developments; or restrictions in occupancy to elderly only in certain types of Section 202, Section 221(d)(3), or Section 236 developments remaining unobligated will be added to the approximately $50.25 million in five-year budget authority available under this announcement. This one-year budget authority will be used only for non-elderly disabled families.
The vouchers that HUD will provide under this announcement must be made available to eligible disabled families regardless of their type of disability. (See the definition of disabled family in Section IV(E) of this announcement.) The Mainstream Program vouchers must not be issued by the administering agency on the basis of any preference system favoring any particular type of disability over another, nor shall the vouchers be issued solely on the basis of an administering agency's waiting list which is based on that agency's having heretofore served only certain types of disabled persons. The Section 8 Housing Choice Voucher Program regulations provide at 24 CFR 982.207(c) that a PHA may give preference for admission of families that include a person with disabilities; however, the PHA may not give preference for admission of persons with a specific disability. This regulatory requirement is also applicable to nonprofit disability organizations who receive funding under this announcement as such organizations must comply with the Section 8 regulatory requirements applicable to the Section 8 Housing Choice Voucher Program.
If you are interested in applying for funding under the Mainstream Program, please review carefully the
See the
After 6:00 pm on the application deadline date, applications will be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410, until 12:00 midnight Eastern time.
Submit the second copy of your application to your local HUD Field Office Hub or local HUD Field Office Program Center. A listing of HUD Field Offices is attached to the General Section of this SuperNOFA.
Prior to the application due date, George C. Hendrickson will be available to provide general guidance and technical assistance about this announcement.
(A)
All of the approximately $50.25 million in funding is for use in the housing of elderly and non-elderly disabled families. HUD will supplement the Mainstream Program funding with additional funding, up to as much as $40 million in one-year budget authority for Section 8 vouchers for non-elderly disabled families in support of designated housing plans, for non-elderly disabled families who are not currently receiving housing assistance in certain Section 8 project-based developments due to the owners establishing preferences for the admission of elderly families, and for nonelderly disabled families not being housed in certain section 202, section 221(d)(3) and section 236 developments (or portions thereof) where the owners have restricted occupancy to elderly families. The FY 2000 HUD Appropriations Act states that to the extent the Secretary determines that the FY 2000 appropriations related to designated housing plans and certain types of Section 8 project-based developments and certain types of section 202, section 221(d)(3) and section 236 developments are not needed to fund applications, the funds may be used for other non-elderly disabled families. Any such remaining funds will be used to supplement funding for the Mainstream Program. As a result, as much as $40 million in one-year budget authority may be available in additional funding in FY 2000 for the Mainstream Program.
(B)
(C)
(1)
(2)
(3)
(a) HUD will extract the total expenditures for all the PHA's Section 8 tenant-based assistance programs and the unit months leased information from the most recent approved year end statement (Form HUD-52681) that the PHA has filed with HUD. HUD will divide the total expenditures for all of the PHA's Section 8 tenant-based assistance programs by the unit months leased to derive an average monthly per unit cost.
(b) HUD will multiply the monthly per unit cost by 12 (months) to obtain an annual per unit cost.
(c) HUD will multiply the annual per unit costs derived under paragraph (b) above by the Section 8 Housing Assistance Payments Program Contract Rent Annual Adjustment Factor (with the highest cost utility included) to generate an adjusted annual per unit cost.
Applicants who do not currently administer a Section 8 certificate or voucher program shall have their voucher funding based upon the annual actual per unit costs of the PHA in their most immediate area administering a Section 8 certificate or voucher program, using the three step process described immediately above.
(4)
(e)
(A)
The Mainstream Program will assist PHAs and non-profit disability organizations in providing Section 8 vouchers to a segment of the population recognized by HUD's housing research as having one of the worst housing needs of any group in the United States; i.e., very low-income households with adults with disabilities. In addition, the Mainstream Program will assist persons with disabilities who often face difficulties in locating suitable and accessible housing on the private market.
(B)
(1)
(a) A PHA established pursuant to State law may apply for funding under this announcement. A regional (multi-county) or State PHA is eligible to apply for funding.
(b) PHAs are encouraged to involve nonprofit disability organizations that provide services to disabled families, as defined in Section III(B)(2) of this announcement, in the administration of the Mainstream Program's vouchers.
(i) Such nonprofit disability organizations could function as either a contract administrator for the PHA's Section 8 Mainstream vouchers, or as a subcontractor responsible for providing case management services or assisting disabled families to locate suitable housing, gain access to supportive services, or identify private funding sources to cover the costs of unit modifications needed as a reasonable accommodation.
(ii) Such contractual arrangements must, however, ensure equal opportunity among the wide variety of disabled populations in the PHA's service area. PHAs are being encouraged to seek out nonprofit disability organizations to assist in the administration of the Mainstream vouchers due to such organizations' capacity for assisting disabled families, as well as their in-depth knowledge of the disability community.
(c) Some PHAs currently administering the Section 8 rental voucher and certificate programs have, at the time of publication of this SuperNOFA, major program management findings from Inspector General audits, HUD management reviews, or independent public accountant (IPA) audits that are open and unresolved or other significant program compliance problems. HUD will not accept applications for additional funding from these applicants as contract administrators if, on the application due date, the findings are either not closed, or sufficient progress toward closing the findings has not been made to HUD's satisfaction. The PHA must also, to HUD's satisfaction, be making satisfactory progress in addressing any program compliance problems. If the PHA wants to apply for funding under this announcement, the PHA must submit an application that designates another housing agency, nonprofit agency, or contractor, that is acceptable to HUD. The PHA's application must include an agreement by the other housing agency, nonprofit agency, or contractor to administer the new funding increment on behalf of the PHA, and a statement that outlines the steps the PHA is taking to resolve the program findings and program compliance problems.
(2)
(a) The nonprofit entity must:
(i) Have a voluntary board;
(ii) Be authorized by its charter or State law to enter into a contract with the Federal Government to provide housing assistance;
(iii) Have a functioning accounting system that is operated in accordance with generally accepted accounting principles, or designate an entity that will maintain a functioning accounting system for the organization in accordance with generally accepted accounting principles; and
(iv) Practice nondiscrimination in the provision of assistance.
(b) A nonprofit disability organization meeting the definition of a nonprofit disability organization as defined in this Section III(B), and wishing to apply for the funding available under this announcement must have the capacity to:
(i) Comply with the Section 8 Management Assessment Program (SEMAP) certification requirements under 24 CFR part 985.
(ii) Carry out such Section 8 and SEMAP specific related activities as making determinations as to rent reasonableness, performing housing quality standards (HQS) inspections and enforcement, conducting annual reexaminations of participant families, as well as otherwise meeting Section 8 program requirements under 24 CFR parts 887 and 982.
(iii) Manage the Section 8 Mainstream Program vouchers in a manner equivalent to an overall performance rating under SEMAP (24 CFR part 985) of “standard” during the first fiscal year of its receiving Mainstream Program funding.
(iv) Administer rental housing programs or manage rental housing, as demonstrated by a specific list of rental housing programs the nonprofit disability organization has administered or the rental housing the organization has managed (e.g. private rental housing, HUD or State-related housing programs, etc.).
Nonprofit disability organizations are encouraged to seek out PHAs in their geographic area to develop cooperative contractual relationships under the Mainstream Program, and to enhance services to disabled families. In addition to contacting local PHAs, nonprofit disability organizations may also wish to contact regional (multi-county), or state-wide PHAs who may be applying for Mainstream Program funding.
(C)
In addition to the civil rights compliance and nondiscrimination requirements listed in the
(A)
(1) Address the elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific activities cited in their responses under this announcement to address affirmatively furthering fair housing.
(B)
(C)
(1)
(2)
If there is ever an insufficient pool of disabled families on the PHA's or nonprofit disability organization's Section 8 waiting list, the PHA or nonprofit disability organization shall conduct outreach to encourage eligible persons to apply for this special allocation of rental vouchers. Outreach may include contacting independent living centers, advocacy organizations for persons with disabilities, and medical, mental health, and social service providers for referrals of persons receiving such services who would benefit from Section 8 assistance. If the PHA's or nonprofit disability organization's Section 8 waiting list is closed, and if the PHA or nonprofit disability organization has insufficient applicants on its Section 8 waiting list to use all awarded vouchers under this announcement, the PHA or nonprofit disability organization shall open the waiting list for applications from disabled families.
(3)
(D)
(1) Where requested by an individual, assist program participants to gain access to supportive services available within the community, but not require eligible applicants or participants to accept supportive services as a condition of participation or continued occupancy in the program.
(2) Identify public and private funding sources to assist participants in covering the costs of modifications that need to be made to their units as a reasonable accommodation for their disabilities.
(3) Not deny persons who qualify for rental assistance under this program other housing opportunities, or otherwise restrict access to PHA or nonprofit disability organization programs to eligible applicants who choose not to participate.
(4) Provide Section 8 search assistance.
(5) In accordance with regulatory guidance, provide higher rents to owners necessary for the provision of accessible units and structural modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable accommodations or making units accessible to persons with disabilities.
(E)
(1)
(2)
(a) Has a disability as defined in section 223 of the Social Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional impairment that:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live independently; and
(iii) Is of such a nature that such ability could be improved by more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001(5)).
The term “person with disabilities” does not exclude persons who have the disease of acquired immunodeficiency syndrome (AIDS) or any conditions arising from the etiologic agent for acquired immunodeficiency syndrome (HIV).
While the above definition of a “person with disabilities” is to be used for purposes of determining a family's eligibility for a Section 8 voucher under this announcement, the definition of a person with disabilities contained in section 504 of the Rehabilitation Act of 1973 and its implementing regulations must be used for purposes of reasonable accommodations.)
No individual shall be considered a person with disabilities for the purpose of determining eligibility solely on the basis of any drug or alcohol dependence.
(3)
After the Grants Management Center has screened and disapproved any applications found unacceptable for further processing, the Grants Management Center will review all acceptable applications to ensure that they are technically adequate and responsive to the requirements of this announcement. HUD Headquarters will fund all applications from PHAs and nonprofit disability organizations that are recommended for funding by the Grants Management Center unless HUD receives approvable applications for more funds than are available. If HUD receives approvable applications for more funds than are available, HUD will select applicants to be funded by lottery. A separate lottery will be held first for those PHAs and nonprofit disability organizations seeking funding under the five-year budget authority available under this announcement, and a separate lottery will next be held for those PHAs seeking funding under the one-year budget authority that may be available under this announcement. (Nonprofit disability organizations are not eligible to apply for the one-year budget authority that may be available under this announcement.) All applicants identified by the Grants Management Center as having submitted technically adequate and responsive applications will be included in the lottery. As applicants are selected, the cost of funding the applications will be subtracted from the funds available. In order to achieve geographic diversity, HUD Headquarters will limit the number of applications selected for funding from any State to 10 percent of the budget authority available for the Mainstream Program. The 10 percent limit shall be applied first during the lottery for the five-year funding and shall continue over into the lottery for any one-year funding that may be available. This, for instance, may result in a State reaching the 10 percent limit prior to the start of the lottery for any one-year funding that may be available, and therefore any PHAs from that State would not be eligible for any further Mainstream funding. If establishing this geographic limit would result, however, in unreserved budget authority, HUD may modify this limit to assure that all available funds are used.
Applications will be funded for the total number of units requested by the applicant and recommended for approval by the Grants Management Center (not to exceed 75 units) in accordance with this announcement. When remaining budget authority is insufficient to fund the last selected application in full, HUD Headquarters will fund that application to the extent of the funding available, unless the applicant indicates that it will only accept a higher number of units. In that event, the next selected application shall be one that has indicated a willingness to accept the lesser amount of funding for the units available.
(A)
In the instance of a nonprofit disability organization that does not currently manage a Section 8 tenant-based program, the nonprofit disability organization shall fill in Section B, Proposed Assisted Dwelling Units, of the form HUD-52515, by either basing the numbers the organization enters in this section on information requested from the nearest public housing agency, based upon its Section 8 waiting list, or based upon information from local advocacy groups and local public and private service agencies familiar with the needs of elderly and non-elderly persons with disabilities, census data, and pertinent information from the Consolidated Plan applicable to the applicant's jurisdiction. Section C, Average Monthly Adjusted Income, should be left blank. Section F, New HA Information, requires information on Financial and Administrative Capability and Qualification as an HA. For Financial and Administrative Capability, a nonprofit disability organization may reference that part of its application addressing the requirements for this program. For Qualification as an HA, the nonprofit disability organization should submit information validating its qualifications as a nonprofit disability organization as defined in Section III(B)(2) of this announcement. The submission of enabling legislation is not required, but a legal opinion supportive of the applicant's status as a nonprofit disability organization , as defined in this program section of the SuperNOFA, is required.
(B)
(C)
(D)
(1) A description of how the applicant will carry out its responsibilities under 24 CFR 8.28 to assist recipients in locating units with needed accessibility features; and
(2) A description of how the applicant will identify private or public funding sources to help participants cover the costs of modifications that need to be made to their units as reasonable accommodations to their disabilities.
(3) A description of how the applicant will use a nonprofit disability organization or PHA (if any) to assist in the administration of the Section 8 Mainstream Program.
(E)
(F)
(1) Elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing for persons with disabilities regardless of race, color, religion, sex, familial status, national origin, or nature of disability; or
(3) Promote fair housing rights and fair housing choice.
(G)
(A)
(B)
(1) After the 14-calendar day technical deficiency correction period (as provided in the General Section), the Grants Management Center will disapprove all applications that the Grants Management Center determines are not acceptable for processing. The notification of rejection letter will state the basis for the decision.
(2) Applications that fall into any of the following categories will not be processed:
(a) Applications that do not meet the threshold fair housing and civil rights compliance requirements of Section II(B) of the
(b) The PHA has major program management findings in an Inspector General audit, HUD management review, or independent public accountant (IPA) audit for its voucher or certificate programs that are not closed or on which satisfactory progress in resolving the findings is not being made; or program compliance problems for its voucher or certificate programs on which satisfactory progress is not being made. The only exception to this category is if the PHA has been identified under the policy established in Section III(B)(1)(c) of this announcement and the PHA makes application with a designated contract administrator. Major program management findings are those that would cast doubt on the capacity of the PHA to effectively administer any new Section 8 voucher funding in accordance with applicable HUD regulatory and statutory requirements.
(c) The PHA has failed to achieve a lease-up rate of 90 percent for its combined certificate and voucher units under contract for its fiscal year ending in 1998. Category (c) may be passed, however, if the PHA achieved a combined certificate and voucher budget authority utilization rate of 90 percent or greater for its fiscal year ending in 1998. In the event the PHA is unable to meet either of these percentage requirements, the PHA may still pass category (c) if the PHA submits information to the Grants Management Center, as part of its application, demonstrating that it was able to either increase its combined certificate and voucher lease-up rate to 90 percent or greater for its fiscal year ending in 1999, or was able to increase combined certificate and voucher budget authority utilization to 90 percent or more for its fiscal year ending in 1999. PHAs that have been determined by HUD to have passed either the 90 percent lease-up, or 90 percent budget authority utilization requirement for their fiscal year ending in 1998 will be listed on the HUD Home Page site on the Internet's world wide web (http://www.hud.gov). A PHA not listed must either submit information in its application supportive of its 90 percent lease-up or 90 percent budget authority utilization performance for its fiscal year ending in 1999, or submit information as part of its application supportive of its contention that it should have been included among those PHAs HUD listed on the HUD Home Page as having achieved either a 90 percent lease-up rate or 90 percent budget authority utilization rate for
(d) The PHA is involved in litigation and HUD determines that the litigation may seriously impede the ability of the PHA to administer the vouchers.
(e) An application that does not comply with the requirements of 24 CFR 982.102 and this program section after the expiration of the 14-calendar day technical deficiency correction period will be rejected from processing.
(f) The application was submitted after the application due date.
(g) The application was not submitted to the official place of receipt as indicated in the paragraph entitled “Address for Submitting Applications” at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from providing assistance under the program.
In accordance with 24 CFR 50.19(b)(11) of the HUD regulations, tenant-based rental activities under this program are categorically excluded from the requirements of the National Environmental Policy Act of 1969 (NEPA) and are not subject to environmental review under the related laws and authorities. This announcement of funding availability provides funding for these activities under 24 CFR part 982, which does not contain environmental review provisions because of the categorical exclusion of these activities from environmental review. Accordingly, under 24 CFR 50.19(c)(5), issuance of this announcement of funding availability is also categorically excluded from environmental review under NEPA.
Authority for the approximately $50.25 million in 5-year budget authority available for the Mainstream Program under this announcement (general use rental assistance for persons with disabilities) is found in the Departments of Veterans Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, FY 2000 (Pub.L. 106-74, approved October 20, 1999). The FY 2000 HUD Appropriations Act states that the Secretary may designate up to 25 percent of the amounts earmarked for section 811 of the National Affordable Housing Act of 1990 (42 U.S.C. 8013) for tenant-based assistance, as authorized under that section.
If you are interested in applying for funding under this program, please review carefully the
See the
A copy of your application should also be sent to your local HUD Field Office Hub or local HUD Field Office Program Center. A listing of HUD Field Offices is attached to the
Prior to the application due date, George C. Hendrickson will be available to provide general guidance and technical assistance about this announcement.
(A)
In the event approvable applications are received for more than the approximately $20 million announced as available under this announcement, funds will be transferred from the approximately $20 million available under the funding announcement for Rental Assistance for Non-Elderly Persons with Disabilities in Support of Designated Housing Plans program to the extent funds remain unobligated after funding all approvable applications under that announcement.
Any funding remaining unobligated under this announcement providing assistance for non-elderly persons with disabilities related to certain developments will be used first to fund any approval applications under the announcement for Rental Assistance for Non-Elderly Persons with Disabilities in Support of Designated Housing Plans, for which there may be insufficient funds. Any funds still remaining unobligated will be used to fund any approvable applications under the announcement for Mainstream Housing Opportunities for Persons with Disabilities for which there are insufficient funds.
(B)
(1)
(a)
(i) Those non-elderly disabled families who are on the waiting list of an owner of a Section 8 project-based development identified in this announcement where the owner elected to provide preferences to elderly families and to house other non-elderly disabled families residing in the community who would qualify for one- or zero-bedroom units; or
(ii) Those non-elderly disabled families who are on the waiting list of, or are otherwise residing in the community, but in either instance are not being housed in certain assisted housing developments listed in this announcement where the owners have
The PHA may apply for a two-bedroom unit under this Section I(B) in such instances where a non-elderly disabled family requires the extra bedroom for purposes of a live-in aide, or for medical equipment.
(b)
(i) HUD will extract the total expenditures for all your Section 8 tenant-based assistance programs and the unit months leased information from the most recent approved year end statement (form HUD-52681) that the PHA has filed with HUD. HUD will divide the total expenditures for all of your Section 8 tenant-based assistance programs by the unit months leased to derive an average monthly per unit cost.
(ii) HUD will multiply the monthly per unit cost by 12 (months) to obtain an annual per unit cost.
(iii) HUD will multiply the annual per unit cost derived under paragraph (ii) above by the Section 8 Housing Assistance Payments Program Contract Rent Annual Adjustment Factor (with the highest utility included) to generate an adjusted annual per unit cost.
If you do not currently administer a Section 8 certificate or voucher program your voucher funding will be based upon the annual actual per unit costs of a PHA in your most immediate area administering a Section 8 certificate or voucher program, using the three step process described immediately above.
(2)
(3)
(A)
(1) Section 651 of the Housing and Community Development Act of 1992 (42 U.S.C. 13611 allowed owners of the
(a) Section 8 New Construction Program, 24 CFR part 880;
(b) Section 8 Substantial Rehabilitation Program, 24 CFR part 881;
(c) State Housing Agencies Program (insofar as involving new construction and substantial rehabilitation), 24 CFR part 883;
(d) New Construction Set-Aside for Section 515 Rural Rental Housing Projects Program, 24 CFR part 884; and
(e) Section 8 Housing Assistance Program for the Disposition of HUD-Owned Projects (insofar as involving substantial rehabilitation), 24 CFR part 886, subpart C.
(2) Section 658 of the 1992 Act provides that an owner of a Federally assisted project (or portion thereof) that was designed for occupancy for elderly families may continue to restrict occupancy in such project (or portion) to elderly families in accordance with the rules, standards, and agreements governing occupancy in such housing in effect at the time of the development of the housing. The
(a) Housing assisted under section 202 of the Housing Act of 1959, as such section existed before the enactment of the National Affordable Housing Act (NAHA);
(b) Housing financed by a loan or mortgage insured under section 221(d)3) of the National Housing Act that bears an interest rate determined under section 221(d)5); and
(c) Housing insured, assisted or held by the Secretary or a State or State Agency under section 236 of the National Housing Act.
(B)
(1) A PHA established pursuant to State law may apply for funding under this announcement. A regional (multi-county) or State PHA is eligible to apply for funding. Indian Housing Authorities (IHAs), Indian tribes and their tribally designated housing entities are not eligible to apply because the Native American Housing Assistance and Self-Determination Act of 1996 does not allow HUD to enter into new Section 8 annual contributions contracts (ACC) with IHAs after September 30, 1997.
(2) Some PHAs currently administering the Section 8 voucher and certificate programs have, at the time of publication of this SuperNOFA, major program management findings from Inspector General audits, HUD management reviews, or independent public accountant (IPA) audits that are open and unresolved or other significant program compliance problems. HUD will not accept applications for additional funding from these PHAs as contract administrators if, on the application due date, the findings are either not closed, or sufficient progress toward closing the findings has not been made to HUD's satisfaction. The PHA must also, to HUD's satisfaction, be making satisfactory progress in addressing any program compliance problems. If the PHA wants to apply for funding under this announcement, the PHA must submit an application that designates another housing agency, nonprofit agency, or contractor, that is acceptable to HUD. The PHA's application must include an agreement by the other housing agency, nonprofit agency, or contractor to administer the new funding increment on behalf of the PHA, and a statement that outlines the steps the PHA is taking to resolve the program findings and the program compliance problems.
(C)
In addition to the civil rights compliance and nondiscrimination requirements listed in the
(A)
(1) Address the elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further applicants have a duty to carry out the specific activities cited in their responses under this announcement to address affirmatively furthering fair housing.
(B)
(C)
(1)
(2)
(3)
(D)
(1) Where requested by an individual, assist program participants to gain access to supportive services available within the community, but not require eligible applicants or participants to accept supportive services as a condition of participation or continued occupancy in the program.
(2) Identify public and private funding sources to assist participants with disabilities in covering the costs of modifications that need to be made to their units as a reasonable accommodation for their disabilities.
(3) Not deny persons who qualify for rental assistance under this program other housing opportunities, or otherwise restrict access to PHA programs to eligible applicants who choose not to participate.
(4) Provide Section 8 search assistance.
(5) In accordance with regulatory guidance, provide higher rent to owners necessary for the provision of accessible units and structural modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable accommodations or making units accessible to persons with disabilities.
(E)
(1)
(2)
(3)
(a) Has a disability as defined in section 223 of the Social Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional impairment that:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live independently; and
(iii) Is of such a nature that such ability could be improved by more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001(5)).
The term “person with disabilities” does not exclude persons who have the disease of acquired immunodeficiency syndrome (AIDS) or any conditions arising from the etiologic agent for acquired immunodeficiency syndrome (HIV).
While the above definition of a “person with disabilities” is to be used for purposes of determining a family's eligibility for a Section 8 voucher under this announcement, the definition of a person with disabilities contained in section 504 of the Rehabilitation Act of 1973 and its implementing regulations must be used for purposes of meeting the requirements of Fair Housing laws, including providing reasonable accommodations.
No individual shall be considered a person with disabilities for the purpose of determining eligibility solely on the basis of any drug or alcohol dependence.
(4)
After the Grants Management Center has screened all applications and disapproved any found unacceptable for further processing, the Grants Management Center will review all remaining applications to ensure that they are technically adequate and responsive to the requirements identified in this program section of this SuperNOFA.
HUD Headquarters will fund on a first-come, first-serve basis all approvable applications that are recommended for funding by the Grants Management Center, based upon the date and time the application is received in the Grants Management Center. As applications are selected, the cost of funding the applications will be subtracted from the funds available. In the event approvable applications are received for more than the approximately $20 million available funds will be transferred from the approximately $20 million available under the Rental Assistance for Non-elderly Persons with Disabilities in Support of Designated Housing Plans program to the extent such funds have not been obligated under that program for approvable applications. Applications will be funded for the total number of units requested and recommended for approval by the Grants Management Center. When remaining budget authority is insufficient to fund the last selected application in full the Grants Management Center will fund that application to the extent of the funding available, unless the application indicates that the PHA will only accept a higher number of units. In that event, HUD will fund the next selected application that has indicated a willingness to accept the lesser amount of funding for units available.
(A)
(B)
(C)
(1) A certification from the owner of a covered development (see the different types of covered developments listed in Section III(A)(1) and (2) of this announcement), stating the specific type of covered development, preferences are provided to elderly families in selecting tenants (Section 8 project-based developments) or occupancy in the development is restricted to elderly families (assisted housing developments), and the number of non-elderly disabled families on the owner's waiting list for the development. (PHAs may contact the local HUD Field Office's Director, Multifamily Division, to get the addresses and telephone numbers of the developments falling under Section III(A)(1) and (2) in this announcement. The PHA will then need to contact the management/owners of these developments within their jurisdiction to verify that the development is a covered development. Owners of covered developments are encouraged to cooperate with PHAs and provide the required certification (if applicable) in a timely manner, along with the names, addresses and telephone numbers of those families on the development's waiting list that are non-elderly disabled families.)
(2) PHAs must also submit information supportive of the number of other non-elderly disabled families residing in the community who would qualify for one-bedroom or zero-bedroom units (not on the waiting lists of covered developments). (See the note at the end of Section II(B) of this announcement which identifies those limited instances in which a PHA may apply for funding for a two-bedroom unit.) The application must demonstrate a need for vouchers by providing information documenting that the demand for housing for non-elderly disabled families would equal or exceed the requested number of vouchers (not to exceed 200). The PHA must assess and document the need using a range of sources including, but not limited to: census data, information from the PHA's waiting list (both public housing and Section 8), statistics on recent public housing admissions and certificate and voucher use, data from local advocacy groups and local public and private service agencies familiar with the housing needs of non-elderly disabled families, and pertinent information from the Consolidated Plan (including the Analysis of Impediments to Fair Housing Choice) applicable to the PHA's jurisdiction. (See 24 CFR 91.205(d).)
(D)
(1) Elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing for persons with disabilities regardless of race, color, religion, sex, familial status, national origin, or nature of disability; or
(3) Promote fair housing rights and fair housing choice.
(E)
(A)
(B)
(1) After the 14-calendar day technical deficiency correction period (as provided in the General Section), the Grants Management Center will disapprove all applications that the
(2) Applications that fall into any of the following categories will not be processed:
(a) Applications that do not meet the threshold fair housing and civil rights compliance requirements of Section II(B) of the
(b) The PHA has major program management findings in an Inspector General audit, HUD management review, or independent public accountant (IPA) audit for its voucher or certificate programs that are not closed or on which satisfactory progress in resolving the findings is not being made; or program compliance problems for its voucher or certificate programs on which satisfactory progress is not being made. The only exception to this category is if the PHA has been identified under the policy established in Section III(B)(2) of this announcement and the PHA makes application with a designated contract administrator. Major program management findings are those that would cast doubt on the capacity of the PHA to effectively administer any new Section 8 voucher funding in accordance with applicable HUD regulatory and statutory requirements.
(c) The PHA has failed to achieve a lease-up rate of 90 percent for its combined certificate and voucher units under contract for its fiscal year ending in 1998. Category (c) may be passed, however, if the PHA achieved a combined certificate and voucher budget authority utilization rate of 90 percent or greater for its fiscal year ending in 1998. In the event the PHA is unable to meet either of these percentage requirements, the PHA may still pass category (c) if the PHA submits information to the Grants Management Center, as part of its application, demonstrating that it was able to either increase its combined certificate and voucher lease-up rate to 90 percent or greater for its fiscal year ending in 1999, or was able to increase combined certificate and voucher budget authority utilization to 90 percent or more for its fiscal year ending in 1999. PHAs that have been determined by HUD to have passed either the 90 percent lease-up, or 90 percent budget authority utilization requirement for their fiscal year ending in 1998 will be listed on the HUD Home Page site on the Internet's world wide web (http://www.hud.gov). A PHA not listed must either submit information in its application supportive of its 90 percent lease-up or 90 percent budget authority utilization performance for its fiscal year ending in 1999, or submit information as part of its application supportive of its contention that it should have been included among those PHAs HUD listed on the HUD Home Page as having achieved either a 90 percent lease-up rate or 90 percent budget authority utilization rate for fiscal years ending in 1998. Appendix A to this program section indicates the methodology and data sources used by HUD to calculate the lease-up and budget authority utilization percentage rates for PHAs with fiscal years ending in 1998. Any PHA wishing to submit information to the Grants Management Center in connection with its 1998 fiscal year or 1999 fiscal year for the purposes described immediately above (so as to be eligible under category (c) to submit an application) will be required to use the same methodology and data sources indicated in Appendix A.
(d) The PHA is involved in litigation and HUD determines that the litigation may seriously impede the ability of the PHA to administer the vouchers.
(e) An application that does not comply with the requirements of 24 CFR 982.102 and this program section after the expiration of the 14-calendar day technical deficiency correction period will be rejected from processing.
(f) The application was submitted after the application due date.
(g) The application was not submitted to the official place of receipt as indicated in the paragraph entitled “Address for Submitting Applications” at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from providing assistance under the program.
In accordance with 24 CFR 50.19(b) (11) of the HUD regulations, tenant-based rental activities under this program are categorically excluded from the requirements of the National Environmental Policy Act of 1969 (NEPA) and are not subject to environmental review under the related laws and authorities. This announcement provides funding for these activities under 24 CFR part 982, which does not contain environmental review provisions because of the categorical exclusion of these activities from environmental review. Accordingly, under 24 CFR 50.19(c)(5), issuance of this announcement is also categorically excluded from environmental review under NEPA.
Authority for this program is found in the Departments of Veteran's Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, FY 2000 (Pub.L. 106-74, approved October 20, 1999). This FY 2000 Appropriations Act authorized appropriations for Section 8 vouchers to assist non-elderly disabled families affected by the establishment of preferences in accordance with section 651 of the Housing and Community Development Act of 1992, or the restriction of occupancy to elderly families in accordance with section 658 of the Act. The FY 2000 Appropriations Act also allows the Secretary to transfer any unobligated funds for this purpose to assist non-elderly disabled families to the extent they are not needed under Sections 651 and 658 for such families. Therefore, any funds remaining unobligated under this program section of this SuperNOFA will be used first to fund any approvable applications under the Rental Assistance for Non-Elderly Persons With Disabilities in Support of Designated Housing Plans program for which there are insufficient funds. Thereafter, any funds still remaining unobligated will be used to fund applications under the Mainstream Program in the SuperNOFA.
If you are interested in applying for funding under this program, please review carefully the
See the
•
After 6:00 pm on the application deadline date, applications will be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410, until 12:00 midnight Eastern time.
Submit one copy of your application concurrently to the Office of Public Housing, Special Application Center, Room 2401, 77 West Jackson Boulevard, Chicago, IL 60604 (312-886-9754).
Submit the second copy of your application to your local HUD Field Office HUB or local HUD Field Office Program Center. A listing of HUD Field Offices is attached to the
Prior to the application due date, George C. Hendrickson will be available to provide general guidance and technical assistance about this announcement.
(A)
The FY 2000 HUD Appropriations Act allows the Secretary of HUD to transfer any unobligated funds for support of designated housing plans to assist non-elderly disabled families to the extent they are not needed to fund approvable applications related to designated housing plans during FY 2000. Accordingly, any funds remaining unobligated under this announcement will first be used to fund any approvable applications under HUD's announcement for Rental Assistance for Non-Elderly Persons with Disabilities Related to Certain Types of Section 8 Project-Based Developments and Section 202, Section 221(d)(3) and Section 236 Developments, for which there are insufficient funds. Any funds still remaining unobligated under this announcement for funding in support of designated housing plans shall be used to fund any approvable applications under HUD's announcement for Mainstream Housing Opportunities For Persons With Disabilities, for which there are insufficient funds.
(B)
(1)
(2)
(a) HUD will extract the total expenditures for all the PHA's Section 8 tenant-based assistance programs and the unit months leased information from the most recent approved year end statement (form HUD-52681) that the PHA has filed with HUD. HUD will divide the total expenditures for all of the PHA's Section 8 tenant-based assistance programs by the unit months leased to derive an average monthly per unit cost.
(b) HUD will multiply the monthly per unit cost by 12 (months) to obtain an annual per unit cost.
(c) HUD will multiply the annual per unit cost derived, as provided in this announcement, by the Section 8 Housing Assistance Payments Program Contract Rent Annual Adjustment Factor (with the highest cost utility included) to generate an adjusted annual per unit cost.
Applicants who do not currently administer a Section 8 certificate or voucher program shall have their voucher funding based upon the actual annual per unit costs of the PHA in their most immediate area administering a Section 8 certificate or voucher program, using the three step process described immediately above.
(3)
(4)
(A)
(B)
Some PHAs currently administering the Section 8 voucher and certificate programs have, at the time of publication of this SuperNOFA, major program management findings from Inspector General audits, HUD management reviews, or independent public accountant (IPA) audits that are open and unresolved or other significant program compliance problems. HUD will not accept applications for additional funding from these PHAs as contract administrators if, on the application due date, the findings are either not closed, or sufficient progress toward closing the findings has not been made to HUD's satisfaction.
The PHA must also, to HUD's satisfaction, be making satisfactory progress in addressing any program compliance problems. If the PHA wants to apply for funding under this announcement, the PHA must submit an application that designates another housing agency, nonprofit agency, or contractor, that is acceptable to HUD. The PHA's application must include an agreement by the other housing agency, nonprofit agency, or contractor to administer the new funding increment on behalf of the PHA, and a statement that outlines the steps the PHA is taking to resolve the program findings and program compliance problems.
(C)
In addition to the civil rights compliance and nondiscrimination requirements listed in the
(1) Address the elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further applicants have a duty to carry out the specific activities cited in their responses under this announcement to address affirmatively furthering fair housing.
(B)
(C)
(1)
(2)
(3)
(D)
(1) Where requested by an individual, assist program participants to gain access to supportive services available within the community, but not require eligible applicants or participants to accept supportive services as a condition of participation or continued occupancy in the program.
(2) Identify public and private funding sources to assist participants with disabilities in covering the costs of structural alterations and other accessibility features that are needed as accommodations for their disabilities.
(3) Not deny persons who qualify for rental assistance under this program other housing opportunities, or otherwise restrict access to PHA programs to eligible applicants who choose not to participate.
(4) Provide Section 8 search assistance.
(5) In accordance with regulatory guidance, provide higher rent to owners necessary for the provision of accessible units and structural modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable accommodations or making units accessible to persons with disabilities.
(E)
(1)
(2)
(3)
(4)
(a) Has a disability as defined in section 223 of the Social Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional impairment that:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live independently; and
(iii) Is of such a nature that such ability could be improved by more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 6001(5)).
The term “person with disabilities” does not exclude persons who have the disease of acquired immunodeficiency syndrome (AIDS) or any conditions arising from the etiologic agent for acquired immunodeficiency syndrome (HIV).
While the above definition of a “person with disabilities” is to be used for purposes of determining a family's eligibility for a Section 8 voucher under this announcement, the definition of a person with disabilities contained in section 504 of the Rehabilitation Act of 1973 and its implementing regulations must be used for purposes of meeting the requirements of Fair Housing laws, including providing reasonable accommodations.
No individual shall be considered a person with disabilities for the purpose of determining eligibility solely on the basis of any drug or alcohol dependence.
(5)
After the Grants Management Center has screened PHA applications and disapproved any applications found unacceptable for further processing, the Grants Management Center will review all acceptable applications (exclusive of the Designated Housing Plan portion of the application—which is reviewed by the Special Application Center) to ensure that they are technically adequate and responsive to the requirements of this announcement of funding availability.
(1) A copy of the letter to the PHA approving or disapproving its designated housing plan.
(2) Special Application Center contact person and telephone number.
HUD Headquarters will fund on a first-come, first-serve basis all approvable applications from PHAs that are recommended for funding by the Grants Management Center and that the Special Application Center advises has an approved designated housing plan, based upon the date and time the application is received in the Grants Management Center. As PHAs are selected, the cost of funding the applications will be subtracted from the funds available. In the event approvable applications are received for more than the approximately $20 million available under this announcement, funds will be transferred from the approximately $20 million available under the announcement for non-elderly disabled families not receiving housing assistance in certain Section 8 project-based developments, or certain Section 202, Section 221(d)(3) or Section 236 developments, to the extent funds are not needed for approvable applications under that announcement. Applications will be funded for the total number of units requested by the PHA and approved by the Grants Management Center in accordance with this funding
(A)
(B)
(C)
(D)
Conversely, any PHA wishing to rely on a designated housing plan previously approved by HUD, contingent upon the PHA's future submission of an application for Section 8 certificates or vouchers as an alternative housing resource for non-elderly disabled families, will need to only submit the HUD-approval letter for the designated housing plan in lieu of the plan itself (updated needs data also unnecessary).
(E)
(1) Elimination of impediments to fair housing that were identified in the jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice;
(2) Remedy discrimination in housing for persons with disabilities regardless of race, color, religion, sex, familial status, national origin, or nature of disability; or
(3) Promote fair housing rights and fair housing choice.
(F)
(A)
(B)
(1) After the 14-calendar day technical deficiency correction period, the Grants Management Center will disapprove all PHA applications that the Grants Management Center determines are not acceptable for processing. The Grant Management Center's notification of rejection letter must state the basis for the decision.
(2) Applications from PHAs for Section 8 rental assistance that fall into any of the following categories will not be processed:
(a) Applications that do not meet the fair housing and civil rights compliance threshold requirements of Section II(B) of the
(b) The PHA has major program management findings in an Inspector General audit, HUD management review, or independent public accountant (IPA) audit for its voucher or certificate programs that are not closed or on which satisfactory progress in resolving the findings is not being made; or program compliance problems for its voucher or certificate programs on which satisfactory progress is not being made. The only exception to this category is if the PHA has been identified under the policy established in Section III(B) of this announcement and the PHA makes application with a designated contract administrator. Major program management findings are those that would cast doubt on the capacity of the PHA to effectively administer any new Section 8 voucher funding in accordance with applicable HUD regulatory and statutory requirements.
(c) The PHA has failed to achieve a lease-up rate of 90 percent for its combined certificate and voucher units under contract for its fiscal year ending in 1998. Category (c) may be passed, however, if the PHA achieved a combined certificate and voucher budget authority utilization rate of 90 percent or greater for its fiscal year ending in 1998. In the event the PHA is unable to meet either of these percentage requirements, the PHA may still pass category (c) if the PHA submits information to the Grants Management Center, as part of its application, demonstrating that the PHA was able to either increase its combined certificate and voucher lease-up rate to 90 percent or greater for its fiscal year ending in 1999, or was able to increase combined certificate and voucher budget authority utilization to 90 percent or more for its fiscal year ending in 1999. PHAs that have been determined by HUD to have passed either the 90 percent lease-up, or
(d) The PHA is involved in litigation and HUD determines that the litigation may seriously impede the ability of the PHA to administer the rental vouchers.
(e) A PHA's application that does not comply with the requirements of 24 CFR 982.102 and the requirements of this announcement after the expiration of the 14-calendar day technical deficiency correction period will be rejected from processing.
(f) The PHA's application was submitted after the application due date.
(g) The application was not submitted to the official place of receipt as indicated in the paragraph entitled “Address for Submitting Applications” at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from providing assistance under the program.
In accordance with 24 CFR 50.19(b)(11) of the HUD regulations, tenant-based rental activities assisted under this program are categorically excluded from zthe requirements of the National Environmental Policy Act of 1969 (NEPA) and are not subject to environmental review under the related laws and authorities. This announcement provides funding for these activities under 24 CFR 982, which does not contain environmental review provisions because of the categorical exclusion of these activities from environmental review. Accordingly, under 24 CFR 50.19(c)(5, issuance of this announcement of funding availability is also categorically excluded from environmental review under NEPA.
Authority for the approximately $20 million in one-year budget authority for Section 8 rental vouchers (for non-elderly disabled families in support of designated housing plans to designate public housing for occupancy by elderly families only, disabled families only, or elderly families and disabled families only) is found in the Departments of Veteran Affairs and Housing and Urban Development, and Independent Agencies Appropriations Act, FY 2000 (Pub.L. 106-74, approved October 20, 1999).