[Federal Register Volume 59, Number 65 (Tuesday, April 5, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-8064]
[[Page Unknown]]
[Federal Register: April 5, 1994]
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Part IV
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Public and Indian Housing
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Funding Availability (NOFA) for Fiscal Year 1994 for the HOPE for
Elderly Independence Multifamily Project Demonstration in HUD Region I;
and Project Guidelines; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3667; FR-3571-N-03]
Funding Availability (NOFA) for Fiscal Year 1994 for the HOPE for
Elderly Independence Multifamily Project Demonstration in HUD Region I;
and Project Guidelines
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year (FY)
1994; and Notice of Project Guidelines for the HOPE for Elderly
Independence Multifamily Project Demonstration.
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SUMMARY: This notice announces the availability of funding in the HUD
Boston Region for section 8 project-based certificate (PBC) assistance
for one multifamily housing project and a supportive services grant
under the HOPE for Elderly Independence Multifamily Project
Demonstration. The Multifamily Project Demonstration must be
administered by a public housing agency or Indian housing authority
(HA), and located in a unit of general local government of under 50,000
population. Selection of an HA to carry out this Demonstration is
limited to eligible HAs in the HUD Boston Region which includes the
States of Maine, New Hampshire, Vermont, Massachusetts, Connecticut and
Rhode Island.
This notice presents the Multifamily Project Demonstration
Guidelines and announces the availability of funding of up to
$6,172,250 in section 8 budget authority which will support project-
based certificate assistance for an estimated 75 to 150 units. In
addition, up to $1,012,500 in supportive services grant funds will be
made available by HUD to the selected HA to provide program
participants who are frail elderly persons with services appropriate to
their needs so they may continue to live independently and avoid
premature or unnecessary institutionalization. The selected HA must
match the HUD supportive services funds with at least 50 percent of the
total cost of the supportive services estimated to be necessary by the
HA and approved by HUD.
The purpose of the Multifamily Project Demonstration is to
determine the feasibility of using section 8 project-based certificate
assistance to assist frail elderly persons and near-frail elderly
persons to live independently in a single multifamily housing project
specifically designed for occupancy by frail and near-frail elderly
persons, and to have frail elderly persons reside in this housing in
sufficient proportion to achieve economies of scale in the provision of
supportive services. The Multifamily Project Demonstration is a five-
year demonstration; however, the initial term of the Housing Assistance
Payments Contract is renewable for three additional five-year terms at
the option of the HA and subject to the availability of funds.
The NOFA contains information concerning the deadline for filing
applications; eligibility of applicants; available amounts; selection
criteria; and the application and selection process.
Section 23 of the U.S. Housing Act of 1937 requires that any HA
receiving additional section 8 rental voucher or certificate program
funding must administer a family self-sufficiency (FSS) program. For
Indian Housing Authorities (IHAs), participation in the FSS program is
optional. The FSS program regulations were published in the Federal
Register on May 27, 1993 (56 FR 49592). Any rental voucher or
certificate funding reserved in FY 1993 or subsequently, including
funding made available under this NOFA, will establish or increase the
minimum size of an HA's FSS program.
This NOFA is substantially similar to the NOFA published on
September 28, 1993 (58 FR 50768), and withdrawn on November 30, 1993
(58 FR 63181). The principal differences between this NOFA published in
today's Federal Register and the September 28, 1993 NOFA, are that this
NOFA increases the availability of funding with amounts remaining from
the HOPE for Elderly Independence (Nationwide) Demonstration, and opens
up occupancy in the multifamily demonstration project to near-frail
elderly persons, as this term is defined in this NOFA. Although
eligible near-frail elderly persons are permitted to reside in the
multifamily project, supportive services grant funds are still
restricted to funding services for only the frail elderly.
This NOFA provides for a two-tiered competition based on:
(1) The proposal for supportive services and the proposal to
construct or rehabilitate the housing, and
(2) The competitive selection criteria identified in the law. This
NOFA also increases the fair market rents (FMRs) published April 24,
1991, by two percent per year to adjust for inflation and corrects the
FMRs previously published in Appendix 10 to reflect section 202 FMRs
for housing designed for elderly persons and persons with disabilities.
DATES: The due date for submission of applications in response to this
NOFA is July 5, 1994. Applications must be received in the local HUD
Field Office on the due date by 4:30 p.m. local time. The application
deadline is firm as to date and hour when applications must be
submitted to the Field Offices. In the interest of fairness to all
competing applicants, HUD will treat as ineligible for consideration
any application that is not received on or before the application
deadline. Applicants should take this practice into account and make
early submission of their materials to avoid any risk of loss of
eligibility brought about by unanticipated delays or other delivery-
related problems. Application forms may be obtained from the local HUD
Field Office.
FOR FURTHER INFORMATION CONTACT: Gerald J. Benoit, Director, Operations
Branch, Rental Assistance Division, Office of Public and Indian
Housing, Department of Housing and Urban Development, 451 Seventh
Street, SW., room 4220, Washington, DC 20410-8000, telephone number
(202) 708-0477. Hearing or speech impaired individuals may call HUD's
TDD number (202) 708-0850. (These telephone numbers are not toll-free.)
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this notice
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1980. OMB has approved the section 8
information collection requirements under the assigned control number
2577-0123; OMB has approved the supportive services information
collection requirements under the assigned control number 2577-0154.
I. Purpose and Substantive Description
(A) Authority
The HOPE for Elderly Independence Multifamily Project Demonstration
is authorized by section 803(h) of the National Affordable Housing Act
(42 U.S.C. 8012) (NAHA). Section 8 project-based certificate (PBC)
assistance is governed by section 8(d)(2)(B) of the U.S. Housing Act of
1937 (1937 Act). The Multifamily Project Demonstration differs from the
HOPE for Elderly Independence (Nationwide) Demonstration, the NOFA for
which was published on July 22, 1993 (58 FR 39372), in that the
Multifamily Project Demonstration is limited to one multifamily housing
project in one HUD Region and uses section 8 PBC assistance instead of
tenant-based section 8 rental vouchers or certificates. The Project
Guidelines governing the Multifamily Project Demonstration are
consistent with, but not identical to, the Program Guidelines for the
HOPE for Elderly Independence (Nationwide) Demonstration, published in
the Federal Register on February 4, 1991 (56 FR 4506), and amended on
May 29, 1992 (57 FR 22816).
(B) Multifamily Project Demonstration Guidelines
(1) Purpose and Scope
These guidelines implement the HOPE for Elderly Independence
Multifamily Project Demonstration. The purpose of the Multifamily
Project Demonstration is to test the effectiveness of using section 8
PBC assistance to assist frail elderly persons and near-frail elderly
persons to live independently in a multifamily housing project
specifically designed for occupancy by frail and near-frail elderly
persons, and to have frail elderly persons reside in this housing in
sufficient proportion to achieve economies of scale in the provision of
needed supportive services.
This Multifamily Project Demonstration refers to assistance that is
attached to units as ``project-based'' assistance to distinguish this
assistance from the ``tenant-based'' assistance provided by the rental
voucher program under the HOPE for Elderly Independence Nationwide
Demonstration.
With tenant-based assistance, the assisted unit is selected by the
family. The HA then enters into an assistance contract, which only
covers a single unit and the specific assisted family. If the family
moves out of a unit, the assistance contract terminates. The family may
move with continued assistance under the tenant-based rental voucher
program, and may find a new unit that meets program requirements.
With project-based assistance, the HA enters into an assistance
contract for a specific project to make housing assistance payments for
a specified term, provided the unit is occupied by an eligible family
and the unit meets program requirements. To fill vacant project-based
units, the HA refers families from its waiting list to the project
owner. Because assistance is tied to the unit, a family that moves from
the unit does not have any right to continued assistance.
Except as otherwise expressly modified or excluded by these
Guidelines, the provisions of the section 8 PBC assistance program
regulations (24 CFR part 882, subparts A, B and G apply to the project-
based assistance under this Multifamily Project Demonstration. The
following sections in subpart G do not apply to project-based
assistance under this demonstration: Sec. 882.702, Additional
Definitions; Secs. 882.703 and 882.704 pertaining to HA submission and
HUD approval of HA plans to implement a project-based program;
Sec. 882.714(b), Fair Market Rent limitation; Sec. 882.720 (a), (b)(1),
and (b)(2), HA unit selection policy; the provisions of Sec. 882.721,
Rehabilitation: Initial inspection and determination of unit
eligibility, and Sec. 882.723, New construction: HA evaluation and
technical processing, relating to the HA selection of a developer/owner
since the owner's proposal is part of the HA application being
competitively selected under this NOFA; and Sec. 882.740 (b) and (c),
Housing Assistance Payments Contract.
(2) Definitions
For the purposes of this program:
Act means section 803 of the National Affordable Housing Act (42
U.S.C. 8012).
Activities of Daily Living (ADL) mean eating, dressing, bathing,
grooming and household management activities as further described
below:
--Eating: May need assistance with cooking, preparing or serving food,
but must be able to feed self;
--Bathing: May need assistance in getting in and out of the shower or
tub, but must be able to wash self;
--Grooming: May need assistance in washing hair, but must be able to
take care of personal appearance;
--Dressing: Must be able to dress self, but may need occasional
assistance;
--Home Management Activities: May need assistance in doing housework,
grocery shopping or laundry, or getting to and from one location to
another for activities such as going to the doctor and shopping, but
must be mobile.
The mobility requirement does not exclude persons in wheelchairs or
those requiring mobility devices.
Each of the Activities of Daily Living noted above includes a
requirement that a person must be able to perform at a specified
minimal level (e.g., to satisfy the eating ADL, the person must be able
to feed him/herself). The determination of whether a person meets this
minimal level of performance must include consideration of those
services that will be performed by a person's spouse, relatives or
other attendants to be provided by the individual. For example, if a
person requires assistance with cooking, preparing or serving food plus
assistance in feeding him/herself, the individual would meet the
minimal performance level and thus satisfy the eating ADL, if a spouse,
relative or attendant provides assistance with feeding the person.
Should such assistance become unavailable at any time, the Owner is not
obligated at any time to provide individualized services beyond those
offered to the resident population in general. The Activities of Daily
Living analysis is relevant only to determine a person's eligibility
for initial occupancy in a subsidized unit and eligibility to receive
supportive services paid for under the Multifamily Project
Demonstration, and is not a determination of eligibility for continued
occupancy.
Agreement to Enter Into Housing Assistance Payments Contract
(``Agreement''). A written agreement between the Owner and the HA that,
upon satisfactory completion of the new construction or the
rehabilitation in accordance with requirements specified in the
Agreement, the HA will enter into a Housing Assistance Payments
Contract with the Owner.
Area Agency on Aging means the single agency designated by the
State Agency on Aging to administer the program described in title III
of the Older Americans Act of 1965, as amended (45 CFR Chapter 13).
Assistant Secretary means the Assistant Secretary for Public and
Indian Housing.
Case management means implementing the processes of: establishing
linkages with appropriate agencies and service providers in the general
community in order to properly tailor the needed services to the
program participant; linking program participants to providers of
services that the participant needs; developing and monitoring case
plans in coordination with a formal assessment of services needed; and
educating participants on issues including, but not limited to,
supportive service availability, application procedures and client
rights.
Elderly person means a person who is at least 62 years of age.
Fair Market Rent (FMR) means HUD's determination of the rent,
including utilities (except telephone), ranges and refrigerators,
parking, and all maintenance, management and other essential housing
services, which would be required to be paid, in order to obtain, in a
particular market area, privately developed and owned, newly
constructed or substantially rehabilitated rental housing of modest
design with suitable amenities.
Frail elderly person means a person at least 62 years of age who is
unable to perform three or more activities of daily living.
Housing Assistance Payments (HAP) Contract means a contract between
an HA and Owner for the purpose of providing housing assistance
payments to the Owner on behalf of a person or family eligible for
occupancy in the Owner's housing project.
Housing Agency (HA) means the public housing agency defined in
section 3(b)(6) of the U.S. Housing Act of 1937, including Indian
Housing Authorities as defined in section 3(b)(11) of the 1937 Act.
HUD means the Department of Housing and Urban Development.
Near-frail elderly person means a person who is at least 62 years
of age and who is unable to perform one or two activities of daily
living.
Owner means any person or entity, including a cooperative, having
the legal right to lease or sublease Existing Housing as defined in 24
CFR 882.101(b).
Professional Assessment Committee (PAC). See section (B)(10) of
these Guidelines.
Program participant means a frail elderly person or near-frail
elderly person who meets the requirements of Section (B)(8) of these
Guidelines and has been admitted to the HOPE for Elderly Independence
Multifamily Project Demonstration.
Secretary means the Secretary of the Department of Housing and
Urban Development.
Service coordinator means a social services staff person who is
hired by the HA or management company, or another third party
contractor such as a local case management agency. The service
coordinator is responsible for assuring through case management that
program participants are linked to the supportive services they need to
continue independent living.
Supportive services means assistance determined by the Secretary to
address the needs of frail elderly persons to enable them to live
independently and avoid unnecessary institutionalization, and may be
provided directly by the HA or through a service provider with the
assistance of the service coordinator. Supportive services include case
management, personal care and grooming, transportation, meals,
housekeeping, laundry, counseling, non-medical supervision, wellness
programs, preventive health screening, monitoring of medication
consistent with State law, and other requested supportive services
essential for achieving and maintaining independent living, if approved
by HUD.
Service provider means a person or organization licensed or
otherwise approved in writing by a State or local agency (e.g.,
Department of Health, Department of Human Services or Welfare) to
provide supportive services. Such person or organization may provide
the service on either a for-profit or not-for-profit basis.
State Agency on Aging means the single agency designated by the
governor to administer the program designated under Title III of the
Older Americans Act of 1965 (45 CFR part 13).
Unit of general local government means any city, town, township,
county, parish, village, or other general purpose political subdivision
of a State within the HUD Boston Region.
(3) Eligible Applicants
An eligible applicant shall consist of a unit of general local
government with a population of less than 50,000, together with an HA
that currently administers a section 8 rental certificate, rental
voucher or moderate rehabilitation program within the unit of general
local government, and the developer/owner of an eligible housing
project located in the unit of general local government, and which
applicant meets the criteria specified in the notice of funding
availability for this demonstration. The HA shall be the lead co-
applicant.
(4) Eligible Projects
(a) General. (i) An eligible project is a single multifamily
housing project with at least 101 units that will be reserved for
occupancy by elderly persons. Any single multifamily housing project
that meets the criteria set forth in this paragraph (4)(a) and that is
suitable for elderly persons to live independently constitutes an
eligible project, including, but not limited to congregate housing.
(ii) At least 75 percent of the units in the project are required
to be subsidized under PBC after construction or rehabilitation and
suitable for occupancy by frail elderly persons or near-frail elderly
persons (either efficiency or 0-bedroom units or 1-bedroom units). (If
rehabilitation is proposed, the building must be vacant or the units to
be rehabilitated and subsidized must be occupied by eligible persons.)
The maximum number of units subsidized will be determined based on the
availability of budget authority.
(b) Eligible and ineligible properties: housing types. The PBC
regulations at 24 CFR 882.709 and 882.711 apply.
(c) Exemption from 15 percent limit. Units in the selected project
shall not be subject to, and will not count when determining the 15
percent limit on project-based assistance under an HA's section 8
rental certificate program.
(5) Housing Assistance Payments Contract (Contract)
(a) Term of contract. The Contract shall have an initial term of up
to five years, which shall commence after inspection and upon
acceptance of the completed construction or rehabilitation work by the
HA, and which may not extend beyond the Multifamily Project
Demonstration Annual Contributions Contract expiration date.
(b) Renewal of contract. The Contract is renewable for three
additional five-year terms at the option of the HA and subject to the
availability of funds.
(6) Rents
(a) Initial contract rents. (i) Fair market rent limitation. The
initial gross rent (initial contract rent plus any applicable utility
allowance) approved by HUD for any contract unit under the Multifamily
Project Demonstration shall not exceed the fair market rent limitations
published in Attachment 10 of this notice.
(ii) Rent reasonableness limitation. The initial contract rent must
be reasonable in relation to rents currently being charged for units in
the private unassisted market that are comparable to the newly
constructed units or to the units after they are rehabilitated, taking
into account the location, size, structure type, quality, amenities,
facilities, and management and maintenance service of the unit.
The initial contract rent may not exceed rents charged by the Owner
for comparable unassisted units and may not exceed the rents necessary
to make the project feasible, as determined by HUD, after taking into
account assistance from other government sources. For an assisted unit
that is subject to local rent control, comparable units are rent-
controlled units. However, for an assisted unit that is not subject to
local rent control while it is assisted (regardless of whether the unit
would be subject to such control if it were not assisted), comparable
units are units that are not subject to rent-control.
If a project is financed with a HUD-insured multifamily mortgage,
then, in addition to meeting the other requirements of this paragraph
(ii), the initial contract rent for each assisted unit shall not exceed
an amount determined by HUD to be necessary to amortize the insured
mortgage.
(b) Congregate housing. If congregate housing is utilized, the fair
market rent for each congregate housing unit shall be the same as for a
0-bedroom unit, except that if the unit consists of two or more private
rooms, the fair market rent shall be the same as for a 1-bedroom unit.
To qualify as congregate housing, there must be a central kitchen and
dining facility with food service provided by persons other than unit
occupants. At least one hot meal each day must be provided in the
central facility. Each unit in congregate housing must contain a living
room, a bathroom, and a refrigerator of appropriate size, although food
preparation facilities and a kitchen area are not required in the
congregate housing unit. In determining the reasonableness of the
rents, consideration must be given to the presence or absence of common
rather than private cooking, dining, and sanitary facilities, and the
provision of special amenities or maintenance and/or management
services.
(c) Other services--exclusion from contract rent. The contract rent
may not include the cost of providing supportive services, housekeeping
or laundry services, furniture, food, or the cost of serving food.
(d) Contract rent adjustments. Contract rents shall be adjusted in
accordance with the PBC program regulation at 24 CFR 882.715.
(7) Owner's Submission
The Owner's submission to the HA for inclusion in the application
to HUD must contain all of the information required under the PBC
program regulation at 24 CFR 882.720(b)(3). In addition, the Owner's
submission must contain a statement of sources and uses of funds for
the development or rehabilitation of the project, and a certification
that the assistance, including adjustments of the contract rent, will
not be more than is necessary to make the assisted activity feasible
after taking into account assistance from other government sources.
(8) Program Participants
(a) Eligibility requirements. Participation in the Multifamily
Project Demonstration is limited to frail elderly persons and near-
frail elderly persons, as these terms are defined in section I(B)(2) of
this NOFA, who:
(i) Qualify as a very low income family (whose income generally
does not exceed 50 percent of the median income for the area); and
(ii) Are not receiving any form of Federal, State or local housing
assistance at the time of expressing an interest to the HA in
participating in the Multifamily Project Demonstration.
(b) Selection. (i) General. The HA must establish a Multifamily
Project Demonstration selection preference for frail elderly persons
and near-frail elderly persons on the HA's Section 8 waiting list. If
there are an insufficient number of eligible frail elderly persons or
near-frail elderly persons on the HA's waiting list who qualify for
selection for the Multifamily Project Demonstration, the HA must
advertise for frail elderly or near-frail elderly applicants to be
added to the waiting list. If the HA waiting list is closed, the HA may
open its list solely to frail elderly and near-frail elderly applicants
who are willing to reside in the demonstration project, and may also
limit the number of applications accepted. A frail elderly or near-
frail elderly applicant who refuses the offer of a unit assisted under
this demonstration may keep his or her place on the waiting list unless
the applicant was added to the waiting list in response to a
solicitation for applications from only frail elderly or near-frail
elderly applicants willing to reside in the demonstration project.
(ii) Supportive services application. Before selecting program
participants, the selected HA (with PAC assistance) shall develop a
supportive services application form for frail elderly persons to use
in applying for supportive services under the Multifamily Project
Demonstration. The information in the individual's supportive services
application is crucial to the PAC's determination of the need for
further physical and/or psychological evaluation of any individual who
wishes to receive the supportive services offered. The application
should include: any intake form, the ADL assessment, and any
appropriate comments from both the applicant's physician and the
service coordinator.
(iii) Institutionalization during participation in demonstration.
If a program participant is unable to reside in a dwelling unit in the
project assisted under the Multifamily Project Demonstration, due to
severe illness or accident requiring institutionalization, the HA and
the PAC, in consultation with the program participant, the
participant's family, and any involved doctors, shall determine whether
there is a reasonable expectation that the individual will be able to
return home to live in the dwelling unit. If not, the HA may terminate
the individual's eligibility for the supportive services under this
demonstration. The HA must adopt a policy for termination of supportive
services and informal hearing procedures.
(iv) Termination of rental assistance and supportive services.
Rental assistance shall be terminated only in accordance with 24 CFR
882.758. If rental assistance is terminated in accordance with Section
8 requirements, the HUD-funded portion of the supportive services
component also is terminated. The program participant shall be provided
an informal hearing in accordance with the procedures in 24 CFR part
882.
Supportive services shall be terminated if the participant:
1. Gains physical and mental health, and is able to function
without supportive services, even if only for a short time (in which
case readmission to the supportive services component--based upon
reassessment to determine degree of frailty--is acceptable).
2. Requires a higher level of care than that which can be provided
under the Multifamily Project Demonstration; or,
3. Refuses to pay rent and/or supportive services fees.
(v) Participation Agreement. Each program participant must sign a
participation agreement regarding the use of supportive services and
payment of supportive service fees, as provided in section
(B)(9)(e)(vi) of these Guidelines.
(9) Supportive Services
(a) General. The HA may provide the supportive services directly or
subcontract with service providers in the community. The HUD supportive
services grant and the required matching funds may be used only for
frail elderly program participants who occupy the project subsidized
under this Multifamily Project Demonstration. However, other supportive
services funding may be used to provide services at the project for
elderly persons living at or near the project site.
(b) Supportive services plan. (i) General. HAs applying to carry
out the Multifamily Project Demonstration must develop a plan to
provide or secure supportive services appropriate to the needs of frail
elderly program participants. This plan should be developed in
consultation with the Area Agency on Aging.
(ii) Letter from area agency on aging. The plan shall include a
letter from the Area Agency on Aging through which the agency certifies
that the costs of the supportive services proposed to be provided are
reasonable and consistent with the cost of other supportive service
programs in the jurisdiction of the HA. The letter also must describe
the degree to which the Area Agency has been involved with the planning
and proposed operations of the Multifamily Project Demonstration.
(iii) Estimate of cost of supportive services during demonstration
term. The plan must include an estimate of the total value of services
to be provided over the life of the five-year demonstration period.
(iv) Maintenance of existing supportive services. The plan shall
provide for the maintenance of supportive services already being
provided to frail elderly persons selected to participate in the
Multifamily Project Demonstration. These services will be maintained
for the time that the frail elderly person remains in the Multifamily
Project Demonstration, unless the PAC or other entity performing the
assessment determines that the services are no longer needed. These
services do not qualify as matching funds.
(c) Services minimally necessary to ensure independence. The
supportive services to be provided to frail elderly program
participants under the demonstration are those minimally necessary to
ensure that program participants retain their independence and avoid
unnecessary or premature institutionalization.
(d) Purchase of additional supportive services. Program
participants may purchase additional supportive services from the HA,
subject to the agreement of the HA, at the cost at which the HA must
obtain these services, and provided that the provision of these
additional supportive services do not put an undue burden on the
management and administration of the demonstration.
(e) Matching funds. (i) 50 percent match. HUD will provide the
selected HA with a supportive service grant that covers 40 percent of
the cost of the necessary supportive services. The frail elderly
program participant will cover 10 percent of the cost of the supportive
services (see paragraph (vi) of this paragraph (e)). The selected HA
must provide funding from other sources sufficient to cover the
remaining 50 percent of the cost of the supportive services.
(ii) Certification of committed dollar amounts for first year. The
HA must certify that funding for its portion of the cost of the
supportive services has been committed by other sources for the first
year of the demonstration with reasonable assurance that the funding
for supportive services will be available during the five-year term of
the contract. The HA will be required to provide such certification
annually thereafter for each year of the demonstration, as part of the
annual project/budget review.
(iii) Sources of funds for matching contribution. In determining
potential sources of matching funds for the necessary supportive
services, the HA may include:
1. Cash (which may include funds from Federal, State and local
governments, third party contributions, available payments authorized
under Medicaid for program participants, grants or subgrants of funds
originating from an Area Agency on Aging under the Older Americans Act
and funds from local governments originating from either Community
Development Block Grants or Community Services Block Grants).
2. The dollar value of supportive services provided by other agency
or third party, or of staff who will work to provide services to
program participants; these services must be justified in the
application to assure that they are the services necessary to keep the
frail elderly program participants independent.
3. The dollar value of in-kind items (these are limited to 10
percent of the 50 percent matching amount), such as the current market
value of donated furniture, material, supplies, equipment and food used
in the provision of supportive services. The applicant must provide an
explanation for the estimated donated value of any item listed and an
explanation of why they are necessary to keep the program participants
independent.
4. The value of volunteers to the project at a rate of $5.00 an
hour. The value of PAC volunteer time cannot be counted for any time
period estimate related to initial assessment of individuals before
they are accepted into the Multifamily Project Demonstration.
(iv) Annual documentation of matching funds. The HA shall supply
such documentation of its matching supportive services cost
contribution with each annual budget review in such form as specified
by HUD, and explain how any mismatches between the services committed
and those needed by the participants have been corrected. HUD will
review the infusion of matching funds annually, as part of the project/
budget review.
(v) Insufficient matching funds. If there are insufficient matching
funds available to meet HUD requirements at any point after start-up of
the Multifamily Project Demonstration, or at any time during the term
of the demonstration, HUD may decrease its share of the supportive
services cost in proportion to the amount by which matching funds drop
below 50 percent of total supportive services cost. This adjustment
will be done in the year subsequent to the year of the shortfall, so
that the required ratio of HUD to non-HUD funds is maintained. The
adjustment may be reconsidered and canceled by HUD at such time that
the HA provides sufficient matching funds to eliminate any shortfall.
(vi) Supportive service fee payable by program participant. The HA
must ensure that each program participant will pay at least 10 percent
of the cost of the services received, up to a limit of 20 percent of
adjusted gross income. This requirement may be waived by the HA in
cases where a program participant does not have any adjusted gross
income (income used to determine family share of rent under the rental
certificate regulations). In cases where program participants are not
required to pay a full 10 percent of the supportive service costs, 50
percent of the shortfall will be paid for from the supportive services
grant funds. The balance will be paid for by the HA from other sources.
(f) Supportive services budget. The selected HA must submit a
supportive services budget for the first year of supportive services
delivery, beginning on the date of initial occupancy of the project,
and annually thereafter, on Form SF-424A, Budget Information--Non-
Construction Programs. Except when there is an unused portion of
supportive services funds carried over from the previous year, the
selected HA may not budget more than 20 percent of the supportive
services grant amount for any year of the five-year demonstration. The
budget for the first year normally will use less than 20 percent of the
funds potentially available, due to start-up. If this occurs in the
first year or in any subsequent year, the HA may exceed the 20 percent
limit on the annual supportive services budget for the succeeding year
only by that percentage which represents the amount of unused
supportive services budgeted for the preceding year. The supportive
services budget submission is in addition to the budget documents
submitted in accordance with Section 8 rental assistance requirements.
(10) Professional Assessment Committee (PAC)
(a) Membership. As provided in paragraph (b) of this section (10),
a PAC is not required to be established by the HA. If established, the
PAC shall be composed of from three-to-seven members appointed by the
HA, at least one of which is a qualified medical professional (e.g., a
physician or registered nurse). The service coordinator must be on the
PAC. Other members also must be professionally qualified to appraise
the functional abilities of frail elderly persons or near-frail elderly
persons in relation to the performance of the normal activities of
daily living. The HA (e.g., the service coordinator) may refer to the
PAC those elderly applicants, in accordance with the HA's approved
program participation selection process, who are interested in applying
for the Multifamily Project Demonstration and have been screened for
degree of frailty or near-frailty.
(b) Alternative to formation of PAC. The selected HA may develop an
agreement with community agencies to perform frailty and near-frailty
assessments as an alternative to performing its own screening for
frailty and near-frailty and setting up its own PAC. Such an agreement
would include a letter of understanding between the HA and the
assessment center stating the roles, responsibilities and relationship
of each to each other. The letter must be signed by the executive
officer(s) of both organizations. This letter must be included in the
HA's application to HUD. Such local agencies may include, but are not
limited to: Geriatric Assessment Centers, Public Health and Veterans
Administration facilities, County Health Departments, or similar
private agencies.
(c) Assessment of frailty and near-frailty. The PAC (or a community
agency with which the HA has a written agreement to perform
assessments) will assess the degree of frailty and near-frailty of
elderly persons applying for the Multifamily Project Demonstration,
referred to the PAC (or community agency) by the HA.
(d) General operating procedures. A PAC must establish operating
procedures and establish case files for each frail elderly person and
near-frail elderly person. The PAC must operate according to the
following guidelines:
(i) Recommend to the service coordinator eligibility for entrance
to, or transition out of, if applicable, the Multifamily Project
Demonstration.
(ii) Authorize or perform a medical evaluation, if necessary. This
evaluation may be performed by a PAC medical professional, or the
applicant to the Multifamily Project Demonstration may be referred to
another agency in the community that will perform the evaluation
without charge.
(iii) Recommend, and update as necessary, a supportive services
plan for each frail elderly person.
(iv) Be furnished with and retain information in files concerning
program participants. The files should contain such information and be
maintained in such form that HUD shall require.
(v) Present written evaluations to the HA.
(vi) Allow for program participants to appeal decisions related to
entrance to, degree of participation needed, and transition out of the
Multifamily Project Demonstration.
(e) Specific operating procedures. In addition to the above
described general operating procedures, the PAC must:
(i) Perform a formal assessment of each potential program
participant's deficiencies in performing the ADLs. This assessment
shall be based upon the screening done by the service coordinator, and
shall include a review of the adequacy of the informal support network
(i.e., family and friends available to the potential participant to
assist in meeting the ADL needs of that individual).
(ii) Clarify that any program participant needs assistance in at
least one ADL.
(iii) Perform a regular reassessment and updating of the supportive
services plan of all frail elderly participants.
(iv) Replace any member of the PAC within 30 days after such member
resigns. A PAC should not perform formal assessments if its membership
drops below three, or if the qualified medical professional leaves the
PAC and has yet to be replaced by the HA.
(v) Notify the HA and program participants of any proposed
modifications to PAC procedures and provide these parties with a
process and reasonable time period on which to review and comment,
prior to adoption.
(vi) Provide assurance of nondiscrimination in the selection of
Multifamily Project Demonstration participants, with respect to race,
religion, color, sex, national origin or type of disability.
(vii) Provide complete confidentiality of information related to
any individual examined, in accordance with the Privacy Act of 1974.
(viii) In addition to the foregoing, the PAC procedures should
ensure that any frail elderly person has the option of refusing offered
services and requesting other supportive services as part of the case
planning process. In the case of refusal of services, the PAC must
determine the person's continued ability to live independently without
the recommended service, with this determination being a consideration
for the individual's entering into/remaining in the Multifamily Project
Demonstration. In situations where an individual requests additional
service(s), not initially recommended by the PAC, the PAC must make a
determination of whether this request is legitimately a needs-based
service which can be covered under the Multifamily Project
Demonstration supportive services grant.
(f) Transition from multifamily project demonstration. The HA/PAC
must develop procedures for providing for a program participant's
transition out of the Multifamily Project Demonstration to another
setting. Such a transition is based upon the degree of supportive
services needed by that individual to continue to live independently. A
program participant may be transitioned out of the Multifamily Project
Demonstration under the following circumstances.
(i) Requires a higher level of care than that which can be provided
under the Multifamily Project Demonstration; or,
(ii) Refuses to pay rent and/or supportive services fees.
(11) Service Coordinator and Case Management
(a) General. A full-time service coordinator should be able to
serve about 50-70 program participants. The service coordinator may be
hired directly by the HA or contracted through a case management agency
on a fee-for-service basis. If the service coordinator is a contracted-
out function, the service coordinator may not work for the service
provider which will provide supportive services to the HA for the
Multifamily Project Demonstration.
(b) Service coordinator contract. If the selected HA proposes to
contract out to a third-party agency for a service coordinator, the
contract must include provisions containing, at a minimum: Beginning
and end dates of the contract; number and responsibilities of staff
hired; rates of pay/costs of services to be provided; location of
office(s) and an agreement to provide HUD access to the files; other
documentation pertinent to the Multifamily Project Demonstration; and
other items necessary to conform to 24 CFR 85.36 (procurement
requirements for Federal grants). Any contract awarded under this
subsection must conform to the policies and procedures stated at 24 CFR
85.36.
(c) Qualifications of service coordinator. A service coordinator's
work and educational experiences should meet the following minimum
guidelines:
(i) A Bachelor of Social Work or degree in a related field such as
gerontology, psychology or counseling. An HA may propose justification
for hiring a person without a degree.
(ii) Two to three years of experience in social services delivery
with senior citizens or demonstrated working knowledge of supportive
services and other resources for senior citizens in the jurisdiction
where the Multifamily Project Demonstration is to be located.
(iii) Ability to advocate, problem-solve and provide results for
the elderly served.
(iv) Demonstrated writing and organizational skills.
(d) Functions of the service coordinator. The functions of the
service coordinator include the following:
(i) To provide general case management and referral services to all
applicants for the Multifamily Project Demonstration. This involves
intake screening upon referral of those income eligible frail elderly
persons and near-frail elderly persons from the HA, and preliminary
assessment of frailty and near-frailty, using a commonly accepted
assessment tool. The service coordinator then will refer to the PAC
those individuals who appear eligible for the Multifamily Project
Demonstration.
(ii) To establish linkages and professional relationships with all
agencies and service providers in the community; develops a directory
of providers for use by demonstration program staff and program
participants.
(iii) To complete, for the PAC, all paperwork necessary for the
assessment, referral, case monitoring and reassessment processes;
(iv) To implement the case plan developed by the PAC and agreed to
by the program participant.
(v) To maintain necessary case files on each program participant,
containing such information and kept in such form as HUD shall require,
and to provide files to PAC members upon request, in connection with
PAC duties.
(vi) To refer program participants to service providers in the
community, or those of the HA.
(vii) To monitor the ongoing provision of services from community
agencies and to keep the PAC and the agency providing the supportive
service informed of the progress of the individual. If needed, the
service coordinator may request reassessment of the individual by the
PAC at intervals less than that stipulated in PAC operating procedures.
(viii) To educate program participants on such issues as
application procedures, service availability, client rights.
(ix) To establish volunteer support programs with service
organizations in the community.
(x) To assist the program participant to build informal support
networks with neighbors, friends and family.
(xi) To educate other HA management staff on issues related to
``aging-in-place'' and services coordination.
(12) Compliance with Nondiscrimination, Equal Opportunity and Other
Federal Requirements
The selected HA must comply with all applicable nondiscrimination,
equal opportunity, affirmative outreach requirements, and other Federal
requirements contained in 24 CFR part 882.
II. Application Process
(A) Application Submission Deadline
Applications must be received in the HUD Field Office on July 5,
1994 by 4:30 p.m. local time. The application deadline is firm as to
date and hour. In the interest of fairness to all competing applicants,
HUD will treat as ineligible for consideration any application that is
not received on or before the application deadline. Applicants should
take this practice into account and make early submission of their
materials to avoid any risk of loss of eligibility brought about by
unanticipated delays or other delivery-related problems. HUD will not
accept applications which are sent via facsimile (FAX) transmission.
(B) Threshold Approvable Applications
Only those applications that meet the threshold criteria set forth
in section II(C) of this NOFA will be considered for rating and ranking
under section II(D). Applications that meet the threshold criteria will
be reviewed, rated and ranked by the Field Office using the selection
criteria and point assignments set forth in section II(D) of this NOFA.
All scored applications and rating sheets in each Field Office will be
sent to the Regional Public Housing Director for Region I.
In order to ensure that rating is consistent among the Field
Offices, the Office of Public Housing for Region I will review and may
re-rate these applications using the criteria in the NOFA. The highest
rated application will be selected for technical processing by the HUD
Field Office (i.e., determination of contract rents; environmental and
historic preservation reviews under 24 CFR part 50; review of previous
participation of the principals of the developer/owner; for projects
using low income housing tax credits, subsidy layering review; and for
new construction projects, intergovernmental review under 24 CFR part
52) and, if the application meets program requirements, will be
approved by the HUD Field Office. If the selected application cannot be
approved after technical processing is completed, the next highest
ranked application will be selected for technical processing until an
approvable application is selected for funding by HUD.
(C) Threshold Criteria
(1) HA Section 8 Administrative Capability
The HA's administrative capability must meet, at a minimum, the
following criteria: the Field Office rated the HA's overall
administration of its Rental Voucher, Rental Certificate, and Moderate
Rehabilitation Programs as good; any management review, fair housing
and equal opportunity monitoring review, or Inspector General audit
findings are being satisfactorily addressed; not more than 25 percent
of the units inspected by the Field Office during the last management
review failed to meet housing quality standards (HQS) and also failed
to meet HQS at the time of the previous HA inspection, or the Field
Office is aware of actions taken by the HA to improve its inspection
procedures; and the leasing rate for rental vouchers and rental
certificates under ACC for one year or more was at least 90 percent as
of September 30, 1993, unless the Field Office documents that the
September 30, 1993, report is not reflective of HA performance. In
addition, the HA must have prior experience with rehabilitation or
development of housing. If an HA is not administering a Rental Voucher,
Rental Certificate, or Moderate Rehabilitation Program, the HA is not
eligible to participate in this demonstration program.
(2) Supportive Services (100 points)
An application that meets threshold requirements will be one that
contains a supportive services plan that scores a minimum of 75 points
out of a possible 100 points in the following areas.
(i) Matching funds for five-year demonstration period. The
supportive services plan adequately addresses how the applicant or
joint applicants will obtain the matching funds needed to provide the
minimum services that frail elderly participants are expected to
require throughout the initial five year demonstration period. The
applicant's plans for obtaining needed matching funds over five years
are described
(A) Very well (20 points); or
(B) Adequately (10 points).
(ii) Written commitments for services. The supportive services plan
includes written commitments from the providers of supportive services
necessary to address the needs identified in at least three of the five
activities of daily living as defined in the Multifamily Project
Demonstration Guidelines (Section I.B.), and the service providers have
given reasonable assurances that services will be continued during the
initial five years of the demonstration. Providers of supportive
services to address at least three of the activities of daily living
have provided:
(A) Specific and firm written commitments, with reasonable
assurance of ongoing commitments over five years (25 points); or
(B) Contingent commitments, with reasonable assurance that
contingencies can be satisfied and reasonable assurance of ongoing
commitments over five years (15 points).
(iii) Involvement of area agency on aging. The letter from the Area
Agency/State Agency on Aging indicates how the agency was involved in
the development of the proposed supportive services program and case
management system and indicates that, in the ongoing operations of the
project, the agency will be
(A) Very involved (15 points);
(B) Moderately involved (10 points); or
(C) Minimally involved (5 points).
(iv) Professional assessment committee. The supportive services
plan demonstrates that the applicant has commitments from at least 3
qualified persons (one of which is a qualified medical professional) to
serve as the professional assessment committee (PAC) or a commitment
from an alternative entity agreeing to perform the functions of the
PAC. (20 points)
(v) HA's supportive services experience. The HA or its
subcontractor currently administers or has past experience--
(A) Administering an effective supportive service delivery program
for frail elderly persons or other persons in need of such services,
including minorities and women (20 points); or
(B) Delivering supportive services (10 points).
(3) Project Development (100 points)
An application that meets the threshold requirements will be one
that contains a developer's proposal that scores a minimum of 75 points
out of a possible 100 points in the following areas.
(i) Developer's experience. In developing, marketing and managing
multifamily housing for frail elderly persons, the developer has--
(A) Substantial experience (25 points);
(B) Moderate experience (10 points); or
(C) Little experience (5 points).
(ii) Developer's supportive services experience. In coordinating
services to meet the needs of frail elderly tenants, the developer
has--
(A) Substantial experience (25 points);
(B) Moderate experience (10 points)
(C) Little experience (5 points).
(iii) Development financing commitments. The Owner's submission
contains:
(A) Letters evidencing committed equity and debt financing to cover
all project development costs, and showing that the sources of
financing have completed their feasibility analysis of the project and
the developer/owner and lender(s) have agreed in writing on the loan
amount(s) and business terms (25 points); or
(B) Evidence of sufficient equity commitment and lender interest in
financing to cover all project development costs (10 points).
(iv) Site. The project site is--
(A) Accessible to social, recreational, educational, commercial,
transportation and health facilities and services suitable for frail
elderly persons to be served by the project; the site and neighborhood
are free from disturbing noises and reverberations and from hazards to
health and safety (25 points); or
(B) Accessible to only a few services suitable for frail elderly
persons; the site and neighborhood are reasonably free from disturbing
noises and from hazards to health and safety (15 points).
(D) Selection Criteria
Only applications that meet the threshold requirements in Section
II(C) will be rated and ranked on the basis of the following selection
criteria.
(1) Need for Elderly Independence Program (20 points)
(i) Description. The need for a program providing housing
assistance and supportive services for frail elderly persons and
housing for near-frail elderly persons in the area to be served, as
demonstrated by the applicant's analysis of the size and
characteristics of the population to be served, the unit of general
local government's total population of persons over 62, and the
proportion of elderly households receiving housing assistance.
(ii) Rating: 10-20 points. The applicant has documented that there
is a need in the locality for the Multifamily Project Demonstration
which is not being met through existing housing assistance programs,
and the documentation provides a thorough analysis of the size and
characteristics, including race, gender and ethnicity, of the frail
elderly and near-frail elderly population. There is a substantial
number of elderly persons in the local population.
1-9 points. The applicant has documented that there is a need in
the locality for the Multifamily Project Demonstration which is not
being met through existing housing assistance programs, but the
documentation provides only a cursory analysis of the frail elderly and
near-frail elderly population including race, gender and ethnicity.
There is a moderate number of elderly persons in the local population.
0 points. There is no demonstration of need for the Multifamily
Project Demonstration or the needs of most elderly households are being
met through existing housing assistance programs. There is a small
elderly population in the locality.
(2) Extent of Existing Housing Built Prior to 1940 in the Unit of
General Local Government's Jurisdiction (20 points)
(i) Description. The percent of the housing stock built prior to
1940.
(ii) Rating: 5-20 points. The HUD Boston Regional Office will
determine the percent of the housing stock built prior to 1940 in each
applicant unit of general local government's jurisdiction. The unit of
general local governments' percentages will be listed in order from
those with the highest percentage to those with the lowest percentage,
and divided into four equal groups. Those in the quarter of applicants
with the highest percentage of the housing stock built prior to 1940
will be awarded 20 points, and the succeeding quarters will be awarded
15 points, 10 points and 5 points, respectively.
(3) The Number of Elderly Persons Living in Adjacent Projects to Whom
the Services and Facilities Provided by the Project Would Be Available
(20 points)
(i) Description. The number of elderly persons living near (i.e.,
within an approximate one-mile radius) the proposed multifamily
demonstration project.
(ii) Rating: 10-20 points. The number of elderly persons living
near the project for whom services will be offered is substantial.
1-9 points. The number of elderly persons living near the project
for whom services will be offered is moderate.
(4) The Level of State and Local Contributions Toward the Cost of
Developing the Project and of Providing Supportive Services (20 points)
(i) Description. The extent to which the proposed development and
services financing for the project is committed, and level of State and
local (i.e., nonfederal) contributions toward the cost of developing
the project and providing supportive services.
(ii) Rating: 10-20 points. State and local public or private
contributions committed to developing the project and providing
supportive services are substantial.
1-9 points. State and local public or private contributions
committed to developing the project and providing supportive services
are limited.
0 points. There are no financing commitments.
(5) The Project's Contribution To Neighborhood Improvement (20 points)
(i) Description. The extent to which the project will contribute to
the improvement of the neighborhood.
(ii) Rating: 10-20 points. The project site is located in an area
in which major, concentrated neighborhood improvement is being
undertaken by the local government and/or neighborhood-based
organizations, and the project will contribute to neighborhood
improvement.
1-9 points. The project site is located in an area in which some
limited neighborhood improvement is being undertaken.
0 points. There is no neighborhood improvement planned or underway.
(E) Unacceptable Applications
(1) Following the 14-day period provided to applicants to cure
technical deficiencies in applications (see section IV of this NOFA),
the Field Office will disapprove applications that it determines are
not acceptable for processing. The Field Office notification of
rejection letter must state the basis for the Field Office decision.
Material to cure technical deficiencies that is received after
close of business on the fourteenth calendar day after the date of
HUD's written notice will not be accepted. If the applicant has not
cured all technical deficiencies by this deadline, the application will
be rejected as incomplete.
Each applicant is encouraged to review the initial screening
checklist provided as Attachment 1 of this NOFA. The checklist
identifies all technical requirements needed for application
processing.
(2) Applications that fall into any of the following categories
will not be processed:
(a)(i) The Department of Justice has brought a civil rights suit
against the applicant HA, and the suit is pending;
(ii) There has been an adjudication of a civil rights violation in
a civil action brought against the HA by a private individual, unless
the HA is operating in compliance with court order, or implementing a
HUD approved resident selection and assignment plan or compliance
agreement designed to correct the areas of noncompliance;
(iii) There are outstanding findings of noncompliance with civil
rights statutes, Executive Orders, or regulations as a result of formal
administrative proceedings, or the Secretary has issued a charge
against the applicant under the Fair Housing Act, unless the applicant
is operating under a conciliation or compliance agreement designed to
correct the areas of noncompliance;
(iv) HUD has deferred application processing by HUD under title VI
of the Civil Rights Act of 1964, the Attorney General's Guidelines (28
CFR 50.3) and the HUD Title VI regulations (24 CFR 1.8) and procedures
(HUD Handbook 8040.1) or under section 504 of the Rehabilitation Act of
1973 and HUD regulations (24 CFR 8.57).
(b) The HA has serious, unaddressed, outstanding Inspector General
audit findings or fair housing and equal opportunity monitoring review
findings or Field Office management review findings for one or more of
its Rental Certificate, Rental Voucher, or Moderate Rehabilitation
programs.
(c) The leasing rate for Rental Certificates and Rental Vouchers
under ACC for at least one year is less than 85 percent.
(d) The HA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the HA to administer an
additional increment of Rental Certificates and the supportive services
grant.
(e) The HA does not administer a rental voucher, rental
certificate, or moderate rehabilitation program.
(f) The HA is not in compliance with the Single Audit Act, OMB
Circular No. A-128 and HUD's regulations at 24 CFR part 44; or OMB
Circular No. A-133, as applicable.
(F) Funding Award Process
In accordance with section 102 of the Department of Housing and
Urban Development Reform Act of 1989 and HUD's regulation at 24 CFR
12.16, HUD will notify the public by notice published in the Federal
Register of the award decision made by HUD under this competition. HUD
and the recipient of the award under this NOFA also shall comply with
the accountability provisions of Section V(D) of this NOFA.
III. Application Submission Requirements
(A) General
Since only one application will be selected for the Multifamily
Project Demonstration, an applicant may apply for the full amount of
section 8 and supportive services funding made available under this
NOFA.
The application should include an explanation of how the
application meets, or will meet, application selection criteria.
Failure to submit a narrative description is not cause for application
rejection; however, a Field Office can only rate and rank an
application based on information it has on-hand.
(B) Required Application Contents
The eligible applicant under the Multifamily Project Demonstration
Guidelines consists of an HA, a unit of general local government, and a
developer/owner. While the HA must be the lead co-applicant and will
assume full responsibility for carrying out the demonstration under the
section 8 Annual Contributions Contract and Grant Agreement for
Supportive Services, the unit of general local government and
developer/owner as co-applicants must supply important application
documents.
(1) Application Documents to be Completed by HA.
The HA must complete:
(a) Form HUD-52515, Application for Existing Housing signed only by
the housing authority representative;
(b) Form SF-424, Application for Federal Assistance (for the
supportive services grant);
(c) A description of the size and characteristics (i.e., race,
ethnicity and gender) of the population of frail elderly persons and
near-frail elderly persons in the unit of general local government and
their housing and supportive services needs;
(d) The Supportive Services Plan, which includes:
(i) A description of the proposed method for determining whether a
person qualifies as a frail elderly person or a near-frail elderly
person and of selecting frail elderly persons and near-frail elderly
persons to participate, including a description of the PAC or
alternative assessment agency;
(ii) A description of the type and nature of supportive services to
be provided, their estimated costs, and justification of why the
services are necessary for independence;
(iii) The identity of service providers and their qualifications;
(iv) An estimate of service costs over the five year demonstration
period;
(v) Firm commitments for the HA's 50-55 percent share of funding
for supportive services to be provided during the first year of the
demonstration, clearly identifying funding from nonfederal sources;
(vi) Form SF 424A, Budget Information (for the supportive services
grant);
(vii) The letter from the Area Agency on Aging certifying that
supportive service costs are reasonable, and describing its involvement
in planning and operating the Multifamily Project Demonstration;
(viii) A description of case management mechanisms, including
procedures for the transition out of the Demonstration of participants
who become too frail to continue the services component; and
(ix) A plan for continuing supportive services to frail elderly
participants who continue to receive section 8 rental assistance after
the end of the five-year demonstration period.
(e) A description of the HA's or its subcontractor's past
experience in delivery of supportive services to frail elderly persons.
(f) Certification Regarding Lobbying and, if applicable, Standard
Form LLL, Disclosure of Lobbying Activities;
(g) Certification for a Drug-Free Workplace (The Drug-Free
Workplace Act of 1988 requires grantees of Federal agencies to certify
that they will provide a drug-free workplace. Thus, each HA must
certify (even though it has done so previously) that it will comply
with the drug-free workplace requirements in accordance with 24 CFR
part 24 subpart F.);
(h) Certification Regarding Compliance with the Single Audit Act
(The HA must be in compliance with OMB Circular No. A-128 and HUD's
implementing regulations at 24 CFR part 44; or OMB Circular No. A-133,
in order to be eligible for funding. The certification must state the
period covered by the last audit conducted and submitted to HUD in
accordance with these requirements, or the period covered by the audit
currently under contract. Applicants that are not currently in
compliance with the audit requirements are not eligible for funding);
and
(i) HUD-Form 2880, Applicant/Recipient Disclosure Update Report
must be completed in accordance with 24 CFR part 12, subpart C,
Accountability in the Provision of HUD Assistance.
(2) Application Documents to be Completed by Developer/Owner
The developer/owner as co-applicant must supply to the HA for
inclusion in the application, the owner's submission required by the
Multifamily Project Demonstration Guidelines (Section (B)(7)). This
includes a detailed project description; a statement of sources and
uses of funds for project development and evidence of financing;
evidence of site control; evidence of proper zoning; proposed rents for
the project and projected utility costs; identification of participants
in development, information on their qualifications and experience and
form HUD-2530, Previous Participation Certification; and a project
management plan. The owner must also certify that the assistance
including adjustments of the contract rent will not be more than is
necessary to make the assisted activity feasible after taking into
account assistance from other government sources. In addition, the
developer/owner must supply form HUD-2880, Applicant/Recipient
Disclosure/Update Report (regarding other government assistance for the
project); and Certification Regarding Lobbying and, if applicable,
Standard Form LLL, Disclosure of Lobbying Activities.
(3) Application Documents to be Completed by the Unit of General Local
Government
The chief executive officer of the unit of general local government
as co-applicant must supply to the HA for inclusion in the application
a letter of support for the proposed Multifamily Project Demonstration
project. The chief executive officer's letter must address the need for
the project in the unit of general local government's jurisdiction, and
the adequacy of public facilities and public services to serve the
housing to be assisted. (This letter satisfies the requirements of
section 213 of the Housing and Community Development Act of 1974 and
the implementing regulations at 24 CFR part 791, Subpart C.)
(4) Application Forms and Certifications
To assist applicants, the following are attached to this notice:
Checklist for Technical Requirements [Attachment 1]; Form HUD-52515,
Application for Existing Housing [Attachment 2]; Form SF-424,
Application for Federal Assistance [Attachment 3]; SF 424A, Budget
Information--Non-Construction Programs (for supportive services)
[Attachment 4]; Form HUD-2880, Applicant/Recipient Disclosure/Update
Report (for HA and Owner disclosure of other government assistance for
the project) [Attachment 5]; Certification Regarding Lobbying
[Attachment 6]; Standard Form LLL, Disclosure of Lobbying Activities
[Attachment 7]; Certification for a Drug-Free Workplace [Attachment 8];
Certification Regarding Compliance with the Single Audit Act
[Attachment 9]; and Fair Market Rents for Section 8 Projects Receiving
Loans under section 202 [Attachment 10]. (Form HUD-2530, Previous
Participation Certification, to be completed by the developer/owner
must be obtained from the HUD Field Office.)
(C) Certification Regarding Lobbying
Section 319 of the Department of the Interior and Related Agencies
Appropriations Act for Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd
Amendment'') generally prohibits recipients of Federal contracts,
grants, and loans from using appropriated funds for lobbying the
Executive or Legislative Branches of the Federal Government in
connection with a specific contract, grant, or loan. HUD's regulations
on these restrictions on lobbying are codified at 24 CFR part 87. To
comply with 24 CFR 87.110, any HA submitting an application under this
announcement for more than $100,000 of budget authority must submit a
certification and, if applicable a Disclosure of Lobbying Activities
(SF-LLL form). Indian Housing Authorities (IHAs) established by an
Indian tribe as a result of the exercise of the tribe's sovereign power
are excluded from coverage of the Byrd Amendment, but IHAs established
under State law are not excluded from the statute's coverage.
IV. Corrections To Deficient Applications
To be eligible for processing, an application must be received by
the Field Office no later than the application submission deadline date
and time specified at section II(A) of the NOFA. The Field Office will
initially screen all applications and notify HAs of technical
deficiencies by letter. Field Office notification of HAs must be
uniform.
Curable technical deficiencies relate only to items that do not
improve the substantive quality of the application relative to the
rating factors.
Applicants must submit corrections within 14 calendar days from the
date of HUD's letter notifying the applicant of any such deficiency.
Information received after close of business on the fourteenth day of
the correction period will not be accepted and the application will be
rejected on the basis of being incomplete. Applicants are encouraged to
review the initial screening checklist provided in Attachment 2 of the
notice. The checklist identifies all technical requirements needed for
application processing.
V. Other Matters
(A) Environmental Impact
A Finding of No Significant Impact with respect to the environment
was made in accordance with HUD's regulations at 24 CFR part 50, which
implement section 102(2)(C) of the National Environmental Policy Act of
1969 (42 U.S.C. 4332), at the time of development of the HOPE for
Elderly Independence NOFA that was published on September 28, 1993 (58
FR 50769). That Finding remains applicable to this NOFA, and is
available for public inspection between 7:30 a.m. and 5:30 p.m.
weekdays in the Office of the Rules Docket Clerk, Office of General
Counsel, Department of Housing and Urban Development, room 10276, 451
Seventh Street, SW., Washington, DC 20410.
(B) Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that this NOFA,
and the accompanying Project Guidelines do not have substantial, direct
effects on the States, on their political subdivisions, or on the
relationship between the Federal government and the States, or on the
distribution of power or responsibilities among the various levels of
government. Neither this NOFA nor the accompanying Guidelines would
substantially alter the established roles of HUD, the States and local
governments, including HAs.
(C) Impact on the Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this NOFA and the
accompanying Project Guidelines, may have a significant impact on the
maintenance and general well-being of some families. This NOFA provides
FY 1993 funding for, and the accompanying Guidelines provide guidance
for the operation of, the HOPE for Elderly Independence Multifamily
Project Demonstration, the purpose of which is to provide decent and
sanitary housing, and supportive services to frail elderly persons and
near-frail elderly persons in a selected multifamily housing project.
The supportive services provided by this demonstration are expected to
prevent or postpone unnecessary or premature institutionalization, and
reduce unnecessary stress and financial burden on participants'
families. Since the impact on the family is considered beneficial, no
further review is necessary.
(D) Accountability in the Provision of HUD Assistance
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) contains a number of provisions
that are designed to ensure greater accountability and integrity in the
provision of certain types of assistance administered by HUD. The
regulations implementing section 102 are codified at 24 CFR part 12. On
January 16, 1992, HUD published at 57 FR 1942, additional information
that gave the public (including applicants for, and recipients of, HUD
assistance) further information on the implementation of section 102.
The documentation, public access, and disclosure requirements of
section 102 are applicable to assistance awarded under this NOFA as
follows:
(1) Documentation and Public Access
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will
include the recipient of assistance pursuant to this NOFA in its
quarterly Federal Register notice of all recipients of HUD assistance
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these requirements.)
(2) Disclosures
HUD will make available to the public for five years all applicant
disclosure reports (HUD Form 2880) submitted in connection with this
NOFA. Update reports (also Form 2880) will be made available along with
the applicant disclosure reports, but in no case for a period less than
three years. All reports--both applicant disclosures and updates--will
be made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 15. (See
24 CFR part 12, subpart C, and the notice published in the Federal
Register on January 16, 1992 (57 FR 1942), for further information on
these disclosure requirements.)
(E) Prohibition Against Lobbying Activities: The Byrd Amendment
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative Branches
of the Federal Government in connection with a specific contract,
grant, or loan. The prohibition also covers the awarding of contracts,
grants, cooperative agreements, or loans unless the recipient has made
an acceptable certification regarding lobbying. Under 24 CFR part 87,
applicants, recipients, and subrecipients of assistance exceeding
$100,000, and applicants for Federal commitments exceeding $150,000
must certify that no Federal funds have been or will be spent on
lobbying activities in connection with the assistance. Indian Housing
Authorities (IHAs) established by an Indian tribe as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but IHAs established under State law are not
excluded from the statute's coverage.
(F) Prohibition Against Lobbying of HUD Personnel.
Section 13 of the Department of Housing and Urban Development Act
(42 U.S.C. 3537b) contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by HUD and those who
are paid to provide the influence. The second restricts the payment of
fees to those who are paid to influence the award of HUD assistance, if
the fees are tied to the number of housing units received or are based
on the amount of assistance received, or if they are contingent upon
the receipt of assistance. The regulations implementing section 13 are
codified at 24 CFR part 86. If readers are involved in any efforts to
influence HUD in these ways, they are urged to read these regulations,
particularly the examples contained in appendix A to part 86.
Any questions concerning the rule should be directed to the
Director, Office of Ethics, room 2158, Department of Housing and Urban
Development, 451 Seventh Street, SW., Washington DC 20410-3000.
Telephone: (202) 708-3815 (voice/TDD). (This is not a toll-free
number.) Forms necessary for compliance with the rule may be obtained
from the local HUD office.
(G) Prohibition Against Advance Disclosure of Funding Decisions.
Section 103 of the Reform Act proscribes the communication of
certain information by HUD employees to persons not authorized to
receive that information during the selection process for the award of
assistance that entails a competition for its distribution. HUD's
regulations implementing section 103 are codified at 24 CFR part 4. In
accordance with the requirements of section 103, HUD employees involved
in the review of applications and in the making of funding decisions
under a competitive funding process are restrained by 24 CFR part 4
from providing advance information to any person (other than an
authorized employee of HUD) concerning funding decisions, or from
otherwise giving any applicant an unfair competitive advantage. Persons
who apply for assistance in this competition should confine their
inquiries to the subject areas permitted by 24 CFR part 4. Applicants
who have questions should contact the HUD Office of Ethics (202) 708-
3815 (voice/TDD). (This is not a toll-free number.)
Dated: March 29, 1994.
Joseph Shuldiner,
Assistant Secretary for Public and Indian Housing.
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BILLING CODE 4210-33-C
Attachment 10.--Fair Market Rents For Section 8 Projects Receiving Loans Under Section 202
[Based on the Federal Register fair market rents published April 24, 1991 (56 FR 18888))
(By Market Area] Region I: Boston Regional Office
----------------------------------------------------------------------------------------------------------------
Boston No. of Worcester No. of Fall River No. of
bedrooms bedrooms bedrooms
Structure type -----------------------------------------------------------------
0 1 0 1 0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 789 957 711 818 748 777
Elevator 5+ sty............................... 795 964 747 862 755 818
----------------------------------------------------------------------------------------------------------------
Hartford Office
----------------------------------------------------------------------------------------------------------------
Hartford No. of New Haven No. of New London No. of
bedrooms bedrooms bedrooms
Structure type -----------------------------------------------------------------
0 1 0 1 0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 644 748 651 730 599 657
Elevator 5+-- sty............................. 665 814 674 805 632 725
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
New Milford No. of Windham No. of Bridgeport No. of
bedrooms bedrooms bedrooms
Structure type -----------------------------------------------------------------
0 1 0 1 0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 603 702 568 650 624 747
Elevator 5+ sty............................... 624 765 591 689 650 790
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Ridgefield No. of Norwich No. of
bedrooms bedrooms
Structure type --------------------------------------------
0 1 0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 725 842 619 718
Elevator 5+ sty............................... 748 917 639 768
----------------------------------------------------------------------------------------------------------------
Manchester Office
----------------------------------------------------------------------------------------------------------------
Maine State No. of Vermont State No. of New Hampshire St.
bedrooms bedrooms No. of bedrooms
Structure type -----------------------------------------------------------------
0 1 0 1 0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 498 668 667 761 600 723
Elevator 5+ sty............................... 554 743 740 843 667 803
----------------------------------------------------------------------------------------------------------------
Providence Office
----------------------------------------------------------------------------------------------------------------
Providence No. of
bedrooms
Structure type ----------------------
0 1
----------------------------------------------------------------------------------------------------------------
Elevator 2-4 sty.............................. 613 710
Elevator 5+ sty............................... 619 835
----------------------------------------------------------------------------------------------------------------
[FR Doc. 94-8064 Filed 4-4-94; 8:45 am]
BILLING CODE 4210-33-P