[Federal Register Volume 64, Number 91 (Wednesday, May 12, 1999)]
[Notices]
[Pages 25746-25753]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-11919]
[[Page 25745]]
_______________________________________________________________________
Part VI
Department of Housing and Urban Development
_______________________________________________________________________
Withdrawing and Reissuing FY 1999 Notice of Funding Availability for
the Public Housing Drug Elimination Program; Notice
Federal Register / Vol. 64, No. 91 / Wednesday, May 12, 1999 /
Notice
[[Page 25746]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4451-N-03]
Notice Withdrawing and Reissuing FY 1999 Notice of Funding
Availability for the Public Housing Drug Elimination Program
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice Withdrawing and Reissuing FY 1999 Notice of Funding
Availability (NOFA) for the FY 1999 Public Housing Drug Elimination
Program (PHDEP).
-----------------------------------------------------------------------
SUMMARY: The Department of Housing and Urban Development (HUD) is
withdrawing the FY 1999 NOFA for the Public Housing Drug Elimination
Program (PHDEP) published in the Federal Register of February 26, 1999
(64 FR 9745) and reissuing a NOFA that requests less information.
Elsewhere in this issue of the Federal Register is HUD's proposed rule
to implement the distribution of PHDEP funding under a non-competitive
formula. The information requested by this notice will be used by HUD
whether or not funds are distributed competitively, and will reduce the
current reporting burden on applicants. This action is intended to
prevent an interruption in the funding process while issues related to
the proposed rule are resolved.
DATES: Requested information should be submitted by June 16, 1999.
ADDRESSES: Submit an original and two copies of the information
requested to the local Field Office with delegated public housing
responsibilities: Attention: Director, Office of Public Housing, or, in
the case of the Tribes or Tribally Designated Housing Entities (TDHEs),
to the local HUD Administrator, Area Office of Native American Programs
(AONAP), as appropriate. For a listing of Field Offices, please see the
application kit, or the Appendix published in the February 26, 1999
SuperNOFA at 64 FR 9767.
FOR FURTHER INFORMATION CONTACT: Bertha M. Jones, Program Analyst,
Community Safety and Conservation Division, Office of Public and Indian
Housing, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410, telephone (202) 708-1197 x.4237; or
Tracy C. Outlaw, National Office of Native American Programs,
Department of Housing and Urban Development, 1999 Broadway, Suite 3390,
Denver, CO 80202, telephone (303) 675-1600 (these are not toll-free
numbers). Hearing or speech-impaired individuals may access this number
via TTY by calling the toll-free Federal Information Relay Service at
1-800-877-8339.
SUPPLEMENTARY INFORMATION:
Background
Section 586 of the Quality Housing and Work Responsibility Act of
1998 (Pub.L. 105-276, 112 Stat. 2461, approved October 21, 1998)
(Public Housing Reform Act) made important changes to PHDEP, including
authorizing the Secretary to make renewable grants. An Advance Notice
of Proposed Rulemaking published in the Federal Register of February
18, 1999 (64 FR 8210) announced HUD's intention to develop, through
proposed rulemaking, a formula allocation funding for PHDEP. Elsewhere
in this issue of the Federal Register HUD has published a proposed rule
on PHDEP formula allocation.
Depending on the outcome of the proposed rulemaking on a formula
allocation of PHDEP funds, HUD may award FY 1999 funds by a
noncompetitive formula. However, at this time, in order to reduce the
reporting burden required of applicants, expedite processing of FY 1999
funding awards and avoid an interruption in the funding process, HUD is
withdrawing the FY 1999 Notice of Funding Availability (NOFA) for the
FY 1999 Public Housing Drug Elimination Program (PHDEP). Instead, HUD
is requesting the information described below to be submitted by June
16, 1999. The information solicited under this Notice will not be a
part of the rulemaking record.
Withdrawal of FY 1999 Notice of Funding Availability (NOFA) for the HUD
Public and Indian Housing Drug Elimination Program
Accordingly, the FY 1999 Public and Indian Housing Drug Elimination
Program NOFA, published in the Federal Register of February 26, 1999
(64 FR 9745), is hereby withdrawn.
Reissuance of FY 1999 Notice of Funding Availability (NOFA) for the HUD
Public and Indian Housing Drug Elimination Program
Accordingly, the FY 1999 Public and Indian Housing Drug Elimination
Program NOFA is hereby reissued as follows:
I. Program Overview
Purpose of the Program. To provide grants to eliminate drugs and
drug-related crime in public housing and Indian communities.
Available Funds. Approximately $242,750,000 is available during FY
99 for PHDEP grants.
Eligible Applicants. Public Housing Authorities (PHAs), Tribes, or
Tribally Designated Housing Entities (TDHEs) on behalf of the Tribe.
Application Deadline. June 16, 1999.
Match. None
II. Application Due Date, Application Kits, Address for Submitting
Applications, Further Information and Technical Assistance
Application Due Date. Applications (an original and two copies) are
due on or before 6:00 pm local time on June 16, 1999 at the address
shown below.
For Application Kits. To receive a copy of the Public Housing Drug
Elimination Program (PHDEP) application kit please call the SuperNOFA
Information Center at 1-800-HUD-8929. Persons with hearing or speech
impairments may call the Center's TTY number at 1-800-483-2209. When
requesting an application kit, please refer to the Public Housing Drug
Elimination Program (PHDEP). Please provide your name, address
(including zip code, and telephone number (including area code).
Although this Notice is the governing document for FY 1999 PHDEP
funding, the information in the application kit is helpful to the
extent the application kit is consistent with this Notice, and the
blank forms contained in Section I of the application kit, beginning on
page I-19, should still be used.
Address For Submitting Applications. Submit an original and two
identical copies of the application by the application due date at the
local Field Office with delegated public housing responsibilities:
Attention: Director, Office of Public Housing, or, in the case of the
Tribes or TDHEs, to the local HUD Administrator, Area Office of Native
American Programs (AONAP), as appropriate. For a listing of Field
Offices, please see the application kit, or the Appendix published in
the February 26, 1999 SuperNOFA at 64 FR 9767.
For Further Information and Technical Assistance. Please call the
local HUD Field Office HUB with delegated housing responsibilities for
your housing agency, the Area Office of Native American Programs
(AONAPs) with jurisdiction over your Tribe or Tribally Designated
Housing Entity (TDHE), HUD's Drug Information and Strategy
Clearinghouse (DISC) at 1-800-952-2232; or Bertha M. Jones, Program
Analyst, in the Community Safety and Conservation Division, Office of
Public and Indian Housing, Department of Housing and Urban Development,
451
[[Page 25747]]
Seventh Street, SW, Room 4206, Washington, DC 20410, telephone (202)
708-1197, extension 4237; or Tracy C. Outlaw, National Office of Native
American Programs, Department of Housing and Urban Development, 1999
Broadway, Suite 3390, Denver, CO 80202, telephone (303) 675-1600. (With
the exception of the ``1-800'' telephone number, these are not toll-
free numbers.)
III. Submission Requirements
In order to expedite its process for awarding FY 1999 funding, HUD
is requesting that applicants submit the following information. The
blank forms contained in Section I of the application kit, beginning on
page I-19, should still be used. Applicants who do not submit the
information in response to this notice will not be disadvantaged in the
funding process for FY 1999. HUD will publish another notice this
Fiscal Year with additional information on the funding process.
(A) The locations and unit counts of the developments that are
targeted for FY 1999 PHDEP assistance.
(B) A plan for addressing the problem of drug-related crime and the
problems associated with drug-related crime in the developments
targeted for funding, that describes each of the activities to be
implemented at each of the targeted developments and the particular
problem that each activity is intended to address (see sections IV.(D)
and (E) of this Notice, below, for a description of eligible and
ineligible activities). The applicant should describe how each activity
fits in with the goals and objectives that the applicant could achieve
over a five-year period. The applicant should also set goals for each
year for each activity. There should also be a description of the
quantitative and/or qualitative measures that the applicant will use to
assess its progress toward achieving its goals for each activity. Where
quantitative measures will be used, the applicant must provide baseline
data that describes current conditions and that will be compared to
conditions over the grant term as a measure of the applicant's
performance. Where only qualitative measures are used, the applicant
must describe why no quantitative data could be applied to the activity
in question. See also specific plan requirements in section IV of this
Notice, below, regarding Housing Authority Police Departments.
(C) A budget for each fiscal year of the grant period (may not
exceed 24 months) which estimates amounts to be expended for the
activities set forth in their submission. The budget shall assume
funding of the greater of $25,000, the minimum award amount, or $220
per unit for the applicant's total unit count computed in accordance
with section IV.(H) of this Notice, below, with a maximum award amount
of $35 million.
(D) A timetable that shows the start and end date for each activity
with intermediate achievement milestones for each activity.
(E) A description of the role of each partner, if any, who will be
working with the applicant during the grant period to implement the
activities identified in the submission, including a description of
subgrantees, if applicable. The description must include the names of
subgrantees, as well as the relative roles and contributions of each
subgrantee in implementing the PHDEP grant activities.
(F) A summary of the proposed program activities in five (5)
sentences or less.
IV. Program Requirements
(A) General Requirements. Sections II and VII of the General
Section of the SuperNOFA published on February 26, 1999 (64 FR 9618),
continue to apply to this Notice.
(B) Program Description. Funds are available for Public Housing
Authorities (PHAs), Tribes or Tribally Designated Housing Entities
(TDHEs) to develop and finance drug and drug-related crime elimination
efforts in their developments. You may use funds for enhancing security
within your developments, making physical improvements to enhance
security; and/or developing and implementing prevention, intervention
and treatment programs to stop drug use in public and Indian housing
communities.
In FY 1999, HUD is requiring all applicants to establish measurable
baseline information and realistic goals for drug-related crime in
Public Housing and for all major PHDEP activities being proposed. In
addition, HUD is developing a formula based system for use in awarding
PHDEP grants.
(C) Eligible Applicants. Eligible applicants include PHAs, Tribes
or TDHEs. (A Tribe can apply either in its own name or through its
TDHE. A TDHE cannot apply on behalf of a Tribe that is applying on its
own behalf.) Resident Management Corporations (RMCs); and incorporated
Resident Councils (RCs) are eligible for funding from PHAs as sub-
grantees. RMCs and ROs that were operating pursuant to 24 CFR part 950
are eligible for funding from Tribes or TDHEs as subgrantees to develop
security and substance abuse prevention programs. Eligible applicants
with substantial drug-related crime in and around their premises are
strongly encouraged to apply.
(D) Eligible/Ineligible Activities. Under statute, PHDEP grants may
be used for seven types of activities including: Physical improvement
specifically designed to enhance security; Programs designed to reduce
use of drugs in and around public or Indian housing developments
including drug-abuse prevention, intervention, referral, and treatment;
Funding for non-profit public housing resident management corporations
(RMCs), Resident Councils (RCs), and Resident Organizations (ROs) to
develop security and drug abuse prevention programs involving site
residents; Employment of security personnel; Employment of personnel to
investigate and provide evidence in administrative or judicial
proceeding; Reimbursement of local law enforcement agencies for
additional security and protective services; and Training,
communications equipment, and related equipment for use by voluntary
tenant patrols. Applicants may choose eligible activities that best fit
their communities' needs.
Following is a discussion by activity type of: what is fundable;
what is not fundable; and specific requirements.
(1) Physical Improvements to Enhance Security. (a) Physical
improvements specifically designed to enhance security may include:
installing barriers, speed bumps, lighting systems, fences,
surveillance equipment (e.g., Closed Circuit Television (CCTV),
computers and software, fax machines, cameras, monitors, and supporting
equipment), bolts, locks, and landscaping or reconfiguring common areas
to discourage drug-related crime.
(i) All physical improvements must be accessible to persons with
disabilities. For example, locks or buzzer systems that are not
accessible to persons with restricted or impaired strength, mobility,
or hearing may not be funded by PHDEP. Defensible space improvements
must comply with civil rights requirements and cannot exclude or
segregate people because of their race, color, or national origin from
benefits, services, or other terms or conditions of housing. All
physical improvements must meet the accessibility requirements of 24
CFR part 8.
(ii) Funding is permitted for the purchase or lease of house
trailers of any type that are not designated as a building if they are
used for eligible community policing, educational, employment, and
youth activities. A justification of purchase versus lease
[[Page 25748]]
must be supported by a cost-benefit analysis prior to purchase or
lease.
(b) Ineligible Improvements. The following are ineligible for
funding:
(i) Physical improvements that involve demolishing any units in a
development;
(ii) Physical improvements that would displace persons;
(iii) Acquiring real property.
(2) Programs to Reduce Drug Use (Prevention, Intervention,
Treatment, Structured Aftercare and Support Systems). (a) General
Requirements and Strategies. Any substance abuse prevention,
intervention, treatment, and aftercare program should use a ``continuum
of care'' approach. A ``continuum of care'' approach includes not just
treating the addiction or dependency but providing aftercare,
mentoring, and support services such as day care, family counseling,
education, training, employment development opportunities, and other
activities.
You should develop a substance abuse/sobriety (remission)/treatment
(dependency) strategy to adequately plan your substance abuse
prevention, intervention, treatment, and structured aftercare efforts.
In many cases, you may want to include education, training, and
employment opportunities for residents; and support Welfare to Work
initiatives. When undertaking these activities, you should be
leveraging your PHDEP resources with other Federal, State, local and
Tribal resources. For example, your program may include providing space
and other infrastructure for these efforts with several public agencies
providing staff and other resources at limited or no cost. Your
strategy must incorporate existing community resources and you must
document how they will be used in your program. The strategy should
also document how community resources will be provided on-site, or how
participants will be referred and transported to treatment programs
that are not on-site.
A community-based approach also requires you to develop a
culturally appropriate strategy. Curricula, activities, and staff
should address the cultural issues of the local community, which
requires your application to indicate your familiarity and facility
with the language and cultural norms of the community. As applicable,
your strategy should address cultural competencies associated with
Hispanic, African-American, Asian, Native American or other racial or
ethnic communities.
Your activities should focus resources directly to housing
authority residents and families.
For all activities involving education, training and employment,
you should document efforts to coordinate with Federal, Tribal, State
and local employment training and development services, ``welfare to
work'' efforts, or other new ``welfare reform'' efforts.
The current Diagnostic and Statistical Manual (DSM) of Mental
Disorders of the American Psychiatric Association dated May 1994,
contains information on substance abuse, dependency and structured
aftercare. For more information about this reference, contact: APPI,
1400 K. Street, NW, Suite 1100, Washington, DC 20005 on 1(800) 368-5777
or World Wide Web site at
http://www.appi.org.
Eligible activities may include:
(i) Substance abuse prevention, intervention, and referral
programs;
(ii) Programs of local social, faith-based and/or other
organizations that provide treatment services (contractual or
otherwise) for dependency/remission; and
(iii) Structured aftercare/support system programs.
(b) Activities must be ``in and around''. PHDEP funding is
permitted for programs that reduce/eliminate drug-related crime ``in
and around'' the premises of the housing authority/development(s). HUD
has defined the term ``in and around'' to mean within, or adjacent to,
the physical boundaries of a public or Indian housing development. This
ensures that program funds and activities are targeted to benefit, as
directly as possible, public and Indian housing developments and their
residents.
(c) Eligible cost. (i) Funding is permitted for reasonable,
necessary, and justified purchasing or leasing (whichever is documented
as the most cost effective) of vehicles for transporting adult and
youth residents for education, job training, and off-site treatment
programs directly related to reducing drugs and drug-related crime. The
cost reasonableness can be determined by a comparison of the number of
participants in and anticipated costs of these programs compared to the
purchase or lease cost of the vehicles. If these costs are included in
your program, your plan must include a description of why the expenses
are necessary. The primary use of such vehicles must correspond with
their intended purposes under your grant.
(ii) Funding is permitted for reasonable, necessary and justified
program costs, such as meals and beverages incurred only for training,
education and employment activities, and youth services directly
related to reducing drugs and drug-related crime. Refer to Office of
Management and Budget (OMB) Circular A-87, Cost Principles for State,
Local and Indian Tribal Governments.
(d) Prevention. Prevention programs should provide directly, or
otherwise make available, services designed to distribute substance/
drug education information, to foster effective parenting skills, and
to provide referrals for treatment and other available support services
in the housing development or the community for housing authority
families.
Prevention programs should provide an effective prevention approach
for residents that address the individual resident and his or her
relationship to family, peers, and the community. Your prevention
programs activities should identify and change the causal factors
present in housing authorities that lead to drug-related crime thereby
lowering the risk of drug usage. Components of an effective approach
may include, but are not limited to, wellness and educational training;
substance abuse sobriety, refusal and restraint skills training
programs; or drug, substance abuse/dependency and family counseling.
These may already be available in the community of your housing
developments and should be included to the maximum extent possible in
your proposed program of activities.
The following eligible activities under a prevention program are
discussed in more detail below: educational opportunities; family and
other support services; youth services; and economic and educational
opportunities for resident adult and youth activities.
(i) Educational Opportunities. The causes and effects of illegal
drug/substance abuse must be taught in a culturally appropriate and
structured setting. You may contract (in accordance with 24 CFR 85.36)
to provide such knowledge and skills through training programs. The
professionals contracted to provide these services are required to base
their services on your needs assessment and program plan. These
educational opportunities may be a part of resident meetings, youth
activities, or other gatherings of public and Indian housing residents.
(ii) Family and Other Support Services. ``Supportive services'' are
services that allow housing authority families to have access to
prevention, educational and employment opportunities. Supportive
services may include: child care; employment training; computer skills
training; remedial education; substance abuse
[[Page 25749]]
counseling; help in getting a high school equivalency certificate; and
other services to reduce drug-related crime.
(iii) Youth Services. ``Educating and enabling America's youth to
reject illegal drugs'' is Goal #1 of the Office of National Drug
Control Policy (ONDCP) top five goals in the Nation's Drug Control
Strategy. Activities that target youth further this goal. Youth drug
and crime prevention programs must include, but are not limited to,
groups composed of young people ages 16 through 18. Your youth drug and
crime prevention activities should be coordinated by adults but have
housing authority youth actively involved in organizing youth
leadership, sports, recreational, cultural and other activities.
Eligible youth services may include: youth sports; youth leadership
skills training; cultural and recreational activities. These youth
services provide an alternative to drugs and drug-related criminal
activity for public housing and Native American youth. Youth leadership
skills training may include training in leadership, peer pressure
reversal, resistance or refusal skills, life skills, goal planning,
parenting skills, and other relevant topics. Youth leadership training
should be designed to place youth in leadership roles including:
mentors to younger program participants, assistant coaches, managers,
and team captains. Cultural and recreational activities may include
ethnic heritage classes, art, dance, drama and music appreciation.
The following are eligible youth services activities:
(1) Salaries and expenses for staff for youth sports programs and
cultural activities and leadership training;
(2) Sports and recreation equipment to be used by participants;
(3) Non-profit subgrantees that provide scheduled organized sports
competitions, cultural, educational, recreational or other activities,
including: Boys and Girls Clubs, YMCAs, YWCAs, the Inner City Games,
Association of Midnight Basketball Leagues.
(4) Liability insurance costs for youth sports activities.
(iv) Economic and Educational Opportunities for Resident Adult and
Youth. Any economic and educational activities should provide residents
opportunities for interaction with, or referral to, established higher
education, vocational institutions and/or private sector businesses in
the immediate surrounding communities with the goal of developing or
building on the residents' skills to pursue educational, vocational and
economic goals and become self-sufficient.
Any economic and educational opportunities for residents and youth
activities should be consistent with ``welfare to work'' and related
Federal, Tribal, State and local government efforts for employment
training, education and employment opportunities related to ``welfare
to work'' goals. Establishing or referring adults and youth to computer
learning centers, employment service centers (coordinated with Federal,
Tribal, State and local employment offices), and micro-business centers
are eligible.
Limited educational scholarships are permitted under this section.
No one individual award may exceed $500.00, and there is a total
maximum scholarship program cap of $10,000. Educational scholarship FY
1999 PHDEP funds must be obligated and expended during the term of your
grant. You should develop and document a scholarship strategy; the
financial and management controls that will be used; and projected
outcomes.
(e) Intervention. The aim of intervention is to identify or detect
residents with substance abuse issues, assist them in modifying their
behavior, and in getting early treatment, and structured aftercare.
(f) Substance Abuse/Dependency Treatment. (i) Treatment funded
under this program should be ``in and around'' the premises of the
housing authority/development(s) you proposed for funding. In
undertaking substance abuse/dependency treatment programs, you must
establish a confidentiality policy regarding medical and disability
related information.
(ii) Funds awarded for substance abuse/dependency treatment must be
targeted towards developing and implementing, or expanding and
improving sobriety maintenance, substance-free maintenance support
groups, substance abuse counseling, referral treatment services, and
short or long range structured aftercare for residents.
(iii) Any drug program should address the following goals for
residents:
(1) Increasing accessibility of treatment services;
(2) Decreasing drug-related crime ``in and around'' your housing
authority/development(s) by reducing and/or eliminating drug use.; and
(3) Providing services designed for youth and/or adult drug abusers
and recovering addicts (e.g., prenatal and postpartum care, specialized
family and parental counseling, parenting classes, domestic or youth
violence counseling).
(iv) Approaches that have proven effective with similar populations
have included, but are not limited to, the following:
(1) Formal referral arrangements to other treatment programs in
cases where the resident is able to obtain treatment costs from sources
other than this program.
(2) Family/youth counseling.
(3) Linkages to educational and vocational training and employment
counseling.
(4) Coordination of services from and to appropriate local
substance abuse/treatment agencies, HIV-related service agencies,
mental health and public health programs.
(v) As applicable, you must develop a working partnership with the
Single State Agency or local, Tribal or State license provider or
authority with substance abuse program(s) coordination responsibilities
to coordinate, develop and implement your substance dependency
treatment program.
(vi) You must use counselors (contractual or otherwise) that meet
any applicable Federal, State, Tribal, and local government licensing,
bonding, training, certification and continuing training re-
certification requirements.
(vii) You must get certification from the Single State Agency or
authority with substance abuse and dependency programs coordination
responsibilities that your proposed program is consistent with the
State plan; and that the service(s) meets all Federal, State, Tribal
and local government medical licensing, training, bonding, and
certification requirements.
(viii) Funding is permitted for drug treatment of housing authority
residents at local in-patient medical treatment programs and
facilities. PHDEP funding for structured in-patient drug treatment
under PHDEP funds is limited to 60 days, and structured drug out-
patient treatment, which includes individual/family aftercare, is
limited to 6 months. If you are undertaking drug treatment programs,
your program should provide, directly or indirectly, employment
training, education and employment opportunities related to ``welfare
to work.''
(ix) Funding is permitted for detoxification procedures designed to
reduce or eliminate the short-term presence of toxic substances in the
body tissues of a patient.
(x) Funding is not permitted for maintenance drug programs.
Maintenance drugs are medications that are prescribed regularly for a
short/long period of supportive therapy (e.g. methadone maintenance),
rather than for immediate control of a disorder.
[[Page 25750]]
(3) Resident Management Corporations (RMCs), Resident Councils
(RCs), and Resident Organizations (ROs). RMCs, and incorporated RCs and
ROs, may be a subcontractor to their housing authorities, or Tribe/
TDHE, to develop security and substance abuse prevention programs for
residents. Such programs may include voluntary tenant patrol
activities, substance abuse education, intervention, and referral
programs, youth programs, and outreach efforts. The elimination of
drug-related crime within housing authorities/developments must have
the active involvement and commitment of public and Indian housing
residents and their organizations. Active involvement requires that
residents be involved in the planning process and implementation.
To enhance the ability of housing authorities, and Tribes/TDHEs, to
combat drug-related crime within their developments, Resident Councils
(RCs), Resident Management Corporations (RMCs), and Resident
Organizations (ROs) may undertake program management functions,
notwithstanding the otherwise applicable requirements of 24 CFR part
964. Sub-contracts with the RMC/RC/RO must include the amount of
funding, applicable terms, conditions, financial controls, payment
mechanism schedule, performance and financial report requirements,
special conditions, including sanctions for violating the agreement,
and monitoring requirements. Costs must not be incurred until a written
contract is executed.
(4) Employment of HA Security Personnel. You may employ HA security
personnel. Employment of security personnel is divided into two
categories: security personnel services, and housing authority police
departments. You are encouraged to involve police officials residing in
public housing to partake in PHDEP security-related programs. The
following specific requirements apply to all employment of security
personnel activities funded under PHDEP:
(a) Compliance. Security guard personnel and public housing
authority police departments must be in compliance with, all relevant
Federal, State, Tribal or local government insurance, licensing,
certification, training, bonding, or other law enforcement
requirements.
(b) Law Enforcement Service Agreement. You must enter into a law
enforcement service agreement with the local law enforcement agency and
if applicable, the contract provider of security. Your service
agreement must include:
(i) The activities security guard personnel or the public housing
authority police department (HAPD) will perform; the scope of
authority; written policies, procedures, and practices that will govern
security personnel or HAPD performance (i.e., a policy manual and how
security guard personnel or the HAPD shall coordinate activities with
your local law enforcement agency);
(ii) The types of activities that your approved security guard
personnel or the HAPD are expressly prohibited from undertaking.
(c) Policy Manual. Security guard personnel services and PHPDs must
be guided by a policy manual that directs the activities of its
personnel and contains the policies, procedures, and general orders
that regulate conduct and describes in detail how jobs are to be
performed. The policy manual must exist before incurring personnel
costs for security services. To comply with State police department
standards and/or Commission on Accreditation Law Enforcement Agencies
(CALEA), you must also ensure all security guard personnel and housing
authority police officers are trained in the following areas. These
areas must also be covered in your policy manual:
(i) Use of force;
(ii) Resident contacts;
(iii) Enforcement of HA rules;
(iv) Response criteria to calls;
(v) Pursuits;
(vi) Arrest procedures;
(vii) Reporting of crimes and workload;
(viii) Feedback procedures to victims;
(ix) Citizens' complaint procedures;
(x) Internal affairs investigations;
(xi) Towing of vehicles;
(xii) Authorized weapons and other equipment;
(xiii) Radio procedures internally and with local police;
(xiv) Training requirements;
(xv) Patrol procedures;
(xvi) Scheduling of meetings with residents;
(xvii) Reports to be completed;
(xviii) Record keeping and position descriptions on all personnel;
(xix) Post assignments;
(xx) Monitoring;
(xxi) Self-evaluation program requirements; and
(xxii) First aid training.
(d) Data Management. A daily activity and incident complaint form
approved by the housing authority must be used by security personnel
and officers for the collection and analysis of criminal incidents and
responses to service calls. Security guard personnel and HAPDs must
establish and maintain a system of records management for the daily
activity and incident complaint forms that appropriately ensures the
confidentially of personal criminal information.
(e) Management Informational Systems (MIS) (computers, software,
and associated equipment) and management personnel. Costs in support of
these activities are eligible for funding.
(5) Security Personnel Services. Contracting for, or direct housing
authority employment of, security personnel services in and around
housing development(s) is permitted under this program. However,
contracts for security personnel services must be awarded on a
competitive basis.
(a) Eligible Services--Over and Above. Security guard personnel
funded by this program must perform services that are over and above
those usually performed by local municipal law enforcement agencies on
a routine basis. Eligible services may include patrolling inside
buildings, providing personnel services at building entrances to check
for proper identification, or patrolling and checking car parking lots
for appropriate parking decals.
(b) Employment of Residents. HUD encourages you to employ qualified
resident(s) as security guard personnel, and/or to contract with
security guard personnel firms that demonstrate a program to employ
qualified residents as security guard personnel. Since your program of
eliminating drug-related crime should promote ``welfare to work'' an
excellent way to implement this is to employ residents.
(6) Employment of Personnel and Equipment for HUD Authorized
Housing Authority Police Departments. Funding equipment and employment
of housing authority police department (HAPD) personnel is permitted
for housing authorities that already have HAPDs. The following 12
housing authorities are approved by HUD as being eligible under the FY
1999 PHDEP for these activities:
Baltimore Housing Authority and Community Development, Baltimore, MD
Boston Housing Authority, Boston, MA
Buffalo Housing Authority, Buffalo, NY
Chicago Housing Authority, Chicago, IL
Cuyahoga Metropolitan Housing Authority, Cleveland, OH
Housing Authority of the City of Los Angeles, Los Angeles, CA
Housing Authority of the City of Oakland, Oakland, CA
Philadelphia Housing Authority, Philadelphia, PA
Housing Authority of the City of Pittsburgh, Pittsburgh, PA
[[Page 25751]]
Waterbury Housing Authority, Waterbury, CT
Virgin Islands Housing Authority, Virgin Islands
District of Columbia Housing Authority, Washington, DC
(a) Notice PIH 98-16, issued March 11, 1998, reinstated PIH 95-58
(PHA) ``Guidelines for Creating, Implementing and Managing Public
Housing Authority Police Departments in Public Housing Authorities).''
This Notice identifies prerequisites for creating HAPDs and provides
guidance to assist housing authorities in making decisions about public
housing security, analysis of security needs, and performance measures
and outcomes.
(b) Housing authorities with their own HAPDs, but that are not
included in the list above, shall request (in writing) to be recognized
by HUD as a HAPD. The written request must be sent to the Office of the
Deputy Assistant Secretary for Public and Assisted Housing Delivery,
Public and Indian Housing, Department of Housing and Urban Development,
Room 4204, 451 Seventh Street, SW, Washington, DC 20410. This request
must be approved by HUD before you submit your FY 1999 PHDEP
application.
(c)(i) HAPDs funded under this program that are not nationally or
state accredited must submit a plan and timetable for such
accreditation. Housing authorities may use either their State
accreditation program, if one exists, or the Commission on
Accreditation for Law Enforcement Agencies (CALEA) for this purpose.
Use of grant funds for HAPD accreditation activities is permitted.
(ii) Housing authorities receiving grants for funding HAPDs are
required to hire an HAPD accreditation specialist to manage the
accreditation program. If you have a public housing police department
funded under the FY 1996, 1997, or 1998 PHDEP you must include in your
plan what progress you made in implementing your accreditation program
and the projected date of accreditation. HUD will monitor results of
your plan and timetable. HAPDs not meeting their timetables will be
ineligible for funding in FY 2000.
(d) If you are allocating funds for this activity, you must
describe the current level of local law enforcement agency baseline
services being provided to the housing authority/development(s)
proposed for assistance. Local law enforcement baseline services are
defined as ordinary and routine services provided to the residents as
part of the overall city and/or county-wide deployment of police
resources to respond to crime and other public safety incidents
including: 911 communications, processing calls for service, routine
patrol officer responses to calls for service, and investigative
follow-up of criminal activity.
(e) If you are allocating funds for housing authority public
housing authority police department officers, you must have car-to-car
(or other vehicles) and portable-to-portable radio communications links
between public housing authority police officers and local law
enforcement officers to assure a coordinated and safe response to
crimes or calls for services. The use of scanners (radio monitors) is
not sufficient to meet the requirements of this section. If you do not
have such links you must include in your plan a timetable for the
implementation of such communications links. This activity is eligible
for funding. If you were a housing authority funded under the FY 1994,
1995, 1996, 1997, and/or 1998 PHDEP for public housing police
departments, you must include in your plan what progress has been made
in implementing its planned communications links.
(f) HAPDs funded under this program that are not employing a
community policing concept must incorporate a community policing
concept in the implementation of their policing activities. Community
policing under PHDEP is defined as a method of providing law
enforcement services partnership among residents, police, schools,
churches, government services, the private sector, and other local,
State, Tribal, and Federal law enforcement agencies to prevent crime
and improve the quality of life by addressing the conditions and
problems that lead to crime and fear of crime. Community policing uses
proactive measures including foot patrols, bicycle patrols, and motor
scooters patrols. It also includes KOBAN activities where police
officers operate out of police mini-stations, and other community-based
facilities in housing authorities providing human resource activities
with youth), and citizen contacts. This concept empowers police
officers at the beat and zone level and residents in neighborhoods to:
(i) Reduce crime and fear of crime;
(ii) Ensure the maintenance of order;
(iii) Provide referrals of residents, victims, and homeless persons
to social services and government agencies;
(iv) Ensure feedback of police actions to victims of crime; and (v)
Promote a law enforcement value system based on the needs and rights of
residents.
For additional information regarding KOBAN community policing
contact Cedric Brown, (202) 708-1197, extension 4057.
(g) Authorized PHPDs can purchase or lease law enforcement clothing
or equipment. Eligible law enforcement clothing or equipment may
include uniforms and protective vests; firearms/weapons and ammunition;
police vehicles including cars, vans, buses; or other equipment
supporting PHPDs crime prevention and security mission. If you have not
been identified by HUD as having an authorized PHPD, you are not
permitted to use PHDEP funds to purchase any clothing or equipment for
use by local municipal police departments and/or other law enforcement
agencies.
(7) Reimbursement of Local Law Enforcement Agencies for Additional
(Supplemental--Over and Above Local Law Enforcement Baseline Services)
Security and Protective Services. Additional security and protective
services are permitted if services are over and above the local police
department's current level of baseline services. Housing authorities,
Tribes, and TDHEs are required to identify the level of local law
enforcement services received and the increased level of services to be
received in their local Cooperation Agreement.
(8) Employment of Investigators. Employment of, and equipment for,
one or more individuals to investigate drug-related crime ``in and
around'' the real property comprising your development(s) and providing
evidence relating to such crime in any administrative or judicial
proceedings is permitted. Under this section, reimbursable costs
associated with the investigation of drug-related crimes (e.g., travel
directly related to the investigator's activities, or costs associated
with the investigator's testimony at judicial or administrative
proceedings) may only be those directly incurred by the investigator.
(a) If you are a housing authority that employs investigators
funded by this program, you must demonstrate compliance with all
relevant Federal, Tribal, State or local government insurance,
licensing, certification, training, bonding, or other similar law
enforcement requirements.
(b) Both you and the provider of the investigative services are
required to execute a written agreement that describes the following:
(i) The activities that your investigators will perform, their
scope of authority, reports to be completed, established investigative
policies, procedures, and practices that will govern their performance
(i.e., a Policy Manual; and how your investigators will
[[Page 25752]]
coordinate their activities with local, State, Tribal, and Federal law
enforcement agencies); and prohibited activities.
(ii) The activities the housing authority/Tribal investigators are
expressly prohibited from undertaking.
(c) Your investigator(s) may use PHDEP funds to purchase or lease
any law enforcement clothing or equipment, such as vehicles, uniforms,
ammunition, firearms/weapons, or vehicles; including cars, vans, buses,
protective vests, and any other supportive equipment.
(d) Your investigator(s) shall report on drug-related crime in your
developments. You must establish, implement and maintain a system of
records management that ensures confidentiality of criminal records and
information. Housing authority-approved activity forms must be used for
collection, analysis and reporting of activities by your investigators.
You are encouraged to develop and use Management Information Systems
(MIS) (Computers, software, hardware, and associated equipment) and
hire management personnel for crime and workload reporting in support
of your crime prevention and security activities.
(e) You may not expend funds and funds will not be released by the
local HUD Field Office/AONAP until you have met the requirements of
section IV.(6)(d) of this Notice.
(9) Voluntary Tenant Patrols. HUD believes the elimination of drug-
related crime within and around the housing authority/development(s)
requires the active involvement and commitment of residents and their
organizations. Members of tenant patrols must be volunteers and must be
residents of the housing authority's development(s). Voluntary tenant
patrols are expected to patrol in your development(s) proposed for
assistance, and to report illegal activities to appropriate housing
authority staff, and local, State, Tribal, and Federal law enforcement
agencies, as appropriate.
(a) Training equipment, uniforms for use by voluntary tenant
patrols acting in cooperation with officials of local law enforcement
agencies is permitted. All costs must be reasonable, necessary and
justified. Bicycles, motor scooters, all season uniforms and associated
equipment to be used, exclusively, by the members of your voluntary
tenant patrol are eligible items. Voluntary tenant patrol uniforms and
equipment must be identified with your specific housing authority/
development(s) identification and markings.
(b) Housing authorities are required to obtain liability insurance
to protect themselves and the members of the voluntary tenant patrol
against potential liability for the activities of the patrol under this
program. The cost of this insurance is negligible.
(c) If you are funding voluntary tenant patrol activities, you,
your local law enforcement agency, and the tenant patrol, before
expending grant funds, are required to execute a written agreement that
includes:
(i) The nature of the activities to be performed by your voluntary
tenant patrol, the patrol's scope of authority, assignment, policies,
procedures, and practices that will govern the voluntary tenant
patrol's performance and how the patrol will coordinate its activities
with the law enforcement agency;
(ii) The activities the voluntary tenant patrol is expressly
prohibited from undertaking and that the carrying or use of firearms,
weapons, nightsticks, clubs, handcuffs, or mace is prohibited;
(iii) Required initial and on-going voluntary tenant patrol
training members will receive from the local law enforcement agency;
(Please note that training by HUD-approved trainers and/or the local
law enforcement agency is required before putting a voluntary tenant
patrol into effect); and
(iv) Voluntary tenant patrol members will be subject to individual
or collective liability for any actions undertaken outside the scope of
their authority (described in paragraph (ii) above) and that such acts
are not covered under your housing authority liability insurance.
(d) PHDEP grant funds must not be used for any type of financial
compensation, such as full-time wages or salaries for voluntary tenant
and/or patrol participants. Funding for housing authority personnel or
resident(s) to be hired to coordinate this activity is permitted.
Excessive staffing is not permitted.
(10) Evaluation of PHDEP Activities. Funding is permitted to
contractually hire organizations and/or consultant(s) to conduct an
independent assessment and evaluation of the effectiveness of your
PHDEP program. You should include in your plan and budget contracting
with an independent survey organization to conduct an annual resident
survey in your targeted developments/areas. The amount of funding
proposed for conducting assessments or evaluations should be necessary,
reasonable, and justified. However, even if adequately justified, HUD
would not expect that this cost should exceed ten (10) percent of the
total grant amount requested.
(11) High Intensity Drug Trafficking Areas (HIDTAs). Funding may be
used for activities to eliminate drug-related crime in housing owned by
a public housing agency that is not public housing assisted under the
United States Housing Act of 1937 and is not otherwise federally
assisted. For example, housing that receives tenant subsidies under
Section 8 is federally assisted and would not qualify, but housing that
receives only State, Tribal, or local assistance would qualify if it
meets the following two requirements:
(a) The housing is located in a high intensity drug trafficking
area designated pursuant to Section 1005 of the Anti-Drug Abuse Act of
1988 (see Appendix A); and
(b) The PHA owning the housing demonstrates, on the basis of
information submitted, that the drug-related crime at the housing
authority project has a detrimental affect in or around the housing.
The High Intensity Drug Trafficking Areas (HIDTAs) are areas
identified as having problems that adversely impact the rest of the
country.
(E) Ineligible Activities. PHDEP funding is not permitted for any
of the activities listed below.
(1) Costs incurred before the effective date of your grant
agreement (Form HUD-1044), including, but not limited to, consultant
fees related to the development of your application or the actual
writing of your application.
(2) The purchase of controlled substances for any purpose.
Controlled substance shall have the meaning provided in section 102 of
the Controlled Substance Act (21 U.S.C. 802).
(3) Compensation of informants, including confidential informants.
These should be part of the baseline services provided and budgeted by
local law enforcement agencies.
(4) Direct purchase or lease of clothing or equipment, vehicles
(including cars, vans, and buses), uniforms, ammunition, firearms/
weapons, protective vests, and any other supportive equipment for use
in law enforcement or military enforcement except for HAPDs and
investigator activities listed in this program requirements section.
(5) Construction of facility space in a building or unit, and the
costs of retrofitting/modifying existing buildings owned by the housing
authorities and TDHEs for purposes other than: community policing mini-
station operations, adult/youth education, employment training
facilities, and drug abuse treatment activities.
(6) Organized fund raising, advertising, financial campaigns,
endowment drives, solicitation of gifts
[[Page 25753]]
and bequests, rallies, marches, community celebrations, stipends and
similar expenses.
(7) Court costs and attorneys fees related to screening or evicting
residents for drug-related crime are not allowable.
(8) PHDEP grant funds cannot be transferred to any Federal agency.
(9) Costs to establish councils, resident associations, resident
organizations, and resident corporations are not allowable.
(10) Indirect costs are not allowable.
(11) Supplant existing positions/activities. For purposes of the
PHDEP, supplanting is defined as ``taking the place of or to
supersede''.
(12) Alcohol-exclusive activities and programs are not eligible for
funding under this program, although activities and programs may
address situations of multiple abuse involving controlled substances
and alcohol. PHDEP is limited to only controlled substances.
(F) Commingling of Funds. Housing authorities must not co-mingle
funds of multiple HUD programs including: Comprehensive Improvement
Assistance Program (CIAP); Comprehensive Grant Program (CGP); Economic
Development and Supportive Services (EDSS); Tenant Opportunity Program
(TOP); Indian Housing Block Grant (IHBG); Housing Opportunity for
People Everywhere (HOPE) projects; Family Investment; Elderly Service
Coordinator; and Operating Subsidy.
(G) Reports and Closeout. In accordance with 24 CFR 761.35,
grantees are required to submit a PHDEP Semi-Annual Performance Report
and the Semi-Annual Financial Status Report (SF-269A) to the
appropriate HUD Field Office. HUD will require grantees to transmit
reports electronically to facilitate providing more meaningful
performance information to comply with the requirements of the
Government Performance and Results Act (GPRA) and to provide greater
assurance that the program activities undertaken are effective in
reducing drugs and drug-related crime in areas targeted by PHDEP. HUD
will require grantees to report the number of grant-funded, full-time
equivalent positions for law enforcement and security services, and
PHDEP-supported activities for residents broken out by youth, adults,
families, and communities. For each category of PHDEP-supported
activities, other than law enforcement, grantees will report the
results achieved using program or activity goals that are specific and
measurable to the extent practicable.
In addition, all grantees shall be required, as indicated by
written notice from HUD, to participate in HUD-sponsored training
activities. HUD will issue a separate notice containing the details for
meeting performance reporting requirements.
(H) Computing Unit Counts. Unit counts are to be computed as
follows:
(1) PHAs. (a) The unit count includes rental, Turnkey III
Homeownership, and Section 23 leased housing bond-financed projects.
Eligible units are those that are under management and fully developed,
and must be covered by an Annual Contributions Contract (ACC) during
the period of grant award. In determining unit count for PHA-Owned
Rental Housing, a long-term vacancy unit as defined in 24 CFR 990.102
is included in the count.
(b) PHAs preparing PHDEP applications are required to confirm/
validate the unit count with the local Field Office (Office of Public
Housing) before they submit their applications. Confirmation/Validation
may be given if the unit count to be used is the same as the unit count
reflected on a PHA's most recently approved Operating Budget (Form HUD-
52564) and/or subsidy calculation (Form HUD-52723) submitted for that
program. Field Offices that have PHAs that are not required to submit
either of these forms may confirm/validate the PHDEP unit count if it
is the same as the most recently submitted Form HUD-51234. Field
Offices in validating the unit count shall not include Non-Federally
Assisted Housing units located in High Intensity Drug-Trafficking
Areas.
(2) Tribes and TDHEs. (a) The unit count includes rental, Turnkey
III and Mutual Help Homeownership units which have not been conveyed to
a homebuyer, and Section 23 lease housing bond-financed projects. Such
units must be counted as Current Assisted Stock under the Indian
Housing Block Grant Program.
(b) Eligible units are those units which are under management and
fully developed. However, you should note that in determining the unit
count for PHA-owned or Native American rental housing, a long-term
vacancy unit, as defined in 990.102 or 24 CFR 950.102 (as revised May
1, 1996), is still included in the count. If you are an applicant for
Native American housing developments, you must certify that the
targeted units were covered by an ACC on September 30, 1997.
(c) Use the number of units counted as Formula Current Assisted
Stock for Fiscal Year 1999 as defined in 24 CFR 1000.316.
(I) MTCS Compliance. PHAs, to receive funding, must be in
compliance with HUD Notice PIH 99-2, Reporting Requirements for
Multifamily Tenant Characteristics System (MTCS) (Form HUD-50058).
Authority
Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988
(42 U.S.C. 11901 et. seq), as amended by section 581 of the National
Affordable Housing Act of 1990 (Pub.L. 101-625, approved November 28,
1990) (NAHA), section 161 of the Housing and Community Development Act
of 1992 (Pub.L. 102-550, approved October 28, 1992) (HCDA 1992), and
section 586 of the Quality Housing and Work Responsibility Act of 1998
(Pub.L. 105-276, 112 Stat. 2461, approved October 21, 1998) (Public
Housing Reform Act).
Paperwork Reduction Act Statement
The information collection requirements contained in this Notice
have been approved by the Office of Management and Budget under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), and assigned OMB
control number 2577-0124. An agency may not conduct or sponsor, and a
person is not required to respond to, a collection of information
unless the collection displays a valid control number.
Catalog of Federal Domestic Assistance. The Catalog of Federal
Domestic Assistance number for the Public and Indian Housing Drug
Elimination Program is 14.854.
Dated: May 6, 1999.
Deborah Vincent,
General Deputy Assistant Secretary for Public and Indian Housing.
[FR Doc. 99-11919 Filed 5-11-99; 8:45 am]
BILLING CODE 4210-33-P