[Federal Register Volume 66, Number 38 (Monday, February 26, 2001)]
[Notices]
[Pages 11638-12425]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-4310]
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Part II
Department of Housing and Urban Development
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Super Notice of Funding Availability (SuperNOFA) for HUD's Housing,
Community Development and Empowerment Programs and Section 8 Housing
Voucher Assistance for Fiscal Year 2001; Notice
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4630-N-01]
Super Notice of Funding Availability (SuperNOFA) for HUD's
Housing, Community Development and Empowerment Programs and Section 8
Housing Voucher Assistance for Fiscal Year 2001
AGENCY: Office of the Secretary, HUD.
ACTION: Super Notice of Funding Availability (SuperNOFA) for HUD Grant
Programs.
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SUMMARY: This Fiscal Year 2001 Super Notice of Funding Availability
(SuperNOFA) announces the availability of approximately $2.75 billion
in HUD program funds covering 45 grant categories within programs
operated and administered by HUD offices and Section 8 housing voucher
assistance.
The General Section of this SuperNOFA provides the application
procedures and requirements that are applicable to all the programs in
this SuperNOFA. The Programs Section of this SuperNOFA provides a
description of the specific programs for which funding is made
available and describes any additional procedures and requirements that
are applicable to a specific program. Please be sure you read both the
General Section and the Program Section of this SuperNOFA to ensure you
respond to all the requirements for funding.
APPLICATION DUE DATES: The information in this APPLICATION DUE DATES
section applies to all programs that are part of this SuperNOFA. You,
the applicant, must submit a completed application to HUD no later than
the application due date established for the program for which you are
seeking funding. HUD will not accept for review and evaluation any
applications sent by facsimile (fax).
ADDRESSES AND APPLICATION SUBMISSION PROCEDURES: Addresses. You, the
applicant, must submit a complete application to the location
identified in the Programs Section of this SuperNOFA. When submitting
your application, please refer to the name of the program for which you
are seeking funding.
For Applications to HUD Headquarters. If your application is due to
HUD Headquarters, you must send the application to the following
address: Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410 (see the Program Chart or Programs
Section for Room location and additional information regarding the
addresses for application submission). Please make sure that you note
the room number. The correct room number is very important to ensure
that your application is not misdirected.
For Applications to HUD Field Offices. If your application is
required to be submitted to a HUD Field Office, please see the Programs
Section for the exact office location for submission of your
application.
Applications Submission Procedures. Mailed Applications. Your
application will be considered timely filed if your application is
postmarked on or before 12:00 midnight on the application due date and
received by the designated HUD Office on or within ten (10) days of the
application due date.
Applications Sent by Overnight/Express Mail Delivery. If your
application is sent by overnight delivery or express mail, your
application will be timely filed if it is received before or on the
application due date, or when you submit documentary evidence that your
application was placed in transit with the overnight delivery/express
mail service by no later than the application due date.
Hand Carried Applications. Hand-carried to HUD Headquarters. If
your application is required to be submitted to HUD Headquarters, and
you arrange for the application to be hand carried, hand carried
applications delivered before and on the application due date must be
brought to the specified location at HUD Headquarters and room number
between the hours of 8:45 am to 5:15 pm, Eastern time. Applications
hand carried on the application due date will be accepted in the South
Lobby of the HUD Headquarters Building at the above address from 5:15
pm until 12:00 midnight, Eastern time. This deadline date is firm.
Please make appropriate arrangements to arrive at the HUD Headquarters
Building before 12:00 midnight, Eastern time, on the application due
date.
Hand-carried to HUD Field Office. If your application is required
to be submitted to a HUD Field Office, your application must be
delivered to the appropriate HUD Field Office in accordance with the
instructions specified in the Programs Section of the SuperNOFA. A hand
carried application will be accepted at the specified HUD Field Office
during normal business hours before the application due date. On the
application due date, business hours will be extended to 6:00 pm, local
time. (Appendix A-1 to this General Section of the SuperNOFA lists the
HUD Field Offices. Please call to find out the hours of operation.)
Please be sure to arrive at the HUD Field Office with adequate time to
submit the application before the 6:00 pm deadline on the application
due date.
Copies of Applications to HUD Offices. The Programs Section of this
SuperNOFA may specify that to facilitate the processing and review of
your application, a copy of the application also must be sent to an
additional HUD location (for example, a copy to the HUD Field Office if
the original application is to be submitted to HUD Headquarters, or a
copy to HUD Headquarters, if the original application is to be
submitted to a HUD Field Office). Please follow the directions of the
Programs Section to ensure that you submit your application to the
proper location. For some programs, HUD requests additional copies in
order to expeditiously review your application, and to ensure that all
reviewers receive complete applications to review. HUD appreciates your
assistance in providing the copies. Please note that for those
applications for which copies are to be submitted to the Field Offices
and HUD Headquarters, timeliness of submission will be based on the
time your application is received at HUD Headquarters.
FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE: The
information in this section is applicable to all programs that are part
of this SuperNOFA. This section describes how you may obtain
application kits, further information about the SuperNOFA and technical
assistance. A guidebook to HUD programs, titled ``Connecting with
Communities: A User's Guide to the HUD Programs and the 2001 SuperNOFA
process'' is available from the SuperNOFA Information Center and the
HUD website at www.hud.gov/grants. This guidebook provides a brief
description of all of HUD's programs, a description of the SuperNOFA
programs, and eligible applicants for these programs, and examples of
how programs can work in combination to serve local community needs.
The main sources for obtaining this information are:
The SuperNOFA Information Center, which you may reach by calling 1-
800-HUD-8929 or the Center's TTY number at 1-800-HUD-2209; and
HUD's web site on the Internet at http://www.hud.gov/grants.
For Application Kits and SuperNOFA User Guide. HUD is pleased to
provide you with the FY 2001 application kits and/or a guidebook to all
HUD programs that are part of this SuperNOFA. For some announcements of
funding
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availability in this SuperNOFA, the process for applying for funds is
so simple no application kit is required. Where this is the case, the
program section for that funding will note that there is no application
kit. The application kits are designed to guide you through the
application process and ensure that your application addresses all
requirements for the program funding you are seeking. Please note that
if there is a discrepancy between information provided in the
application kit and the information provided in the published
SuperNOFA, the information in the published SuperNOFA prevails.
Therefore, please be sure to review your application submission against
the requirements in the SuperNOFA.
You may request general information and application kits from the
SuperNOFA Information Center. When requesting an application kit from
the SuperNOFA Information Center, please refer to the name of the
program of the application kit you are interested in receiving. Please
be sure to provide your name, address (including zip code), and
telephone number (including area code). To ensure sufficient time to
prepare your application, requests for application kits can be made
immediately following publication of the SuperNOFA. The SuperNOFA
Information Center opens for business simultaneously with the
publication of the SuperNOFA.
The SuperNOFA Information Center (1-800-HUD-8929) can provide you
with assistance, application kits, and guidance in determining which
HUD Office(s) should receive a copy of your application. Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. Additionally, you can obtain information on this
SuperNOFA and application kits for this SuperNOFA through the HUD web
site on the Internet at http://www.hud.gov/grants.
Consolidated Application Submissions. If you, the applicant, would
like to apply for funding under more than one program in this
SuperNOFA, you need only submit one originally signed SF-424 and one
set of original signatures for the other standard assurances and
certifications, accompanied by the matrix that is provided in each
application kit. As long as you submit one originally signed set of
these documents with an application, you need only submit copies of
these documents with any additional application you submit. Your
application should identify the program for which you have submitted
the original signatures for the standard assurances and certifications.
Additionally, the Programs Section may specify additional forms,
certifications, assurances, or other information that may be required
for a particular program in this SuperNOFA.
For Further Information. For answers to your questions about this
SuperNOFA, you have several options. You may call, during business
hours, the SuperNOFA Information Center at 1-800-HUD-8929, or you may
contact the HUD Office or Processing Center serving your area at the
telephone number listed in the application kit for the program in which
you are interested. If you are a person with a hearing or speech
impairment you may call the Center's TTY number at 1-800-HUD-2209. You
may also obtain information on this SuperNOFA and application kits for
this SuperNOFA through the HUD web site on the Internet at http://www.hud.gov/grants.
For Technical Assistance. Before the application due date, HUD
staff will be available to provide you with general guidance and
technical assistance about this SuperNOFA. HUD staff, however, are not
permitted to assist in preparing your application. Following selection
of applicants, but before awards are made, HUD staff are available to
assist in clarifying or confirming information that is a prerequisite
to the offer of an award or Annual Contributions Contract (ACC) by HUD.
Satellite Broadcasts. HUD will hold information broadcasts via
satellite for potential applicants to learn more about the programs in
this SuperNOFA and preparation of the applications. For more
information about the date and time of the broadcast, you should
consult the HUD web site at http://www.hud.gov/grants.
For Federal Grant Information. The Federal Financial Assistance
Management Improvement Act of 1999 (Pub. L. 106-107) directs each
Federal agency to develop and implement a plan that, among other
things, streamlines and simplifies the application, administrative and
reporting procedures for Federal financial assistance programs
administered by the agency. This law also requires the Director of the
Office of Management and Budget (OMB) to direct, coordinate, and assist
Federal agencies in establishing: (1) a common application and
reporting system; and (2) an interagency process for addressing ways to
streamline and simplify Federal financial assistance application and
administrative procedures and reporting requirements for program
applicants.
This law also requires OMB to consult with the grantee community as
it works with the Federal agencies to develop and implement the course
of action that would be undertaken by the Federal agencies to establish
an electronic site for accessing grant information and applications.
Over the last few months, OMB has been conducting outreach sessions
informing you of the goals of this new law and seeking your input as
the Federal agencies work together to achieve implementation.
HUD has been an active member in the Federal agency working groups
and has established a common website where you can find information
about all the grant programs within HUD. You can access this site from
our homepage at www.hud.gov/grants and checking on grant program
inventory. This site will be linked with other Federal agencies as the
grants common website develops. If you are interested in finding out
more about the ``Federal Commons'' and the work being done by other
agencies, please visit the Inter-Agency Electronic Grants Committee
(IAEGC) website at www.fedcommons.gov.
INTRODUCTION TO THE FY 2001 SUPERNOFA
HUD'S FY 2001 SuperNOFA Process
Background
This year marks the fourth year that HUD is issuing a SuperNOFA for
almost all of its competitive grant programs, and additional programs
have been added as noted below. The SuperNOFA approach, in which the
great majority of HUD's competitive funds are announced in one
document, is designed to simplify the application process, bring
consistency and uniformity to the application and selection process,
and accelerate the availability of funding. Equally important, the
SuperNOFA approach is designed to increase the ability of applicants to
consider and apply for funding under a wide variety of HUD programs.
The SuperNOFA provides a ``menu'' of HUD competitive programs. From
this menu, communities will be made aware of funding available for
their jurisdictions. Nonprofits, public housing agencies, local and
State governments, tribal governments and tribally designated housing
entities, veterans service organizations, faith-based organizations and
others will be able to identify the programs for which they are
eligible for funding.
The most creative and novel element of the SuperNOFA is that it
places heavy emphasis on the coordination of activities assisted by HUD
funds to provide (1) greater flexibility and responsiveness by
potential grantees in meeting local housing and community development
needs, and (2) greater
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flexibility for eligible applicants to determine what HUD program
resources best fit the community's needs. The SuperNOFA's promotion of
coordination and comprehensive planning of HUD assistance reduces
duplication in the delivery of services by organizations and
communities, and allows for delivery of a wider more integrated array
of services, thereby resulting in more efficient use of HUD funds to
more effectively serve a greater number of those most in need of HUD
assistance.
Changes Made in the SuperNOFA Process for FY 2001
The FY 2001 SuperNOFA includes more grant assistance funding than
in previous years and therefore further increases the ability of
applicants to consider and apply for funding under a wide variety of
HUD programs. Funding availability announcements that are being added
to the Fiscal Year 2001 SuperNOFA are the following:
Assisted Living Conversion Program (ALCP) for Eligible
Multifamily Projects
Community Development Block Grants for Indian Tribes and
Alaska Native Villages
Early Doctoral Research Program
Doctoral Research Program
HUD Urban Scholars Fellowship Program (a post doctoral
program)
Family Self-Sufficiency (FSS) Program Coordinators Program
Healthy Homes Demonstration and Education Program
(replacing the Healthy Homes Initiative Program of Fiscal Year 2000)
Healthy Homes Research Program (replacing the program for
Research to Improve the Evaluation and Control of Residential Lead-
Based Paint)
Indian Housing Drug Elimination Program
Service Coordinators in Multifamily Housing
With respect to the program NOFA for the Community Development
Block Grants for Indian Tribes and Alaska Native Villages (ICDBG), a
rule that amends the regulations for this program was published on
January 17, 2001 (66 FR 4578) and takes effect on April 16, 2001.
Funding availability announcements that were part of the Fiscal
Year 2000 SuperNOFA but for which there will be no funding availability
announcements in FY 2001 are the following:
Public Housing Drug Elimination Technical Assistance for
Safety and Security
Outreach and Assistance Training Grants
Organization of the SuperNOFA
The SuperNOFA is divided into two major sections. The General
Section of the SuperNOFA describes the procedures and requirements
applicable to all applications. The Programs Section of the SuperNOFA
describes each program that is part of this SuperNOFA. For each
program, the Programs Section describes the eligible applicants,
eligible activities, factors for award, and any additional requirements
or limitations that apply to the program.
Please read carefully both the General Section and the Programs
Section of the SuperNOFA for the program(s) for which you are applying.
Your careful reading will ensure that you apply for program funding for
which your organization is eligible to receive funds and that you
fulfill all the requirements for that program(s).
As part of the simplification of this funding process, and to avoid
duplication of effort, the SuperNOFA provides for consolidated
applications for several of the programs that are part of this
SuperNOFA. HUD programs that provide assistance for, or complement,
similar activities (for example, the Continuum of Care programs and CPD
Technical Assistance programs) have a consolidated application that
reduces the administrative and paperwork burden applicants would
otherwise encounter in submitting a separate application for each
program. The Program Chart in this introductory section of the
SuperNOFA identifies the programs that have been consolidated and for
which a consolidated application is made available to eligible
applicants.
As we did in last year's SuperNOFA, HUD is providing copies of the
application forms in this publication. The standard forms,
certifications and assurances applicable to all programs, or the great
majority of programs, in the SuperNOFA follow the General Section as
Appendix B. The forms and any additional certifications and assurances
that are unique to the individual program will follow that program
section of the SuperNOFA.
The specific statutory and regulatory requirements of the programs
that are part of this SuperNOFA continue to apply to each program. The
SuperNOFA will identify, where necessary, the statutory requirements
and differences applicable to the specific programs. Please pay careful
attention to the individual program requirements that are identified
for each program. Note that not all applicants are eligible to receive
assistance under all programs identified in this SuperNOFA.
THE PROGRAMS OF THIS SUPERNOFA AND THE AMOUNT OF FUNDS ALLOCATED
The programs that are part of this SuperNOFA are identified in the
chart below. The approximate available funds for each program are based
on appropriated funds, and for some programs, the available funding
includes funds already recaptured. In the event (1) HUD recaptures
funds (either for programs for which funding already reflects
recaptured funds or other programs for which funding does not reflect
recaptured funds), or (2) other funds become available for any program,
HUD reserves the right to increase the available funding amount for a
program by the additional amounts that become available.
The chart also includes the application due date for each program,
the OMB approval number for the information collection requirements
contained in the specific program, and the Catalog of Federal Domestic
Assistance (CFDA) number.
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Paperwork Reduction Act Statement. The information collection
requirements in this SuperNOFA have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520). The chart shown above provides the OMB approval
number for each program that is part of this SuperNOFA. Where the chart
notes that an OMB number is pending, this means that HUD has submitted
the information to OMB to obtain an approval number and HUD's request
for the number is pending. As soon as HUD receives the approval number,
the number will be published in the Federal Register and provided to
the SuperNOFA Information Center. Under the Paperwork Reduction Act, 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.
GENERAL SECTION OF THE SUPERNOFA
I. Authority; Purposes of the FY 2001 SuperNOFA; Funding Amount;
Eligible Applicants and Eligible Activities
(A) Authority. HUD's authority for making funding under this
SuperNOFA is the Fiscal Year 2001 Department of Veterans Affairs and
Housing and Urban Development and Independent Agencies Appropriations
Act, 2001 (Pub.L. 106-377, approved October 27, 2000) (FY 2001 HUD
Appropriations Act). Generally, the authority is not repeated in the
individual program sections of this SuperNOFA. The authority provision
of the program sections identify additional laws and regulations that
authorize the requirements listed for the funding competitions that
make up this SuperNOFA.
(B) Purposes. The purposes of this SuperNOFA are to:
(1) Make funding available to empower communities and residents.
The funding made available by this SuperNOFA will assist community
leaders and residents, particularly low-and moderate-income residents,
in using HUD funds to develop viable communities and provide decent
housing for all citizens, without discrimination.
(2) Simplify the application process for funding under HUD
programs. For the majority of funding that is part of this year's
SuperNOFA, the SuperNOFA continues to provide a single, uniform set of
rating factors and submission requirements. This year's SuperNOFA also
allows, as did last year's, for you, the applicant, to apply for more
than one program with a single application. This year's SuperNOFA also
includes funding for the Housing Choice Voucher Program that is
available on a first come, first serve basis.
(3) Promote comprehensive approaches to housing and community
development. Through the SuperNOFA process, HUD encourages you, the
applicant, to focus on the interrelationships that exist in a community
and in HUD's funding programs, and to build community-wide efforts that
coordinate the resources of multiple applicants and programs. To
successfully address community needs and solve community problems, and
to take advantage of existing resources, HUD encourages members of a
community to join together and pool all available resources in a
common, coordinated effort. By making all of HUD's competitive funding
available in one document, HUD allows you, the applicant, to be able to
relate the activities proposed for funding under this SuperNOFA to the
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice.
(C) Funding Available. As noted in the Introduction Section to the
SuperNOFA, the HUD programs that are part of this SuperNOFA are
allocated amounts based on appropriated funds. If HUD recaptures funds
in any program, HUD reserves the right to increase the available
funding amounts by the amount of funds recaptured.
(D) Restrictions on the Use of HUD Funds in Support of the Sale of
Tobacco Products. Section 211 of the FY 2001 HUD Appropriations Act
requires that funds appropriated to HUD may not be used to construct,
operate, or otherwise benefit a facility or facilities with a
designated portion of that facility which sells or intends to sell
predominantly cigarettes or other tobacco products. The Act defines the
predominant sale of cigarettes or other tobacco products to mean sales
representing more than 35 percent of the annual total in-store, non-
fuel sales.
(E) Eligible Applicants and Eligible Activities. The Programs
Section of the SuperNOFA describes the eligible applicants and eligible
activities for each program.
II. Requirements and Procedures Applicable to All Programs
Except as may be modified in the Programs Section of this
SuperNOFA, or as noted within the specific provisions of this Section
II, the requirements, procedures and principles listed below apply to
all programs that are part of this SuperNOFA. Please be sure to read
the Programs Section of the SuperNOFA for additional requirements or
information.
(A) Statutory Requirements. To be eligible for funding under this
SuperNOFA, you, the applicant, must meet all statutory and regulatory
requirements applicable to the program or programs for which you are
seeking funding. If you need copies of the program regulations, they
are available from the SuperNOFA Information Center or through the
Internet at the HUD web site located at http://www.hud.gov. Among the
reasons that HUD may find an application ineligible to receive further
funding consideration is if the activities or projects proposed in the
application are not eligible activities and projects. In addition (with
the exception of the Section 202 and Section 811 programs) HUD may
eliminate the ineligible activities from funding consideration and
reduce the grant amount accordingly.
(B) Threshold Requirements. (1) Compliance with Fair Housing and
Civil Rights Laws. With the exception of Federally recognized Indian
tribes and their instrumentalities, all applicants and their
subrecipients must comply with all Fair Housing and civil rights laws,
statutes, regulations and executive orders as enumerated in 24 CFR
5.105(a). If you are a Federally recognized Indian tribe, you must
comply with the nondiscrimination provisions enumerated at 24 CFR
1000.12.
If you, the applicant--
(a) Have been charged with a systemic violation of the Fair Housing
Act by the Secretary alleging ongoing discrimination;
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of noncompliance findings under Title
VI, Section 504, or Section 109,--
HUD will not rate and rank your application under this SuperNOFA if
the charge, lawsuit, or letter of findings has not been resolved to the
satisfaction of the Department before the application deadline stated
in the individual program NOFA. HUD's decision regarding whether a
charge, lawsuit, or a letter of findings has been satisfactorily
resolved will be based upon whether appropriate actions have been taken
to address allegations of ongoing discrimination in the policies or
practices involved in the charge, lawsuit, or letter of findings.
(2) Other Threshold Requirements. The program section for the
funding for which you are applying may specify other threshold
requirements.
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Additional threshold requirements may be identified in the discussion
of ``eligibility'' requirements in the program section.
(C) Additional Nondiscrimination Requirements. You, the applicant
and your subrecipients, must comply with the Americans with
Disabilities Act of 1990 (42 U.S.C. 1201 et seq.), and Title IX of the
Education Amendments Act of 1972 (20 U.S.C. 1681 et seq).
(D) Affirmatively Furthering Fair Housing. Unless otherwise
specified in the Programs Section of this SuperNOFA, if you are a
successful applicant, you will have a duty to affirmatively further
fair housing. Again, except as may be provided otherwise in the
Programs Section of this SuperNOFA, you, the applicant, should include
in your application or work plan the specific steps that you will take
to:
(1) Address the elimination of impediments to fair housing that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the SuperNOFA rating factors
that address affirmatively furthering fair housing. Please see the
Programs Section of this SuperNOFA for further information.
(E) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). Certain programs in this SuperNOFA require recipients of
assistance to comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low-Income Persons in Connection with assisted Projects)
and the HUD regulations at 24 CFR part 135, including the reporting
requirements subpart E of this part. Section 3 requires recipients to
ensure that, to the greatest extent feasible, training, employment and
other economic opportunities will be directed to (1) low and very low
income persons, particularly those who are recipients of government
assistance for housing and (2) business concerns which provide economic
opportunities to low-and very low-income persons. As noted in the
Programs Section of this SuperNOFA, Section 3 is applicable to the
following programs:
Community Development Block Grant Program for Indian
Tribes and Alaska Native Villages;
Historically Black Colleges and Universities (HBCU);
Hispanic-Serving Institutions Assisting Communities
(HSIAC);
Alaska Native/Native Hawaiian Institutions Assisting
Communities (AN/NHIAC)
Lead-Based Paint Hazard Control;
Healthy Homes Demonstration and Education Program;
Healthy Homes Research Program;
HOPE VI Public Housing Revitalization and Demolition;
Indian Housing Drug Elimination Program;
Public Housing Drug Elimination Program--New Approach
Anti-Drug Program
Resident Opportunities and Self-Sufficiency Program
Economic Development Initiative (EDI);
Brownfields Economic Development Initiative (BEDI);
Self-Help Homeownership Opportunity Program (SHOP);
Youthbuild Program;
Continuum of Care Homeless Assistance Programs;
Housing Opportunities for Persons with AIDS (HOPWA);
Section 202 Supportive Housing for the Elderly Program;
Assisted Living Conversion Program;
Section 811 Supportive Housing for Persons with
Disabilities Program;
(F) Relocation. Any person (including individuals, partnerships,
corporations or associations) who moves from real property or moves
personal property from real property directly (1) because of a written
notice to acquire real property in whole or in part, or (2) because of
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity is covered by Federal relocation statute and
regulations. Specifically, this type of move is covered by the
acquisition policies and procedures and the relocation requirements of
the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended (URA), and the implementing
governmentwide regulation at 49 CFR part 24. The relocation
requirements of the URA and the governmentwide regulations cover any
person who moves permanently from real property or moves personal
property from real property directly because of acquisition,
rehabilitation or demolition for an activity undertaken with HUD
assistance.
(G) Forms, Certifications and Assurances. You, the applicant, are
required to submit signed copies of the standard forms, certifications,
and assurances listed in this section, unless the requirements in the
Programs Section specify otherwise. Also, the Programs Section may
specify additional forms, certifications, assurances or other
information that may be required for a particular program in this
SuperNOFA.
As part of HUD's continuing efforts to improve the SuperNOFA
process, several of the required standard forms have been simplified
this year. The standard forms, certifications, and assurances are as
follows:
Standard Form for Application for Federal Assistance (SF-
424) (which includes civil rights/fair housing certification);
Federal Assistance Funding Matrix and Certifications, HUD-
424M;
Standard Form for Budget Information--Non-Construction
Programs (SF-424A) or
Standard Form for Budget Information-Construction Programs
(SF-424C), as applicable;
Standard Form for Assurances--Non-Construction Programs
(SF-424B) or
Standard Form for Assurances--Construction Programs (SF-
424D), as applicable; Drug-Free Workplace Certification (HUD-50070);
Certification of Payments to Influence Federal Transaction
(HUD-50071) and if engaged in lobbying, the Disclosure Form Regarding
Lobbying (SF-LLL); (Tribes and tribally designated housing entities
(TDHEs) established by an Indian tribe as a result of the exercise of
the tribe's sovereign power are not required to submit this
certification. Tribes and TDHEs established under State law are
required to submit this certification.)
Applicant/Recipient Disclosure/Update Report (HUD-2880);
Certification Regarding Debarment and Suspension (HUD-
2992). This is the certification required by 24 CFR 24.510. (The
provisions of 24 CFR part 24 apply to the employment, engagement of
services, awarding of contracts, subgrants, or funding of any
recipients, or contractors or subcontractors, during any period of
debarment, suspension, or placement in ineligibility status, and a
certification is required.);
Certification of Consistency with EZ/EC Strategic Plan
(HUD-2990);
Certification of Consistency with the Consolidated Plan
(HUD-2991) if applicable;
Acknowledgment of Application Receipt (HUD-2993);
Client Comments and Suggestions (HUD 2994)
Copies of these standard forms follow this General Section of the
SuperNOFA. Copies of forms that are particular to an
[[Page 11652]]
individual program, follow the funding information for that program.
Also included in the Appendix B to the General Section is the
Funding Application for the Section 8 Housing Choice Voucher Program
(HUD 52515). Note that Forms SF-424A and SF-424C ask for information
which is similar to the same information that is required by form HUD
4123-Cost Summary which is listed as a required form under the ICDBG
program section of this SuperNOFA and which is a required application
for that program. Also note that there are assurances separate from SF-
424B and 424D for the ICDBG program which are specific to that program.
(H) OMB Circulars and Governmentwide Regulations Applicable to
Grant Programs. Certain OMB circulars also apply to programs in this
SuperNOFA. The policies, guidance, and requirements of: OMB Circular
No. A-87 (Cost Principles Applicable to Grants, Contracts and Other
Agreements with State and Local Governments); OMB Circular A-21 (Cost
Principles for Education Institutions) OMB Circular No. A-122 (Cost
Principles for Nonprofit Organizations); OMB Circular A-133 (Audits of
States, Local Governments, and Non-Profit Organizations); and the
regulations in 24 CFR part 84 (Grants and Agreements with Institutions
of Higher Education, Hospitals, and other Non-Profit Organizations) and
24 CFR part 85 (Administrative Requirements for Grants and Cooperative
Agreements to State, Local, and Federally recognized Indian tribal
governments)--may apply to the award, acceptance and use of assistance
under the programs of this SuperNOFA, and to the remedies for
noncompliance, except when inconsistent with the provisions of the FY
2001 HUD Appropriations Act, other Federal statutes or the provisions
of this SuperNOFA. Compliance with additional OMB Circulars or
governmentwide regulations may be specified for a particular program in
the Programs Section of the SuperNOFA. Copies of the OMB Circulars may
be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 20503, telephone (202) 395-7332 (this is not a
toll free number) or from the website at http://whitehouse.gov/wh/eop/omb/html/circulars.
(I) Environmental Requirements. If you become a grantee under one
of the programs in this SuperNOFA that assist physical development
activities or property acquisition, you are generally prohibited from
acquiring, rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
grantee's Request for Release of Funds (HUD Form 7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the Programs Section of the
SuperNOFA for the applicable program to determine the procedures for,
timing of, and any exclusions from environmental review under a
particular program. For applicants applying for funding under the
Sections 202 or 811 Programs, please note the environmental review
requirements for these programs.
(J) Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
SuperNOFA, you are subject to 18 U.S.C. 208, the Federal criminal
conflict of interest statute, and the Standards of Ethical Conduct for
Employees of the Executive Branch regulation published at 5 CFR part
2635. As a result, if you have assisted or plan to assist applicants
with preparing applications for this SuperNOFA, you may not serve on a
selection panel and you may not serve as a technical advisor to HUD for
this SuperNOFA. All individuals involved in rating and ranking this
SuperNOFA, including experts and consultants, must avoid conflicts of
interest or the appearance of conflicts. Individuals involved in the
rating and ranking of applications must disclose to HUD's General
Counsel or HUD's Ethics Law Division the following information if
applicable: how the selection or non-selection of any applicant under
this SuperNOFA will affect the individual's financial interests, as
provided in 18 U.S.C. 208; or how the application process involves a
party with whom the individual has a covered relationship under 5 CFR
2635.502. The individual must disclose this information prior to
participating in any matter regarding this SuperNOFA. If you have
questions regarding these provisions or if you have questions
concerning a conflict of interest, you may call the Office of General
Counsel, Ethics Law Division, at 202-708-3815 and ask to speak to one
of HUD's attorneys in this division.
(K) Accessible Technology. The Rehabilitation Act Amendments of
1998 apply to all electronic information technology (EIT) used by a
grantee for transmitting, receiving, using, or storing information to
carry out the responsibilities of any federal grant awarded. It
includes, but is not limited to, computers (hardware, software,
wordprocessing, email and web pages) facsimile machines, copiers and
telephones. Recipients of HUD funds when developing, procuring,
maintaining or using EIT must ensure that the EIT allows (1) employees
with disabilities to have access to and use information and data that
is comparable to the access and use of data by employees who do not
have disabilities; and (2) members of the public with disabilities
seeking information or service from a grantee must have access to and
use of information and data and comparable to the access and use of
data by members of the public who do not have disabilities. If these
standards impose on a funding recipient, they may provide an
alternative means to allow the individual to use the information and
data. However, no grantee will be required to provide information
services to a person with disabilities at any location other than the
location at which the information services is generally provided.
III. Application Selection Process
(A) Rating Panels. To review and rate your applications, HUD may
establish panels. These panels may include persons not currently
employed by HUD. HUD may include these non-HUD employees to obtain
certain expertise and outside points of view, including views from
other Federal agencies.
(1) Rating. HUD will evaluate and rate all applications for funding
that meet the threshold requirements and rating factors for award
described in this SuperNOFA. The rating of you, as the ``applicant,''
or of your organization, ``the applicant's organization and staff,''
for technical merit or threshold compliance will include any sub-
contractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project.
(2) Ranking. HUD will rank applicants within each program (or, for
Continuum of Care applicants, across the three programs identified in
the Continuum of Care section of this SuperNOFA). HUD will rank
applicants only against other applicants that applied for the same
program funding. Where there are set-asides within a program
competition, you, the applicant, will compete against only those
applicants in the same set-aside competition.
(B) Threshold Requirements. HUD will review your application to
determine whether it meets all of the threshold requirements described
in
[[Page 11653]]
Section II(B), above. Only if your application meets all of the
threshold requirements will it be eligible to be rated and ranked.
(C) Factors For Award Used To Evaluate and Rate Applications. For
each program that is part of this SuperNOFA, the points awarded for the
rating factors total 100. Depending upon the program for which you the
applicant seek funding, the program may provide for up to four bonus
points as provided in paragraphs (1) and (2) of this Section III(C).
(1) Bonus Points. The SuperNOFA provides for the award of up to two
bonus points for eligible activities/projects that the applicant
proposes to be located in federally designated Empowerment Zones (EZs),
Enterprise Communities (ECs), Urban Enhanced Enterprise Communities
(EECs), or Strategic Planning Communities and serve the residents of
these federally designated areas, and are certified to be consistent
with the strategic plan of these federally designated areas. (For ease
of reference in the SuperNOFA, these federally designated areas are
collectively referred to as ``EZs/ECs'' and residents of these
federally designated areas as EZ/EC residents.) \1\ The individual
funding announcement will indicate if the bonus points are available
for that funding. The application kit contains a certification which
must be completed for the applicant to be considered for EZ/EC bonus
points. A list of EZs, ECs, EECs and Strategic Planning Communities is
attached to this General Section of the SuperNOFA as Appendix A-2 and
is also available from the SuperNOFA Information Center, through the
HUD web site at http://www.hud.gov/grants.
---------------------------------------------------------------------------
\1\ In December 1994, 72 urban areas and 33 rural communities
were designated as Empowerment Zones or Enterprise Communities.
These designated areas receive more than $1.5 billion in performance
grants and more than $2.5 billion in tax incentives. The Taxpayers
Relief Act of 1997 established a second round of designations for 15
new Empowerment Zones. Round II designees were announced in December
1998. Strategic Planning Communities are HUD designations that
ranked competitively in the Round II competition but were not
selected for EZ designation.
---------------------------------------------------------------------------
In the BEDI competition, two bonus points are available for
federally designated Brownfields Show Case Communities. (Please see
BEDI section of this SuperNOFA for additional information). A listing
of the federally designated EZs, ECs, and Enhanced ECs and Brownfields
Showcase Communities is available from the SuperNOFA Information
Center, or through the HUD web site on the Internet at http://www.hud.gov/grants.
(2) Court-Ordered Consideration. For any application submitted by
the City of Dallas, Texas, for funds under this SuperNOFA for which the
City of Dallas is eligible to apply, HUD will consider the extent to
which the strategies or plans in the city's application or applications
will be used to eradicate the vestiges of racial segregation in the
Dallas Housing Authority's low income housing programs. The City of
Dallas should address the effect, if any, that vestiges of racial
segregation in Dallas Housing Authority's low income housing programs
have on potential participants in the programs covered by this NOFA,
and identify proposed actions for remedying those vestiges. HUD may add
up to 2 points to the score based on this consideration. This special
consideration results from an order of the U.S. District Court for the
Northern District of Texas, Dallas, Division. (This Section III(C)(2)
is limited to applications submitted by the City of Dallas.)
(3) The Five Standard Rating Factors. The majority of programs in
this SuperNOFA use the five rating factors described below. Additional
details about the five rating factors listed below, and the maximum
points for each factor, are provided in the Programs Section of the
SuperNOFA. You, the applicant, should carefully read the factors for
award as described in the Programs Section of the SuperNOFA. HUD has
established these five factors as the basic factors for award in every
program that is part of this SuperNOFA. For a specific HUD program,
however, HUD may have modified these factors to take into account
specific program needs, or statutory or regulatory limitations imposed
on a program. The standard factors for award, except as modified in the
program area section are:
Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination
The Continuum of Care Homeless Assistance Programs have only two
factors that receive points: Need and Continuum of Care.
(D) Negotiation. After HUD has rated and ranked all applications
and has made selections, HUD may require, depending upon the program,
that all winners participate in negotiations to determine the specific
terms of the grant agreement and budget. In cases where HUD cannot
successfully conclude negotiations with a selected applicant or a
selected applicant fails to provide HUD with requested information, an
award will not be made to that applicant. In this instance, HUD may
offer an award to the next highest ranking applicant, and proceed with
negotiations with the next highest ranking applicant.
(E) Adjustments to Funding.
(1) HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of the
funds and to ensure that the purposes of a specific program are met.
(2) HUD will not fund any portion of your application that is not
eligible for funding under specific program statutory or regulatory
requirements; which does not meet the requirements of this SuperNOFA or
which may be duplicative of other funded programs or activities from
previous years' awards or other selected applicants. Only the eligible
portions of your application (including non-duplicative portions) may
be funded.
(3) If funds remain after funding the highest ranking applications,
HUD may fund all or part of the next highest ranking application in a
given program. If you, the applicant, turn down the award offer, HUD
will make the same determination for the next highest ranking
application. If funds remain after all selections have been made,
remaining funds may be available for other competitions for each
program where there is a balance of funds.
(4) In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of this SuperNOFA, HUD may select that applicant when
sufficient funds become available.
(F) Performance and Compliance Actions of Grantees. HUD will
measure and address the performance and compliance actions of grantees
in accordance with the applicable standards and sanctions of their
respective programs.
IV. Application Submission Requirements
As discussed in the Introduction Section of this SuperNOFA, part of
the simplification of this funding process is to reduce the duplication
of effort that has been required of applicants in the past. Before the
SuperNOFA process, many of HUD's applicants were required to complete
and submit similar applications for HUD funded programs. As the Program
Chart above shows, the FY 2001 SuperNOFA provides, as did the previous
SuperNOFAs, for consolidated applications for several of
[[Page 11654]]
the programs for which funding is available under this SuperNOFA.
V. Corrections to Deficient Applications
After the application due date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you, however, to clarify an item in your application or to correct
technical deficiencies. You should note, however, that HUD may not seek
clarification of items or responses that improve the substantive
quality of your response to any rating factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may,
however, contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include your
failure to submit the proper certifications or your failure to submit
an application that contains an original signature by an authorized
official. In each case, HUD will notify you in writing by describing
the clarification or technical deficiency. HUD will notify applicants
by facsimile or by return receipt requested. You must submit
clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD within 14 calendar days of the
date of receipt of the HUD notification. (If the due date falls on a
Saturday, Sunday, or Federal holiday, your correction must be received
by HUD on the next day that is not a Saturday, Sunday, or Federal
holiday.) If your deficiency is not corrected within this time period,
HUD will reject your application as incomplete, and it will not be
considered for funding. (Note that the Sections 202 and 811 Programs
provide for appeal of rejection of an application on technical
deficiency. Please see the Programs Sections for these programs for
additional information and instructions.)
VI. Promoting Comprehensive Approaches to Housing and Community
Development
(A) General. HUD believes the best approach for addressing
community problems is through a community-based process that provides a
comprehensive response to identified needs. This Section VI of the
General Section of the SuperNOFA describes important initiatives that
applicants should be aware of.
(B) Linking Program Activities With AmeriCorps. You are encouraged
to link your proposed activities with AmeriCorps, a national service
program engaging thousands of Americans on a full or part-time basis to
help communities address their toughest challenges, while earning
support for college, graduate school, or job training. For information
about AmeriCorps, call the Corporation for National Service at (202)
606-5000, or visit the Americorps website at www.cns.gov/americorps.
(C) Linking Program Activities with USDA. In this year's SuperNOFA,
HUD is working with the Department of Agriculture (USDA) to provide
technical assistance to public housing authorities to develop a natural
resource stewardship program to enhance the natural environment through
activities such as tree planting, creating green spaces in areas devoid
of vegetation and protecting areas from erosion and storm water runoff.
Further information about this initiative can be found on the U.S.
Forest Service website at www.fs.us/research/rvur/urban/urbanforest.html.
(D) Encouraging Visitability in New Construction and Substantial
Rehabilitation Activities. In addition to applicable accessible design
and construction requirements, you are encouraged to incorporate
visitability standards where feasible in new construction and
substantial rehabilitation projects. Visitability standards allow a
person with mobility impairments access into the home, but do not
require that all features be made accessible. Visitability means at
least one entrance at grade (no steps), approached by an accessible
route such as a sidewalk; the entrance door and all interior passage
doors are at least 2 feet 10 inches wide, allowing 32 inches of clear
passage space. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller, or a person
delivering a large appliance. Copies of the Uniform Federal
Accessibility Standards (UFAS) are available from the SuperNOFA
Information Center (1-800-HUD-8929 or 1-800-HUD-2209 (TTY)) and also
from the Office of Fair Housing and Equal Opportunity, U.S. Department
of Housing and Urban Development, Room 5230, 451 Seventh Street, SW,
Washington, DC 20410, telephone (202) 755-5404 or the TTY telephone
number, 1-800-877 8399 (Federal Information Relay Service).
(E) Encouraging Universal Design. Universal design is the design of
products and environments to be usable by all people, to the greatest
extent possible, without the need for adaptation or specialized design.
The intent of universal design is to simplify life for everyone by
making products, communications and the built environment more usable
by as many people as possible at little or no extra cost. Universal
design benefits people of all ages and abilities. In addition to any
applicable required accessibility features under section 504 of the
Rehabilitation Act of 1973 or the design and construction requirements
of the Fair Housing Act, the Department encourages applicants to
incorporate the principles of universal design when developing housing,
community facilities, electronic communication mechanisms, or when
communicating with community residents at public meetings or events.
(F) Developing Healthy Homes. HUD's Healthy Homes Initiative is one
of the initiatives developed by the White House Task Force on
Environmental Health Risks and Safety Risks to Children that was
established under Executive Order 13045 (``Protection of Children from
Environmental Health Risks and Safety Risks''). HUD encourages the
funding of activities (to the extent eligible under specific programs)
that promote healthy homes, or that promote education on what is a
healthy home. These activities may include, but are not limited to, the
following: educating homeowners or renters about the need to protect
children in their home from dangers that can arise from items such as
curtain cords, electrical outlets, hot water, poisons, fire, and sharp
table edges, among others; incorporating child safety measures in the
construction, rehabilitation or maintenance of housing, which include
but are not limited to: child safety latches on cabinets, hot water
protection devices, proper ventilation and moisture control to protect
from mold, window guards to protect children from falling, proper pest
management to prevent cockroaches which can trigger asthma, and
activities directed to control of lead-based paint hazards. The
National Lead Information Hotline is 1-800-424-5323, and information is
also available at the following website--www.hud.gov:80/health/
safehome.html.
(G) Participation in PATH. If you are applying for funds that may
be utilized for construction or rehabilitation, HUD encourages
participation in Partnership for Advancing Technology in Housing
(PATH). PATH's goal is to achieve dramatic improvement in the quality
of American housing by the year 2010. PATH encourages leaders from the
home building, product manufacturing, insurance and financial
industries and representatives from federal agencies dealing with
housing issues to work together to spur housing design and construction
innovations. PATH has a
[[Page 11655]]
FY 2001 budget of $10 million. PATH will provide technical support in
design and cost analysis of advanced technologies to be incorporated in
project construction.
Applicants should see www.pathnet.org on the Internet for more
information, the list of technologies, latest PATH Newsletter, results
from field demonstrations and PATH projects. Applicants are encouraged
to employ PATH technologies to exceed prevailing national building
practices by: reducing costs; improving durability; increasing energy
efficiency; improving disaster resistance; and reducing environmental
impact.
HUD's objective is to select projects funded under this SuperNOFA
which demonstrate high potential opportunities for application of PATH
technologies. HUD will provide technical assistance in the form of
architectural, engineering and financial analysis to incorporate the
specific technologies appropriate to the type of construction and
climate. More information about PATH is available at the following
website--www.pathnet.org/about/about.html.
(H) Bridging the Digital Divide. Bridging the Digital Divide is an
initiative whose objective is to provide access to computers to low and
moderate income families and children who do not have access and
therefore may be disadvantaged with respect to education, work and
training opportunities. HUD encourages applicants to incorporate
education and job training opportunities through initiatives such as
HUD's Neighborhood Networks and Twenty/20 Education communities in
their programs.
(1) Neighborhood Networks. The Neighborhood Networks Initiative
enhances the self-sufficiency, employability and economic self-reliance
of low-income families and the elderly living in HUD insured and HUD
assisted properties by providing them with on-site access to computer
and training resources.
(2) The Twenty/20 Education Communities Initiative. This initiative
(formerly known as Campus of Learners) is designed to transform public
housing into safe and livable communities where families undertake
training in new telecommunications and computer technology and partake
in educational opportunities and job training initiatives.
(I) Bridging the Gap Initiative. Bridging the Gap is a HUD
initiative aimed at expanding economic and skills building
opportunities offered through registered apprenticeship programs in HUD
assisted construction related and maintenance activities.
Apprenticeship programs have a long history of providing structured,
highly competent, safe and comprehensive occupational training which
produces highly qualified journey level workers. Through this
initiative, HUD seeks to encourage and promote the use of
apprenticeship programs in programs sponsored with HUD funds and to
ensure the beneficiaries of such apprenticeship programs are HUD's
client community of public housing and low-and moderate-income
residents of our nation's communities.
VII. Findings and Certifications
(A) Environmental Impact. A Finding of No Significant Impact with
respect to the environment has been made in accordance with HUD
regulations at 24 CFR part 50 that implement section 102(2)(C) of the
National Environmental Policy Act of 1969 (42 U.S.C. 4332). The Finding
of No Significant Impact is available for public inspection during
regular business hours in the Office of the General Counsel,
Regulations Division, Room 10276, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410-0500.
(B) Executive Order 13132, Federalism. Executive Order 13132
(entitled ``Federalism'') prohibits, to the extent practicable and
permitted by law, an agency from promulgating policies that have
federalism implications and either impose substantial direct compliance
costs on State and local governments and are not required by statute,
or preempt State law, unless the relevant requirements of section 6 of
the Executive Order are met. This SuperNOFA does not have federalism
implications and does not impose substantial direct compliance costs on
State and local governments or preempt State law within the meaning of
the Executive Order.
(C) Prohibition Against Lobbying Activities. You, the applicant,
are subject to the provisions of section 319 of the Department of
Interior and Related Agencies Appropriation Act for Fiscal Year 1991,
31 U.S.C. 1352 (the Byrd Amendment), which prohibits 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. You
are required to certify, using the certification found at Appendix A to
24 CFR part 87, that you will not, and have not, used appropriated
funds for any prohibited lobbying activities. In addition, you must
disclose, using Standard Form LLL, ``Disclosure of Lobbying
Activities,'' any funds, other than Federally appropriated funds, that
will be or have been used to influence Federal employees, members of
Congress, and congressional staff regarding specific grants or
contracts. Tribes and tribally designated housing entities (TDHEs)
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but tribes and TDHEs established under State law are not
excluded from the statute's coverage.
(D) Section 102 of the HUD Reform Act; Documentation and Public
Access Requirements. Section 102 of the Department of Housing and Urban
Development Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and
the regulations codified in 24 CFR part 4, subpart A, contain a number
of provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this SuperNOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this SuperNOFA 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 5-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 in 24 CFR part 15.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this SuperNOFA. Update reports (update information also
reported on Form 2880) will be made available along with the applicant
disclosure reports, but in no case for a period less than 3 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 5.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR
[[Page 11656]]
4.7 provide that HUD will publish a notice in the Federal Register to
notify the public of all decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(E) Section 103 HUD Reform Act. HUD's regulations implementing
section 103 of the Department of Housing and Urban Development Reform
Act of 1989 (42 U.S.C. 3537a), codified in 24 CFR part 4, subpart B,
apply to this funding competition. The regulations continue to apply
until the announcement of the selection of successful applicants. HUD
employees involved in the review of applications and in the making of
funding decisions are limited by the regulations from providing advance
information to any person (other than an authorized employee of HUD)
concerning funding decisions, or from otherwise giving any applicant an
unfair competitive advantage. Persons who apply for assistance in this
competition should confine their inquiries to the subject areas
permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
VIII. The FY 2001 SuperNOFA Process and Future HUD Funding
Processes
Each year, HUD strives to improve its SuperNOFA. The FY 2001
SuperNOFA was revised based on comments received during the FY 2000
funding process. HUD continues to welcome comments and feedback from
applicants and other members of the public on how HUD may further
improve its competitive funding process.
The description of programs for which funding is available under
this SuperNOFA follows this General Section and its appendices.
Dated: February 15, 2001.
Mel Martinez,
Secretary.
Appendix A-1.--List of Hud Field Offices
----------------------------------------------------------------------------------------------------------------
Jurisdiction Office Address and phone numbers
----------------------------------------------------------------------------------------------------------------
NEW ENGLAND........................ Boston, MA................. HUD--Boston Office, O'Neil Federal Building,
10 Causeway Street, Rm. 375, Boston, MA 02222-
1092, OFC PHONE (617) 565-5236
Hartford, CT............... HUD--Hartford Office, One Corporate Center,
Hartford, CT 06103-3220, OFC PHONE (860) 240-
4844
Manchester, NH............. HUD--Manchester Office, Norris Cotton Federal
Bldg., 275 Chestnut Street, Manchester, NH
03101-2487, OFC PHONE (603) 666-7510
Providence, RI............. HUD--Providence Office, 10 Weybosset Street,
Sixth Floor, Providence, RI 02903-2808, OFC
PHONE (401) 528-5352
Bangor, ME................. HUD--Bangor Office, 202 Harlow Street--Chase
Bldg., Suite 101, Bangor, ME 04401-4925, OFC
PHONE (207) 945-0468
Burlington, VT............. HUD--Burlington Office, Room 237--Federal
Building, 11 Elmwood Avenue, PO Box 879,
Burlington, VT 05401-0879, OFC PHONE (802)
951-6290
NY/NEW JERSEY...................... New York, NY............... HUD--New York Office, 26 Federal Plaza--Suite
3541, New York, NY 10278-0068, OFC PHONE
(212) 264-4377
Buffalo, NY................ HUD--Buffalo Office, Lafayette Court, 5th
Floor, 465 Main Street, Buffalo, NY 14203-
1780, OFC PHONE (716) 551-5755
Camden, NJ................. HUD--Camden Office, 2nd Floor--Hudson Bldg.,
800 Hudson Square, Camden, NJ 08102-1156, OFC
PHONE (856) 757-5088
Newark, NJ................. HUD--Newark Office--13th Floor, One Newark
Center, Newark, NJ 07102-5260, OFC PHONE
(973) 622-7619
Albany, NY................. HUD--Albany Office, 52 Corporate Circle,
Albany, NY 12203-5121, OFC PHONE (518) 464-
4200
MID-ATLANTIC....................... Philadelphia, PA........... HUD Philadelphia Office, The Wanamaker
Building, 100 Penn Square, East,
Philadelphia, PA 19107-3380, OFC PHONE (215)
656-0600
Baltimore, MD.............. HUD Baltimore Office, 5th Floor, 10 South
Howard Street, Baltimore, MD 21201-2505, OFC
PHONE (410) 962-2520
Pittsburgh, PA............. HUD Pittsburgh Office, 339 Sixth Avenue--Sixth
Floor, Pittsburgh, PA 15222-2515, OFC PHONE
(412) 644-5945
Washington, DC............. (Office Temporarily covered), HUD Washington,
DC Office, Suite 300, 820 First Street, NE.,
Washington, DC 20002-4205, OFC PHONE (202)
275-9200
Richmond, VA............... HUD Richmond Office, 3600 West Broad Street,
Richmond, VA 23230-4920, OFC PHONE (804) 278-
4500
Charleston, WV............. HUD--Charleston Office, 405 Capitol Street,
Suite 708, Charleston, WV 25301-1795, OFC
PHONE (304) 347-7036
Wilmington, DE............. HUD--Delaware State Office, One Rodney Square,
920 King Street, Suite 404, Wilmington, DE
19801, OFC PHONE (302) 573-6300
SOUTHEAST/CARRIBEAN................ Atlanta, GA................ HUD--Atlanta Office, 40 Marietta Street--Five
Points Plaza, Atlanta, GA 30303-2806, OFC
PHONE (404) 331-4111
Birmingham, AL............. HUD--Birmingham Office, Medical Forum
Building, 950 22nd St., North, Suite 900,
Birmingham, AL 35203-5301, OFC PHONE (205)
731-2630
Louisville, KY............. HUD--Louisville Office, 601 West Broadway, PO
Box 1044, Louisville, KY 40201-1044, OFC
PHONE (502) 582-5251
[[Page 11657]]
Jackson, MS................ HUD--Jackson Office, McCoy Federal Building,
100 W. Capitol Street, Room 910, Jackson, MS
39269-1096, OFC PHONE (601) 965-4700
Memphis, TN................ HUD--Memphis Office, 200 Jefferson Avenue,
Suite 1200, Memphis, TN 38103-2335, OFC PHONE
(901) 544-3403
Nashville, TN.............. HUD--Nashville Office, 235 Cumberland Bend
Drive, Suite 200, Nashville, TN 37228-1803,
OFC PHONE (615) 736-5213
Jacksonville, FL........... HUD--Jacksonville Office, 301 West Bay Street,
Suite 2200, Jacksonville, FL 32202-5121, OFC
PHONE (904) 232-2627
Miami, FL.................. HUD--Florida State Office, 909 SE First
Avenue, Miami, FL 33131, OFC PHONE (305) 536-
5676
Greensboro, NC............. HUD--Greensboro Office, Koger Building, 2306
West Meadowview Road, Greensboro, NC 27407-
3707, OFC PHONE (336) 547-4001, 4002, 4003
San Juan, PR............... HUD--Caribbean Office, 171 Carlos E. Chardon
Avenue, San Juan, PR 00918-0903, OFC PHONE
(787) 766-5201
Columbia, SC............... HUD--Columbia Office, 1835 Assembly Street,
Columbia, SC 29201-2430, OFC PHONE (803) 765-
5592
Knoxville, TN.............. HUD--Knoxville Office, 710 Locust Street, SW,
Knoxville, TN 37902-2526, OFC PHONE (423) 545-
4384
Orlando, FL................ HUD--Orlando Office, 3751 Maguire Boulevard,
Room 270, Orlando, FL 32803-3032, OFC PHONE
(407) 648-6441
Tampa, FL.................. HUD--Tampa Office, 500, Zack St., #402, Tampa,
FL 33602-3945, OFC PHONE (813) 228-2431
MIDWEST............................ Chicago, IL................ HUD--Chicago Office, Ralph Metcalfe Federal
Building, 77 West Jackson Boulevard, Chicago,
IL 60604-3507, OFC PHONE (312) 353-5680
Detroit, MI................ HUD--Detroit Office, 477 Michigan Avenue,
Detroit, MI 48226-2592, OFC PHONE (313) 226-
7900
Indianapolis, IN........... HUD--Indianapolis Office, 151 North Delaware
Street, Suite 1200, Indianapolis, IN 46204-
2526, OFC PHONE (317) 226-7034
Grand Rapids, MI........... HUD--Grand Rapids Office, Trade Center
Building, 50 Louis Street, N.W., Grand
Rapids, MI 49503-2648, OFC PHONE (616) 456-
2125
Minneapolis, MN............ HUD--Minneapolis Office, 220 Second Street,
South, Minneapolis, MN 55401-2195, OFC PHONE
(612) 370-3000
Cincinnati, OH............. HUD--Cincinnati Office, 525 Vine Street, Suite
700, Cincinnati, OH 45202-3188, OFC PHONE
(513) 684-2967
Cleveland, OH.............. HUD--Cleveland Office, 1350 Euclid Avenue,
Suite 500, Cleveland, OH 44115-1815, OFC
PHONE (216) 522-4058
Columbus, OH............... (Office Temporarily Covered), HUD--Columbus
Office, 200 North High Street, Columbus, OH
43215-2499, OFC PHONE (614) 469-2540
Milwaukee, WI.............. HUD--Milwaukee Office, 310 West Wisconsin
Avenue, Room 1380, Milwaukee, WI 53203-2289,
OFC PHONE (414) 297-3214
Flint, MI.................. HUD--Flint Office, 1101 S. Saginaw Street,
North Building, Flint, MI 48502-1953, OFC
PHONE (810) 766-5082
Springfield, IL............ HUD--Springfield Office, 320 West Washington,
7th Floor, Springfield, IL 62707, OFC PHONE
(217) 492-4120
SOUTHWEST.......................... Fort Worth, TX............. HUD--Fort Worth Office, 801 Cherry Street, PO
Box 2905, Ft. Worth, TX 76113-2905, OFC PHONE
(817) 978-5965
Dallas, TX................. HUD--Dallas Office, 525 Griffin Street, Room
860, Dallas, TX 75202-5007, OFC PHONE (214)
767-8300
Albuquerque, NM............ HUD--Albuquerque Office, 625 Silver Avenue SW,
Suite 100, Albuquerque, NM 87102-3185, OFC
PHONE (505) 346-6463
Houston, TX................ HUD--Houston Office, 2211 Norfolk, #200,
Houston, TX 77098-4096, OFC PHONE (713) 313-
2274
Lubbock, TX................ HUD--Lubbock Office, 1205 Texas Avenue, Rm.
511, Lubbock, TX 79401-4093, OFC PHONE (806)
472-7265
San Antonio, TX............ HUD--San Antonio Office, 800 Dolorosa, San
Antonio, TX 78207-4563, OFC PHONE (210) 475-
6806
Little Rock, AR............ HUD--Little Rock Office, 425 West Capitol
Avenue #900, Little Rock, AR 72201-3488, OFC
PHONE (501) 324-5401
New Orleans, LA............ HUD--New Orleans Office, Hale Boggs Bldg.--501
Magazine Street, 9th Floor, New Orleans, LA
70130-3099, OFC PHONE (504) 589-7201
Shreveport, LA............. HUD--Shreveport Office, 401 Edwards Street,
Rm. 1510, Shreveport, LA 71101-3289, OFC
PHONE (318) 676-3440
Oklahoma City, OK.......... HUD--Oklahoma City Office, 500 W. Main Street,
Suite 400, Oklahoma City, OK 73102-2233, OFC
PHONE (405) 553-7500
Tulsa, OK.................. HUD Tulsa Office, 50 East 15th Street Tulsa,
OK 74119-4030, OFC PHONE (918) 581-7496
[[Page 11658]]
GREAT PLAINS....................... Kansas City, KS............ HUD--Kansas City Office, 400 State Avenue,
Room 200, Kansas City, KS 66101-2406, OFC
PHONE (913) 551-5462
Omaha, NE.................. HUD--Omaha Office, 10909 Mill Valley Road,
Suite 100, Omaha, NE 68154-3955, OFC PHONE
(402) 492-3103
St. Louis, MO.............. HUD--St. Louis Office, 1222 Spruce Street
#3207, St. Louis, MO 63103-2836, OFC PHONE
(314) 539-6560
Des Moines, IA............. HUD--Des Moines Office, 210 Walnut Street,
Room 239, Des Moines, IA 50309-2155, OFC
PHONE (515) 284-4573
ROCKY MOUNTAINS.................... Denver, CO................. HUD--Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC PHONE (303)
672-5440
Salt Lake City, UT......... HUD--Salt Lake City Office, 257 East, 200
South, Rm. 550, Salt Lake City, UT 84111-
2048, OFC PHONE (801) 524-6071
Helena, MT................. HUD--Helena Office, 7 West Sixth Avenue, Power
Block Building, Helena, MT 59601, OFC PHONE
(406) 449-5048
Sioux Falls, SD............ HUD--Sioux Falls Office, 2400 West 49th
Street, Rm. I-201, Sioux Falls, SD 57105-
6558, OFC PHONE (605) 330-4223
Fargo, ND.................. HUD--Fargo Office, 657 2nd Avenue North, Room
366, Fargo, ND 58108, OFC PHONE (701) 239-
5040
Casper, WY................. HUD--Wyoming Office, 150 East B Street, Room
1010, Casper, WY 82601-1969, OFC PHONE (307)
261-6250
PACIFIC/HAWAII..................... San Francisco, CA.......... HUD--San Francisco Office, 450 Golden Gate
Avenue, Box 36003, San Francisco, CA 94102-
3448, OFC PHONE (415) 436-6532
Honolulu, HI............... HUD--Honolulu Office, 7 Waterfront Plaza, #500
Ala Moana Blvd. #500, Honolulu, HI 96813-
4918, OFC PHONE (808) 522-8175
Los Angeles, CA............ HUD--Los Angeles Office, 611 W. Sixth Street,
Suite 800, Los Angeles, CA 90017, OFC PHONE
(213) 894-8007
Sacramento, CA............. HUD--Sacramento Office, 925 L Street,
Sacramento, CA 95814, OFC PHONE (916) 498-
5220
Reno, NV................... HUD--Reno Office, 3702 S. Virginia Street,
Suite G-2, Reno, NV 89502-6581, OFC PHONE
(775) 784-5383
San Diego, CA.............. HUD--San Diego Office, Symphony Towers, 750 B
Street, Suite 1600, San Diego, CA 92101-8131,
OFC PHONE (619) 557-5310
Las Vegas, NV.............. HUD--Las Vegas Office, 333 N. Rancho Drive-
Atrium Bldg., Suite 700, Las Vegas, NV 89106-
3714, OFC PHONE (702) 388-6208/6500
Phoenix, AZ................ HUD--Phoenix Office, 400 North Fifth Street,
Suite 1600, Phoenix, AZ 85004-2361, OFC PHONE
(602) 379-4434
Santa Ana, CA.............. HUD--Santa Ana Office, 1600 N. Broadway, Suite
100, Santa Ana, CA 92706-3927, OFC PHONE
(714) 796-5577
Tucson, AZ................. HUD--Tucson Office, 33 North Stone Avenue
#700, Tucson, AZ 85701-1467, OFC PHONE (520)
670-6000
Fresno, CA................. HUD--Fresno Office, 2135 Fresno Street, Suite
100, Fresno, CA 93721-1718, OFC PHONE (559)
487-5032
NORTHWEST/ALASKA................... Seattle, WA................ HUD--Seattle Office, 909 First Avenue, Suite
200, Seattle, WA 98104-1000, OFC PHONE (206)
220-5101
Portland, OR............... HUD--Portland Office, 400 SW 6th Avenue #700,
Portland, OR 97204-1632, OFC PHONE (503) 326-
2561
Anchorage, AK.............. HUD--Anchorage Office, 949 East 36th Avenue,
Suite 401, Anchorage, AK 99508-4399, OFC
PHONE (907) 271-4170
Boise, ID.................. HUD--Boise Office, Suite 220, Plaza IV, 800
Park Boulevard, Boise, Idaho 83712-7743, OFC
PHONE (208) 334-1990
Spokane, WA................ HUD--Spokane Office, US Courthouse Bldg., 920
W. Riverside, Suite 588, Spokane, WA 99201-
1010, OFC PHONE (509) 353-0682
----------------------------------------------------------------------------------------------------------------
Appendix A-2--List of EZs, ECs, Urban Enhanced Enterprise
Communities, Strategic Planning Communities
AK, Anchorage
Ms. Linda Yarbrough, Municipality of Anchorage, Department of
Community Planning and Development, P.O. Box 196650, Anchorage, AK
99501, 907-343-4303 (Phone), 907-343-4220 (Fax)
Terrence Booth, Metlakatla Indian Enterprise Community, Metlakatla,
AK 99926, 907-886-4441 (Phone), 907-886-7997 (Fax)
AL, Anniston
David Umling, Chambers County Enterprise Community, Anniston, AL
36202, 256-237-6741 (Phone), 256-237-6763 (Fax)
AL, Birmingham
Mr. Keith Strother, City of Birmingham, 710 N. 20th St. City Hall,
Third Floor, Birmingham, AL 35203, 205-254-2870 (Phone), 205-254-
7741 (Fax)
AL, Epes
John Zippert, Greene and Sumter Enterprise Community, Epes, AL
35460, 205-652-9676 (Phone), 205-652-9678 (Fax)
AR, Blytheville
Sam Scruggs, Mississippi County Enterprise Community, Blytheville,
AR 72316, 870-532-2348 (Phone), 870-532-2625 (Fax)
AR, Forrest City
Robert Cole, Eastern Arkansas Enterprise Community, Forrest City, AR
72335, 870-630-2005 (Phone), 870-630-2035 (Fax)
AR, Little Rock
Mr. Henry L. McHenry, County of Pulaski, Enterprise Community
Alliance, Inc., 3805 W. 12th St. Suite 205, Little Rock, AR
[[Page 11659]]
72204, 501-379-1543 (Phone), 501-379-1571 (Fax)
AZ, Douglas
Art Macias, Jr., Arizona Border Region Enterprise Community,
Douglas, AZ 85607, 520-364-7501 (Phone), 520-364-7507 (Fax)
AZ, Nogales
Laura Ornelas, Arizona Border Region Enterprise Community, Nogales,
AZ 85621, 520-287-6571 (Phone), 520-287-9159 (Fax)
AZ, Phoenix
Steve Capobres, Arizona Border Region Enterprise Community, Phoenix,
AZ 85012-1920, 602-280-1365 (Phone), 602-280-1470 (Fax)
Ms. Jennifer Harper, City of Phoenix, Department of Neighborhood
Services, 200 W. Washington St. Fourth Floor, Phoenix, AZ 85003-
1611, 602-262-4730 (Phone), 602-534-1555 (Fax)
AZ, San Luis
Frank Carrillo, Arizona Border Region Enterprise Community, San
Luis, AZ 85349, 520-627-2027 (Phone), 520-627-3879 (Fax)
AZ, Window Rock
Anthony Perry, Four Corners Enterprise Communities (Navajo Nation,
Window Rock, AZ 86515, 520 871-6504 (Phone), 520-871-7381 (Fax)
CA, El Centro
Ken Hollis, Imperial County Enterprise Community, El Centro, CA
92243, 760-337-7814 (Phone), 760-337-8907 (Fax)
CA, Fresno
Becki Mendibles Central California Enterprise Community, Fresno, CA
93727, 559-452-0881 (Phone), 559-452-8038 (Fax)
CA, Indio
John Thurman, Desert Communities Empowerment Zone, Indio, CA 92201,
760-863-8225 (Phone), 760-863-7049 (Fax)
CA, Los Angeles
Ms. Alicia DeCastro, City of Los Angeles, Department of Community
Development, 215 W. Sixth St., Third Floor, Los Angeles, CA 90014,
213-485-1023 (Phone), 213-847-0890 (Fax)
Mr. Robert Perez, City of Los Angeles, Department of Community
Development, 215 W. Sixth St., Third Floor, Los Angeles, CA 90014,
213-485-8161 (Phone), 213-847-0890 (Fax)
CA, Oakland
Mr. Mahlon Harmon, One Stop Capital Shop, 519 17th St. Sixth Floor,
Oakland, CA 94612-2032, 510-238-2353 (Phone), 510-238-7999 (Fax)
CA, San Diego,
Ms. Bonnie Contreras, City of San Diego, Division of Economic
Development, 1200 Third Ave. Suite 1300, San Diego, CA 92101-3863,
619-236-6846 (Phone), 619-533-6515 (Fax)
CA, San Francisco
Ms. Anna Yee, City of San Francisco, Enterprise Community Program,
25 Van Ness Ave. Suite 700, San Francisco, CA 94102, 415-252-3130
(Phone), 415-252-3110 (Fax)
CA, Santa Ana
Ms. Shawna Lahey, City of Santa Ana, Community Development Agency,
P.O. Box 1988, Santa Ana, CA 92702, 714-647-5372 (Phone), 714-647-
6580 (Fax)
CA, Watsonville
Anna Espinoza, Watsonville/City of Santa Cruz Enterprise Community,
Watsonville, CA 95076, 831-763-4033 (Phone), 831-761-0736 (Fax)
CO, Denver
Mr. Ernest Hughes, City and County of Denver, Community Planning and
Development Agency, 216 16th St. Suite 1400, Denver, CO 80202, 720-
913-1547 (Phone), 720-913-1800 (Fax)
CT, Bridgeport
Ms. Janice B. Willis, City of Bridgeport, Office of Central Grants,
999 Broad St. City Hall Annex Chase Bldg., Bridgeport, CT 06604,
203-332-5662 (Phone), 203-332-3060 (Fax)
CT, New Haven
Ms. Diana E. Edmonds, City of New Haven, Office of Business
Development, 200 Orange St. Fifth Floor, New Haven, CT 06510, 203-
946-7727 (Phone), 203-946-8049 (Fax)
Ms. Sherri Killins, Empower New Haven, Inc., 59 Elm St. Fourth
Floor, Suite 410, New Haven, CT 06510, 203-776-2777 (Phone), 203-
776-0537 (Fax)
DC, Washington
Ms. Judy Brown, Enterprise Community Programs, Office of Economic
Development EZ/EC Urban Task Force, 801 N. Capitol St., Sixth Floor,
Washington, DC 20002, 202-442-7205 (Phone), 202-442-7090 (Fax)
DE, Wilmington
Ms. Edwina Bell-Mitchell, Wilmington Enterprise Community/New Castle
County, 800 French St. Louis L. Redding Bldg., Ninth Floor,
Wilmington, DE 19801, 302-571-4472 (Phone), 302-571-4326 (Fax)
FL, Marianna
Bill Stanton, Jackson County Enterprise Community, Marianna, FL
32447, 850-526-4005 (Phone), 850-526-4008 (Fax)
Stan Whitehurst, Jackson County Enterprise Community, Marianna, FL
32447, 850-526-7669 (Phone), 850-526-4008 (Fax)
FL, Miami
Mr. Bryan K. Finnie, Miami-Dade Empowerment Trust, Inc., 140 W.
Flagler St., Suite 1107, Miami, FL 33130, 305-372-7620 (Phone), 305-
372-7629 (Fax)
FL, Naples
Barbara Cacchione, Empowerment Alliance of Southwest Florida EC,
Naples, FL 34103, 941-649-5000 (Phone), 941-649-5337 (Fax)
FL, Tampa
Ms. Jeanette LaRussa-Fenton, City of Tampa, Department of Business
and Community Services, 2105 N. Nebraska Ave. Ybor Service Center,
Tampa, FL 33602-2529, 813-274-7966 (Phone), 813-274-7927 (Fax)
GA, Albany
Ms. Julie Duke, City of Albany, Office of the City Manager, P.O. Box
447, Albany, GA 31702, 229-431-3234 (Phone), 229-431-3223 (Fax)
GA, Atlanta
Ms. Charisse Richardson, Atlanta Empowerment Zone Corp., 675 Ponce
De Leon Ave., N.E. City Hall East, Second Floor, Atlanta, GA 30308,
404-853-7610 (Phone), 404-853-7315 (Fax)
GA, Augusta
Hilda Alexander, CSRA Enterprise Community, Augusta, GA 30904, 706-
667-4179 (Phone), 706-737-1459 (Fax)
GA, Cordele
Robert Cooke, Southwest Georgia United Empowerment Zone, Cordele, GA
31010, 912-273-9111 (Phone), 912-276-0450 (Fax)
Bambi Hayes, Southwest Georgia United Empowerment Zone, Cordele, GA
31010, 912-273-9111 (Phone), 912-276-0450 (Fax)
HI, Kaunakakai
Stacy Crivello, Molokai Enterprise Community, Kaunakakai, HI 96748,
808-553-5123 (Phone), 808-553-3735 (Fax)
Karen M. Holt, Molokai Enterprise Community, Kaunakakai, HI 96748,
808-553-3244 (Phone), 808-553-3370 (Fax)
IA, Des Moines
Ms. Caroline Gathright, City of Des Moines, Division of Neighborhood
Planning, 602 E. First St., Des Moines, IA 50309, 515-283-4151
(Phone), 515-237-1713 (Fax)
IL, Chicago
Mr. Wallace Goode, City of Chicago, 20 N. Clark St., 28th Floor,
Chicago, IL 60602-5086, 312-744-9623 (Phone), 312-744-9696 (Fax)
IL, E. St. Louis
Mr. Ralph Muhammed, East St. Louis Enterprise Community, 301 River
Park Dr., Third Floor, E. St. Louis, IL 62201, 618-482-6642 (Phone),
618-482-6788 (Fax)
IL, Springfield
Ms. Cleatia Bowen, City of Springfield, Office of Economic
Development, 231 S. Sixth St., Springfield, IL 62701, 217-789-2377
(Phone), 217-789-2380 (Fax)
IL, Ullin
Donna Raynalds, Southernmost Illinois Delta Empowerment Zone, Ullin,
IL 62992, 618-634-9471 (Phone), 618-634-9452 (Fax)
[[Page 11660]]
IN, Austin
Donald Campbell, Town of Austin Enterprise Community, Austin, IN
47102, 812-794-2877 (Phone), 812-794-2859 (Fax)
Charlotte Mathis, Town of Austin Enterprise Community, Austin, IN
47102, 812-794-9446 (Phone), 812-794-8765 (Fax)
IN, East Chicago
Mr. John D. Artis, City of East Chicago, Department of Redevelopment
and Housing Authority, P.O. Box 498, East Chicago, IN 46312-0498,
219-397-9974 (Phone), 219-397-4249 (Fax)
IN, Gary
Ms. Venus Cobb, City of Gary, Empowerment Zone Office, 840 Broadway
First Floor, Gary, IN 46404, 219-886-9047 (Phone), 219-886-9051
(Fax)
IN, Hammond
Ms. Rocharda Moore-Harris, City of Hammond, Department of Planning,
649 Conkey St., Hammond, IN 46324, 219-853-6371 (Phone), 219-853-
6334 (Fax)
IN, Indianapolis
Ms. Renia Colbert, City of Indianapolis, Division of Community
Development and Financial Services, 200 E. Washington St., City
County Bldg., Suite 1841, Indianapolis, IN 46204, 317-327-5869
(Phone), 317-327-5908 (Fax)
KS, Leoti
Sharla Krenzel, Wichita County Enterprise Community, Leoti, KS
67861, 316-375-2182 (Phone), 316-375-4350 (Fax)
Elmer Ridder, Wichita County Enterprise Community, Leoti, KS 67861,
316-375-2731 (Phone), 316-375-4350 (Fax)
KY, Bowling Green
Lisa Ryan, City of Bowling Green Enterprise Community, Bowling
Green, KY 42102-0430, 270-393-3658 (Phone), 502-393-3698 (Fax)
KY, London
Jerry Rickett, Kentucky Highlands Empowerment Zone, London, KY
40743, 606-864-5175 (Phone), 606-864-5194 (Fax)
KY, Louisville
Mr. Walter Munday, City of Louisville, Empowerment Zone Community,
200 S. Seventh St., Louisville, KY 40202, 502-574-2682 (Phone), 502-
574-4227 (Fax)
KY, Whitley City
Bruce Murphy, McCreary County Enterprise Community, Whitley City, KY
42653, 606-376-2413 (Phone), 606-376-9499 (Fax)
LA, Ferriday
Chip Rogers, Macon Ridge Enterprise Community, Ferriday, LA 71334,
318-757-3033 (Phone), 318-757-4212 (Fax)
LA, Monroe
Mr. Eric Loewe, Ouachita Enterprise Community, P.O. Box 4268,
Monroe, LA 71211, 318-329-4031 (Phone), 318-329-4034 (Fax)
LA, New Orleans
Ms. Thelma H. French, City of New Orleans, Office of Federal and
State Programs, 1300 Perdido St., Room 2E04, New Orleans, LA 70112,
504-565-6445 (Phone), 504-565-6423 (Fax)
LA, Tallulah
Moses Jr. Williams, Northeast Louisiana Delta Enterprise Community,
Tallulah, LA 71282, 318-574-0995 (Phone), 318-574-3132 (Fax)
MA, Lowell
Ms. Kathy Muldoon, City of Lowell, Department of Planning and
Development, 50 Arcand Dr., City Hall, JFK Civic Center Bldg.,
Lowell, MA 01852, 978-446-7150 (Phone), 978-446-7014 (Fax)
MA, Roxbury
Mr. Reginald Nunnally, Boston Empowerment Zone, Boston Business
Assistance Center, 20 Hampdon St., Roxbury, MA 02119, 617-445-3413
(Phone), 617-445-5675 (Fax)
MA, Springfield
Mr. Miguel Rivas, City of Springfield, Department of Community
Development, 36 Court St., City Hall, Room 313, Springfield, MA
01103, 413-750-2240 (Phone), 413-787-6027 (Fax)
MD, Baltimore
Ms. Diane Bell, Empower Baltimore Management Corp., 34 Market Place,
Suite 800, Baltimore, MD 21202, 410-783-4400 (Phone), 410-783-0526
(Fax)
ME, Lewiston
Carole J. Ansheles, City of Lewiston Enterprise Community, Lewiston,
ME 04240-7282, 207-777-5144 (Phone), 207-786-4412 (Fax)
MI, Detroit
Ms. Denise Gray, Detroit Empowerment Zone Development Corp., One
Ford Place, Suite 1F, Detroit, MI 48202, 313-872-8050 (Phone), 313-
872-8002 (Fax)
MI, Flint
Ms. Nancy Jurkiewicz, City of Flint, Flint Area Enterprise
Community, 805 Welch Blvd., Flint, MI 48504, 810-341-1499 (Phone),
810-766-7351 (Fax)
MI, Harrison
Edward Kerr, Clare County Enterprise Community, Harrison, MI 48625-
0439, 517-539-7805 (Phone), 517-539-2791 (Fax)
MI, Muskegon
Ms. Cathy Brubaker-Clarke, City of Muskegon, Department of Community
and Economic Development, P.O. Box 536, Muskegon, MI 49443-0536,
231-724-6702 (Phone), 231-724-6790 (Fax)
MI, Scottville
Mary L. Trucks, Lake County Enterprise Community, Scottville, MI
49454, 616-757-3785 (Phone), 616-757-9669 (Fax)
MN, Minneapolis
Ms. Kim W. Havey, Minneapolis Empowerment Zone, 350 S. Fifth St.,
City Hall, Room 200, Minneapolis, MN 55415, 612-673-5415 (Phone),
612-673-3724 (Fax)
MN, St. Paul
Mr. Jeremy Lenz, City of St. Paul, Department of Planning and
Economic Development, 25 W. Fourth St., 1200 City Hall Annex, St.
Paul, MN 55102, 651-266-6603 (Phone), 651-228-3341 (Fax)
MO, East Prairie
Martha Ellen Black, City of East Prairie Enterprise Community, East
Prairie, MO 63845, 573-649-3731 (Phone), 573-649-5028 (Fax)
MO, Kansas City
Ms. Marlene Nagel, Mid-American Regional Council (MARC), 600
Broadway 300 Rivergate Center, Kansas City, MO 64105-1554, 816-474-
4240 (Phone), 816-421-7758 (Fax)
MO, St. Louis
Ms. A. Danine Lard, Greater St., Louis Regional Empowerment Zone
Management, 1015 Locust St., Suite 1030, St. Louis, MO 63101, 314-
622-3400 (Phone), 314-436-7983 (Fax)
MS, Itta Bena
Arthur Peyton, Mid-Delta Empowerment Zone, Itta Bena, MS 38941, 662-
254-9957 (Phone), 662-254-9941 (Fax)
MS, Jackson
Mr. Roosevelt T. Sanders, Jackson Urban Enterprise Community
Council, Inc., P.O. Box 10353, Jackson, MS 39289, 601-949-7879
(Phone), 601-981-2407 (Fax)
MS, Sardis
Stuart Guernsey, North Delta Enterprise Community, Sardis, MS 38666,
662-487-1968 (Phone), 662-487-0088 (Fax)
MT, Poplar
Mark Sansaver, Fort Peck Assiniboine and Sioux Tribe EC, Poplar, MT
59255, 406-768-3155 (Phone), 406-768-3581 (Fax)
NC, Charlotte
Mr. Franklin McCrary, Jr., City of Charlotte, Department of
Neighborhood Development, 600 E. Trade St., Charlotte, NC 28202,
704-336-5577 (Phone), 704-336-2527 (Fax)
NC, Lumberton
Cynthia Johnson, Robeson County Enterprise Community, Lumberton, NC
28358, 910-618-0722 (Phone), 910-618-1504 (Fax)
NC, Rocky Mount
Terri Anderson, Halifax/Edgecombe/Wilson Enterprise Community, Rocky
Mount, NC 27802, 252-972-1609 (Phone), 252-972-1590 (Fax)
ND, Cando
Joanne Rodenbiker, Center of North America REAP Zone, Cando, ND
58324, 701-968-3314 (Phone), 701-968-1747 (Fax)
[[Page 11661]]
ND, Dickenson
Shirley Brentrup, Southwest REAP Zone, Dickenson, ND 58601, 701-227-
1241 (Phone),
ND, Finley
Kim Sheffield, Griggs-Steele Empowerment Zone, Finley, ND 58230,
701-524-2240 (Phone), 701-524-2241 (Fax)
NE, Omaha
Mr. Herb Patten, City of Omaha, Omaha Enterprise Community/
Enterprise Zone, 2421 N. 24th St., Blue Lion Centre, Omaha, NE
68110-2282, 402-444-3514 (Phone), 402-444-3755 (Fax)
NH, Manchester
Mr. William J. Jabjiniak, City of Manchester, Department of Planning
and Community Development, One City Hall Plaza, Manchester, NH
03101, 603-624-6505 (Phone), (603-624-6529 (Fax)
NJ, Bridgeton
Mr. Gerard Velasquez, Cumberland Empowerment Zone Corp., 50 E. Broad
St., Bridgeton, NJ 08302, 856-459-1700 (Phone), 856-459-4099 (Fax)
NJ, Camden
Mr. Richard H. Cumming, Jr., Camden Empowerment Zone Corp., 817
Carpenter St., Hudson Square Complex, Camden, NJ 08102, 856-365-0300
(Phone), 856-365-1058 (Fax)
NJ, Newark
Ms. Angela Corbo, City of Newark, Department of Administration, 920
Broad St., City Hall, Room B-16, Newark, NJ 07102, 973-733-4331
(Phone), 973-733-3769 (Fax)
NM, Albuquerque
Ms. Sylvia Fettes, City of Albuquerque, Department of Family and
Community Services, P.O. Box 1293, Albuquerque, NM 87103, 505-768-
2932 (Phone), 505-768-3204 (Fax)
NM, Deming
Richard McInturff, City of Deming Enterprise Community, Deming, NM
88031, 505-546-8848 (Phone), 505-546-6442 (Fax)
John Strand, City of Deming Enterprise Community, Deming, NM 88031,
505-546-8848 (Phone), 505-546-6442 (Fax)
NM, Penasco
Ron Martinez, La Jicarita Enterprise Community, Penasco, NM 87553,
800-458-7323 (Phone), 505-587-1687 (Fax)
NV, Las Vegas
Mr. Douglas Bell, County of Clark, Department of Community Resources
Management, P.O. Box 551212, Las Vegas, NV 89106-1212, 702-455-5025
(Phone), 702-455-5038 (Fax)
NY, Bronx
Ms. Maria Canales, Bronx Overall Economic Development Corp., 198 E.
161st St., Suite 201, Bronx, NY 10451, 718-590-6201 (Phone), 718-
590-3499 (Fax)
NY, Buffalo
Ms. Paula Alcala Rosner, City of Buffalo, Federal Enterprise
Community of Buffalo, Inc., 911 City Hall, Buffalo, NY 14202, 716-
851-5032 (Phone), 716-851-4388 (Fax)
NY, Ferndale
Rick Bishop, Sullivan-Wawarsing REAP Zone, Ferndale, NY 12734, 845-
295-2632 (Phone), 845-295-2633 (Fax)
NY, New York
Mr. Fernando Fernandez, Upper Manhattan Empowerment Zone Development
Corp., Department of Community Affairs, 290 Lenox Ave. Third Floor,
New York, NY 10027, 212-410-0030 (Phone), 212-410-9616 (Fax)
Mr. George Glatter, City of New York, Department of Business
Services, 110 William St., Third Floor, New York, NY 10038, 212-513-
6442 (Phone), 212-618-8987 (Fax)
Mr. James Ilako, New York EZ Corp., 633 Third Ave. 32nd Floor, New
York, NY 10017, 212-803-3235 (Phone), 212-803-3294 (Fax)
Mr. Marion Phillips, III, New York Empowerment Zone Corp., 633 Third
Ave. 32nd Floor, New York, NY 10017, 212-803-3240 (Phone), 212-803-
3294 (Fax)
Ms. June Van Brackle, City of New York, Mayor's Office of the New
York City EZ, 100 Gold St., Second Floor, New York, NY 10038, 212-
788-6777 (Phone), 212-788-2718 (Fax)
NY, Newburgh
Ms. Sharon Hyder, Kingston-Newburgh Enterprise Corp., 62 Grand St.,
Suite 211, Newburgh, NY 12550, 914-569-1680 (Phone), 914-569-1630
(Fax)
NY, Owego
Michael Morse, Tioga County REAP Zone, Owego, NY 13827, 607-687-8254
(Phone), 607-687-1435 (Fax)
NY, Rochester
Mr. Philip Banks, City of Rochester, Department of Economic
Development, 30 Church St., Room 005A, Rochester, NY 14614, 716-428-
6965 (Phone), 716-428-6042 (Fax)
NY, Schenectady
Mr. Anthony Tozzi, City of Schenectady, Department of Development,
Jay St., Schenectady, NY 12305, 518-382-5054 (Phone), 518-382-5275
(Fax)
OH, Akron
Mr. Jerry Egan, City of Akron, Department of Planning and Urban
Development, 166 S. High St., Akron, OH 44308-1628, 330-375-2090
(Phone), 330-375-2387 (Fax)
OH, Cincinnati
Ms. Susan Paddock, City of Cincinnati, 801 Plum St., City Hall, Room
104, Cincinnati, OH 45202, 513-352-4648 (Phone), 513-352-2458 (Fax)
OH, Cleveland
Ms. Valarie McCall, Cleveland Empowerment Zone, 601 Lakeside Ave.
City Hall, Room 335, Cleveland, OH 44114, 216-664-2804 (Phone), 216-
420-8522 (Fax)
OH, Columbus
Mr. Jon C. Beard, Columbus Compact Corp., 1000 E. Main St.,
Columbus, OH 43205, 614-251-0926 (Phone), 614-251-2243 (Fax)
OH, Portsmouth
Bob Walton, Greater Portsmouth Enterprise Community, Portsmouth, OH
45662, 740-354-7541 (Phone), 740-354-3933 (Fax)
OK, Ada
Chris Fields, Tri-County Indian Nations Enterprise Community, Ada,
OK 74820, 580-310-2264 (Phone), 580-436-0236 (Fax)
OK, Hugo
Bob Yandell, Southeast Oklahoma EC, Hugo, OK 74743, 580-326-3351
(Phone), 580-326-2305 (Fax)
OK, Oklahoma City
Mr. Carl D. Friend, City of Oklahoma City, Division of Community
Development, 420 W. Main St., Suite 920, Oklahoma City, OK 73102,
405-297-2574 (Phone), 405-297-3796 (Fax)
OR, Cave Junction
Tena Marrington, Illinois Valley Community Response Team, Cave
Junction, OR 97523, 541-592-2838 (Phone), 541-592-4106 (Fax)
OR, Portland
Ms. Regena S. Warren, County of Multnomah, 421 S.W. Sixth Ave. Suite
200, Portland, OR 97204, 503-988-3020 (Phone), 503-988-3710 (Fax)
OR, Wolf Creek
Louise Dix, Josephine County Enterprise Community, Wolf Creek, OR
97497, 541-866-2600 (Phone), 541-866-2449 (Fax)
PA, Harrisburg
Ms. Terri Martini, City of Harrisburg, Department of Building and
Housing Development, Ten N. Second St., MLK City Government Center,
Suite 206, Harrisburg, PA 17101-1681, 717-255-6408 (Phone), 717-255-
6421 (Fax)
PA, Lock Haven
Maria Boileau, City of Lock Haven Enterprise Community, Lock Haven,
PA 17745, 570-893-5907 (Phone), 570-893-5905 (Fax)
PA, Philadelphia
Ms. Eva Gladstein, City of Philadelphia, 1515 Arch St., I Pkwy.
Ninth Floor, Philadelphia, PA 19103, 215-683-0462 (Phone), 215-683-
0493 (Fax)
PA, Pittsburgh
Ms. Joan Blaustein, City of Pittsburgh, Department of Planning, 200
Ross St., Fourth Floor, Pittsburgh, PA 15219, 412-255-2206 (Phone),
412-255-2838 (Fax)
PA, Uniontown
Joanne Hunt, Fayette Enterprise Community, Uniontown, PA 15401, 724-
437-7913 (Phone), 724-437-7315 (Fax)
[[Page 11662]]
RI, Providence
Ms. Kim Santos Rose, The Providence Plan, 56 Pine St., Suite 3B,
Providence, RI 02903, 401-455-8880 (Phone), 401-331-6840 (Fax)
SC, Allendale
Manuel, Tammy ``Lynn'' Futch, Allendale County ALIVE Enterprise
Community, Allendale, SC 29810, 803-584-3600 (Phone), 803-584-0700
(Fax)
Henry Lefite, Allendale County ALIVE Enterprise Community,
Allendale, SC 29810, 803-584-7117 (Phone), 803-584-0700 (Fax)
SC, Charleston
Ms. Geona Shaw Johnson, City of Charleston, Department of Housing
and Community Development, 75 Calhoun St., Third Floor, Charleston,
SC 29401, 843-973-7285 (Phone), 843-720-3836 (Fax)
SC, Columbia
Mr. Milton Smalls, Sumter/Columbia Empowerment Zone, Department of
Community Service, 1225 Laurel St., Columbia, SC 29201, 803-733-8314
(Phone), 803-733-8312 (Fax)
SC, Kingstree
John H. Whittleton, Williamsburg/Lake City Enterprise Community,
Kingstree, SC 29558, 843-354-9070 (Phone), 843-354-3252 (Fax)
SC, Sumter
Mr. Talmadge Tobias, City of Sumter, P.O. Box 1449, Sumter, SC
29151-1449, 803-436-2577 (Phone), 803-436-2615 (Fax)
SD, Kyle
Head Herb Wounded, Oglala Sioux-Pine Ridge Empowerment Zone, Kyle,
SD 57752, 605-455-1570 (Phone), 605-455-1571 (Fax)
SD, Yale
Lori Hintz, Beadle & Spink Enterprise Community, Yale, SD 57752,
605-599-2991 (Phone), 605-599-2992 (Fax)
TN, Huntsville
Leslie Winningham, Scott-McCreary Enterprise Community, Huntsville,
TN 37756, 423-663-3280 (Phone), 423-663-3290 (Fax)
TN, Knoxville
Ms. Jeanette Kelleher, City of Knoxville, Department of Community
Development, P.O. Box 1631, Knoxville, TN 37901, 865-215-2116
(Phone), 865-215-2962 (Fax)
Ms. Sherry Kelley Marshall, Partnership for Neighborhood
Improvement, P.O. Box 2464, Knoxville, TN 37901, 865-251-5300
(Phone), 865-522-5085 (Fax)
TN, Memphis
Mr. Joseph C. Gibbs, City of Memphis, Business Development Center,
555 Beale St., Memphis, TN 38103-3297, 901-526-9300 (Phone), 901-
525-2357 (Fax)
John Sicola, Fayette/Haywood Enterprise Community, Memphis, TN
38103, 901-545-4610 (Phone), 901-545-3519 (Fax)
TN, Nashville
Mr. Paul Johnson, Metropolitan Development and Housing Agency,
Department of Community Development, 701 S. Sixth St., Nashville, TN
37206, 616-252-8543 (Phone), 615-252-8559 (Fax)
TN, Rutledge
Marvin Hammond, Clinch-Powell Enterprise Community, Rutledge, TN
37861, 865-828-5927 (Phone), 865-828-5212 (Fax)
Lindy Turner, Clinch-Powell Enterprise Community, Rutledge, TN
37861, 865-828-5927 (Phone), 865-828-5212 (Fax)
TX, Dallas
Mr. Mark G. Obeso, City of Dallas, Department of Housing, 1500
Marilla St., Suite 6D N., Dallas, TX 75201, 214-670-3601 (Phone),
214-670-0156 (Fax)
TX, El Paso
Ms. Cecilia Vazquez, El Paso Empowerment Zone, 201 S. Main St.,
Suite 1603, El Paso, TX 79901, 915-351-1680 (Phone), 915-351-1679
(Fax)
TX, Houston
Ms. Judith Garrett Butler, City of Houston, Office of the Mayor,
P.O. Box 1562, Houston, TX 77252-1562, 713-247-2666 (Phone), 713-
247-3985 (Fax)
TX, Mercedes
Yvonne ``Bonnie'' Gonzalez, Rio Grande Valley Empowerment Zone,
Mercedes, TX 78570, 956-514-4000 (Phone), 956-514-4007 (Fax)
TX, San Antonio
Mr. Curley Spears, City of San Antonio, Department of Housing and
Community Development, 419 S. Main St., Suite 200, San Antonio, TX
78204, 210-207-6605 (Phone), 210-886-0006 (Fax)
TX, Uvalde
Tammye Carpinteyro, Futuro Enterprise Community, Uvalde, TX 78801,
830-278-6817 (Phone), 830-278-6905 (Fax)
TX, Waco
Mr. George Johnson, Jr., City of Waco, 300 Austin Ave., Waco, TX
76701-2570, 254-750-5640 (Phone), 254-750-5880 (Fax)
UT, Blanding
Larry Rogers, Four Corners Enterprise Community, Blanding, UT 84511,
435-678-1468 (Phone), 435-678-1464 (Fax)
UT, Ogden
Ms. Karen Thurber, City of Ogden, Department of Neighborhood
Development, 2484 Washington Blvd. Suite 211, Ogden, UT 84401, 801-
629-8943 (Phone), 801-629-8902 (Fax)
VA, Nassawadox
Arthur Carter, Accomack/Northampton Enterprise Community,
Nassawadox, VA 23413, 757-442-4509 (Phone), 757-442-7530 (Fax)
VA, Norfolk
Mr. Landis Faulcon, Norfolk Works, Inc., Empowerment 2010, 201
Granby St., Suite 100A, Norfolk, VA 23510, 757-624-8650 (Phone),
757-622-4623 (Fax)
VT, Burlington
Ms. Margaret Bozik, City of Burlington, Office of Community and
Economic Development, 149 Church St., City Hall, Room 32,
Burlington, VT 05401, 802-865-7171 (Phone), 802-865-7024 (Fax)
WA, Colville
Martin E. Wold, Five Star Enterprise Community, Colville, WA 99114,
509-684-4571 (Phone), 509-684-4788 (Fax)
WA, Seattle
Mr. Ben Wolters, City of Seattle, Office of Economic Development,
600 Fourth Ave., Seattle Municipal Bldg., Room 205, Seattle, WA
98104-1826, 206-684-8591 (Phone), 206-684-0379 (Fax)
WA, Sunnyside
Mike Gregory, Lower Yakima County Enterprise Community, Sunnyside,
WA 98944, 509-839-6847 (Phone), 509-839-7462 (Fax)
WA, Tacoma
Dr. Shirl E. Gilbert, III, Tacoma Urban League, 2550 S. Yakima Ave.,
Tacoma, WA 98405, 253-383-2007 (Phone), 253-383-4818 (Fax)
Ms. Cynthia Spry, Tacoma/Pierce County Chamber of Commerce, P.O. Box
1933, Tacoma, WA 98401-1933, 253-627-2175 (Phone), 253-597-7305
(Fax)
WI, Lac du Flambeau
Karlene Zajicek, Northwoods NiiJii Enterprise Community, Lac du
Flambeau, WI 54135, 715-588-3303 (Phone), 715-588-9408 (Fax)
WI, Milwaukee
Mr. Glen Mattison, City of Milwaukee, Community Block Grant
Administration, 200 E. Wells St., City Hall, Room 606, Milwaukee, WI
53202, 414-286-3760 (Phone), 414-286-5003 (Fax)
WV, Charleston
Ben Newhouse, Upper Kanawha Valley Enterprise Community, Charleston,
WV 25301, 304-340-7060 (Phone), 304-343-3774 (Fax)
WV, Clay
Jerry Sizemore, Central Appalachia Enterprise Community, Clay, WV
25043, 304-587-2034 (Phone), 304-587-2027 (Fax)
WV, Huntington
Ms. Cathy Burns, Huntington WV/Ironton OH Empowerment Zone Inc.,
P.O. Box 1659, Huntington, WV 25717, 304-696-5533 (Phone), 304-696-
4465 (Fax)
WV, Wilcoe
Dr. Clif Moore, McDowell County Enterprise Community, Wilcoe, WV
24895, 304-448-2118 (Phone), 304-448-3287 (Fax)
[[Page 11663]]
Appendix B
This appendix to the General Section of the SuperNOFA contains
the standard forms, certifications and assurances used by the
majority if not all of the programs that are part of the SuperNOFA.
BILLING CODE 4210-32-P
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[[Page 11696]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11697]]
FUNDING AVAILABILITY FOR COMMUNITY DEVELOPMENT TECHNICAL ASSISTANCE
(CD-TA) PROGRAMS--CHDO, HOME, McKINNEY-VENTO ACT HOMELESS
ASSISTANCE AND HOPWA
Program Overview
Purpose of the Program. The purposes of the technical assistance
programs in this SuperNOFA are:
CHDO Technical Assistance. To promote the ability of Community
Housing Development Organizations (CHDOs) to maintain, rehabilitate and
construct housing for low-income and moderate-income families and to
effectively use HOME program funds and other sources of funding to
produce affordable housing; facilitate the education of low-income
homeowners and tenants; and help women who reside in low- and moderate-
income neighborhoods to rehabilitate and construct housing in these
neighborhoods.
HOME Technical Assistance. To help HOME participating jurisdictions
design and implement HOME programs, including: improving their ability
to design and implement housing strategies and incorporate energy
efficiency into affordable housing; facilitating the exchange of
information to help participating jurisdictions carry out their
programs; facilitating the establishment and efficient operation of
employer-assisted housing programs and land bank programs; and
encouraging private lenders and for-profit developers of low-income
housing to participate in public-private partnerships.
McKinney-Vento Act Homeless Assistance Programs Technical
Assistance. To provide applicants, potential applicants, grantees, and
project sponsors for McKinney-Vento Act funded Emergency Shelter
Grants, Supportive Housing Program, Section 8 Moderate Rehabilitation
Single Room Occupancy and Shelter Plus Care projects with technical
assistance to promote the development of housing and supportive
services as part of the Continuum of Care approach, including
innovative approaches to assist homeless persons in the transition from
homelessness, and to enable them to live as independently as possible.
Housing Opportunities for Persons with AIDS (HOPWA). To train HOPWA
grantees, project sponsors, and potential recipients of program funds
in comprehensive housing strategies and responsive area programs that
assist residents who are living with HIV/AIDS; in the sound management
of HOPWA programs to support program operations in an efficient and
effective manner, including undertaking community consultations,
program planning, housing development and operations, program
evaluation and reporting on accomplishments; and to build the capacity
of nonprofit organizations to carry out activities as HOPWA project
sponsors.
Available Funds. Up to $21.18 million is available for the four CD-
TA programs.
Eligible Applicants. Specific eligibility requirements for the four
CD-TA programs are found below in Section III(C). Forty percent of the
CHDO, HOME and McKinney-Vento Act Homeless Assistance technical
assistance funds is limited to qualified providers who have not
previously received a CPD technical assistance award. This limitation
is not applicable to HOPWA technical assistance.
Application Deadline. May 22, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit your completed applications (an
original and one copy) on or before 12:00 midnight, Eastern time, on
May 22, 2001, at the address shown below.
The original application that you submit to Headquarters is
considered the official application. Send a copy of your application on
or before the application deadline date to the HUD CPD Field Office(s)
in which you are seeking to provide services. Only one application per
applicant is permitted; however, one application can include as few as
one or as many as all four CD-TA programs.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Addresses for Submitting Applications. HUD Headquarters. Your
completed application consists of one original application and one
copy. Submit your original application to HUD Headquarters, U.S.
Department of Housing and Urban Development, CPD Processing and Control
Branch, Room 7251, 451 Seventh Street, SW, Washington, DC 20410.
Copy to Field Office. Send a copy of the application to the
appropriate CPD Field Office(s) at the address shown on the list of HUD
CPD Field Offices included in the application kit.
When submitting your application, please refer to the Community
Development Technical Assistance Program. Be sure to include your name,
mailing address (including zip code), telephone number (including area
code), and fax number (including area code).
For Application Kits. For an application kit and any supplemental
information, 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-HUD-2209. When requesting an application kit,
please refer to ``Community Development Technical Assistance Programs
or CD-TA.'' Please be sure to provide your name, address (including zip
code), telephone number (including area code), and fax number
(including area code).
For Further Information and Technical Assistance. You may contact
the HUD CPD Office serving your area at the telephone number listed in
the list of HUD CPD Field Offices included in the application kit, or
you may contact Penny McCormack at 202-708-3176, x4391 in HUD
Headquarters. Information on this SuperNOFA also may be obtained
through the HUD web site on the Internet at http://www/HUD.gov/grants.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://
www/hud.gov/grants
II. Amount Allocated
(A) The amounts allocated for each CD-TA program are as follows:
CHDO TA funds:
up to $7,600,000 Total
$3,200,000 Single State
$4,400,000 Multi-State
HOME TA funds:
up to $8,000,000
McKinney-Vento Act Homeless Assistance Programs TA funds:
up to $3,000,000
HOPWA TA funds:
up to $2,580,000
(B) Each HUD/CPD Field Office has been allocated a ``fair-share''
of CD-TA funds for purposes of this competition, except for the HOPWA
TA funds which will be awarded only through a national competition (see
CD-TA Appendix A for the fair share allocations). The amounts are based
on allocations of
[[Page 11698]]
HOME and McKinney-Vento Act Homeless Assistance formula funds and
competitive programs for which Field Offices have management oversight.
These amounts are only for guidance purposes for you to develop your
program budgets by Field Office jurisdiction and are not the exact
amounts to be awarded to you in each area.
HUD will determine the total amount to be awarded to any provider
based upon the size and needs of the provider's service area within
each Field Office jurisdiction in which the provider is selected to
operate, the funds available for that area, the number of other
awardees selected in that area, and the scope of the technical
assistance to be provided. Additionally, HUD may reduce the amount of
funds allocated for Field Office jurisdictions to fund national CD-TA
providers and other CD-TA providers for activities which cannot be
budgeted or estimated by Field Office jurisdiction. HUD may require
selected applicants, as a condition of funding, to provide coverage on
a geographically broader basis than applied for in order to supplement
or strengthen the intermediary network in terms of the location
(service area), types and scope of technical assistance proposed.
(C) In order to reach new technical assistance providers in the
HOME, CHDO and McKinney-Vento Act Homeless Assistance program areas,
40% of the funds in each of these three program areas within a Field
Office (or at the national level) will be awarded to applicants who
have not previously been funded under a CPD technical assistance
competition. Therefore, approximately $3.2 million will be awarded to
new providers in HOME; $3 million in CHDO; and $1.2 million in
McKinney-Vento Act Homeless Assistance. With respect to CHDO funds, 40%
of the total funds (single state and multi-state combined) are
earmarked for new providers. If qualified new applicants are not found
in each program area in each Field Office and/or at the national level,
the remaining funds will be made available for previously funded
providers. The reverse also is true.
(D) To the extent permitted by funding constraints, HUD intends to
provide coverage for as full a range as possible, of eligible CD-TA
activities of each CD-TA program in each Field Office jurisdiction. To
achieve this objective, HUD will fund the highest ranking providers
that bring the required expertise in one or more specialized activity
areas, and fund portions of providers' proposed programs in which they
have the greatest skill and capability for given geographic areas or on
a national basis. HUD also may require national, multi-jurisdictional,
or other providers to provide coverage to Field Office jurisdictions
which cannot otherwise receive cost-effective support from a CD-TA
provider. In selecting applicants for funding, in addition to the
rating factors, HUD will apply program policy criteria identified in
Section V of this CD-TA Program section of SuperNOFA to select a range
of providers and activities that would best serve program objectives
for each program serviced by the CD-TA funded under this SuperNOFA.
III. Program Description; Program Award Period; Eligible
Applicants; Eligible Activities; and Sub-Grants/Pass Through Funds
(A) Program Description. Up to $21.18 million in technical
assistance (TA) funds is available from four separate technical
assistance programs: Community Housing Development Organization (CHDO)
TA, HOME TA, McKinney-Vento Act Homeless Assistance TA, and HOPWA TA
(collectively ``CD-TA'').
The funding of these four CD-TA programs through a single funding
availability announcement will not affect the ability of eligible
applicants to seek CD-TA funding. Eligible applicants are able to apply
for funding under as few as one, and as many as four, separate CD-TA
programs, individually or collectively, singularly or in combination.
The specific provisions of the four separate CD-TA programs have not
been changed. This Community Development Technical Assistance Programs
section of the SuperNOFA reflects the statutory requirements and
differences in the four different CD-TA programs.
(B) Program Award Period.
(1) Cooperative Agreements will be for a period of up to 36 months.
HUD, however, reserves the right to:
(a) Terminate awards in accordance with provisions contained in OMB
Circular A-102, and 24 CFR parts 84 and 85 anytime after 12 months;
(b) Withdraw funds from a specific provider, if HUD determines that
the urgency of need for the assistance is greater in other Field Office
jurisdictions or the need for assistance is not commensurate with the
award for assistance;
(c) Extend the performance period of individual awardees up to a
total of 12 additional months.
(2) In cases where an applicant selected for funding under this CD-
TA program section of the SuperNOFA currently is providing CD technical
assistance under an existing CD-TA grant/cooperative agreement, HUD
reserves the right to adjust the start date of funding under this
program to coincide with the conclusion of the previous award, or to
incorporate the remaining activities from the previous award into the
new agreement, adjusting the funding levels as necessary.
(C) Eligible Applicants.
(1) General. The eligible applicants for each of the four CD-TA
programs are listed in paragraphs (2), (3), (4) and (5) of this Section
(C). This paragraph (1) lists requirements applicable to all
applicants.
(a) Many organizations are eligible to apply for more than one CD-
TA program and are encouraged to do so to the extent they have the
requisite experience, expertise and capability.
(b) All applicant organizations must have demonstrated ability to
provide CD-TA in a geographic area larger than a single city or county
and must propose to serve an area larger than a single city or county.
(c) An organization may not provide assistance to itself, and any
organization funded to assist CHDOs under this CD-TA Program section of
the SuperNOFA may not act as a CHDO itself within its service area
while under award with HUD.
(d) A consortium of organizations may apply for one or more CD-TA
programs, but HUD will require that one organization be designated as
the legal applicant, where legally feasible. Where one organization
cannot be so designated for all proposed activities, HUD may execute
more than one cooperative agreement with the members of a consortium.
However, in general HUD will not award more than one cooperative
agreement per application unless necessary due to legal requirements.
(e) All applicants must meet minimum statutory eligibility
requirements for each CD-TA program for which they are chosen in order
to be awarded a cooperative agreement. Copies of the Technical
Assistance program regulations will be provided with the application
kit.
(f) All eligible CD-TA providers may propose assistance using in-
house staff, consultants, sub-contractors and sub-recipients, networks
of private consultants and/or local organizations with requisite
experience and capabilities. Whenever possible, applicants should make
use of technical assistance providers located in the Field Office
jurisdiction receiving services. This draws upon local expertise and
[[Page 11699]]
persons familiar with the opportunities and resources available in the
area to be served while reducing travel and other costs associated with
delivering the proposed technical assistance services.
(g) All applicants must meet the applicable threshold requirements
of Section II(B) of the General Section of the SuperNOFA.
(2) McKinney-Vento Act Homeless Assistance Programs TA Eligible
Applicants.
(a) States, units of general local government, and public housing
authorities.
(b) Public and private non-profit or for-profit groups, including
educational institutions and area-wide planning organizations,
qualified to provide technical assistance on McKinney-Vento Act
Homeless Assistance projects.
(3) CHDO TA Eligible Applicants. Public and private non-profit
intermediary organizations that customarily provide services (in more
than one community) related to affordable housing or neighborhood
revitalization to CHDOs, or similar organizations that engage in
community revitalization, including all eligible organizations under
section 233 of the Cranston-Gonzalez National Affordable Housing Act,
as amended.
HUD will consider an intermediary as a primarily single State
technical assistance provider if it can document that more than 50% of
its past activities in working with CHDOs or similar nonprofit and
other organizations (on the production of affordable housing or
revitalization of deteriorating neighborhoods and/or the delivery of
technical assistance to these groups) was confined to the geographic
limits of a single State.
(4) HOME TA Eligible Applicants.
(a) A for-profit or non-profit professional and technical services
company or firm that has demonstrated capacity to provide technical
assistance services;
(b) A HOME participating jurisdiction (PJ) or agency thereof;
(c) A public purpose organization responsible to the chief elected
official of a PJ and established pursuant to State or local
legislation;
(d) An agency or authority established by two or more PJs to carry
out activities consistent with the purposes of the HOME program;
(e) A national or regional non-profit organization that has
membership comprised predominantly of entities or officials of entities
of PJs or PJs' agencies or established organizations.
(5) HOPWA TA Eligible Applicants.
(a) Non-profit organizations; and
(b) States and units of general local government.
(D) Eligible Activities. Eligible activities as appropriate for
each of the four CD-TA programs are listed below:
(1) CHDO Technical Assistance. CHDO Technical Assistance funds may
be used only for the following eligible activities:
(a) Organizational Support--Organizational support assistance may
be made available to community housing development organizations to
cover operational expenses and to cover expenses for training and
technical, legal, engineering and other assistance to the board of
directors, staff, and members of the community housing development
organization;
(b) Housing Education--Housing education assistance may be made
available to community housing development organizations to cover
expenses for providing or administering programs for educating,
counseling, organizing homeowners and tenants who are eligible to
receive assistance under other provisions of the HOME Program;
(c) Program-Wide Support of Nonprofit Development and Management--
Technical assistance, training, and continuing support may be made
available to eligible community housing development organizations for
managing and conserving properties developed under the HOME Program;
(d) Benevolent Loan Funds--Technical assistance may be made
available to increase the investment of private capital in housing for
very low-income families, particularly by encouraging the establishment
of benevolent loan funds through which private financial institutions
will accept deposits at below-market interest rates and make those
funds available at favorable rates to developers of low-income housing
and to low-income homebuyers;
(e) Community Development Banks and Credit Unions--Technical
assistance may be made available to establish privately owned, local
community development banks and credit unions to finance affordable
housing;
(f) Community Land Trusts--Organizational support, technical
assistance, education, training and continuing support under this
subsection may be made available to community land trusts (as such term
is defined in section 233(f) of the Cranston-Gonzalez National
Affordable Housing Act) and to community groups for the establishment
of community land trusts; and
(g) Facilitating Women in Homebuilding Professions--Technical
assistance may be made available to businesses, unions, and
organizations involved in construction and rehabilitation of housing in
low- and moderate-income areas to assist women residing in the area to
obtain jobs involving such activities, which may include facilitating
access by helping such women develop nontraditional skills, recruiting
women to participate in such programs, providing continuing support for
women at job sites, counseling and educating businesses regarding
suitable work environments for women, providing information to such
women regarding opportunities for establishing small housing
construction and rehabilitation businesses, and providing materials and
tools for training such women (in an amount not exceeding 10% of any
assistance provided under this paragraph). HUD shall give priority
under this paragraph to providing technical assistance for
organizations rehabilitating single family or multifamily housing owned
or controlled by HUD pursuant to title II of the National Housing Act
and which have women members in occupations in which women constitute
25% or less of the total number of workers in the occupation (in this
section referred to as ``nontraditional occupations'').
(2) HOME Technical Assistance. HUD will provide assistance to:
(a) Facilitate the exchange of information that would help
participating jurisdictions carry out the purposes of the HOME statute,
including information on program design and accessibility, housing
finance, land use controls, and building construction techniques;
(b) Improve the ability of States and units of local government to
design and implement housing strategies, particularly those States and
units of local government that are relatively inexperienced in the
development of affordable housing;
(c) Encourage private lenders and for-profit developers of low-
income housing to participate in public-private partnerships to achieve
the purposes of the HOME statute;
(d) Improve the ability of States and units of local government,
community housing development organizations, private lenders, and for-
profit developers of low-income housing to incorporate energy
efficiency into the planning, design, financing, construction and
operation of affordable housing;
(e) Facilitate the establishment and efficient operation of
employer-assisted housing programs, through research,
[[Page 11700]]
technical assistance, and demonstration projects; and
(f) Facilitate the establishment and efficient operation of land
bank programs, under which title to vacant and abandoned parcels of
real estate located in or causing blighted neighborhoods is cleared for
use consistent with the purposes of the HOME statute.
(3) McKinney-Vento Act Homeless Assistance Programs Technical
Assistance. Funds are available to provide technical assistance to
McKinney-Vento Act funded Homeless Assistance projects. Funds may be
used to provide technical assistance to prospective applicants,
applicants, recipients or other providers (project sponsors) of
McKinney-Vento Act funded housing and supportive services for homeless
persons. The assistance may include, but is not limited to, written
information such as papers, manuals, guides and brochures; person-to-
person exchanges; on-site assessments and provision of technical
expertise; and training and related costs.
(4) HOPWA Technical Assistance. For the purposes of this CD-TA
program section of the SuperNOFA, HOPWA technical assistance shall mean
the transfer to HOPWA grantees and project sponsors and potential
recipients of program funds, the skills and knowledge needed to
develop, operate and support HOPWA-eligible projects and activities.
An applicant for HOPWA TA funds must propose activities on a
national basis, a regional basis (e.g. serving a multi-state area) or
within a State or community. The application should emphasize how
activities will advise and train communities and project sponsors in
undertaking program planning, community consultations, housing
development and operations, coordination with related health-care and
other supportive services, and evaluation and reporting on program
performance. The Department has established the following national goal
for all HOPWA TA projects:
National Goal--Sound Management of HOPWA Programs and
Projects.
HOPWA TA funds can be used to help to strengthen the management,
operation, and capacity of grantees, project sponsors, and potential
applicants to ensure that organizations use funds in a manner that
upholds the public trust in the operation of programs. To achieve this
goal, HOPWA TA can be used in the following areas:
(i) Management and operations through such activities as:
(A) Advising on management practices to ensure responsive,
efficient and cost effective facility and program operations;
(B) Advising on fiscal management to ensure accountability in the
use of funds; and
(C) Assisting projects in using the Department's information
technology, financial systems and information management systems.
(ii) State, local, and community planning through such activities
as:
(A) Advising on the coordination of housing with health-care and
other related supportive services for eligible persons;
(B) Assisting in developing collaborations with local, State and
Federal agencies that administer HIV/AIDS-related programs, including
programs funded under the Ryan White CARE Act;
(C) Creating or linking to existing needs assessments of the area's
housing needs of persons living with HIV/AIDS and their families;
(D) Creating or linking to comprehensive multiple-year HIV/AIDS
housing plans that are undertaken in collaboration with local, State
and federal programs including the Ryan White CARE Act programs; and
(E) Creating or linking to existing plans that address specialized
needs of clients, including assistance for clients with serious mental
illness, chronic alcohol and other drug abuse issues, and homelessness.
(iii) Program evaluation through such activities as:
(A) Advising on data collection and program evaluation; and
(B) Developing and providing program handbooks, guidance materials,
audio/visual products, training, and other activities to promote good
management practices.
As a part of providing for the sound management of HOPWA programs
and projects, HOPWA TA providers should demonstrate an outreach and
assistance program to identified underserved populations. The
Department has been advised by persons living with HIV/AIDS, HIV/AIDS
housing providers, and national organizations, of the continuing
disparity in accessing health-care and HIV/AIDS treatment among
underserved populations, such as, racial and ethnic minority
populations, women, youth, post-incarcerated populations and persons
living in rural areas. For the purposes of the HOPWA TA portion of this
NOFA, underserved populations are defined as low-income populations
living with HIV/AIDS and their families, such as racial or ethnic
minority groups, women, persons living in rural areas, youth, post-
incarcerated populations, or other underserved groups as determined by
your service area, whose housing and related service needs are not
currently being met in your service area. To meet this definition of an
underserved population, you must present reliable statistics and data
sources (i.e. Census, health department statistics, research,
scientific studies, Consolidated Plan, and Continuum of Care
documentation), showing the unmet need in the provision of housing and
supportive services for the identified underserved population under
Rating Factor 2, (1). HUD will consider your presentation of statistics
and data sources based on soundness and reliability and the specificity
of information to the underserved population and the area to be served.
In an effort to meet this continuing need, the highest rated
applicants will demonstrate an outreach and assistance program to an
identified underserved population as detailed under Rating Factor 3,
Soundness of Approach (2) and will support the National HOPWA Goal of
Sound Management. Such assistance could include, linking HOPWA grantees
and project sponsors to other community based organizations serving an
underserved population but may have no or limited experience with
providing housing services. Additionally, HOPWA TA providers could
provide assistance to collaborations targeting as underserved
population funded under the HOPWA competitive program.
(E) Sub-Grants/Pass-Through Funds. Applicants may propose to make
sub-grants to achieve the purposes of their proposed CD-TA programs in
accordance with program requirements in Section IV of this CD-TA
Program section of the SuperNOFA. In the case of CHDO TA, these sub-
grants (also called ``pass-through'' funds) may be made for eligible
activities and to eligible entities as identified in Section 233(b)(1),
(2), and (7) of the Cranston-Gonzalez National Affordable Housing Act.
When CHDO TA sub-grants are made to CHDOs, two statutory provisions
apply:
(1) The sub-grant amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50% of the CHDO's operating budget for the
year in which it receives the funds, or $50,000 annually;
(2) An amount not exceeding 10% of the total funds awarded for the
``Women in the Homebuilding Professions'' eligible activity may be used
to provide materials and tools for training such women.
[[Page 11701]]
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Program Requirements for CHDO, HOME and McKinney-Vento Act
Homeless Assistance.
(1) Profit/Fee. No increment above cost, no fee or profit, may be
paid to any recipient or subrecipient of an award under this CD-TA
Program section of the SuperNOFA.
(2) Demand/Response Delivery System.
(a) As an awardee, you must operate within the structure of the
demand/response system described in this section. You must coordinate
your plans with, and operate under the direction of, each HUD Field
Office within whose jurisdiction you are operating. When so directed by
a Field Office, you will coordinate your activities instead through a
lead CD-TA provider or other organization designated by the Field
Office.
(b) If selected as the lead CD-TA provider in any Field Office
jurisdiction, as an awardee you must coordinate the activities of other
CD-TA providers selected under this CD-TA Program section of the
SuperNOFA under the direction of the HUD Field Office. Joint activities
by CD-TA providers may be required.
(c) Under the demand/response system, CD-TA providers will be
required to:
(i) When requested by a Field Office or Government Technical
Representative (GTR), market the availability of their services to
existing and potential clients to include local jurisdictions in which
the assistance will be delivered.
(ii) Respond to requests for assistance from the HUD Field
Office(s) with oversight of the geographic service area for which the
technical assistance will be delivered, including responding to
priorities established by the Field Office in its Grants Management
System. CHDOs, HOME PJs, and McKinney-Vento Act Homeless Assistance
grantees may request assistance from the CD-TA provider directly, but
such requests must be approved by the local HUD Field Office.
(iii) When requested by a Field Office or GTR, conduct a Needs
Assessment to identify the type and nature of the assistance needed by
the recipients of the assistance. These needs assessments should
typically identify the nature of the problem to be addressed by the
technical assistance services; the plan of action to address the need
including the type of technical assistance services to be provided, the
duration of the service, the staff assigned to provide the assistance,
anticipated products and/or outcomes, and the estimated cost for the
provision of services; and the relationship of the proposed services to
the planned or expected Consolidated Plan submission to HUD and to
other technical assistance providers providing service within the
locality.
(iv) Obtain approval for the Technical Assistance Delivery Plan
(TADP) from the HUD Field Office(s) with oversight for the area in
which service will be provided. (See Section 3 below).
(v) Work cooperatively with other CD-TA providers in their
geographic areas to ensure that clients are provided with the full
range of CD-TA services needed and available. CD-TA providers are
expected to be knowledgeable about the range of services available from
other providers, make referrals and arrange visits by other CD-TA
providers when appropriate, and carry out CD-TA activities concurrently
when it is cost-effective and in the interests of the client to do so.
HUD Field Offices may direct CD-TA providers to conduct joint
activities.
(3) Technical Assistance Delivery Plan (TADP).
(a) After selection for funding but prior to award, you must
develop a TADP for each Field Office jurisdiction or National Program
for which you have been selected, in consultation with the Field office
and/or GTR.
(b) In developing the TADP, you must follow the Field Office's
Business Operating Plan (BOP) and management strategies/workplans for
each community/State in the Field Office's jurisdiction. You must use
these BOP/management strategies/workplans in determining your priority
work activities, location of activities, and organizations to be
assisted during the cooperative agreement performance period.
(c) The BOP/grantee management strategies/workplans are part of the
Field Office's Grants Management Process (GMP) and should indicate the
issues to be addressed by CD-TA, the improved performance expected as a
result of CD-TA, and methods for measuring the success of the CD-TA.
(d) The TADP must delineate all the tasks and sub-tasks for each CD
program the applicant will undertake in each Field Office jurisdiction.
The TADP must show the location of the community/State in which the CD-
TA activities will occur, the level of CD-TA funding and proposed
activities by location, the improved program performance or other
results expected from the CD-TA and the methodology to be used for
measuring the success of the CD-TA. A time schedule for delivery of the
activities, budget summary, budget-by-task and staffing plan must be
included in the TADP.
(4) Negotiation. After all applications have been rated and ranked
and a selection has been made, HUD requires that all winners
participate in negotiations to determine the specific terms of the TADP
and the budget. HUD will follow the negotiation procedures described in
Section III(D) of the General Section of the SuperNOFA.
(5) Forms, Certifications and Assurances. You must submit with your
application the forms, certifications and assurances listed in the
General Section of this SuperNOFA. After selection for funding but
prior to your providing services to a specific community you must
submit the CHDO TA designation letter (where applicable).
(6) Financial Management and Audit Information. After selection for
funding but prior to award, you must submit a certification from an
Independent Public Accountant or the cognizant government auditor,
stating that your financial management system meets prescribed
standards for fund control and accountability required by 24 CFR part
84 for Institutions of Higher Education and other Non-Profit
Institutions, 24 CFR part 85 for States and local governments, or the
Federal Acquisition Regulations (for all other applicants). The
information should include the name and telephone number of the
independent auditor, cognizant Federal auditor, or other audit agency
as applicable.
(7) Designation for CHDO Technical Assistance Providers. CHDO TA
providers will be responsible for securing a technical assistance
designation letter from a PJ stating that a CHDO or prospective CHDO to
be assisted by the provider is a recipient or intended recipient of
HOME funds and indicating, at its option, subject areas of assistance
that are most important to the PJ.
(8) Training Sessions. When conducting training sessions as part of
its CD-TA activities, CD-TA providers are required to:
(a) Design the course materials as ``step-in'' packages (also
called ``train-the trainer'' packages) so that a Field Office or other
CD-TA provider may separately give the course on its own;
(b) Arrange for joint delivery of the training with Field Office
participation when so requested by the Field Office or by the GTR for
national grants; and
[[Page 11702]]
(c) When requested by a Field Office and/or GTR, provide for
professional videotaping of the workshops/courses and ensure their
production in a professional and high-quality manner, suitable for
viewing by other CD clients (if this requirement is implemented,
additional funds may be requested).
(d) When required by HUD, deliver HUD-approved training courses
that have been designed and developed by other HUD contractors or HUD
cooperating parties on a ``step-in'' basis for CD-TA clients, and send
trainers to HUD-approved Train-the Trainer sessions.
(9) Reports to Field Offices and/or GTRs. CD-TA providers will be
required to report to the HUD Field Office(s) with oversight of the
geographic area(s) in which CD-TA services are provided or to
Headquarters GTRs in the case of national providers. At a minimum, this
reporting will be on a quarterly basis unless otherwise specified in
the approved TADP.
(10) Active Participation. HUD Field Offices will be active
participants in the delivery of all technical assistance by funded
providers throughout the term of the cooperative agreement.
(11) CHDO Pass-Through Funds. CD-TA providers proposing pass-
through grants are required to:
(a) Establish written criteria for selection of CHDOs receiving
pass-through funds which includes the following:
(i) Participating jurisdictions (PJs) must designate the
organizations as CHDOs.
(ii) Generally, the organizations should not have been in existence
more than 3 years.
(b) Enter into an agreement with the CHDO that the agreement and
pass-through funding may be terminated at the discretion of the
Department if no written legally binding agreement to provide
assistance for a specific housing project (for acquisition,
rehabilitation, new construction or tenant-based rental assistance) has
been made by the PJ with the CHDO within 24 months of receiving the
pass-through funding.
(12) CHDO TA Program Limitations. (a) Pursuant to section 233(d)(1)
and (2) of the Cranston-Gonzalez National Affordable Housing Act,
funding to any single eligible nonprofit intermediary organization
seeking to provide CHDO TA, whether as an independent or joint
applicant, is limited to the lesser of 20% of all funds, or an amount
not to exceed 20% of the organization's operating budget for any one
year (not including funds sub-awarded or passed through the
intermediary to CHDOs).
(b) Pursuant to section 233(e), HUD is making available through
this CD-TA program section of the SuperNOFA 40% of the total CHDO TA
funds to single state providers within the Field Offices. As discussed
in Section III(C)(3), CHDO Eligible Applicants, to be considered a
single state provider you must be able to document that 50% of your
past activities working with CHDOs or similar nonprofits and other
organizations was confined to the geographic limits of a single state.
Therefore, you can be designated a single state provider in one Field
Office jurisdiction only and you should so indicate on your funding
matrix submission. In all other Field Offices in which you are applying
for CHDO TA funding, you are a multi-state provider. If there are no
single state applicants or the qualified single state applicants
utilize less than the 40% set-aside in a given Field Office, that Field
Office's single state CHDO set-aside will be redistributed among the
qualified multi-state providers in that Field Office. Field Offices
also may utilize their multi-state set-aside for single state
applicants if the reverse is true.
(13) HOME TA Program Limitations. Pursuant to section 243(b) of the
Cranston-Gonzalez National Affordable Housing Act, funding to any
single eligible HOME TA organization, whether as an independent or
joint applicant, is limited to not more than 20% of the operating
budget of the recipient organization in any one year and is limited to
20% of the funds available under this CD-TA program section of the
SuperNOFA.
(14) CHDO and HOME National TA Program Guidance. With the funds
designated for a national TA program, HUD intends to fund applications
which propose activities to support the following purposes:
(a) CHDO Technical Assistance. To promote the ability of Community
Housing Development Organizations (CHDOs) to own, develop or sponsor
housing for low and very-low income families; to facilitate the
education of low-income homebuyers, homeowners and tenants; and/or to
help women who reside in low-income neighborhoods to rehabilitate or
construct housing in their communities. Proposals should directly
address how the capacity of CHDOs may be improved to ensure that HOME
funds are used effectively, efficiently and in compliance with the HOME
rules to develop affordable housing. Emphasis should be placed on basic
skills needed to develop, maintain and manage well designed and
constructed affordable housing over the long term when using Federal
funds.
(b) HOME Technical Assistance. To help HOME participating
jurisdictions design and implement HOME programs, including: improving
their ability to design and implement housing strategies and
incorporate energy efficiency into affordable housing, facilitating the
exchange of information to help participating jurisdictions carry out
their programs; facilitating the establishment and efficient operation
of employer-assisted housing programs; and/or encouraging private
lenders and for-profit developers of low-income housing to participate
in public-private partnerships. Proposals should directly address how
the capacity of participating jurisdictions may be improved to ensure
that HOME funds are used effectively, efficiently and in compliance
with the HOME rules to develop affordable housing. Emphasis should be
placed on the basic skills and systems needed to develop, maintain and
manage well designed and constructed affordable housing over the long
term when using Federal funds.
(15) Affirmatively Furthering Fair Housing. Section II(D) of the
General Section of the SuperNOFA does not apply to these technical
assistance programs.
(B) Program Requirements for HOPWA Technical Assistance.
(1) General Requirements. The items listed below specify the
requirements that apply to the HOPWA TA applications as follows: in
Section (A), Paragraphs: (1) On Profit/Fee; (4) Negotiation, except
that the TADP reference will apply to a workplan negotiated between the
applicant and the GTR for the HOPWA TA grant in HUD Headquarters; (5)
Forms, Certifications and Assurances; (6) Financial Management and
Audit Information; (8) Training Sessions; (9) Reports to Field Offices
and/or GTRs, except that you must report to the HOPWA Headquarters GTR,
at a minimum, on a quarterly basis, unless otherwise specified in an
approved HOPWA TA workplan and you will be expected to meet the
following performance benchmarks: (i) You are required to begin
technical assistance activities within one year of your selection
(i.e., one year from the date of the signing of your selection letter
by HUD); and (ii) you are requested to provide an initial report to the
Field Office and the Headquarters GTR on the startup of the planned
activities within six months of your selection. Please outline any
accomplishments in implementing the funds along with identifying any
barriers or issues for which the Department may provide assistance. If
a selected project does not
[[Page 11703]]
meet the appropriate performance benchmark, HUD reserves the right to
cancel or withdraw the grant funds.
(2) Coordination of HOPWA TA Requests. Except for national
meetings, research, information and other activities that are conducted
on a program-wide basis in cooperation with HUD Headquarters, as the
grantee of HOPWA TA funds, you must work cooperatively with HUD Field
Offices. You must notify the applicable HUD Field Office of the planned
activities; must consider the views or recommendations of that office,
if any; must follow those recommendations, to the degree practicable;
and must report to the applicable Field Office on the accomplishments
of this assistance.
V. Application Selection Process
(A) Rating and Ranking
(1) HUD will evaluate applications competitively and rank them
against all other applicants that have applied for the same CD-TA
program (HOME, McKinney-Vento Act Homeless Assistance) within each
Field Office or as a National Provider under HOPWA. CHDO applications
are similarly evaluated and ranked but are separated into two sub-
groups--single State providers and multi-State providers. There will be
separate rankings for each CD-TA program, and you will be ranked only
against others that have applied for the same CD-TA program.
(2) Once scores are assigned, all applications will be listed in
rank order for each CD-TA program for which they applied by Field
Office jurisdiction and/or the HOPWA National Program. In each Field
Office jurisdiction or National Program area, all applications for the
HOME TA program will be listed in rank order on another list, all
applications for the McKinney-Vento Act Homeless Assistance TA program
will be listed in rank order on another list, and all applications for
the HOPWA TA national projects will be ranked separately on another
list. All applications for the CHDO TA program will be ranked
separately on either the single state provider list or the multi-state
provider list. Under this system, a single application from one
organization for all CD-TA programs could be assigned different scores
and different rankings for each program in different Field Offices.
(3) Applications will be funded in rank order for each CD-TA
program by Field Office jurisdiction, except for HOPWA TA national
providers and others which cannot be ranked by Field Office
jurisdiction. National providers and others will be ranked separately
and funded in rank order for each CD-TA program. Irrespective of final
scores, HUD may apply program policy criteria to select one applicant
in each of the three (CHDO, HOME and McKinney-Vento Act Homeless
Assistance) CD-TA programs in each Field Office or nationally, to
ensure diversity of methods, approaches, or kinds of projects. HUD will
apply these program policy criteria to provide coverage of CD-TA
services for minorities; women, particularly women in the homebuilding
professions under section 233(b)(7) of the Cranston-Gonzalez National
Affordable Housing Act; persons with disabilities; homeless; persons
with special needs; and rural areas.
(4) In addition to the authority in the General Section to adjust
funding, HUD reserves the right to adjust funding levels for each
applicant for each CD-TA program, as follows:
(a) Adjust funding levels for any provider based upon the size and
needs of the provider's service area within each Field Office
jurisdiction in which the provider is selected to operate, the funds
available for that area, the number of other awardees selected in that
area, funds available on a national basis for providers that will be
operating nationally, or the scope of the technical assistance to be
provided;
(b) To negotiate increased grant awards with applicants approved
for funding if HUD requests them to offer coverage to geographic areas
for which they did not apply or budget, or if HUD receives an
insufficient amount of applications.
(5) If funds remain after all selections have been made, remaining
funds may be:
(a) Distributed among all HUD Field Offices (in proportion to their
fair-share awards) and/or the National Program, or
(b) Made available for other CD-TA program competitions.
(6) If you apply for HOPWA TA funds, you must propose activities
that will be carried out on a national, regional, State or community
basis. The Department reserves the right to adjust the amount of
requested funds that are awarded to correspond with the size of the
intended service area in comparison to the planned national scope of
activities to ensure the best use of these limited resources.
Additionally, HUD may also modify the service area of a selected
application, if practicable.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors and maximum points for each factor are provided below. The
maximum number of points to be awarded for a CD-TA application is 100.
The minimum score for an applicant to be considered in funding range is
55, with a minimum of 11 points in Factor 1. The CD-TA program is not
an eligible program for the EZ/EC bonus points, as described in Section
III(C)(1) of the General Section of the SuperNOFA.
Rating of the ``applicant'' or the ``applicant's organization and
staff'', unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
When addressing the Factors for Award, you should discuss the
specific TA projects, activities, tasks, etc. that you suggest be
carried out during the term of the cooperative agreement. See Sections
IV(A)(2) and (3) of this CD-TA program section for a discussion of the
extent to which such activities may be revised at or after the time of
award. You should also be specific when detailing the communities,
populations (HOPWA only) and/or organizations which you propose to
serve, especially in response to Factor 3, Subfactor 2 and in detailing
the dollar amounts you have leveraged in Factor 4.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points) (Minimum for Funding Eligibility--11 Points)
In rating this factor, HUD will consider the extent to which the
application demonstrates in relation to CD-TA program funding that is
requested:
(1) (10 points) Recent, relevant and successful experience of your
organization and staff in providing technical assistance in all
eligible activities and to all eligible entities for the CD-TA
program(s) applied for, as described in the regulations;
(2) (5 points) The relevant experience and competence of your key
personnel in managing complex, multi-faceted or multi-disciplinary
programs that require coordination with other CD-TA entities or
multiple, diverse units in an organization;
(3) (5 points) You have sufficient personnel or access to qualified
experts or professionals to deliver the proposed level of technical
assistance in each proposed service area in a timely and effective
fashion.
[[Page 11704]]
Rating Factor 2: Potential Effectiveness of the Application in Meeting
Needs of Target Groups/Localities and Accomplishing Project Objectives
for Each CD-TA Program for which Funds Are Requested (20 Points)
In rating this factor, HUD will consider the extent to which your
application:
(1) (10 points) Identifies high priority needs and issues for the
CD program in each community or Field Office jurisdiction for which CD-
TA funding is requested, or on a national or regional basis for
national HOPWA grants;
(2) (5 points) Outlines a clear and cost-effective plan of
suggested TA activities for addressing those needs and aiding a broad
diversity of eligible grantees and/or beneficiaries, including those
which traditionally have been under-served; and
(3) (5 points) Identifies creative activities to assist eligible
grantees in participating in the development of, and improving, local
Consolidated Plans and comprehensive strategies.
Rating Factor 3: Soundness of Approach (40 Points)
In rating this factor, HUD will consider the extent to which your
application evidences a sound approach in addressing identified needs
and:
(1) (15 points) Provides a cost effective plan for designing,
organizing, and carrying out the suggested technical assistance
activities within the framework of the Demand/Response System or, for
HOPWA TA applicants, in addressing the HOPWA TA goal.
(2) (15 points) Demonstrates an effective outreach and assistance
program to specifically identified disadvantaged communities,
populations (HOPWA only) and/or organizations which previously have
been underserved and have the potential to participate in CPD programs.
(3) (5 points) Provides for full geographic coverage, including
urban and rural areas, (directly or through a consortium of providers)
of a single State or Field Office jurisdiction or is targeted to
address the needs of rural areas, minority groups or other under-served
groups or for HOPWA TA applicants, addresses other approaches that
respond to identified needs.
(4) (5 points) Proposes a feasible, creative plan, which uses state
of the art or new promising technology, to transfer models and lessons
learned in each of its CD-TA program's activities to grantees and/or
program beneficiaries in other CD-TA programs.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
(note: financing is a community resource) which can be combined with
HUD's program resources to achieve program purposes. In evaluating this
factor HUD will consider:
The extent to which you have partnered with other entities to
secure additional resources to increase the effectiveness of the
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award you are seeking. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities willing to partner with
the applicant. You also may partner with other program funding
recipients to coordinate the use of resources in the target area.
You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memorandum of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinate your
activities with other known organizations, participate or promote
participation in a community's Consolidated Planning process and
Continuum of Care homeless assistance strategy, and are working towards
addressing a need in a holistic and comprehensive manner through
linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps you will take to share information on solutions and outcomes with
others. Describe any written agreements, memoranda of understanding in
place, or that will be in place after award.
(2) Taken or will take specific steps to work with recipients of
technical assistance services to become active in the community's
Consolidated Planning process (including the Analysis of Impediments to
Fair Housing Choice) established to identify and address a need/problem
that is related to the activities you propose.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
VI. Application Submission Requirements
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section of the SuperNOFA (collectively
referred to as the ``standard forms''), your application must, at a
minimum, contain the following items (except that the following
paragraphs (C), (D), (E), (F), and (G) do not apply to HOPWA TA
applicants). The standard forms can be found in Appendix B to the
General Section of the SuperNOFA.
(A) Transmittal Letter which identifies the SuperNOFA, the CD-TA
programs for which funds are requested and the dollar amount requested
for each program, and the applicant or applicants submitting the
application. If your organization has never received a CPD technical
assistance award, please include a statement to this effect in the
transmittal letter. Additionally, HOPWA TA applicants are requested to
submit a two-page executive summary outlining the key elements of the
proposed TA activities.
(B) Narrative statement addressing the Factors for Award described
in Section V(B) of this CD-TA Program section of this SuperNOFA. You
should number the narrative response in accordance with each factor for
award. This narrative statement will be the basis for evaluating your
application. It should include a plan of suggested TA activities as
described in Factors 2, 3, and elsewhere. These suggested TA activities
may form a starting point for negotiating the TADP described in Section
IV(A)(3) of this CD-TA Program section of the SuperNOFA. However, they
are used primarily for purposes of
[[Page 11705]]
rating and evaluation and may be substantially altered and revised
during negotiations with the Field Offices on the content of the TADPs
(see Section IV(A)(3)) or Headquarters program office for national
projects.
(C) Statement that identifies the Field Office jurisdictions in
which you propose to offer services. If you will not offer services
throughout the full jurisdictional area of the Field Office, your
statement should identify the service areas involved (e.g., States,
counties, etc.), as well as the communities in which you propose to
offer services.
(D) A matrix that summarizes the amount of funds you are requesting
for each CD-TA program in each Field Office jurisdiction. (See the CD-
TA application kit for a copy of the matrix to be submitted.)
(E) A statement as to whether you propose to use pass-through funds
for CHDOs under the CHDO TA program, and, if so, the amount and
proposed uses of such funds.
(F) If applying for the CHDO TA program, a certification as to
whether you qualify as a primarily single-State provider under section
233(e) of the Cranston-Gonzalez Affordable Housing Act and as discussed
in Section III(C)(3) of this CD-TA Program section of this SuperNOFA.
(G) A statement as to whether you propose to be considered for the
role of lead CD-TA provider in one or more specific program areas in a
Field Office jurisdiction, and if so, your organization's capabilities
and attributes that qualify you for the role.
(H) Budget Summary identifying costs for implementing the plan of
suggested TA activities by cost category for each CD-TA program for
which funds are requested by Field Office or as a National Provider (in
accordance with the following):
(1) Direct Labor by position or individual, indicating the
estimated hours per position, the rate per hour, estimated cost per
staff position and the total estimated direct labor costs;
(2) Fringe Benefits by staff position identifying the rate, the
salary base the rate was computed on, estimated cost per position, and
the total estimated fringe benefit cost;
(3) Material Costs indicating the item, quantity, unit cost per
item, estimated cost per item, and the total estimated material costs;
(4) Transportation Costs, as applicable.
(5) Equipment charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant days, rate per day, total estimated consultant
costs per consultant and total estimated costs for all consultants;
(7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount;
(8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total other direct costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs.
These line items should total the amount requested for each CD-TA
program area. The grand total of all CD-TA program funds requested
should reflect the grand total of all funds for which application is
made.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the
assistance provided by these programs relates only to the provision of
technical assistance and is categorically excluded from the
requirements of the National Environmental Policy Act and not subject
to environmental review under the related laws and authorities. This
determination is based on the ineligibility of real property
acquisition, construction, rehabilitation, conversion, leasing or
repair for HUD assistance under these technical assistance programs.
IX. Authority
CHDO Technical Assistance. The CHDO Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12773);
24 CFR part 92.
HOME Technical Assistance. The HOME Technical Assistance Program is
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12781-
12783); 24 CFR part 92.
McKinney-Vento Act Homeless Assistance Programs Technical
Assistance. The Supportive Housing Program is authorized under 42
U.S.C. 11381 et seq.; 24 CFR 583.140. The Emergency Shelter Grant,
Section 8 Moderate Rehabilitation Single Room Occupancy Program and
Shelter Plus Care Technical Assistance Programs are authorized by the
FY 2001 HUD Appropriations Act.
HOPWA Technical Assistance. The HOPWA Technical Assistance program
is authorized under the FY 2001 HUD Appropriations Act. The HOPWA
program is authorized under the AIDS Housing Opportunities Act (42
U.S.C. 12901) and the HOPWA regulations are found at 24 CFR part 574.
Appendix A to CD-TA Program: ``Fair-Share'' Amounts Allocated to Each HUD CPD Office
----------------------------------------------------------------------------------------------------------------
McKinney-
CHDO TA vento act
HUD CPD field office single CHDO TA HOME TA homeless HOPWA TA
state multi-state assistance
TA
----------------------------------------------------------------------------------------------------------------
Alabama State Office........................... $48,000 $42,000 $90,000 $40,000 ...........
Alaska State Office............................ 30,000 30,000 50,000 40,000 ...........
Arkansas State Office.......................... 30,000 30,000 54,000 40,000 ...........
California State Office........................ 256,000 224,000 480,000 242,000 ...........
Los Angeles Area Office........................ 224,000 196,000 420,000 255,000 ...........
Caribbean Office............................... 57,600 50,400 108,000 40,000 ...........
Colorado State Office.......................... 89,600 78,400 168,000 40,000 ...........
Connecticut State Office....................... 35,200 30,800 66,000 40,000 ...........
District of Columbia Office.................... 30,000 30,000 54,000 83,000 ...........
Florida State Office........................... 38,400 33,600 72,000 70,000 ...........
Jacksonville Area Office....................... 76,800 67,200 144,000 49,000 ...........
Georgia State Office........................... 73,600 64,400 138,000 40,000 ...........
Hawaii State Office............................ 30,000 30,000 50,000 40,000 ...........
[[Page 11706]]
Illinois State Office.......................... 156,800 137,200 294,000 145,000 ...........
Indiana State Office........................... 57,600 50,400 108,000 40,000 ...........
Kansas/ Missouri State Office.................. 64,000 56,000 120,000 40,000 ...........
St. Louis Area Office.......................... 30,000 30,000 50,000 40,000 ...........
Kentucky State Office.......................... 48,000 42,000 90,000 40,000 ...........
Louisiana State Office......................... 64,000 56,000 120,000 40,000 ...........
Maryland State Office.......................... 38,400 33,600 72,000 40,000 ...........
Massachusetts State Office..................... 131,200 114,800 246,000 182,000 ...........
Michigan State Office.......................... 118,400 103,600 222,000 138,000 ...........
Minnesota State Office......................... 41,600 36,400 78,000 52,000 ...........
Mississippi State Office....................... 32,000 30,000 60,000 40,000 ...........
Nebraska State Office.......................... 44,800 39,200 84,000 40,000 ...........
New Jersey State Office........................ 89,600 78,400 168,000 52,000 ...........
New Mexico State Office........................ 30,000 30,000 50,000 40,000 ...........
New York State Office.......................... 261,600 204,400 500,000 239,000 ...........
Buffalo Area Office............................ 44,800 39,200 104,000 57,000 ...........
North Carolina State Office.................... 67,200 58,800 126,000 40,000 ...........
Ohio State Office.............................. 140,800 123,200 264,000 104,000 ...........
Oklahoma State Office.......................... 35,200 30,800 66,000 40,000 ...........
Oregon State Office............................ 54,400 47,600 102,000 40,000 ...........
Pennsylvania State Office...................... 124,800 109,200 234,000 106,000 ...........
Pittsburgh Area Office......................... 54,400 47,600 102,000 57,000 ...........
South Carolina State Office.................... 35,200 30,800 66,000 40,000 ...........
Tennessee Knoxville Area Office................ 57,600 50,400 108,000 40,000 ...........
Texas State Office............................. 160,000 140,000 300,000 88,000 ...........
San Antonio Area Office........................ 35,200 30,800 66,000 40,000 ...........
Virginia State Office.......................... 51,200 44,800 96,000 40,000 ...........
Washington State Office........................ 54,400 47,600 102,000 67,000 ...........
Wisconsin State Office......................... 57,600 50,400 108,000 54,000 ...........
National....................................... ........... 1,600,000 2,000,000 ........... 2,580,000
----------------------------------------------------------------
Total...................................... 3,200,000 4,400,000 8,000,000 3,000,000 2,580,000
----------------------------------------------------------------------------------------------------------------
BILLING CODE 4210-32-P
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11707]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.041
[[Page 11708]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11709]]
FUNDING AVAILABILITY FOR THE COMMUNITY DEVELOPMENT BLOCK GRANT
PROGRAM FOR INDIAN TRIBES AND ALASKA NATIVE VILLAGES
Program Overview
Purpose of the Program. The purpose of the Community Development
Block Grant Program for Indian Tribes and Alaska Native Villages
(ICDBG) is the development of viable Indian and Alaska Native
communities, including the creation of decent housing, suitable living
environments, and economic opportunities primarily for persons with low
and moderate incomes as defined in 24 CFR 1003.4.
Available Funds. Approximately $71,284,661 is available for the
ICDBG Program.
Eligible Applicants. Eligible applicants are Indian tribes or
tribal organizations on behalf of Indian tribes.
Application Deadline. May 23, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (one original and
two copies) is due on or before 12:00 midnight, Eastern time, on May
23, 2001.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications to the Appropriate Area ONAP.
Submit original signed application and two copies to the appropriate
Area Office of Native American Programs for your jurisdiction. A list
of jurisdictions is given below. A hand carried application will be
accepted at the specified HUD Area ONAP during normal business hours
before the application due date. On the application due date, business
hours will be extended to 6:00 p.m. local time. Please be sure to
arrive at the Area ONAP with adequate time to submit the application
before the 6:00 p.m. deadline by the application due date.
------------------------------------------------------------------------
If you are applying from this send your application to this
geographic location then . . . Area ONAP:
------------------------------------------------------------------------
All States East of the Mississippi Eastern/Woodlands Office of
River, plus Iowa and Minnesota. Native American Programs,
Grants Management Division, 77
West Jackson Blvd., Room 2400,
Chicago, IL 60604-3507,
Telephone: (312) 886-4532,
Ext. 2815.
Louisiana, Kansas, Oklahoma, and Texas, Southern Plains Office of
except West Texas. Native American Programs,
Grants Management Division,
500 W. Main Street, Suite 400,
Oklahoma City, OK 73102-3202,
Telephone: (405) 553-7525.
Colorado, Montana, Nebraska, North Northern Plains Office of
Dakota, South Dakota, Utah, and Native American Programs,
Wyoming. Grants Management Division,
First Interstate Tower North,
633 17th Street, Denver, CO
80202-3607, Telephone: (303)
672-5465.
Arizona, California, and Nevada........ Southwest Office of Native
American Programs, Grants
Management Division, Two
Arizona Center, Suite 1650,
400 N. Fifth Street, Phoenix,
AZ 85004-2361, Telephone:
(602) 379-3865.
New Mexico and West Texas.............. Southwest Office of Native
American Programs, Grants
Management Division,
Albuquerque Plaza, 201 3rd
Street N.W., Suite 1830,
Albuquerque, NM 87102-3368,
Telephone: (505) 346-6923.
Idaho, Oregon, Washington.............. Northwest Office of Native
American Programs, Grants
Management Division, Federal
Office Building, 909 First
Avenue, Suite 300, Seattle, WA
98104-1000, Telephone: (206)
220-5271.
Alaska................................. Alaska Office of Native
American Programs, Grants
Management Division, 949 E.
36th Avenue, Suite 401,
Anchorage, AK 99508-4399,
(907) 271-4603.
------------------------------------------------------------------------
In order to expedite the review of your application and to ensure
that your application is given a thorough and complete review of all
responses to each of the components of the selection criteria, HUD
strongly requests that you use separate tabs for each selection
criterion and sub-criterion. In order to be rated, make sure the
response is beneath the appropriate heading. Keep the responses in the
same order as the NOFA. Limit your narrative explanations to 200 words
or less and provide the necessary data such as a market analysis, a pro
forma, housing survey data, etc., that support the response. Include
all relevant material to a response under the same tab. Do not assume
the reviewer will search for the answer or information to support the
answer elsewhere in the application. Do not include documentation that
is not required by the selection criteria because irrelevant
information will be disregarded during the review of your application.
HUD asks that you do a preliminary rating for your project, providing a
score according to the NOFA point system and submit your preliminary
rating with your application. This will help to show you how your
project might be scored by reviewers. Also, it will help to show you
where the strengths and weaknesses of the application are located so
that you may improve your application prior to its submission by the
deadline date.
For Application Kits. For an application kit and any supplemental
material please call the SuperNOFA Information Center at 1-800-HUD-8929
or the appropriate Area ONAP for your jurisdiction as listed above.
Persons with hearing or speech impairments may call the Center's TTY
number at 1-800-HUD-2209. An application kit also will be available on
the Internet through the HUD web site at http://www.hud.gov. When
requesting an application kit, please refer to ICDBG and provide your
name, address (including zip code), and telephone number (including
area code).
For Further Information. You should direct general program
questions to the Area ONAP serving your area or to Jackie Kruszek,
Office of Native American Programs, Office of Public and Indian
Housing, Department of Housing and Urban Development, 1999 Broadway,
Suite 3390, Denver, C0 80202; telephone (800) 561-5913. Persons with
speech or hearing impairments may call HUD's TTY number (202) 708-0770,
or 1-800-877-8399 (the Federal Information Relay Service TTY). Other
than the ``800'' number, these numbers are not toll-free.
[[Page 11710]]
For Technical Assistance. Before the application deadline, we will
be available to provide you with general guidance. We cannot, however,
provide you with guidance on the actual contents of your application.
If applicable, after selection but before award, we will be available
to assist you in clarifying or confirming information that is required
to address a pre-award requirement or condition.
II. Amount Allocated
Approximately $70,843,800 is available for the ICDBG Program.
General. Title I of the Housing and Community Development Act of
1974 (the CDBG statute) requires grants for Indian tribes be awarded on
a competitive basis in accordance with selection criteria contained in
a regulation promulgated by the Secretary after notice and public
comment. All grant funds awarded in accordance with this NOFA are
subject to the requirements of 24 CFR part 1003. Applicants within an
Area ONAP's geographic jurisdiction compete only against each other for
that Area ONAP's allocation of funds.
Allocations. The requirements for allocating funds to Area ONAPs
responsible for program administration are found at 24 CFR 1003.101.
Following these requirements, based on an appropriation of $
70,843,800, the allocations for FY 2001 are as follows:
------------------------------------------------------------------------
------------------------------------------------------------------------
Eastern/Woodland........................................ $5,481,761
Southern Plains......................................... 12,972,631
Northern Plains......................................... 10,941,946
Southwest............................................... 29,848,823
Northwest............................................... 4,180,664
Alaska.................................................. 5,858,836
Total............................................... $69,284,661
------------------------------------------------------------------------
The total allocation includes $440,861 in unused funds from the
amount reserved by the Assistant Secretary in Fiscal Year 2000 for
Imminent Threat grants. As indicated below, $2,000,000 will be retained
to fund Imminent Threat grants.
Grant Ceilings. The authority to establish grant ceilings is found
at 24 CFR 1003.100(b)(1). Grant ceilings are established for FY 2001
funding at the following levels:
------------------------------------------------------------------------
Area ONAP Population Ceiling
------------------------------------------------------------------------
Eastern/Woodlands: ALL................... $500,000
Southern Plains: ALL................... 750,000
Northern Plains: ALL................... 800,000
Southwest: 50,001+............... 5,000,000
10,501-50,000......... 2,500,000
7,501-10,500.......... 2,000,000
6,001-7,500........... 1,000,000
1,501-6,000........... 750,000
0-1,500............... 550,000
Northwest:......................... ALL................... 350,000
Alaska:............................ ALL................... 500,000
------------------------------------------------------------------------
For the Southwest Area ONAP jurisdiction, the population used to
determine ceiling amounts is the Native American population that
resides on a reservation or rancheria. Please contact that office
before submitting your application if you are unsure of the population
level to use to determine the ceiling amount for your tribe or if you
believe that the level used for previous years needs to be revised or
corrected. The Southwest ONAP must accept any corrections or revisions
before you submit your application.
Imminent Threats. The criteria for grants to alleviate or remove
imminent threats to health or safety that require an immediate solution
are described at 24 CFR part 1003, subpart E. In order to satisfy these
criteria, the problem to be addressed must be such that an emergency
situation exists or would exist if the problem were not addressed. In
addition, you may use funds provided under that subpart only to address
imminent threats that are not of a recurring nature and that represent
a unique and unusual circumstance that impacts an entire service area.
In accordance with the provisions of 24 CFR part 1003, subpart E, we
will retain $2,000,000 to meet the funding needs of imminent threat
applications submitted to any of the Area ONAPs. The grant ceiling for
imminent threat applications for FY 2001 is $350,000. We established
this ceiling pursuant to the provisions of 24 CFR 1003.400(c).
You do not have to submit a request for assistance under the
imminent threat set-aside (24 CFR part 1003, subpart E) by the deadline
established in this NOFA; the deadline applies only to applications
submitted for assistance under 24 CFR part 1003, subpart D, Single
purpose grants.
If, in response to a request for assistance, an Area ONAP issues
you a letter to proceed under the authority of 1003.401(a), then your
application must be submitted to and approved by the Area ONAP before a
grant agreement may be executed. This application must contain:
Standard Form 424, Application for Federal Assistance; a brief
description of the proposed project; Form HUD-4123, Cost Summary; Form
HUD-4125, Implementation Schedule; Form HUD-2880, Applicant/Recipient
Disclosure/Update Report; Form HUD-4126, Certifications; and, Form HUD-
50070, Certification for a Drug-Free Workplace.
III. Program Description; Eligible Applicants; and Eligible
Activities
Program Description. The purpose of the ICDBG Program is the
development of viable Indian and Alaska Native communities, including
the creation of decent housing, suitable living environments, and
economic opportunities primarily for persons with low and moderate
incomes.
Eligible Applicants. To apply for funding you must be eligible as
an Indian Tribe (or as a tribal organization) by the application
submission date.
Tribal organizations are permitted to submit applications under 24
CFR 1003.5(b) on behalf of eligible tribes when one or more eligible
tribe(s) authorize the organization to do so under concurring
resolutions. As is stated in this regulatory section, the tribal
organization must itself be eligible under title I of the Indian Self-
Determination and Education Assistance Act. A determination of such
eligibility must be made by the Bureau of Indian Affairs or the Indian
Health Service, as appropriate. This determination must be provided to
the ONAPs by the application submission date.
If a tribe or tribal organization claims that it is a successor to
an eligible entity, the ONAPs must review the documentation to
determine whether it is in fact the successor entity.
Due to the unique structure of tribal entities eligible to submit
ICDBG applications in Alaska, and as only one ICDBG application may be
submitted for each area within the jurisdiction of an entity eligible
under 24 CFR 1003.5, a tribal organization that submits an application
for activities in the jurisdiction of one or more eligible tribes or
villages must include a concurring resolution from each such tribe or
village authorizing the submittal of the application. Each such
resolution must also indicate that the tribe or village does not itself
intend to submit an ICDBG application for that funding round. The
hierarchy for funding priority continues to be the IRA Council, the
Traditional Village Council, the ANCSA Village Corporation, and the
ANCSA Regional Corporation.
On March 13, 2000 (65 FR 13298), the Bureau of Indian Affairs
published a Federal Register notice entitled ``Indian Entities
Recognized and Eligible to Receive Services From the United States
Bureau of Indian Affairs.'' This notice provides a listing of Indian
Tribal Entities in Alaska found to be Indian
[[Page 11711]]
Tribes as the term is defined and used in 25 CFR part 83. Additionally,
pursuant to title I of the Indian Self-Determination and Education
Assistance Act, ANCSA Village Corporations and Regional Corporations
are also considered tribes and therefore eligible applicants for the
ICDBG program.
Any questions regarding eligibility determinations and related
documentation requirements for entities in Alaska should be referred to
the Alaska Area ONAP prior to the application submission date. (See 24
CFR 1003.5 for a complete description of eligible applicants.)
Please note: when used in this NOFA the word ``tribe'' means an
Indian tribe, band, group or nation, including Alaska Indians,
Aleuts, Eskimos, Alaska Native Villages, ANCSA Village Corporations,
and ANCSA Regional Corporations.
Eligible Activities. Activities that are eligible for ICDBG funding
are identified at 24 CFR part 1003, subpart C. Please note that
although this subpart has not yet been revised to include the
restrictions on activity eligibility which was added to section 105 of
the CDBG statute by section 588 of the Quality Housing and Work
Responsibility Act of 1998, these restrictions apply. Specifically,
ICDBG funds may not be used to assist directly in the relocation of any
industrial or commercial plant, facility, or operation, from one area
to another, if the relocation is likely to result in a significant loss
of employment in the labor market area from which the relocation
occurs. The rating factors included under IV (K) specify many of the
activities listed as eligible under part 1003, subpart C. Those listed
include new housing construction, housing rehabilitation, land
acquisition, homeownership assistance, public facilities and
improvements, economic development, and micro-enterprise programs.
However, the following eligible activities not clearly identified by
the rating factors may be proposed and rated as described below. For a
complete description of eligible activities, please refer to 24 CFR
Part 1003 Subpart C.
Acquisition of property. This activity can be proposed as Land to
Support New Housing or as part of New Housing Construction, Community
Facilities or Economic Development depending on the purpose of the land
acquisition.
Assistance to Institutions of Higher Learning. If such entities
have the capacity, they can help the ICDBG grantees to implement
eligible projects.
Assistance to Community Based Development Organizations (CBDO's).
Grantees may provide assistance to these organizations to undertake
activities related to neighborhood revitalization, community economic
development or energy conservation.
Clearance, Demolition. These activities can be proposed as part of
Housing Rehabilitation, New Housing Construction, Community Facilities
or Land to Support New Housing.
Code Enforcement. This activity can be proposed as Housing
Rehabilitation. The activity must comply with the requirements at 24
CFR 1003.202. HUD approval is required prior to demolition of any
assisted housing.
Comprehensive Planning. This activity is eligible, and can be
proposed, as part of any otherwise eligible project to the extent
allowed by the 20 percent cap on the grant for planning/administration.
Energy Efficiency. Associated activities can be proposed under
Housing Rehabilitation or Community Facilities depending upon the type
of energy efficiency activity.
Lead Based Paint Abatement and Evaluation. These activities can be
proposed under Housing Rehabilitation.
Non-Federal Share. ICDBG funds can be used as a match for any non-
ICDBG funding to the extent allowed by such funding and the activity is
eligible under 24 CFR part 1003, Subpart C.
Privately and Publicly Owned Commercial or Industrial Buildings
(real property improvements). These activities can be proposed under
Economic Development. Privately owned commercial rehabilitation is
subject to the requirements at 24 CFR 1003.202.
Privately Owned Utilities. Assistance to privately owned utilities
can be proposed under Community Facilities.
Removal of Architectural Barriers. This includes removing barriers
that restrict mobility and access for elderly and severely disabled
persons. This activity can be proposed under Housing Rehabilitation or
Community Facilities depending upon the type of structure where the
barrier will be removed.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, as an applicant you must comply with the
following requirements:
Indian Preference. HUD has determined that the ICDBG program is
subject to section 7(b) of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for
implementing this section are in 24 CFR 1003.510.
Anti-discrimination Provisions. Under the authority of section
107(e)(2) of the CDBG statute, HUD waived the requirement that
recipients comply with the anti-discrimination provisions in section
109 of the CDBG statute with respect to race, color, and national
origin. You must comply with the other prohibitions against
discrimination in section 109 (HUD's regulations for section 109 are in
24 CFR part 6) and with the Indian Civil Rights Act.
Conflict of Interest. In addition to the conflict of interest
requirements with respect to procurement transactions found in 24 CFR
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply
to such activities as the provision of assistance by the recipient or
sub-recipients to businesses, individuals, and other private entities
under eligible activities that authorize such assistance.
Economic Opportunities for Low and Very Low-Income Persons (Section
3). Section 3 requirements apply to the ICDBG Program, but as stated in
Sec. 135.3(c), the procedures and requirements of 24 CFR part 135 apply
to the maximum extent consistent with, but not in derogation of,
compliance with Indian Preference.
Please note that the requirements in the General Section regarding
applicability of affirmatively furthering fair housing do not apply.
The requirement is inconsistent with section 106(a) of the Housing and
Community Development Act of 1974, as amended, which specifically makes
inapplicable to the ICDBG program the requirement of section 104(b)(2)
that the grantee certify that it will affirmatively further fair
housing.
V. Application Selection Process
You, the applicant, must meet all of the applicable threshold
requirements of Section II(B) of the General Section of the SuperNOFA.
HUD will review each application and assign points in accordance with
the selection factors described in this section. The maximum number of
points is 100.
(A) Screening for acceptance. ONAPs will screen applications for
single purpose grants. The ONAPs will reject an application that fails
this screening and will return the application unrated. The ONAPs will
accept your application if it meets all the criteria listed below as
items (1) through (6):
(1) Your application is received or submitted in accordance with
the requirements set forth under APPLICATION DUE DATE in this NOFA;
(2) You are eligible;
(3) The proposed activities are eligible;
[[Page 11712]]
(4) Your application contains substantially all the components
specified in VI of this notice;
(5) Your application shows that at least 70% of the grant funds are
to be used for activities that benefit low and moderate income persons,
in accordance with the requirements of 24 CFR 1003.208; and
(6) Your application is for an amount that does not exceed the
grant ceilings that are established by the NOFA.
(B) Threshold review. ONAPs will rate and rank each application
that passes the screening process to ensure that each applicant and
each proposed project meets the applicant threshold requirements set
forth in 24 CFR 1003.301(a) and the project specific threshold
requirements set forth in 1003.302.
(C) Rating. The ONAPs will review and rate each project that meets
the acceptance criteria and threshold requirements. The total points
for all rating factors is 100. This is the maximum any project can
receive. As indicated below, please note that to be considered for
funding, a project must receive a minimum of 25 points under Rating
Factor 1.
(D) Public Service Projects. Because there is a statutory 15
percent cap on the amount of grant funds that may be used for public
services activities, you may not receive a single purpose grant solely
to fund public services activities. Your application, however, may
contain a public services component for up to 15 percent of the total
grant. This component may be unrelated to the other project(s) included
in your application. If your application does not receive full funding,
we will reduce the public services allocation proportionately so that
it comprises no more than 15 percent of the total grant award. In
making such reductions, the feasibility of the proposed project will be
taken into consideration. If a proportionate reduction of the public
services allocation renders such a project infeasible, the project will
not be funded.
(E) Final Ranking. We will rank all projects against each other
according to the point totals they receive, regardless of the type of
project or component under which the points were awarded. We will
select projects for funding based on this final ranking, to the extent
that funds are available. We will determine individual grant amounts in
a manner consistent with the considerations set forth in 24 CFR
1003.100(b)(2). Specifically, ONAPs may approve a grant amount less
than the amount requested. In doing so, ONAPs may take into account the
size of the applicant, the level of demand, the scale of the activity
proposed relative to need and operational capacity, the number of
persons to be served, the amount of funds required to achieve project
objectives, the reasonableness of the project costs, and the
administrative capacity of the applicant to complete the activities in
a timely manner.
If the ONAPs determine that there are not enough funds available to
fund a project as proposed by the applicant, they may decline to fund
that project and may fund the next highest ranking project or projects
for which adequate funds are available. The ONAPs may select, in rank
order, additional projects for funding if one of the higher ranking
projects is not funded or if additional funds become available.
(F) Tiebreakers. When rating results in a tie among projects and
insufficient resources remain to fund all tied projects, the ONAPs will
approve projects that can be fully funded over those that cannot be
fully funded. When that does not resolve the tie, the ONAPs will use
the following factors in the order listed to resolve the tie:
(1) The applicant that has not received an ICDBG over the longest
period of time.
(2) The applicant with the fewest active ICDBGs.
(3) The project that would benefit the highest percentage of low
and moderate income persons.
(G) Pre-award requirements. If there are technical deficiencies in
successful applications, you must satisfactorily address these
deficiencies before we can make a grant award. Please see Section VIII
of this NOFA for a definition of such a deficiency and a description of
the process to address and correct the deficiency. You must correct all
technical deficiencies within the timeframe established by HUD. If they
are not corrected, we will not make the grant award and will reject
your application.
We also may require a successful applicant to provide supporting
documentation concerning the management, maintenance, operation, or
financing of proposed projects before a grant agreement can be
executed. We will normally give you no less than thirty (30) calendar
days to respond to these requirements. If you do not respond within the
prescribed time period or you make an insufficient response, the ONAPs
may determine that you have not met the requirements and may withdraw
the grant offer. The ONAPs require you to submit supporting
documentation if specific questions remain concerning the scope,
magnitude, timing, or method of implementing the project; or you have
not provided information verifying the commitment of other resources
required to complete, operate, or maintain the proposed project. You
may not substitute new projects for those originally proposed in your
application. We will award, in accordance with the provisions of this
NOFA, grant amounts that had been allocated for applicants unable to
meet pre-award requirements.
(H) Definitions.
Adopt means to approve by formal tribal resolution.
Assure means to comply with a specific NOFA requirement. As an
applicant, you should state your compliance or your intent to comply in
your application.
Document means to supply supporting written information and/or data
in the application that satisfies the NOFA requirement.
Entity Other than Tribe. A distinction is made between the
requirements for point award under Rating Factor 3 if a tribe or an
entity other than the tribe will assume maintenance and related
responsibilities for projects other than economic development and land
acquisition for housing. Entities other than the tribe must have the
following characteristics: must be legally distinct from the tribal
government; their assets and liabilities cannot be considered to be
assets and liabilities of the tribal government; claims against such
entities cannot be made against the tribal government; and, must have
governing boards, boards of directors, or groups or individuals similar
in function and responsibility to such boards which are separate from
the tribe's general council, tribal council, or business council, as
applicable.
Entities other than the tribe may be completely external to the
tribe, e.g., a Federal agency, or may be an entity formed or chartered
under provisions of tribal law, e.g., a tribally chartered non-profit
or for-profit corporation, tribal utility authority, or tribal
political subdivision.
If the nature of the entity is such that it is apparent that it is
not the tribe, e.g., it is a Federal or state department or agency,
information establishing that it is an entity other than the tribe need
not be provided. However, if it is not apparent that the entity has all
of the characteristics stated above, it is the applicant's
responsibility to provide information to HUD to establish that this is
true. If potential applicants are unsure whether or not a specific
entity has the necessary characteristics, a request for review should
be submitted to the ONAPs prior to the submission of
[[Page 11713]]
the application for assistance. If an applicant waits to submit the
information on entity characteristics with an application and HUD found
the information to be inadequate or inconclusive, the award of points
would be jeopardized.
Homeownership Assistance Programs. Tribes may apply for assistance
to provide direct homeownership assistance to low- and moderate-income
households to: subsidize interest rates and mortgage principal amounts
for low- and moderate-income homebuyers; finance the acquisition by
low- and moderate-income homebuyers of housing that is occupied by the
homebuyers; acquire guarantees for mortgage financing obtained by low-
and moderate-income homebuyers from private lenders (except that ICDBG
funds may not be used to guarantee such mortgage financing directly,
and grantees may not provide such guarantees directly); provide up to
50 percent of any downpayment required from a low- and moderate-income
homebuyer; or, pay reasonable closing costs (normally associated with
the purchase of a home) incurred by a low- or moderate-income
homebuyer.
Leverage means resources that you will use in conjunction with
ICDBG funds to achieve the objectives of the project. Resources
include, but are not limited to: tribal trust funds; loans from
individuals or organizations; State or Federal loans or guarantees;
other grants; and non-cash contributions and donated services. (See
Rating Factor 4 of this NOFA for documentation requirements for point
award for leveraged resources.)
Microenterprise Programs. Tribes may apply for assistance to
operate programs to fund the development, expansion and stabilization
of microenterprises. Microenterprises are defined as commercial
entities with five or fewer employees, including the owner.
Microenterprise program activities may entail the following assistance
to eligible businesses: providing credit, including, but not limited
to, grants, loans, loan guarantees, and other forms of financial
support for the establishment, stabilization, and expansion of
microenterprises; providing technical assistance, advice, and business
support services to owners of microenterprises and persons developing
microenterprises; and, providing general support, including, but not
limited to, peer support programs, counseling, child care,
transportation, and other similar services to owners of
microenterprises and persons developing microenterprises.
Operations and Maintenance (O&M) for Community Facilities. While
various items of cost will vary in importance and significance
depending on the type of facility proposed, there are items of expense
related to the operation of the physical plant which must be addressed
in a maintenance and operation plan (tribe assumes responsibility) or
letter of commitment (entity other than tribe will assume these
responsibilities). These items include daily or other periodic
maintenance activities; repairs such as replacing broken windows;
capital improvements or replacement reserves for repairs such as
replacing the roof; fire and liability insurance (may not be applicable
to most types of infrastructure projects such as water and sewer
lines); and, security (may not be applicable to many types of
infrastructure projects such as roads).
Please note that while it is possible that the service provider
may, in its agreement with a tribe, commit itself to cover certain or
all facility O&M costs, as defined, these O&M costs do not include the
program service provision costs related to the delivery of services
(social, health, recreational, educational or other) which may be
provided in a facility.
Project Cost means the total cost to implement the project. Project
cost includes both ICDBG and non-ICDBG funds and resources.
Section 8 standards means housing quality standards contained in 24
CFR 982.401 (Section 8 Tenant-Based Assistance: Unified Rule for
Tenant-Based Assistance Under the Section 8 Rental Certificate Program
and the Section 8 Rental Voucher Program).
Standard Housing/Standard Condition means housing that meets the
housing quality standards (HQS) adopted by the applicant. The HQS
adopted by the applicant must be at least as stringent as the Section 8
standards unless the ONAPs approve less stringent standards based on a
determination that local conditions make the use of Section 8 standards
infeasible. You may submit, before the application due date, a request
for the approval of standards less stringent than Section 8 standards.
If you submit the request with your application, you should not assume
automatic approval by the ONAPs. The adopted standards must provide for
a safe house, in physically sound condition with all systems performing
their intended design functions; a livable home environment and an
energy efficient building and systems that incorporate energy
conservation measures; and, an adequate space and privacy for all
intended household members.
(I) General threshold requirement. According to 24 CFR 1003.301(a),
an applicant that has an outstanding ICDBG obligation to HUD that is in
arrears, or one that has not agreed to a repayment schedule, will be
disqualified from the competition.
(J) Project specific threshold requirements. (1) Housing Projects
(New Construction, Rehabilitation, Land Acquisition and Homeownership
Assistance). For housing projects, you must provide an assurance that
households that have been evicted from HUD-assisted housing within the
past five years will not be assisted by the proposed project except in
emergency situations. The ONAP Administrator will review each emergency
situation proposed by an applicant on a case-by-case basis to determine
whether an exception is warranted.
You also must provide an assurance that the proposed housing
category project is consistent with and, to the extent possible,
identified in the Indian Housing Plan (IHP) (One-Year Financial
Resources Narrative; Table 2, Financial Resources, Part I., Line 1E;
and, Table 2, Financial Resources, Part II) submitted by you or on your
behalf for the Indian Housing Block Grant Program under the Native
American Housing Assistance and Self Determination Act of 1996 (25
U.S.C. 4101 et seq.). If the IHP for the IHBG program year that
coincides with the implementation of the ICDBG proposed project has not
been submitted, you must provide an assurance that when submitted, the
IHP will specifically reference the proposed housing category project.
(2) Housing Rehabilitation Projects. For housing rehabilitation
projects, you must adopt rehabilitation standards and rehabilitation
policies before you submit an application. You must submit these
standards and policies with the application. You must also provide an
assurance that:
(a) All households that receive grant assistance under a housing
rehabilitation project will be of low and moderate income status.
(b) Any house to be rehabilitated will be the permanent non-
seasonal residence of the occupants; the residents will live in the
unit at least nine months per year.
(c) Houses designated for eventual replacement will only receive
repairs essential for the health and safety of the occupants.
(d) Project funds will be used to rehabilitate HUD-assisted houses
only when the tenant/homebuyer's payments are current or the tenant/
homebuyer is current in a repayment agreement. In emergency situations,
the ONAP
[[Page 11714]]
Administrator may grant exceptions to this requirement on a case-by-
case basis.
(e) Houses that have received comprehensive rehabilitation
assistance from any ICDBG or other federal grant program within the
past 8 years will not be assisted with ICDBG funds to make the same
repairs if the repairs are needed as a result of abuse or neglect.
(f) Although you do not have to provide an assurance, grant funds
spent on rehabilitation per house must fall within the following limits
for each Area ONAP jurisdiction:
------------------------------------------------------------------------
------------------------------------------------------------------------
(i) Eastern/Woodlands........................................ $35,000
(ii) Southern Plains......................................... 20,000
(iii) Northern Plains........................................ 35,000
(iv) Southwest............................................... 40,000
(v) Northwest................................................ 40,000
(vi) Alaska.................................................. 55,000
------------------------------------------------------------------------
(3) Land Acquisition Projects. For land acquisition projects, your
application must contain information and documentation, such as a
preliminary plot plan or its equivalent, establishing that there is a
reasonable ratio between the number of net usable acres to be acquired
and the number of low and moderate income households with documented
housing needs. A clear objective of the applicant must be to make the
most effective and economic use of the land proposed for acquisition.
Your application must clearly demonstrate and document housing
assistance needs with a survey that identifies the households to be
served, their size, income levels, and the condition of current housing
or, if applicable, Table I, Statement of Needs from your Tribe's Indian
Housing Plan (IHP). The survey and/or Table I from the IHP must be
submitted with the application.
Your application must include evidence of a commitment and an
ability to construct at least 25 percent of the housing units to be
built on the land proposed for acquisition. This evidence must consist
of one (or more) of the following: a firm or conditional commitment to
construct (or to finance the construction of) the units; documentation
that an approvable application for the construction of these units has
been submitted to a funding source or entity; or, documentation that
these units are specifically identified in the Indian Housing Plan
submitted on or on behalf of the applicant as an affordable housing
resource with a commensurate commitment of Indian Housing Block Grant
(IHBG) resources.
(4) New Housing Construction. New housing construction can only be
implemented through a Community Based Development Organization (CBDO).
Eligible CBDOs are described in 24 CFR 1003.204(c). You must provide an
assurance that you understand this requirement.
You must include in the application, documentation supporting the
following determinations: all households to be assisted under a new
housing construction project must be of low or moderate income status;
no other housing is available in the immediate reservation area that is
suitable for the households to be assisted; no other funding sources
including an Indian Housing Block Grant can meet the needs of the
household(s) to be served; the house occupied by the household to be
assisted is not in standard condition and rehabilitation is not
economically feasible, the household is currently in an overcrowded
house (sharing house with another household(s)), or the household to be
assisted has no current residence.
Before you submit an application for new housing construction
projects, you must adopt construction standards and construction
policies. You must identify the building code to be used when
constructing the houses and must document that this code has been
adopted. The building code may be a tribal building code or a
nationally recognized model code. If it is a tribal code, it must
regulate all of the areas and sub-areas identified in 24 CFR
200.925(b). If the code is recognized nationally, it must be the latest
edition of one of the codes incorporated by reference in 24 CFR
200.925(c).
You must provide an assurance that any house to be constructed will
be the permanent non-seasonal residence of the household to be
assisted. This household must live in the house at least nine months
per year.
(5) Homeownership Assistance Projects. No project specific
thresholds.
(6) Infrastructure. No project specific thresholds.
(7) Buildings. If you propose a facility that would provide health
care services funded by the Indian Health Service (IHS), you must
assure that the facility meets all applicable IHS facility
requirements. We recognize that tribes that are contracting services
from the IHS may establish other facility standards. These tribes must
assure that these standards at least compare to nationally accepted
minimum standards.
(8) Economic Development. Economic development assistance may be
provided only when a financial analysis is provided that shows public
benefit commensurate with the assistance to the business can reasonably
be expected to result from the assisted project. The analysis should
also establish that to the extent practicable, reasonable financial
support will be committed from non-federal sources prior to
disbursement of federal funds; any grant amount provided will not
substantially reduce the amount of non-federal financial support for
the activity; not more than a reasonable rate of return on investment
is provided to the owner; and that grant funds used for the project
will be disbursed on a pro-rata basis with amounts from other sources.
In addition, it must be established that the project is financially
feasible and has a reasonable chance of success.
Microenterprise Projects. No project specific thresholds.
(K) Factors for Award Used To Evaluate and Rate Applications. The
factors for rating and ranking applications and the points for each
factor are provided below. The maximum number of points for all rating
factors is 100. This is the maximum any project can receive.
Rating Factor 1: Capacity of the Applicant (35 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. If applicable, past performance
in administering previous ICDBG will be taken into consideration.
Please specifically address the existence or availability of these
resources for the specific type of activity for which you are applying.
You must receive a minimum of 25 points under this factor for your
proposed activity to be eligible for funding. HUD will not rate any
projects further that do not receive a minimum of 25 points under this
factor.
Your application must include documentation demonstrating that you
possess or can obtain managerial, technical, and/or administrative
capability necessary to carry out the proposed project. Your
application must address who will administer the project and how you
plan to handle the technical aspects of executing the project.
Your application describes the experience and expertise of existing
staff in the implementation of the specific activity for which you are
applying and what responsibilities they will have in project
implementation, as well as those aspects of project implementation that
will be contracted to outside parties. (5 points)
Your application addresses overall project management. (5 Points)
[[Page 11715]]
Your application addresses financial management. (4 Points)
Your application addresses procurement and contract administration. (3
Points)
Your application addresses environmental reviews. (3 Points)
Your performance in administering ICDBG grants over the preceding
12-month period on any open grant will be evaluated based on the
following performance measures. If you do not have any open ICDBG
grants, then you will receive 15 points under this sub-factor.
You have had satisfactory progress in meeting the time frames
established in the HUD-approved Implementation Schedule for the ICDBG
Program. (3 Points)
You have had timely submission of required reports including the
Annual Status and Evaluation Report and Federal Cash Transaction Report
for the ICDBG Program. (3 Points)
You have submitted close-out documents to HUD in a timely manner.
Close-out documents are required for the ICDBG program within 90 days
of completion of project activities. (3 Points)
You have submitted in a timely fashion annual audits in accordance
with the ICDBG Program requirements. (3 Points)
You have resolved in a timely fashion ICDBG monitoring findings and
controlled audit findings or no findings in current reports. (3 Points)
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for the
proposed project to address a documented problem among the intended
beneficiaries.
Your application includes documentation demonstrating that the
proposed project meets an essential community development need by
fulfilling a function that is critical to the continued existence or
orderly development of the community. (10 points)
For public facilities and improvements and economic development
projects, the proposed activities benefit the neediest segment of the
population, as identified below. You must include information
demonstrating that income data were collected in a statistically
reliable and independently verifiable manner.
85 percent or more of the beneficiaries are low or moderate income.
(15 points)
At least 75 percent but less than 85 percent of the beneficiaries
are low or moderate income. (10 points)
At least 55 percent but less than 75 percent of the beneficiaries
are low or moderate income. (5 points)
Less than 55 percent of the beneficiaries are low or moderate
income. (0 points)
For new housing, housing rehabilitation, land acquisition, and
homeownership assistance projects, the proposed activities are limited
to low or moderate income beneficiaries. To evaluate need, the
applicant must demonstrate that the amount of the Indian Housing Block
Grant (IHBG) most recently received by the tribe or its tribally
designated housing entity (TDHE) is not sufficient to have a
significant impact on identified housing needs of low or moderate
income households.
The Indian tribe's IHBG amount was $100,000 or less in IHBG funds.
(15 points)
The Indian tribe's IHBG amount was more than $100,000 but at most
$300,000 in IHBG funds. (10 points)
The Indian tribe's IHBG amount was more than $300,000 but at most
$500,000 in IHBG funds. (5 points)
The Indian tribe's IHBG amount was more than $500,000 in IHBG
funds. (0 points)
For programs which will assist in the development, expansion, or
stabilization of microenterprises, the owner(s) of the microenterprise
must be low or moderate income and the majority of the jobs created or
retained will be for low or moderate income persons. To evaluate need,
the nature of the jobs created or retained will be evaluated. The
owners of the microenterprises are low and moderate income and:
All employees are low or moderate income. (15 points)
At least 75 percent but less than 100 percent of the employees are
low or moderate income. (10 points)
At least 55 percent but less than 75 percent of the employees are
low or moderate income. (5 points)
Less than 55 percent of the employees are low and moderate income.
(0 points)
Rating Factor 3: Soundness of Approach (25 Points)
This factor addresses the quality and cost effectiveness of your
proposal, the degree to which your project provides other benefits to
community members, and the commitment to sustain your proposed
activities.
(1) Your proposed project is a viable and cost effective approach
to address the identified need. Appropriate information to include in
the application to address this factor is a description of other
options considered during project planning, an explanation of how the
size, type, and location of the project, if applicable and appropriate,
were determined, and a discussion of anticipated cost savings due to
innovative program design and/or construction methods. (5 points)
(2) Your proposed project will contribute to community objectives
other than the direct objective of the project, such as job creation or
retention, education and job training opportunities, economic self-
sufficiency, homeownership, and reduction of drug-related crime. (5
points)
(3) Your application demonstrates your commitment to sustain your
proposed activities. This commitment must be demonstrated in the
following project specific ways:
(a) Public facilities and improvements. (i) If the tribe assumes
operation and maintenance responsibilities for public facilities and
improvements, a resolution that both adopts the operation and
maintenance plan and commits necessary funds must be included in the
application.
The plan itself is included and addresses maintenance, repairs,
insurance, replacement reserves and includes a cost breakdown for
annual expenses; for community buildings only, the source of operating
funds is identified for any recreation, social or other services to be
provided by other entity/ies and letters of commitment from service
providers are included which address both operating expenses and space
needs. (15 points)
A resolution adopting the operation and maintenance plan and
committing funds is included; the plan is included and addresses most,
but not all above items, but does include a satisfactory cost
breakdown; for community buildings only, above service provider
commitments (if applicable) as well as the source of operating funds
are included. Information provided is sufficient to determine that the
project will proceed effectively. (10 points)
A resolution adopting the plan and committing funds, or a plan
addressing most of the above items is included. Information provided is
sufficient to determine that the project will proceed effectively. (5
points)
None of the above criteria are met. (0 points)
(ii) If an entity other than the tribe commits to pay for operation
and maintenance for public facilities and improvements, the application
must contain a letter of commitment from the entity that assumes the
operation and maintenance responsibilities.
[[Page 11716]]
Your application contains a letter of commitment from the entity
that identifies the maintenance responsibilities and, if applicable,
responsibilities for operations the entity will assume, as well as its
financial capacity to provide for these responsibilities; for community
buildings only, the source of funds for program service provision is
identified for any recreation, social or other services to be provided
by other entities and letters of commitment from service providers are
included which address both these funds and space needs. (15 points)
Your application contains a letter of commitment identifying
maintenance responsibilities and, if applicable, responsibilities for
operations the entity will assume, but no information regarding the
entity's financial capacity is included; for community buildings only,
the source of funds for program service provision is identified for any
applicable services to be provided and letters of commitment from
applicable providers are included which address both these funds and
space needs. (10 points)
Your application identifies the maintenance provider and, if
applicable, responsibilities for operations the entity will assume, but
a letter of commitment is not provided; for community buildings only,
letters of commitment to provide services are included but no
information regarding the provision of these funds or space needs is
provided. (5 points)
None of the above criteria are met. (0 points)
(b) New housing construction, housing rehabilitation, and
homeownership assistance projects.
The ongoing maintenance responsibilities are clearly identified for
the tribe and/or the participants, as applicable. All participant
maintenance responsibilities are included on a statement to be signed
by the participant as a condition of receiving grant assistance and the
statement to be used is included in the application. (15 points)
Maintenance responsibilities are identified, but in insufficient
detail, and the above statement to be signed by the participant is
submitted. (10 points)
Tribal maintenance responsibilities are identified but participant
responsibilities are either not addressed or do not exist. (5 points)
None of the above criteria are met. (0 points)
(c) Economic development. You must include information or
documentation which addresses or provides the following in the
application: a description of the organizational system and capacity of
the entity that will operate the business; the feasibility and market
analysis of the proposed business activity and the financial viability
of the project.
Appropriate documents to include in the application to address
these items include:
(i) Articles of incorporation, by-laws, resumes of key management
positions and board members.
(ii) Business operating plan.
(iii) Market study no more than two years old.
(iv) Feasibility study indicating how the proposed business will
capture a fair share of the market.
(v) Detailed cost summary for the development of the project.
(vi) Five year operating or cash flow financial projections.
(vii) For the expansion of an existing business, copies of
financial statements for the most recent three years (or the life of
the business, if less than three years).
All above documents applicable to the proposed project are included
in your application and the chances for financial success are
excellent. (15 points)
All or most of the above documents applicable to the proposed
project are included in your application and the chances for financial
success are reasonable. (8 points)
Neither of the above criteria are met. (0 points)
(d) Micro enterprise assistance. You must include the following
information or documentation in the application:
(i) Program description: You must submit a description of the
proposed microenterprise program, including the types of entities that
will be eligible to apply for funds through the microenterprise
program.
(ii) Business plan. You must demonstrate that you will require each
microenterprise applicant to submit a business plan. You must describe
your process for reviewing and analyzing these plans.
(iii) Underwriting. If a credit program is intended, you must
indicate what your underwriting criteria will be. A thorough
description of the process for how you will analyze the financial
status of microenterprise applications is included.
(iv) Loan terms. If a credit program is intended, you must indicate
their range of loan terms (i.e. interest rate, maximum loan amount,
duration, loan servicing provisions) and you must also indicate how you
will determine the terms offered to individual microenterprise
applicants.
(v) Market. You must indicate how you will analyze the market for
the proposed microenterprise businesses and ensure that each funded
business has a well defined market strategy.
All above documents applicable to the proposed project are included
in the application and the chances for success are excellent. (15
points)
All or most of the above documents applicable to the proposed
project are included in the application and the chances for success are
reasonable. (8 points)
Neither of the above criteria are met. (0 points)
(e) Land Acquisition: Submissions should include the results of a
preliminary investigation conducted by a qualified independent entity
demonstrating that the proposed site has suitable soil conditions for
housing and related infrastructure, available drinking water, access to
utilities, vehicular access, drainage, nearby social and community
services, and no known environmental problems.
The submissions include all of the above mentioned items and all
necessary infrastructure is in place. (15 points)
The submissions demonstrate that the proposed site(s) is/are
suitable for housing but that not all necessary infrastructure is in
place. A detailed description of resources to be used and a detailed
implementation schedule for development of all necessary infrastructure
demonstrates that such infrastructure, as needed for proposed housing
development, will be developed in time for such development, but no
later than two years after site purchase. (8 points)
Neither of the above criteria are met. (0 points)
Rating Factor 4: Leveraging Resources (10 Points)
HUD believes that ICDBG funds can be used more effectively to
benefit a larger number of Native American persons and communities if
projects are developed that use tribal resources and resources from
other entities in conjunction with ICDBG funds. To encourage this, we
will award points based on the percentage of non-ICDBG resources
provided relative to project costs as follows:
------------------------------------------------------------------------
Non-ICDBG resources to project costs Points
------------------------------------------------------------------------
Less than 5 percent........................................... 0
At least 5 percent but less than 10 percent................... 2
At least 10 percent but less than 15 percent.................. 4
[[Page 11717]]
At least 15 percent but less than 20 percent.................. 6
At least 20 percent but less than 25 percent.................. 8
25 percent or more............................................ 10
------------------------------------------------------------------------
Contributions which could be considered as leveraged resources for
point award include, but are not limited to: tribal trust funds; loans
from individuals or organizations; State or Federal loans or
guarantees; other grants; donated goods and services needed for the
project; land needed for the project; and, direct administrative costs.
Contributions that will not be considered include, but are not
limited to: indirect administrative costs as identified in OMB Circular
A-87, attachment A, section F; contributions of resources to pay for
anticipated operations and maintenance costs of the proposed project;
and, in the cases of expansions to existing facilities, the value of
the existing facility.
To be considered for point award, firm and projected commitments
must be demonstrated at the time of application.
To demonstrate the commitment of tribal resources, the application
must contain a council resolution or legal equivalent that identifies
and commits the tribal resources to the project, subject to approval of
the ICDBG assistance and favorable outcome of any environmental review
required under 24 CFR part 58 for the project.
To demonstrate the commitment of public agency, foundation, or
other private party resources, a letter of commitment, memorandum of
understanding, and/or agreement to participate, including any
conditions to which the contribution may be subject, must be submitted
with the application. All letters of commitment must include the donor
organization's name, the specific resource proposed, the dollar amount
of the financial or in-kind resource and method for valuation, and the
purpose of that resource within the proposed project. The commitment
must be signed by an official of the organization legally authorized to
make commitments on behalf of the organization and must be conditional
upon favorable outcome of any environmental review required under 24
CFR part 58 for the project.
HUD recognizes that in some cases, firm commitments of non-tribal
resources may not be obtainable by your tribe by the application due
date. For such projected resources, your application must include a
statement from the contributing entity that describes why the firm
commitment cannot be made at the current time and affirms that your
tribe and the proposed project meets eligibility criteria for receiving
the resource. In addition, a date by which the funding decisions will
be made must be included. This date cannot be more than six months from
the anticipated date of grant approval notification by HUD. Should HUD
not receive notification of the firm commitment within 6 months of the
date of grant approval, HUD will recapture the grant funds approved and
will use them in accordance with the requirement of 24 CFR 1003.102.
In addition to the above requirements, for all contributions of
goods, services and land, you must demonstrate that the donated items
are necessary to the actual development of the project and include
comparable costs (or time estimates, if appropriate) that support the
donation. Land valuation must be established using one of the following
methods and the documentation must be contained in the application: a
site specific appraisal no more than two years old; an appraisal of a
nearby comparable site also no more than two years old; or a reasonable
extrapolation of land value based on current area realtor value guides.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which your project planning and
proposed implementation reflect a coordinated, community-based process
of identifying and addressing needs.
Your application includes a tribal resolution stating that the
proposed project is included in an adopted comprehensive community
plan. In the case of new housing, housing rehabilitation, land
acquisition projects, and homeownership assistance projects, the
NAHASDA Indian Housing Plan may be considered a comprehensive community
plan. The resolution must identify the title and approval date of the
plan and indicate how project implementation will be coordinated with
tribal and other efforts directed towards addressing the identified
needs. (5 Points)
Your application documents active participation in tribal planning
efforts to coordinate your proposed project, but the project is not
included in an adopted comprehensive community plan. (3 Points)
Your application contains no documentation regarding the inclusion
of the project in a comprehensive community plan or planning process.
(0 Points)
VI. Application Submission Requirements
(A) Demographic data. You may submit data that are unpublished and
not generally available in order to meet the requirements of this
section. You must certify that:
(1) Generally available, published data are substantially
inaccurate or incomplete;
(2) Data provided have been collected systematically and are
statistically reliable;
(3) Data are, to the greatest extent feasible, independently
verifiable; and
(4) Data differentiate between reservation and BIA service area
populations, when applicable.
(B) Publication of Community Development Statement. You must
prepare and publish or post the community development statement portion
of your application according to the citizen participation requirements
of 1003.604.
(C) Application Submission. Your application must contain the items
listed below. You must also include the forms, standard forms,
certifications, and assurances listed in the General Section of the
SuperNOFA that are applicable to this funding and can be found in
Appendix B to the General Section of the SuperNOFA. Those forms listed
in that Appendix which are not applicable to this funding are: SF 424
A--Standard Form for Budget Information--Non-Construction Programs; SP
424-B--Standard Form for Assurances--Non-Construction Programs; SP 424
C--Standard Form for Budget Information--Construction Programs; and, SP
424 D--Standard Form for Assurances--Construction Programs. In
addition, if the application has been submitted by a tribal
organization as defined in 24 CFR 1003.5(b), on behalf of an Indian
tribe, you must submit concurring resolutions from the Indian tribe
stating that the tribal organization is applying on the tribe's behalf.
The other required items are as follows:
(1) Community Development Statement that includes:
(a) Components that address the relevant selection criteria;
(b) A brief description or an updated description of community
development needs;
(c) A brief description of projects proposed to address needs,
including scope, magnitude, and method of implementing the project;
[[Page 11718]]
(d) A schedule for implementing the project (form HUD-4125,
Implementation Schedule); and
(e) Cost information for each separate project, including specific
activity costs, administration, planning, technical assistance, and
total HUD share (form HUD-4123, Cost Summary);
(2) Certifications (form HUD 4126);
(3) A map showing project location, if appropriate;
(4) If the proposed project will result in displacement or
temporary relocation, a statement that identifies:
(a) The number of persons (families, individuals, businesses, and
nonprofit organizations) occupying the property on the date of the
submission of the application (or date of initial site control, if
later);
(b) The number to be displaced or temporarily relocated;
(c) The estimated cost of relocation payments and other services;
(d) The source of funds for relocation; and
(e) The organization that will carry out the relocation activities;
(5) If applicable, evidence of the disclosure required by 24 CFR
1003.606(e) regarding conflict of interest.
(6) If applicable, the demographic data certification described in
Section IV(B) of the NOFA. The data accompanying the certification must
identify the total number of persons benefiting from the project and
the total number of low-and-moderate persons benefiting from the
project. Supporting documentation should include a sample copy of a
completed survey form and an explanation of the methods used to collect
the data, and a listing of incomes by household.
VII. Clarifying Information
After the application due date, the ONAPs may not, consistent with
24 CFR part 4, subpart B, consider unsolicited information from you.
The ONAPs may, however, but is under no obligation to, contact you to
clarify an item in the application. You should note, however, that the
ONAPs may not seek clarification of items or responses that improve the
substantive quality of the applicant's response to any eligibility or
selection criterion. The ONAPs will make any requests for clarifying
information in writing and will specify the item, or items, that need
clarification and a timeframe for response. Failure on your part to
provide such requested information will result in the rejection of the
application.
VIII. Correction of Technical Deficiencies
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications. Additionally, as indicated under
Section V(G) above, only successful applicants will be required to
address technical deficiencies and this must be done before we make a
grant award. If you do not provide the information necessary to address
the deficiency within the time allowed, we will not award you the grant
and will reject your application. The ONAPs will notify you in writing
and will describe the technical deficiency, what must be done to
correct it, and the date by which you must submit this information. The
ONAPs will notify you by facsimile or by return receipt requested. Your
response must be submitted (postmarked) by no later than the date
established by the ONAPs. The ONAPs must provide you at least 14
calendar days to respond to the request.
IX. Error and Appeals
Judgments made within the provisions of this NOFA and the program
regulations (24 CFR part 1003) are not subject to claims of error. You
may bring arithmetic errors in the rating and ranking of applications
to the attention of the ONAPs within 30 days of being informed of your
score. If an arithmetic error was made in the application review and
rating process that, when corrected, would result in the award of
sufficient points to warrant the funding of an otherwise approvable
project, the ONAPs may fund that project in the next funding round
without further competition.
X. Environmental Requirements
As required by 24 CFR 1003.605, ICDBG grantees must perform
environmental reviews of ICDBG activities in accordance with 24 CFR
part 58. Grantees may not commit or expend any ICDBG or nonfederal
funds on project activities (other than those listed in 24 CFR 58.34 or
58.35(b)) until HUD has approved a Request for Release of Funds and
environmental certification submitted by the grantee. The expenditure
or commitment of ICDBG or nonfederal funds for such activities prior to
this HUD approval may result in the denial of assistance for the
project or activities under consideration.
XI. Authority
Title I of the Housing and Community Development Act of 1974 (42
U.S.C. 5301 et seq.) and the regulations in 24 CFR part 1003.
Appendix A
The non-standard forms, which follow, are required for your
ICDBG application.
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11726]]
[[Page 11727]]
FUNDING AVAILABILITY FOR THE COMMUNITY OUTREACH PARTNERSHIP CENTERS
PROGRAM (COPC)
Program Overview
Purpose of the Program. To provide funds to community colleges,
four-year colleges, and universities to establish and operate Community
Outreach Partnership Centers (COPCs) to address the problems of urban
areas.
Available Funds. Approximately $8 million.
Eligible Applicants. Public and private nonprofit institutions of
higher education granting two- or four-year degrees and accredited by a
national or regional accrediting agency recognized by the U.S.
Department of Education.
Application Deadline. June 1, 2001.
Match. 50% of the total costs of establishing and operating
research activities and 25% of the total costs of establishing and
operating outreach activities.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern time, on June 1, 2001, at HUD
Headquarters.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original and two copies. Submit your completed
application to: Processing and Control Branch, Office of Community
Planning and Development, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 7251, Washington, DC 20410.
When submitting your application, please refer to COPC and include your
name, mailing address (including zip code) and telephone number
(including area code).
For Application Kits. For an application kit and supplemental
material you should 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-HUD-2209. When requesting an application kit, you
should refer to COPC and provide your name, address (including zip
code), and telephone number (including area code). You may also
download the application kit on the Internet through the HUD web site
at http://www.hud.gov.
For Further Information and Technical Assistance. You may contact
Jane Karadbil of HUD's Office of University Partnerships at (202) 708-
1537, ext. 5918. If you have a speech or hearing impairment, you may
call HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the Federal
Information Relay Service TTY). Other than the ``800'' number, these
numbers are not toll-free. You may also reach Ms. Karadbil via the
Internet at [email protected].
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at the web
address listed above.
II. Amount Allocated
Up to $8 million has been allocated to fund grants under the
program. This year, HUD will award two kinds of grants--(A) New Grants
to applicants who have never received a COPC grant before to undertake
eligible work and (B) New Directions Grants to fund previous COPC
recipients (as identified in Section III.(B) below) to undertake new
directions in their activities. Institutionalization Grants will not be
funded under this funding announcement for COPC. HUD will use up to
$6.4 million to fund approximately 16 New Grants and up to $1.2 million
to fund approximately 8 New Directions Grants.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The main purpose of this COPC Program is
to assist in establishing or carrying out outreach and applied research
activities addressing the problems of urban areas. But HUD also looks
to the program to encourage structural change, both within an
institution of higher education and in the way the institution relates
to its neighbors. Funding under this program is used to establish and
operate local Community Outreach Partnership Centers (COPC). The five
key concepts that your COPC Program should include are:
(1) Outreach, technical assistance, and applied research should be
provided to neighborhoods and neighborhood-based organizations based on
what the residents decide is needed, rather than what the institution
concludes is appropriate for that neighborhood;
(2) Community-based organizations and residents should be empowered
by the project and be your partners throughout the life of the project
and beyond, from planning to implementation to activities beyond the
grant;
(3) Your applied research should be related to the outreach
activities and be used to influence your activities within the grant
period or shortly after it ends. HUD will not fund research without
practical application;
(4) The assistance you provide should be primarily by faculty,
students, or to a limited extent, by neighborhood residents or
community-based organizations funded by the university; and
(5) Your program should be part of your institution's broader
effort to meet its urban mission, and be supported by its senior
officials, rather than just the work of a few faculty members. Your
proposed activities should not duplicate those of other entities in the
community and should be appropriate for an institution of higher
education to undertake in light of its teaching, and research, and
service missions.
(B) Eligible Applicants. Eligible applicants for both New Grants
and New Directions Grants are public or private nonprofit institutions
of higher education granting two- or four-year degrees and accredited
by a national or regional accrediting agency recognized by the U.S.
Department of Education. For New Grants, only applicants that have
never previously received a New Grant, a New Directions Grant, or an
Institutionalization Grant are eligible. For New Directions Grants,
applicants must meet the following requirements: you must have received
a New Grant in FY 1994, 1995, 1996, 1997, or 1998; you must never have
received a New Directions Grant; and you must have drawn down (i.e.,
requests for reimbursement have been processed), by the application due
date, at least 75% of the funds you received from any previous COPC
award. Joint Community Development Program grantees are not eligible
for either kind of funding, nor are FY 1999 and 2000 COPC Grantees.
Consortia of eligible institutions may apply, as long as one
institution is designated the lead applicant. Since the Statement of
Work and other facets of the technical review are assessed in the
context of the proposed staffing, and in order to fund as many eligible
applicants as possible, HUD has determined that you may be part of only
one consortium or submit only one
[[Page 11728]]
application or you will be disqualified. HUD will hold you responsible
for ensuring that neither you nor any part of your institution,
including specific faculty, participate in more than one application.
For New Directions Grants, if you originally received funding as a
consortium, you are not required to submit again with all the
consortium members. Members of a previously approved consortium may
submit on their own or as part of their old consortium. However, as
with New Grants, only one application from an institution will be
permitted.
Different campuses of the same university system are eligible to
apply, even if one campus has already received COPC funding. Such
campuses are eligible as separate applicants only if they have
administrative and budgeting structures independent of other campuses
in the system.
(C) Eligible Activities. Your COPC Program must combine research
with outreach, work with communities and local governments and address
the multidimensional problems that beset urban areas. To meet the
threshold requirements, your New Grant application must be multifaceted
and address three or more urban problems and you must propose at least
one distinct activity to address each separate urban problem. Urban
problems include issues related to housing, economic development,
neighborhood revitalization, infrastructure, health care, job training,
education, crime prevention, planning, the environment, community
organizing, and other areas deemed appropriate by the Secretary. Single
purpose applications are not eligible. For example, if you propose to
undertake health education for elementary school children, organizing
around health issues, and job readiness for the health professions, HUD
will deem your application as single purpose, because it really only
addresses the problem of health care. Likewise, if you propose to
address housing, economic development, and health care problems by
developing a Geographic Information System, your application would also
be considered single purpose because it does not propose separate and
distinct activities for each of the problems you will address. As
examples of eligible projects, if you propose a health care project for
the elderly, a job training program on construction trades for high
school seniors, and an affordable housing fair, you would meet the test
of addressing three urban problems, each with a separate activity.
Alternatively, if you propose a Geographic Information System to
identify economic development potential, an oral history of the
neighborhood, and the creation of block watches, you would also meet
the test. These are just examples. For more information about the
projects that have actually been funded under the program, you should
look at the Office of University Partnerships' web site at www.oup.org.
If you are applying for a New Directions Grant, you will only be
required to address two urban problems and undertake at least one
activity for each of these problems.
The statute creating COPC is very specific that the program address
the problems of urban areas. HUD uses the Census definition of an urban
area: a single geographic place (e.g., a city, town, or village, but
not a county) with a population of 2,500 or more. You cannot meet this
test by aggregating several places smaller than the population
threshold in order to meet this requirement.
Funded research must have a clear near-term potential for solving
specific, significant urban problems. You must have the capacity to
apply your research results and to work with communities and local
institutions, including neighborhood groups, local governments, and
other appropriate community stakeholders, in applying these results to
specific real-life urban problems.
While the list of eligible and ineligible activities is the same
for both New Grant applicants and New Directions Grant applicants, New
Directions Grant applicants must demonstrate that the proposed
activities either implement new eligible projects in the current target
neighborhood(s) or implement eligible projects in a new target
neighborhood(s).
Eligible activities include:
(1) Research activities that have practical application for solving
specific problems in designated communities and neighborhoods,
including evaluation of the effectiveness of the outreach activities.
In order to ensure that the primary focus of your project is on
outreach, research may not total more than one-quarter of the total
project costs contained in any grant made under this COPC funding
announcement (including the required 50% match).
(2) Outreach, technical assistance and information exchange
activities which are designed to address specific urban problems in
designated communities and neighborhoods. Such activities must total no
less than three-quarters of your total project costs (including the
required 25% match). Examples of outreach activities include, but are
not limited to:
(a) Job training and other training projects, such as workshops,
seminars, and one-on-one and on-the-job training;
(b) Design of community or metropolitan strategies to resolve urban
problems of communities and neighborhoods;
(c) Innovative use of funds to provide direct technical expertise
and assistance to local community groups, residents, and other
appropriate community stakeholders to assist them in resolving local
problems such as homelessness, housing discrimination, and impediments
to fair housing choice;
(d) Technical assistance in business start-up activities for low-
and moderate-income individuals and organizations, including business
start-up training and technical expertise and assistance, mentor
programs, assistance in developing small loan funds, business
incubators, etc;
(e) Technical assistance to local public housing authorities on
welfare-to-work initiatives and physical transformations of public or
assisted housing, including development of accessible and visitable
housing;
(f) Assistance to communities to improve consolidated housing and
community development plans and remove impediments to the design and
implementation of such plans;
(g) Assistance to communities to design ways to use HUD's
Partnership for Advancing Technology in Housing (PATH) technology such
as analyzing building codes and building materials or designing new
building systems. (Remember that actual physical development activities
are not eligible under COPC.) For more information, see the General
Section of the SuperNOFA or visit the website at www.pathnet.org;
(h) Assistance to communities to improve their fair housing
planning process;
(i) Services to assist low-income students to attend college, as
part of the U.S. Department of Education's Gaining Awareness and
Readiness for Undergraduate Program (GEAR UP). (For more information
call 202-502-7676 or visit the Department of Education's website at
www.ed.gov.); and
(j) Regional projects that maximize the interaction of targeted
inner city distressed neighborhoods with suburban job opportunities
similar to HUD's Bridges-to-Work or Moving to Opportunity programs.
(3) Funds for faculty development including paying for course time
or summer support to enable faculty members to work on the COPC.
(4) Funds for stipends or salaries for students (but the program
cannot cover
[[Page 11729]]
tuition and fees) while they are working on the COPC.
(5) Activities to carry out the ``Responsibilities'' listed under
Section IV (B) below. These activities may include leases for office
space in which to house the Community Outreach Partnership Center,
under the following conditions:
(a) The lease must be for existing facilities not requiring
rehabilitation or construction;
(b) No repairs or renovations of the property may be undertaken
with Federal funds; and
(c) Properties in the Coastal Barrier Resource System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with Federal funds.
(6) Components of your program may address metropolitan or regional
strategies. You must clearly demonstrate how:
(a) Your strategies are directly related to what the targeted
neighborhoods and neighborhood-based organizations have decided is
needed; and
(b) Neighborhoods and neighborhood organizations are involved in
the development and implementation of the metropolitan or regional
strategies.
(D) Ineligible Activities. Activities ineligible for funding under
this program are as follows:
(1) Research activities that have no clear and immediate practical
application for solving urban problems or do not address specific
problems in designated communities and neighborhoods.
(2) Any type of construction, rehabilitation, or other physical
development costs.
(3) Costs used for routine operations and day-to-day administration
of institutions of higher education, local governments or neighborhood
groups.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Grant Sizes and Terms. If you are applying for a New Grant, you
may not request less than $250,000 nor more than $400,000. This amount
must be spent over a three-year period, and your budget must reflect
this period. Since the Statement of Work (in Section VI.(G)) and the
Narrative Statement Addressing the Factors for Award (in Section
VI.(H)) are assessed in the context of the proposed budget and grant
request, and in the interest of fairness to all applicants, HUD will
not accept a New Grant application that is under $250,000 or over
$400,000.
If you are applying for a New Directions Grant, you may not request
a grant that exceeds $150,000. This amount must be spent over a two-
year period. Since the Statement of Work and other facets of the
technical review are assessed in the context of the proposed budget and
grant request, and in the interest of fairness to all applicants, HUD
will not accept a New Directions application that is over $150,000.
(B) Responsibilities. You are required to:
(1) Employ the research and outreach resources of your institution
of higher education to solve specific urban problems identified by
communities served by your Center;
(2) Establish outreach activities in areas identified in your
application as the communities to be served;
(3) Establish a community advisory committee comprised of
representatives of local institutions and residents of the communities
to be served to assist in identifying local needs and advise on the
development and implementation of strategies to address those issues;
(4) Coordinate outreach activities in communities to be served by
your Center;
(5) Facilitate public service projects in the communities served by
your Center;
(6) Act as a clearinghouse for dissemination of information;
(7) Develop instructional programs, convene conferences, and
provide training for local community leaders, when appropriate; and
(8) Exchange information with other Centers.
The clearinghouse function in Section IV(B)(6) above refers to a
local or regional clearinghouse for dissemination of information and is
separate and distinct from the functions in (8) above, which relate to
the provision of information to the University Partnerships
Clearinghouse, which is the national clearinghouse for the program.
(C) Cap on Research Costs. No more than 25% of your total project
costs (Federal share plus match) can be spent on research activities.
You are, however, not required to undertake any research as part of
your project. You may apply for a project that is totally for outreach
activities.
(D) Match. The non-Federal share may include cash or the value of
non-cash contributions, equipment and other allowable in-kind
contributions as detailed in 24 CFR part 84, and in particular
Sec. 84.23 entitled ``cost sharing or matching.'' You may not count as
match any costs that would be ineligible for funding under the program
(e.g., housing rehabilitation).
(1) If you are a New Grant applicant, you must meet the following
match requirements:
(a) Research Activities. 50% of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 25% of the total project costs of
establishing and operating outreach activities.
(2) If you are a New Directions Grant applicant, you must meet the
following match requirements:
(a) Research Activities. 60% of the total project costs of
establishing and operating research activities.
(b) Outreach Activities. 35% of the total project costs of
establishing and operating outreach activities.
In previous competitions, some applicants incorrectly based their
match calculations on the Federal grant amount, not the total project
costs. An example of how you should calculate the match correctly and a
worksheet for the calculation are included in the application kit. The
worksheet, which is also included in the program area section of the
SuperNOFA, should be included with your application.
(E) Administrative. Your grant will be governed by the provisions
of 24 CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations), A-21 (Cost
Principles for Education Institutions), and A-133 (Audits of States,
Local Governments, and Non-Profit Organizations. You may not spend more
than 20% of your grant on planning or administrative costs. The
application kit contains a detailed explanation of what these costs
are. You can access the OMB circulars at the White House website at
http://whitehouse.gov/WH/EOP/OMB/html/circulars.
V. Application Selection Process
There will be two separate competitions--one for New Grants and one
for New Directions Grants. For each type of grant, applications will be
rated, ranked, and selected separately. Two types of reviews will be
conducted: a threshold review to determine your application's
eligibility; and a technical review to rate your application based on
the rating factors in Section V.(A) below.
(A) Additional Threshold Requirements For Funding Consideration.
Under the threshold review, your application can only be rated if you
are both in compliance with the requirements of the General Section of
the SuperNOFA and if the following additional standards are met:
[[Page 11730]]
(1) You have met the statutory match requirements, if applying for
a New Grant or the higher match levels described above, if applying for
a New Directions Grant.
(2) You have proposed a program in which at least 75% of the total
project costs will be for outreach activities.
(3) For New Grants, you have requested a Federal grant between
$250,000 and $400,000. For New Directions Grants, you have requested a
Federal grant that is no more than $150,000.
(4) You have addressed at least three urban problems, such as
affordable housing, fair housing, economic development, neighborhood
revitalization, infrastructure, health care; job training, education,
crime prevention, planning, the environment, and community organizing
and have proposed at least one separate and distinct activity for each
problem you propose to address.
(5) You and any part of your organization are participating in only
one application.
(6) Your project will operate in an urban area.
(B) Factors For Award Used To Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA. Unless otherwise noted, New Grant
applications and New Directions Grant applications will receive the
same number of points on a given factor.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which the proposal demonstrates:
(1) For New Grants (15 points): For New Direction Grants (7
points).
(a) The knowledge and experience of your overall proposed project
director and staff, including the day-to-day program manager,
consultants and contractors in planning and managing programs for which
funding is being requested. Experience will be judged in terms of
recent, relevant and successful experience of your staff to undertake
eligible program activities. In rating this factor, HUD will consider
experience within the last 5 years to be recent; experience pertaining
to the specific activities being proposed to be relevant; and
experience producing specific accomplishments to be successful. The
more recent the experience and the more experience your own staff
members who work on the project have in successfully conducting and
completing similar activities, the greater the number of points you
will receive for this rating factor. The following categories will be
evaluated:
(i) Undertaking research activities in specific communities that
have a clear near-term potential for practical application to
significant urban issues, such as affordable housing, fair housing
including accessible and visitable housing, economic development,
neighborhood revitalization, infrastructure, health care, job training,
education, crime prevention, planning, and community organizing;
(ii) Undertaking outreach activities in specific communities to
solve or ameliorate significant urban issues;
(iii) Undertaking projects with community-based organizations or
local governments; and
(iv) Providing leadership in solving community problems and making
national contributions to solving long-term and immediate urban
problems.
(2) For New Directions Grants only (8 points). The extent to which
you performed successfully under your previous COPC grant(s), as
measured by:
(a) Your achievement of specific measurable outcome objectives;
(b) Your leveraging of funding beyond the funds originally proposed
to be leveraged for that project; and
(c) The effectiveness of your administration of any previous COPC
grants (including the timeliness and completeness of your compliance
with COPC reporting requirements and your ability to have resolved
problems which presented themselves during the grant period). In
addressing timeliness of reports, you should compare when your reports
were due with when they were actually submitted.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities and your indication of the
urgency of meeting the need in the target area. In responding to this
factor, you will be evaluated on the extent to which you document the
level of need for the proposed activity and the urgency in meeting the
need.
You should use statistics and analyses contained in a data
source(s) that is sound and reliable. To the extent that the targeted
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI) identify the level of the problem and the urgency
in meeting the need, you should include references to these documents
in your response.
If the proposed activity is not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), you should indicate such, and use other sound data sources to
identify the level of need and the urgency in meeting the need. Types
of other sources include Census reports, Continuum of Care gaps
analysis, law enforcement agency crime reports, Public Housing
Authorities' Comprehensive Plan, and other sound and reliable sources
appropriate for your program. You may also address needs in terms of
fulfilling court orders or consent decrees, settlements, conciliation
agreements, and voluntary compliance agreements.
To the extent possible, the data you use should be specific to the
area where the proposed activity will be carried out. You should
document needs as they apply to the area where activities will be
targeted, rather than the entire locality or state.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. There must be a clear relationship between your
proposed activities, community needs and the purpose of the program
funding for you to receive points for this factor. The factor will be
evaluated based on the extent to which the proposed work plan will:
(1) (10 points) Identify the specific services or activities to be
performed. Note that you are not required to undertake research as part
of the grant. In reviewing this subfactor, HUD will consider the extent
to which:
(a) There is a clear research agenda;
(i) With identifiable research projects and outcomes (e.g.,
reports, surveys, etc.)
(ii) That identifies each task and who will be responsible for it;
(iii) Which is tied to the outreach agenda (e.g., if you proposed
to study the extent of housing abandonment in a neighborhood and then
design a plan for reusing this housing, you would be able to
demonstrate the link between your proposed research and outreach
strategies); and
(iv) Which does not duplicate research by your institution or by
others for the target area previously completed or currently underway.
If other complementary research is underway,
[[Page 11731]]
you need to describe how the proposed research agenda would complement
it.
(b) There is a clear outreach agenda:
(i) With identifiable outreach projects;
(ii) That identifies each task and who will be responsible for it;
(iii) That involves your institution as a whole (i.e., many
academic disciplines and administrative offices);
(iv) That provides for on-site or frequent presence in the target
area; and
(v) That does not duplicate outreach activities by your institution
or others for the target area previously completed or currently
underway.
(2) (10 points) Involve the communities to be served in a
partnership for the planning and implementation of your activities. In
reviewing this subfactor, HUD will look at the extent to which:
(a) You have formed or will form one or more Community Advisory
Committees, representative of the communities' diversity (including
businesses, community groups, residents, and others) to be served to
develop and implement strategies to address the needs identified in
Factor 2. You will be expected to demonstrate that you have already
formed such a committee(s) or secured the commitment of the appropriate
persons to serve on the committee(s), rather than just describing
generally the types of people whose involvement you will seek.
(b) You have involved a wide range of neighborhood organizations
and local government entities in the identification of your research
and outreach activities.
(c) The committee and your partners will play an active role in all
stages of the project and will not serve as merely advisors or
monitors.
(d) Your outreach agenda includes training projects for local
community leaders, for example, to increase their capacity to direct
their organizations or undertake various kinds of community development
projects.
(3) (6 points) Help solve or address an urgent problem as
identified in Rating Factor 2 and will achieve the purposes of the
program within the grant period. In reviewing this subfactor, HUD will
look at the extent to which:
(a) You identify specific time phased and measurable objectives to
be accomplished; your proposed short and long term program objectives
to be achieved as a result of the proposed activities; the tangible and
measurable impacts your work program will have on the community in
general and the target area or population in particular including
affirmatively furthering fair housing for classes protected under the
Fair Housing Act; and the relationship of your proposed activities to
other ongoing or proposed efforts to improve the economic, social or
living environment in the impact area; and
(b) Grant funds will pay for activities you conduct directly,
rather than passing funds through to other entities (In order for your
application to be competitive, no more than 25 percent of your grant
funds should be passed to other entities); and
(c) The activities you propose to undertake are pressing and urgent
needs, as identified in the documents described in Factor 2.
(4) (4 points) Potentially yield innovative strategies or ``best
practices'' that can be replicated and disseminated to other
organizations, including nonprofit organizations, State and local
governments. In reviewing this subfactor, HUD will assess your
demonstrated ability to disseminate results of research and outreach
activities to other COPCs and communities. HUD will evaluate your past
experience and the scope and quality of your plan to disseminate
information on COPC results, strategies, and lessons learned through
such means as conferences, cross-site technical assistance,
publications, etc. The more proactive your plan for providing
information to a wide range of audiences, the greater the number of
points you will receive.
(5) (8 points) HUD priorities;
(a) (3 points) Further and support the policy priorities of HUD
including:
(i) Promoting healthy homes;
(ii) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(iii) Enhancing ongoing efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You're Out'' or the ``Officer or Teacher Next Door'' initiative;
(iv) Providing educational and job training opportunities through
such initiatives as GEAR UP, Neighborhood Networks, Twenty/20 Education
Communities (formerly known as Campus of Learners) and linking to
AmeriCorps activities; or
(v) HUD's Partnership for Advancing Technology in Housing (PATH)
initiative.
The Healthy Homes initiative implements a series of activities to
protect children from home hazards such as lead-based paint, radon,
fires, and accidents around the home.
The GEAR UP initiative promotes partnerships between colleges and
middle or junior high schools in low-income communities, to help teach
students how they can go to college by informing them about college
options, academic requirements, costs, and financial aid, and by
providing support services, including tutoring, counseling, and
mentoring.
The Neighborhood Networks initiative enhances the self-sufficiency,
employability, and economic self-reliance of low-income families and
the elderly living in HUD-insured and HUD-assisted properties by
providing them with on-site access to computer and training resources.
The Twenty/20 Education Communities initiative is designed to
transform public housing into safe and livable communities where
families undertake training in new telecommunications and computer
technology and partake in educational opportunities and job training
initiatives.
The Partnership for Advancing Technology in Housing (PATH)
initiative is a voluntary public/private partnership that seeks to
speed the creation and widespread use of advanced technologies in order
to radically improve the quality, durability, energy efficiency, and
environmental performance and affordability of housing. For more
information, you can go to the PATH web site at www.pathnet.org.
(b) (5 points) Include activities that affirmatively further fair
housing, for example:
(i) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services,
or lending;
(ii) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(iii) Providing housing mobility counseling services.
(6) For New Grants (12 points): For New Directions Grants (7
points). Result in the COPC function and activities becoming part of
the urban mission of your institution and being funded in the future by
sources other than HUD. The bases for rating an application for this
selection factor will be different, depending on whether the
application is for a New Grant or a New Directions Grant.
In reviewing this subfactor for a New Grant, HUD will consider the
extent to which:
(a) COPC activities relate to your institution's urban mission;
demonstrate support and involvement of the institution's executive
leadership; are
[[Page 11732]]
linked by a formal organizational structure to other units related to
outreach and community partnerships; are reflected in budget and
planning documents; are part of a climate that rewards faculty work on
these activities through promotion and tenure policies; benefit
students because they are part of a service learning program or
professional training at your institution (rather than just volunteer
activities); and are reflected in your curriculum. HUD will look at
your institution's commitment to faculty and staff continuing work in
COPC neighborhoods or replicating successes in other neighborhoods and
to your longer term commitment (e.g., five years after the start of the
COPC) of hard dollars to COPC work. HUD will consider the extent to
which your proposed activities are appropriate for an institution of
higher education because they are tied to your institution's teaching
or research mission. In addition, HUD will consider the extent to which
your faculty, staff and students from across many disciplines are
involved in COPC-like activities as a way of demonstrating your
institution's commitment to these kinds of activities.
(b) You have received commitments for funding from sources outside
the university for related COPC-like projects and activities in the
targeted neighborhood or other distressed neighborhoods. Funding
sources to be considered include, but are not limited to, local
governments, neighborhood organizations, private businesses, your
institution, and foundations.
In reviewing this subfactor for a New Directions Grant, HUD will
consider the extent to which your New Directions project will sustain
the institutional capacity and commitment of your institution to
undertake outreach activities. HUD will be looking for increases in the
number of faculty undertaking this kind of work, increases in the
number of courses linked to outreach activities and the number of
students taking these courses, formal changes in institutional policies
related to support of outreach, and other measures of the impact of
this work on your institution.
(7) For New Direction Grants only (5 points). Previous grantees
have a wealth of knowledge that they can and should share with other
institutions. If you send a faculty member of your team who has been
listed in your application to participate in the peer review process
for New Grants, you will receive 5 points.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources which can be combined with HUD's program resources
to achieve program purposes. This factor measures the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of your proposed
program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award you are seeking. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities willing to establish
partnerships with you. You may also establish partnerships with funding
recipients in other grant programs to coordinate the use of resources
in the target area. In evaluating this factor, HUD will allocate points
as follows:
(1) Five (5) points will be awarded for a match that is 50% over
the required match, as described in Section IV(D) above. Fewer points
will be assigned depending on the extent of the match. Matching funds
must be provided unconditionally in order to be counted for this
factor.
HUD is concerned that applicants should be providing hard dollars
as part of their matching contributions to enhance the tangible
resources going into targeted neighborhoods. Thus, while indirect costs
can count towards meeting the required match, they will not be used in
calculating match overage. Only direct costs can count in this factor.
(2) Up to an additional 5 points will be awarded for the extent to
which you document that matching funds are provided from eligible
sources other than your institution (e.g., funds from the city,
including CDBG, other State or local government agencies, public or
private organizations, or foundations). Fewer points will be assigned
depending on the extent of the outside match.
You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitment, memoranda of
understanding, or agreements to participate from any entity, including
your own institution, that will be providing matching funds to the
project. Each letter of commitment, memorandum of understanding, or
agreement to participate should include the organization's name,
proposed total level of commitment and responsibilities as they relate
to the proposed program. The commitment must also be signed by an
official of the organization legally able to make commitments on behalf
of the organization. Unless matching funds are accompanied by a
commitment letter, they will not be counted towards the match.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. If you
propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address subfactors (1)
and (3). If you are working in a CDBG non-entitlement area, please note
that at the beginning of the discussion of this factor.
In evaluating this factor, HUD will consider the extent to which
you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and, if funded, the
specific steps you will take to share information on solutions and
outcomes with others. Any written agreements, memoranda of
understanding in place, or that will be in place after award, should be
described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities the applicant
proposes.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or ongoing in the community.
(c) Selections. In order to be funded under COPC, you must receive
a minimum score of 70. HUD intends to fund at least one eligible
applicant that serves colonias, as defined by section
[[Page 11733]]
916(d) of the Cranston-Gonzalez National Affordable Housing Act, as
long as the applicant receives a minimum score of 70. HUD will select
the highest ranking colonias application from among the rated colonias
applications.
If two or more applications have the same number of points, the
application with the most points for Factor 3, Soundness of Approach,
shall be selected. If there is still a tie, the application with the
most points for Factor 4, Leveraging Resources shall be selected.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded COPCs. If HUD decides to
use this option, it will do so only if two adjacent HUD regions do not
yield at least one fundable COPC on the basis of rank order. If this
occurs, HUD will fund the highest ranking applicant within the two
regions as long as the minimum score of 70 points is achieved.
After all applications have been rated and ranked and selections
have been made, HUD may require you, if you are selected, to
participate in negotiations to determine the specific terms of your
Statement of Work and grant budget. In cases where HUD cannot
successfully conclude negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
VI. Application Submission Requirements
You should include an original and two copies of the items listed
below. In order to be able to recycle paper, please do not submit
applications in bound form; binder clips or loose leaf binders are
acceptable. Also, please do not use colored paper. Please note the page
limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section.
These items include the standard forms, certifications, and assurances
listed in the General Section of the SuperNOFA that are applicable to
this funding (collectively, referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives), referred to as the ``non-
standard'' forms, can be found as Appendix A to this program section of
the SuperNOFA. The items are as follows:
(A) SF-424, Application for Federal Assistance.
(B) HUD-424M, Federal Assistance Funding Matrix.
(C) Application Checklist.
(D) Transmittal Letter signed by the Chief Executive Officer of
your institution or his or her designee. If a designee signs, your
application must include the official delegation of signatory
authority;
(E) Abstract. (1 page limit) An abstract describing the goals and
activities of your program.
(F) Narrative statement addressing the Factors for Award in Section
V(B). (50 page limit, including letters of commitment, tables and maps,
but not including letters of matching commitments, the match
calculation worksheet, and budget forms). (Please note that although
submitting pages in excess of the page limit will not disqualify your
application, HUD will not consider the information on any excess pages,
which may result in a lower score or failure to meet a threshold.) For
FY 2001 the statement of work and the budget are now a part of Factor
3, Soundness of Approach.
(1) The Statement of Work incorporates all activities to be funded
in your application and details how your proposed work will be
accomplished. Following an activity and tasks under each activity
format, your Statement of Work must:
(a) Arrange the presentation of related major activities by project
functional category (e.g., economic development, affordable housing,
capacity building), summarize each activity, identify the primary
persons involved in carrying out the activity, and delineate the major
tasks involved in carrying it out.
(b) Indicate the sequence in which the tasks are to be performed,
noting areas of work which must be performed simultaneously.
(c) Identify specific numbers of quantifiable intermediate and end
products and objectives you will deliver by the end of the award
agreement period as a result of the work performed.
(c) Identify whether you propose to work in a Community Development
Block Grant (CDBG) entitlement area or not.
(2) Your budget presentation should be consistent with your
Statement of Work and include:
(a) Budget Form--The budget form (Form HUD-30003) should be used to
prepare the budget.
(b) A narrative explanation of how you arrived at your cost
estimates, for any line item over $5,000.
(c) A statement of your compliance with the 20% limitation on
``Planning and Administration'' Costs.
(d) An explanation of your compliance with the requirement that not
more than 25% of the total budget be allocated to research activities
(Form HUD-30002).
(e) An explanation of your compliance with the matching
requirements (Form).
(3) Your narrative response should be numbered in accordance with
each factor and subfactor.
(G) Certifications.
(1) SF-424B, Assurances for Non-Construction Programs.
(2) HUD-50071, Certification of Payments to Influence Certain
Federal Transactions;
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
(5) HUD-50070, Certification of Drug-Free Workplace;
(6) HUD-2992, Certification Regarding Debarment and Suspension;
(7) HUD-2991, Certification of Consistency with the Consolidated
Plan; and
(8) HUD-2990, Certification of Consistency with the EZ/EC Strategic
Plan (if applicable);
(H) Acknowledgment of Receipt of Applications (HUD-2993). If you
wish to confirm that HUD received your application, please complete
this form. This form is optional.
(I) Client Comments and Suggestions (HUD-2994). If you wish to
offer comments on the COPC NOFA of this SuperNOFA or the SuperNOFA
process, please complete this form. This form is optional.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b) of the HUD regulations,
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act and are not
subject to environmental review under the related laws and authorities.
IX. Authority
This program is authorized under the Community Outreach Partnership
Act of 1992 (42 U.S.C. 5307 note; the `` COPC Act''). The COPC Act is
contained in section 851 of the Housing and Community Development Act
of 1992 (Pub.L. 102-550, approved October 28,
[[Page 11734]]
1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 1992
authorized $7.5 million for each year of the 5-year demonstration to
create Community Outreach Partnership Centers as authorized in the COPC
Act. The FY 2001 HUD Appropriations Act continued the program beyond
the initial five-year demonstration by providing funding for Community
Outreach Partnership Centers for FY 2001.
Appendix A
The non-standard forms, which follow, are required for your COPC
application.
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11748]]
[[Page 11749]]
FUNDING AVAILABILITY FOR THE HISTORICALLY BLACK COLLEGES AND
UNIVERSITIES PROGRAM
Program Overview
Purpose of the Program. To assist HBCUs expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development, principally for persons of low and moderate
income, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974.
Available Funds. Approximately $10 million.
Eligible Applicants. Only HBCUs as determined by the Department of
Education in 34 CFR 608.2 in accordance with that Department's
responsibilities under Executive Order 12876, dated November 1, 1993,
are eligible for funding under the HBCU Program.
Application Deadline. June 1, 2001.
Match: None
Additional Information
If you are interested in applying for funding under the HBCU
program, please review carefully the General Section of this SuperNOFA
and the following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern time, on June 1, 2001, at HUD
Headquarters with a copy to the appropriate HUD CPD Field Office.
See the General Section of this SuperNOFA for specific procedures
covering the form of application submission (e.g., mailed applications,
express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of one original and two copies of your application. Submit
your original signed application and one of the two copies to the
following address: Processing and Control Branch, Office of Community
Planning and Development, Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7251, Washington, DC, 20410. When
submitting your application, please refer to the HBCU Program, and
include your name, mailing address (including zip code) and telephone
number (including area code).
Copies of Applications to HUD Offices. To facilitate processing and
review of your application, submit one copy (the second copy) to the
Community Planning and Development (CPD) Director in the appropriate
HUD Field Office for the HBCU by 6:00 pm, local time, on June 1,
2001.The list of HUD Field Offices with CPD Directors is included in
Appendix A.
HUD will accept only one application per HBCU. If HUD receives more
than one application from a single HBCU, HUD will ask the HBCU to
identify which application it wants evaluated. If the HBCU does not
respond within the stipulated period (see Section V of the General
Section of this SuperNOFA), all of the applications received from the
HBCU will be disqualified. You should take this policy into account to
ensure that multiple applications are not submitted.
For Application Kits. For an application kit and any supplemental
materials, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment please call the
Center's TTY number at 1-800-HUD-2209. When requesting an application
kit, you should refer to the HBCU Program and provide your name,
address (including zip code), and telephone number (including area
code). You may also download the application on the Internet through
the HUD web site at http://www.hud.gov.
For Further Information and Technical Assistance. You may contact
Delores Pruden or Ophelia Wilson, Historically Black Colleges and
Universities Program, Office of the Deputy Assistant Secretary for
Economic Development, Community Planning and Development, Department of
Housing and Urban Development, 451 Seventh St, SW, Washington, DC
20410; telephone (202) 401-6367. (This is not a toll-free number.) If
you have a hearing or speech impairment, you may access this number via
TTY by calling the Federal Information Relay Service toll-free at 1-
800-877-8339. You may also obtain information from the HUD Field Office
located in your geographic area. Appendix A contains the names,
addresses and telephone numbers of the HUD Field Offices. For general
information and information regarding training on this HBCU Program
section of the SuperNOFA, you can call the SuperNOFA Information Center
at 1-800-HUD-8929.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
Approximately $10 million is being made available for funding under
this program section of the SuperNOFA. Additional funds may be
available if funds are recaptured, deobligated, appropriated or
otherwise made available during the fiscal year.
(A) Allocation of Funding. In order to ensure that some previously
unfunded HBCUs will receive awards in this competition, approximately
$1.5 million of the available funds will be awarded to HBCUs that have
not previously been funded under the HUD HBCU program. The FY 1991
competition was the first funded under the current HBCU Program
authorization, section 107(b)(3) of the Housing and Community
Development Act of 1974. Previously unfunded HBCUs are listed in
Appendix B of this HBCU Program section of the SuperNOFA.
The remaining approximately $8.5 million of FY 2001 funds will be
awarded to HBCUs that have received funding under such competitions.
Previously funded HBCUs are listed in Appendix C of this HBCU Program
section of the SuperNOFA.
If recaptured funds are made available, those funds will also be
divided proportionately between the two types of applicant funding
pools.
HUD reserves the right to make awards for less than the maximum
amount or less than the amount requested in a particular application.
Awards will be made in the form of grants. The maximum amount awarded
to previously unfunded applicants will be up to $300,000 and the
maximum amount awarded to previously funded applicants will be up to
$500,000.
(B) Term of Grant. The maximum period for performance of your
proposed program under this SuperNOFA for the HBCU Program is 24
months. The performance period will commence on the effective date of
your grant agreement.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. Approximately $10,000,000 is available in
funding for the Historically Black Colleges and Universities (HBCU)
Program. The HBCU Program assists HBCUs expand their role and
effectiveness in addressing community development needs in their
localities, including neighborhood revitalization, housing, and
economic development, consistent with the purposes of Title I of the
Housing and Community Development Act of 1974.
(1) For the purposes of this program, the term ``locality''
includes any city,
[[Page 11750]]
county, town, township, parish, village, or other general political
subdivision of a State or the U.S. Virgin Islands within which an HBCU
is located.
(2) If your HBCU is located in a metropolitan statistical area
(MSA), as established by the Office of Management and Budget, you may
consider your locality to be one or more of these entities within the
entire MSA. The nature of the locality for each HBCU may differ,
therefore, depending on its location.
(3) A ``target area'' is the locality or the area within the
locality in which your HBCU will implement its proposed HUD grant
activities.
(B) Eligible Applicants. Only HBCUs as determined by the Department
of Education in 34 CFR 608.2 in accordance with that Department's
responsibilities under Executive Order 12876, dated November 1, 1993,
are eligible for funding under the HBCU Program. As indicated in
Section II(A)(1) and (2), funds available under this program will be
split between two classes of HBCU applicant, which will be rated,
ranked, and selected separately.
(C) Eligible Activities. (1) General. Each activity you propose for
funding must meet both a Community Development Block Grant (CDBG)
Program national objective AND the CDBG eligibility requirements.
Eligible activities that may be funded under the HBCU Program are those
activities eligible for CDBG funding. The eligible activities are
listed in 24 CFR part 570, subpart C, particularly Secs. 570.201
through 570.206. Additionally, not less than 51% of the aggregated
expenditures of a grant must benefit low and moderate income persons
under the criteria specified in 24 CFR 570.208(a) or 570.208(d)(5) or
(6).
(2) National Objectives. Each activity that may be funded under
this SuperNOFA for the HBCU Program must meet one of the three national
objectives of the Community Development Block Grant program which are:
(a) Benefit to low- or moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
of these objectives are provided at 24 CFR 570.208.
(3) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds include, but are not
limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures including lead-based
paint hazard evaluation and reduction; and making accessibility and
visitability modifications in accordance with the requirements of
section 504 of the Rehabilitation Act of 1973;
(d) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets;
If you are proposing to undertake any of the activities listed in
(a) through (d), you will be required to provide at least two
reasonable appraisals/estimates, from a qualified entity other than the
HBCU, of the cost to complete the activities. This information is to be
submitted with your application. Such an entity must be involved in the
business of housing rehabilitation, construction, and/or management;
(e) Relocation payments and other assistance for permanently and
temporarily relocated individuals, families, businesses, nonprofit
organizations, and farm operations where the assistance is:
(i) Required under the provisions of 24 CFR 570.606(b) or (c); or
(ii) Determined by the grantee to be appropriate under the
provisions of 24 CFR 570.606(d);
(f) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(g) Special economic development activities described at 24 CFR
570.203;
(h) Assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(i) Establishment of a new or stabilization of an existing
Community Development Corporation (CDC) to undertake or continue HBCU
eligible activities. If you are proposing a Community Development
Corporation (CDC) component, it may qualify for Community Based
Development Organization (CBDO) activities;
(j) Assistance to a (CBDO) to carry out a CDBG neighborhood
revitalization, community economic development, or energy conservation
project, in accordance with 24 CFR 570.204. This could include
activities in support of a HUD approved local entitlement grantee CDBG
Neighborhood Revitalization Strategy (NRS) or HUD approved State CDBG
Community Revitalization Strategy (CRS); and
(k) Eligible public service activities, including activities that
provide a continuum of care for the homeless; adult basic education
classes; GED preparation and testing; HBCU curriculum development of
courses which will lead to a certificate or degree in community
planning and development; job and career counseling and assessment;
citizen participation academies, and public access telecommunications
centers; social and medical services; and/or other support activities
for low- and moderate-income residents, senior citizens and youth,
including the U.S. Department of Education's Gaining Early Awareness
and Readiness for Undergraduate Programs (GEAR UP). (For more
information regarding GEAR UP, call 202-502-7676 or visit the
Department of Education's website at www.ed.gov);
(l) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
family status and/or disability aware of the range of housing
opportunities available to them; and
(m) Payment of reasonable grant administrative costs and carrying
charges related to the planning and execution of community development
activities assisted in whole or in part with grant funds. HBCU program
administrative costs may include capacity building to enhance your HUD
HBCU previously funded activities, and/or the creation of new
activities under this HUD HBCU grant. Administrative activities in
connection with strengthening previous and new activities include
hiring staff, supporting and training existing staff, providing
software and other tools to provide administrative capability.
(4) Activities Designed to Promote Training and Employment
Opportunities. In selecting proposed eligible activities, we urge you
to consider undertaking activities designed to promote opportunities
for training and employment of low-income residents in connection with
HUD initiatives such as ``Twenty/20 Education Communities (TEC)
formerly known as the Campus of Learners'' (COL) in public housing and
``Neighborhood Networks'' (NN) in other Federally-assisted or insured
housing. We also encourage you, whenever feasible, to propose
[[Page 11751]]
implementing activities in a Federally-designated Urban or Rural (HUD
or Department of Agriculture) Empowerment Zone, Urban or Rural
Enterprise Community (EZ or EC), or a HUD-approved local CDBG
Neighborhood Revitalization Strategy Area or HUD-approved State CDBG
Community Revitalization Strategy Area.
(5) Use of Grant Funds for the Provision of Public Services. If you
plan to use grant funds to provide public services, you are bound by
the CDBG statutory requirement that not more than 15% of the total
grant amount be used for public service activities that benefit low and
moderate income persons. Therefore, you must propose to use at least
85% of the grant amount for activities qualifying under an eligibility
category other than public services (as described at 24 CFR
570.201(e)). For example, while HUD encourages HBCUs to use a portion
of their grant funds for curriculum development of courses that would
lead to a certificate or degree in community planning and development,
this activity is considered a public service and subject to the public
service cap of 15%.
If you propose an activity which otherwise is eligible it may not
be funded if State or local law requires that it be carried out by a
governmental entity.
The CDBG Publication entitled ``Everything You Wanted to Know About
CDBG'' discusses the regulations, and a copy can be ordered from HUD's
SuperNOFA Information Center at 1-800-HUD-8929 or 1-800-HUD-2209 for
the hearing impaired.
(D) Ineligible CDBG Activities are listed at Sec. 570.207.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you are subject to the following
requirements:
(A) Leveraging. Although a match is not required to qualify for
funding, applicants that provide letters evidencing a firm commitment
from other Federal (e.g., Americorps Programs), State, local, and/or
private sources to provide funding, and/or in-kind goods or services to
implement the proposed activities will receive points under Rating
Factor 4. These letters must be dated no earlier than the date of this
published SuperNOFA. If you do not have evidence of leveraging, you
will receive zero (0) points for Rating Factor 4.
Potential Sources of Assistance
Federal, State and local governments
Housing Authorities
Local or national nonprofit organizations
Banks and private businesses
Foundations
Faith Based Communities
The HBCU
For each match, cash or in-kind contribution to your program, you
must submit a letter from the provider on the provider's letterhead. A
firm commitment letter should address the following:
The cash amount contributed or dollar value of the in-kind
goods and/or services committed;
How the match is to be used;
The date the match will be made available and a statement
that it will be for the duration of the grant period;
Any terms and conditions affecting the commitment, other
than receipt of a HUD HBCU Grant; and
The signature of the appropriate executive officer
authorized to commit the funds and/or goods and/or services.
(B) Employment of Local Area Residents (Section 3). Please see
Section II(E) of the General Section of this SuperNOFA. The
requirements are applicable to certain activities that may be funded
under this program section of the SuperNOFA.
(C) Labor Standards. If you are awarded a grant, you must comply
with the labor standards (Davis-Bacon) as found at 24 CFR 570.603.
(D) OMB Circulars. Your grant will be governed by: (1) OMB Circular
A-21 entitled ``Cost Principles for Educational Institutions''; (2) OMB
Circular A-133 entitled ``Audits of States, Local Governments, and Non-
Profit Organizations''; and (3) the provisions of 24 CFR part 84
entitled ``Grants and Agreements with Institutions of Higher Education,
Hospitals and Other Nonprofit Organizations. You can access the OMB
Circulars at the White House website at http://whitehouse.gov/wh/eop/omb/html/circulars.
(E) Nondiscrimination. In addition to the fair housing and other
civil rights assurances described under Section II (B) of the SuperNOFA
General Section, applicants for the HBCU Program must comply with
Section 109 of the Housing and Community Development Act of 1974, as
amended. Implementing regulations for Section 109 are found under 24
CFR part 570, including, but not limited to, reporting and record-
keeping requirements under 24 CFR 570.506 and 570.507.
V. Application Selection Process
(A) Rating and Ranking. (1) Threshold Review. HUD will conduct a
review to insure that applications are complete and consistent with the
threshold requirements of Section II(B), Compliance with Fair Housing
and Civil Rights Laws, of the General Section of the SuperNOFA, this
HBCU Program section of the SuperNOFA and the HBCU Program regulations
(24 CFR 570.404) before reviewing the application for rating and
ranking. The General Section of the SuperNOFA provides the procedures
for corrections to deficient applications.
(2) Funding of Applications. To be considered for funding, your
application must receive a minimum score of 70 out of the possible
total of 100 points possible for Factors 1 through 5. In addition, two
bonus points may be awarded for EZ/EC, as described in the General
Section of the SuperNOFA. Within each category of eligible applicants,
HUD will fund applications in rank order, until it has awarded all
available funds for that category of applicant, or until there are no
fundable applications remaining in that category. If there is a tie in
the point scores of two applications, the rank order will be determined
by the score on Rating Factor 3, 4, 2, 1, 5 in that order. HUD will
give the higher rank to the application with the most points for a
factor in the above order.
If funds remain after approving all fundable applications within a
category of applicants, HUD may choose to add those funds to the funds
available for the other category of applicants.
(3) After Selection. After selection, but prior to award, you will
be required to:
(a) Negotiate. After HUD has rated and ranked all applications and
HUD has selected the competition winners, HUD requires that all winners
participate in negotiations to determine the specific terms of the
Statement of Work and the final grant budget. HUD will follow the
negotiation procedures described in Section III(D) of the General
Section of the SuperNOFA.
(b) Provide Financial Management and Audit Information. If you are
selected for funding, you will be required to submit a copy of your
most recent audit from an Independent Public Accountant, or the
cognizant government auditor, stating that your financial management
system meets prescribed standards for fund control and accountability
required by OMB Circular A-133, as codified at 24 CFR part 84 and
provides your approved fringe benefit and overhead rates.
(B) Factors For Award Used To Evaluate and Rate Applications. HUD
will use the Factors For Award set forth below to evaluate
applications. Your application must contain sufficient information for
HUD to review it for its
[[Page 11752]]
merits. The score for each factor will be based on the qualitative and
quantitative aspects of your response to that factor. You are not to
exceed a total of twenty-five (25) pages to respond to Rating Factor 1
through 5. This limitation applies to your narrative response, tables,
and maps, and NOT to firm commitment letters, the performance narrative
and progress reports for previously funded HBCUs.
The maximum number of points that may be awarded is 102. This
includes two EZ/EC bonus points, as described in the General Section of
the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (25 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed activities in a timely manner. In rating this factor, HUD will
consider the extent to which:
(1) Knowledge and Experience. (5 Points for previously funded
applicants and 25 Points for previously unfunded applicants). Your
application demonstrates the knowledge and experience of the overall
project director and staff, including the day-to-day program manager,
consultants (including technical assistance providers) and contractors
in planning and managing the kinds of programs for which funding is
being requested. Experience will be judged in terms of recent, relevant
and successful experience of your staff to undertake eligible program
activities. In rating this factor, HUD will consider the extent to
which your organization and staff have recent, relevant, and successful
experience in:
(a) Undertaking specific successful community development projects
with community-based organizations or local governments; and
(b) Providing proven leadership in solving community problems which
have a direct bearing on the proposed activity.
(2) Past Performance (20 Points for previously funded applicants)
For previously funded HBCUs, the extent to which you have been
successful with past HUD/HBCU projects. For each open HUD HBCU grant,
you must submit copies of the last two progress reports and a
performance narrative as outlined in Appendix D. In applying the rating
for this subfactor, HUD will consider your performance, including
meeting established target dates and schedules, and amount of funds
drawdown.
Rating Factor 2: Need/Extent of the Problem (5 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities and an indication of the
importance of meeting the need in the target area. In responding to
this factor, you will be evaluated on the extent to which you document
the level of need for the proposed activities and the importance of
meeting the need.
You should use statistics and analyses contained in one or more
data sources that are sound and reliable. To the extent that your
community's (State or local government's) Consolidated Plan and
Analysis of Impediments to Fair Housing Choice (AI) identify the level
of the problem and the urgency in meeting the need, you should include
references to these documents in your response to this factor. If your
proposed activities are not covered under the scope of the Consolidated
Plan and AI, you should indicate such, and use other sound data sources
to identify the level of need and the urgency in meeting the need.
Types of other sources include, but are not limited to, Census reports,
HUD's Continuum of Care gaps analysis and its E-MAPS (www.hud.gov/emaps), law enforcement agency crime reports, Public Housing
Authorities' Comprehensive Plan, community needs analysis such as
provided by the United Way, local Urban League, the HBCU and other
sound and reliable sources appropriate for the HBCU program. You also
may address needs in terms of fulfilling court orders or consent
decrees, settlements, conciliation agreements, and voluntary compliance
agreements.
To the extent possible, the data you use should be specific to the
area where your proposed activities will be carried out. You should
document needs as they apply to the area where the activities will be
targeted, rather than the entire locality or State, unless the target
area is the entire locality or State.
Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan, the commitment of your institution to sustain the
proposed activities, and your actions regarding Affirmatively
Furthering Fair Housing.
(1) Quality of the Work Plan (35 Points)
(a) Work Plan Impact (15 Points) Describe how your proposed
activities will:
(i) Expand the role of the HBCU in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target
area. Duplicative efforts will be acceptable, if you are able to
demonstrate that there is a population in need that is not being
served;
(iv) Involve and empower the citizens of the target area; and
(v) Be disseminated to a wide variety of audiences, both academic
and community-based, using a wide variety of media, including print and
Internet technology.
(b) Specific Services and/or Activities. (15 Points) Your work plan
must incorporate all proposed activities. HUD will consider the
feasibility of success of your program, the measurable objectives, and
how timely your products will be delivered.
Describe each proposed activity, and the tasks required to
implement and complete the activity. If your proposed work activity
triggers federal relocation laws, you should discuss your plan for
temporary or permanent relocation of occupants of units affected,
including storage or moving of household goods, stipends and/or
incentives with your local Community Planning and Development (CPD)
Office.
Also, for each activity, describe:
(i) How it meets a CDBG national objective;
(ii) The sequence, duration, and the products to be delivered in 6
month intervals, up to 24 months. You should indicate which staff
member, described in your response to Factor 1, will be responsible and
accountable for the deliverables; and
(iii) Measurable objectives to be accomplished, e.g. the number of:
persons to be trained and employed; houses to be built (pursuant to 24
CFR 570.207) or rehabilitated; minority owned businesses to be started,
etc.
(c) HUD Priorities. (5 points) The extent to which your proposed
application will further and support the policy priorities of HUD
including:
(i) Promoting healthy homes;
(ii) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare-to-work programs;
(iii) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You Are Out'' or the ``Officer or Teacher Next Door'' Initiatives;
(iv) Providing educational, job training, and homeownership
opportunities through such initiatives as Neighborhood Networks and
Twenty/20 Education Communities (TEC) (formerly known as the Campus of
Learners
[[Page 11753]]
(COL)), and linking programs to Americorps activities; and
(v) The Partnership for Advancing Technology in the Housing (PATH)
Initiative.
The Healthy Homes initiative implements a series of activities to
protect children from home hazards such as lead-based paint, radon,
fires and accidents around the home.
The Neighborhood Networks (NN) Initiative enhances the self-
sufficiency, employability, and economic self-reliance of low-income
families and the elderly living in HUD-insured and HUD-assisted
properties by providing such residents with on-site access to computer
and training resources.
The Twenty/20 Education Communities (TEC) (formerly known as the
Campus of Learners (COL)) Initiative is designed to transform public
housing into safe and livable communities where families undertake
training in new telecommunications and computer technology and partake
in educational opportunities and job training initiatives.
The Partnership for Advancing Technology in the Housing (PATH)
Initiative is a voluntary public/private partnership that seeks to
speed the creation and widespread use of advanced technologies in order
to radically improve the quality, durability, energy efficiency, and
environmental performance and affordability of housing. For more
information, you can go to the PATH website at www.pathnet.org.
(2) Institutionalization of Project Activities (5 Points) The
extent to which your project will result in the kinds of activities
that will be sustained by the HBCU by becoming part of the mission of
the HBCU. HUD will look at the HBCU's monetary commitment to continuing
to work in the target area or other similar areas and to its longer
term commitment of hard dollars to similar work.
(3) Affirmatively Furthering Fair Housing (5 Points) The extent to
which you propose to undertake activities designed to affirmatively
further fair housing, for example:
(a) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services,
or lending;
(b) Promoting fair housing through the expansion of homeownership
opportunities and improved quality of services for minorities, families
with children, and persons with disabilities; or
(c) Providing mobility counseling.
In evaluating this factor, HUD will consider the extent to which
your budget is consistent with the Work Plan and the dollars indicated
on the Standard Form (SF) 424. Your budget submission must include:
(i) A budget summary covering the Federal and non-Federal share of
the costs proposed by cost category (Appendix D). You should pay
particular attention to accurately estimating costs, determining the
necessity for and reasonableness of costs; and correctly computing all
budget items and totals. Indirect costs must be substantiated and
approved by the cognizant Federal agency or you must provide an
indirect cost rate plan. The indirect cost rate should be indicated in
your budget;
(ii) A budget justification, which should be a narrative statement
indicating how you arrived at your costs. When possible, you should use
quotes from vendors or historical data. You must support all direct
labor and salaries with mandated city/state pay scales or other
documentation; and
(iii) A budget-by-activity (Appendix D) which includes a listing of
tasks to be completed for each activity needed to implement the
program, the overall costs for each activity, and the cost for each
funding source.
You must submit at least two reasonable appraisals/estimates
supplied by qualified entities, other than the HBCU, if you are
proposing to do any of the following: acquisition of real property;
clearance and demolition; rehabilitation of residential, commercial
and/or industrial structures; and/or acquisition, construction, or
installation of public facilities and improvements. You may obtain
guidance for securing these estimates from the local HUD's Office of
Community Planning and Development.
Rating Factor 4: Leveraging Resources (20 Points)
This factor addresses your ability to secure resources which can be
combined with HUD program funds to implement the proposed activities.
In evaluating this factor, HUD will consider the extent to which
you have secured firm commitments for additional resources to increase
the effectiveness of your proposed activities. Resources may include
funding or in-kind contributions, such as services or equipment,
allocated solely for the purpose(s) of the award you are seeking. A
higher number of points will be awarded for a cash match than in-kind
goods or services of the same value. The maximum number of rating
points you can receive for leveraging is twenty (20). If you do not
have evidence of a firm commitment you will receive zero points for
this factor. Use the format in Appendix D, to respond to this factor.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. For
specific information about your locality's planning process, contact
the local Community Development Agency or the local HUD Field Office.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations before submission in order to best complement, support
and coordinate all known activities, and if funded, the specific steps
you will take to share information on solutions and outcomes with
others. You should describe any written agreements, memoranda of
understanding in place, or that will be in place after award.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to your proposed activities.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
VI. Application Submission Requirements
(A) Forms, Certifications and Assurances. Your application must
contain the items listed in this Section VI. These items include the
standard forms, certifications, and assurances listed in the General
Section of the SuperNOFA that are applicable to this funding
(collectively referred to as the ``standard forms''). The standard
forms follow the General Section of the
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SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives), referred to as the ``non-standard
forms'' can be found in Appendix D to this program section of the
SuperNOFA.
Forms applicable to the HBCU application are as follows:
(1) Standard Form SF-424, Application for Federal Assistance.
(2) Standard Form SF-424B, Assurances for Non-Construction
Programs.
(3) Standard Form SF-4240, Assurances for Construction Programs.
(4) Form HUD-HUD-50070, Certification for a Drug-Free Workplace.
(5) Form HUD-50071, Certification of Payments to Influence Federal
Transactions. If you did do any lobbying then you must also complete
the Certification and Disclosure Form Regarding Lobbying (SF-LLL).
(6) Form HUD-2880, Applicant/Recipient Disclosure Update Report.
(7) Form HUD-2992, Certification Regarding Debarment and
Suspension. This certification is required by 24 CFR 24.510. (The
provisions of 24 CFR part 24 apply to the employment, engagement of
services, awarding of contracts, subgrants, or funding of any
recipients, or contractors or subcontractors, during any period of
debarment, suspension, or placement in ineligibility status, and a
certification is required).
(8) Form HUD-2991, Certification of Consistency with the
Consolidated Plan; and
(9) Form HUD-2990, Certification of Consistency with the EZ/EC
Strategic Plan. EZ/EC bonus points will only be awarded when the HBCU
is located within the geographic boundaries of a HUD or Department of
Agriculture EZ/EC. If applicable, you will need to indicate on this
form if the college or university is located within the geographic
boundaries of the EZ/EC.
(B) Transmittal Letter. A transmittal letter must accompany your
application. Your cover letter must be signed by the Chief Executive
Officer (usually the President or Provost) of your institution. If the
Chief Executive Officer has delegated this responsibility to another
official, that person may sign, but a copy of the delegation must also
be included.
(C) Letter Certifying Local Approval. This letter certifies that
the jurisdiction in which your activities will take place approve the
implementation of your activities.
(D) Application Checklist (Appendix D).
(E) Abstract/Executive Summary (one page limit) describing the
goals and activities of your project.
(F) Narrative Statement Responding To the Factors For Award (25
page limit, including tables and maps, but not including firm
commitment letters, the performance narrative and progress reports).
The narrative should be numbered in accordance with each factor and
subfactor.
Please note that all certification forms must be signed by the
authorized certifying official.
Also, HUD will not consider appendices to an application. You must
submit your documentation, including firm commitment letters, the
performance narrative and progress reports, with your responses to the
pertinent factors in order to receive points for it.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Selection for award does not constitute approval of any proposed
sites. Following selection for award, HUD will perform an environmental
review of activities proposed for assistance under this program part,
in accordance with 24 CFR part 50. The results of the environmental
review may require that your proposed activities be modified or that
your proposed sites be rejected. You are particularly cautioned not to
undertake or commit funds for acquisition or development of proposed
properties prior to HUD approval of specific properties or areas. Your
application constitutes an assurance that your institution will assist
HUD to comply with part 50; will supply HUD with all available and
relevant information to perform an environmental review for each
proposed property; will carry out mitigating measures required by HUD
or select an alternate property; and will not acquire, rehabilitate,
convert, lease, repair or construct property and not commit or expend
HUD or local funds for these program activities with respect to any
eligible property, until HUD approval of the property is received. In
supplying HUD with environmental information, you should use the same
guidance as provided in the HUD Handbook entitled ``Field Environmental
Review Processing for HUD Colonias Initiative Grants,'' issued January
27, 1998.
IX. Authority
This program is authorized under section 107(b)(3) of the Housing
and Community Development Act of 1974 (42 U.S.C. 5307(b)(3)), which was
added by section 105 of the Department of Housing and Urban Development
Reform Act of 1989 (Pub. L. 101-235, approved December 15, 1989). The
HBCU Program is governed by regulations contained in 24 CFR 570.400 and
570.404, and in 24 CFR part 570, subparts A, C, J, K, and O.
Appendices to the HBCU NOFA
A Field Office Community Planning and Development Directors With
Historically Black Colleges And Universities Located Within Their
Jurisdiction
B Historically Black Colleges and Universities Previously Unfunded
By HUD During Fiscal Years 1991-2000
C Historically Black Colleges and Universities Previously Funded By
HUD During Fiscal Years 1991-2000
D HBCU Application Forms
Appendix A--Community Planning and Development (CPD) Directors with
Historically Black Colleges and Universities Located Within Their
Jurisdiction
Harold Cole, Beacon Ridge Tower, 600 Beacon Parkway West, Suite 300,
Birmingham, AL 35209-3144, 205-290-7630 ext. 1027
Anne Golnik, TCBY Tower, 425 West Capitol Avenue, Suite 900, Little
Rock, AR 72201-3488, 501-324-6375
John Perry, Richard B. Russell Federal Building, 49 Marietta Street-
Five Points Plaza, Atlanta, GA 30303-2806, 404-331-5001 ext. 2449
Ben Cook, 601 West Broadway, PO Box 1044, Louisville, KY, 40201-
1044, 502-582-6163 ext. 214
Gregory Hamilton, Hale Boggs Federal Building, 501 Magazine Street,
9th Floor, New Orleans, LA 70130-3099, 504-589-7212 ext. 3047
Joseph O'Connor, City Crescent Building, 10 South Howard Street, 5th
Floor, Baltimore, MD 21201-2505, 410-962-2520 ext. 3071
Raymond Perry, Acting, Patrick V. McNamara Federal Building, 477
Michigan Avenue, Detroit, MI 48226-2592, 313-226-7908 ext. 8055
Emily Eberhardt, Doctor A. H. McCoy Federal Building, 100 West
Capitol Street, Room 910, Jackson, MS 39269-1096, 601-965-4700 ext.
3140
Ann Wiedl, Robert A. Young Federal Building, 1222 Spruce Street,
Third Floor, St. Louis, MO 63103-2836, 314-539-6524
Charles T. Ferebee, Koger Building, 2306 West Meadowview Rd.,
Greensboro, NC 27407-3707, 336-547-4005
James Nichol, Southern Bell Tower, 301 West Bay Street, Suite 2200,
Jacksonville, FL 32202-5121, 904-232-1777 ext. 2136
Carmen R. Cabrera, New San Juan Office Building, 159 Carlos E.
Chardon Avenue, San Juan, PR 00918-0903, 787-766-5576 ext. 2005
Lana Vacha, 200 North High Street, Columbus, OH 43215-2499, 614-469-
5737 ext. 8240
David Long, 500 West Main Street, Suite 400, Oklahoma City, OK
73102, 405-553-7569
Joyce Gaskins, The Wanamaker Building, 100 Penn Square East,
Philadelphia, PA 19107-3380, 215-656-0624 ext. 3201
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Louis E. Bradley, Strom Thurmond Federal Building, 1835 Assembly
Street, Columbia, SC 29201-2480, 803-765-5564
Virginia Peck, John J. Duncan Federal Building, 710 Locust Street
SW, Third Floor, Knoxville, TN 37902-2526, 865-545-4391 ext. 121
Katie Worsham, 801 Cherry Street, Fort Worth, TX 76102, 817-978-5951
John T. Maldonado, Washington Square, 800 Dolorosa Street, San
Antonio, TX 78207-4563, 210-475-6820 ext. 2293
Carlos Renteria, The 3600 Centre, 3600 West Broad Street, Richmond,
VA 23230-4920, 804-278-4503 ext. 3229
Ronald J. Herbert, 820 First Street NE, Suite 450, Washington, DC
20002-4205, 202-275-0994 ext. 3163
Lynn Daniels, 339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-
2512, 412-644-2999
Jack Johnson, 909 SE First Avenue, Room 500, Miami, FL 33131-3028,
305-536-4431 ext. 2223
Appendix B--Historically Black Colleges and Universities Previously
Unfunded By HUD During Fiscal Years 1991-2000
Alabama
Concordia College
Fredd State Technical College
Selma University
Trenholm State Technical College
Arkansas
Delaware
Delaware State University
Florida
Florida Memorial College
Georgia
Morehouse School of Medicine
Paine College
Louisiana
Southern University at Shreveport/Bossier City
Maryland
University Of Maryland Eastern Shore
Michigan
Lewis College of Business
Mississippi
Hinds Community College
Mary Holmes College
North Carolina
Barber-Scotia College
Ohio
Wilberforce University
Pennsylvania
Cheyney University of Pennsylvania
South Carolina
Clinton Junior College
Denmark Technical College
Morris College
Tennessee
Knoxville College
Lane College
Texas
Jarvis Christian College
Southwestern Christian College
Virginia
West Virginia
Bluefield State College
U.S. Virgin Islands
University of the Virgin Islands
Appendix C--Historically Black Colleges and Universities Previously
Funded By HUD During Fiscal Years 1991-2000
Alabama
Alabama A&M University
Alabama State University
Bishop State Community College
Gadsden State Community College
J.F. Drake Technical College
Lawson State Community College
Miles College
Oakwood College
Stillman College
Talladega College
Tuskegee University
Arkansas
Arkansas Baptist College
Philander Smith College
Shorter College
University of Arkansas at Pine Bluff
District of Columbia
Howard University
University of the District of Columbia
Florida
Bethune-Cookman College
Edward Waters College
Florida A&M University
Georgia
Albany State University
Clark Atlanta University
Fort Valley State University
Interdenominational Theological Center
Morehouse College
Morris Brown College
Savannah State University
Spelman College
Kentucky
Kentucky State University
Louisiana
Dillard
Grambling State University
Southern University A & M College System at Baton Rouge
Southern University at New Orleans
Xavier University of New Orleans
Maryland
Bowie State University
Coppin State College
Morgan State University
Mississippi
Alcorn State University
Coahoma Community College
Jackson State University
Mississippi Valley State University
Rust College
Tougaloo College
Missouri
Harris-Stowe State College
Lincoln University
North Carolina
Barber-Scotia College
Bennett College
Elizabeth City State University
Fayetteville State University
Johnson C. Smith University
North Carolina A&T State University
North Carolina Central University
St. Augustine's College
Shaw University
Winston-Salem State University
Ohio
Central State University
Oklahoma
Langston University
Pennsylvania
Lincoln University
South Carolina
Allen University
Benedict College
Claflin College
South Carolina State University
Voorhees College
Tennessee
Fisk University
Lemoyne-Owen College
Meharry Medical College
Tennessee State University
Texas
Huston-Tillotson College
Paul Quinn College
Prairie View A&M University
Saint Philip's College
Texas Southern University
Texas College
Wiley College
Virginia
Hampton University
Norfolk State University
Saint Paul's College
Virginia State University
Virginia Union University
West Virginia
West Virginia State University
Appendix D
The non-standard forms, which follow, are required for your HBCU
application.
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FUNDING AVAILABILITY FOR THE HISPANIC-SERVING INSTITUTIONS
ASSISTING COMMUNITIES PROGRAM (HSIAC)
Program Overview
Purpose of the Program. To assist Hispanic-serving institutions of
higher education (HSIs) expand their role and effectiveness in
addressing community development needs in their localities, consistent
with the purposes of Title I of the Housing and Community Development
Act of 1974, as amended.
Available Funds. Approximately $6.5 million.
Eligible Applicants: Only nonprofit Hispanic-serving institutions
of higher education that meet the definition of an HSI established in
Title V of the 1998 Amendments to the Higher Education Act of 1965
(Pub.L. 105-244; enacted October 7, 1998).
Application Deadline. June 1, 2001.
Match. None.
Additional Information
If you are interested in applying for funds under the Hispanic-
serving Institutions Assisting Communities Program (HSIAC), please
review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern time, on June 1, 2001 at HUD
Headquarters.
See the General Section of this SuperNOFA for specific procedures
covering the form of the application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original signed application and two copies of the
application. Submit your completed application to the following
address: Processing and Control Branch, Office of Community Planning
and Development, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 7251, Washington, DC, 20410. When submitting
your application, please refer to HSIAC and include your name, mailing
address (including zip code), and telephone number (including area
code).
HUD will accept only one application per HSI campus for this
program. If your institution submits more than one application, per
campus, HUD will ask you to identify which application you want
evaluated. Only one application may be evaluated. If you do not respond
within the stipulated cure period (see Section V of the General Section
of this SuperNOFA), all of your applications will be disqualified. You
should take this policy into account and take steps to ensure that
multiple applications are not submitted.
For Application Kits. For an application kit and any supplemental
material, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment, please call the
Center's TTY number at 1-800-HUD-2209. When requesting an application
kit, you should refer to HSIAC and provide your name and address
(including zip code) and telephone number (including area code). You
may also access the application on the Internet through the HUD web
site at www.hud.gov/grants.
For Further Information and Technical Assistance. You may contact
Jane Karadbil of HUD's Office of University Partnerships at 202-708-
1537, extension 5918. If you have a hearing or speech impairment, you
may access this number via TTY by calling the Federal Information Relay
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil
via email at [email protected].
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
Approximately $6.5 million in FY 2001 funds is being made available
under this SuperNOFA for HSIAC.
The maximum grant period is 24 months. The performance period will
commence on the effective date of the grant agreement.
The maximum amount to be requested and awarded is $400,000. Since
the Statement of Work and other facets of the technical review are
assessed in the context of the proposed budget and grant request, and
in the interest of fairness to all applicants, if you submit an
application requesting more than $400,000 in HUD funds, the application
will be ruled ineligible. HUD reserves the right to make awards for
less than the maximum amount or less than the amount requested in your
application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of HSIAC is to assist HSIs
expand their role and effectiveness in addressing community development
needs in their localities, including neighborhood revitalization,
housing, and economic development.
(1) For the purposes of this program, the term ``locality''
includes any city, county, township, parish, village, or other general
political subdivision of a State, Puerto Rico, or the U.S. Virgin
Islands within which your HSI is located.
(2) A ``target area'' is the locality or the area within the
locality in which your institution will implement its proposed HUD
grant.
(B) Eligible Applicants. Only if your institution is a nonprofit
institution of higher education and meets the statutory definition of
an HSI in Title V of the 1998 Amendments to the Higher Education Act of
1965 (P.L. 105-244) are you eligible to apply. In order for you to meet
this definition, at least 25 percent of the full-time undergraduate
students enrolled in your institution must be Hispanic and not less
than 50 percent of these Hispanic students must be low-income
individuals. You are not required to be on the list of eligible
institutions prepared by the U.S. Department of Education. However, if
you are not, you will be required to certify in the application that
you meet the statutory definition. If you are one of several campuses
of the same institution, you may apply separately from the other
campuses as long as your campus has a separate administrative structure
and budget from the other campuses. In addition, in order to fund as
many different HSIs as possible, you can only apply if you did not
receive an HSIAC grant in FY 2000. If you received an HSIAC grant in FY
1999, you may reapply as long as: (1) you propose an entirely new
project for a different activity;
(2) you propose a different project director; and (3) you have
drawn down at least 75% of your previous grant by the application due
date.
(C) Eligible Activities. (1) General. Each activity you propose for
funding must meet both a Community Development Block Grant Program
(CDBG) national objective and the CDBG eligibility requirements. A
discussion of the national objectives can be found at 24 CFR part
570.208. There are three national objectives:
(a) Benefit to low- and moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
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(c) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
(You must ensure that of your aggregate grant expenditures under
paragraphs (a), (b), and (c) above, at least 51% are for activities
benefiting low- and moderate-income persons.)
You can find the regulations governing activities eligible under
the CDBG program at 24 CFR part 570, subpart C, particularly
Secs. 570.201 through 570.206. Ineligible activities are listed at
Sec. 570.207. The CDBG publication entitled ``Everything You Wanted to
Know About CDBG'' discusses the regulations. You can obtain a copy from
the SuperNOFA Information Center. If you propose an activity which
otherwise is eligible, it may not be funded if State or local law
requires that it be carried out by a governmental entity.
In addition, you may not propose the construction or rehabilitation
of your institution's facilities unless you can demonstrate that such
activities would meet the purpose of this program to expand the role
and effectiveness of an HSI in its locality. HUD will scrutinize
proposed activities for eligibility. As examples of eligible and
ineligible on-campus activities, rehabilitating a library for use by
your students would not be an eligible activity, but rehabilitating it
to convert it to a micro-business enterprise center for the community
would be; or as another example, just undertaking your normal
activities (e.g., offering English as a Second Language classes) would
not be considered eligible activities because they would not expand
your role and effectiveness in community development activities. You
should call Jane Karadbil at 202-708-1537, extension 5918 if you have
any questions about the eligibility of any activities you may propose.
You may also look at the Office of University Partnerships website at
www.oup.org for summaries of last year's winners.
(2) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds, under one of the three
national objectives, include, but are not limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing
opportunities for low- and moderate-income persons and rehabilitation
of commercial or industrial buildings to correct code violations or for
certain other purposes, e.g., making accessibility and visitability
modifications to housing;
(d) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets;
(f) Relocation payments and other assistance for temporarily and
permanently relocated individuals, families, businesses, and non-profit
organizations where the assistance is:
(1) Required under the provision of 24 CFR 570.606 (b) or (c); or
(2) Determined by your institution to be appropriate under the
provisions of 24 CFR 570.606(d).
(g) Lead-based paint hazard reduction, pursuant to the CDBG
regulations;
(h) Special economic development activities described at 24 CFR
570.203, including activities designed to promote training and
employment opportunities;
(i) Assistance to facilitate economic development by providing
technical assistance or financial assistance for the establishment,
stabilization, and expansion of microenterprises, including minority
enterprises.
(j) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD approved
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved
State CDBG Community Revitalization Strategy (CRS);
(k) Establishment of a Community Development Corporation (CDC) at
the institution to undertake eligible activities. If you are proposing
a Community Development Corporation (CDC) component, it may qualify for
CBDO activities;
(l) Up to 15 percent of the grant for eligible public services
activities including:
(i) Work study programs that meet the program requirements of the
Hispanic-serving Institutions Work Study program, which can be found at
24 CFR 570.416;
(ii) Outreach and other program activities as described in the
Community Outreach Partnership Centers Program section of the
SuperNOFA;
(iii) Educational activities including English as a Second Language
(ESL) classes, adult basic education classes, GED preparation and
testing, and curriculum development of courses that will lead to a
certificate or degree in community planning and development;
(iv) Job and career counseling, assessment, training, and other
activities designed to promote employment opportunities, not related to
special economic development activities;
(v) Capacity building for community organizations;
(vi) Social and medical services for youths, adults, senior
citizens, and the homeless;
(vii) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them;
(viii) Day care services and costs for the children of students
attending your institution;
(ix) Continuum of care services for the homeless;
(x) Public access telecommunications centers including Twenty/20
Education Communities (formerly known as Campus of Learners) and
Neighborhood Networks;
(xi) Activities to use HUD's Partnership for Advancing Technology
in Housing (PATH) technology;
(xii) Services to assist low-income students to attend college, as
part of the U.S. Department of Education's Gaining Awareness and
Readiness for Undergraduate Program (GEAR UP). (For more information,
call 202-502-7676 or visit the U.S. Department of Education's website
at www.ed.gov).
(m) Up to 20% of your grant for program administration costs
related to the planning and execution of community development
activities assisted in whole or in part with grant funds. Pre-award
planning costs may not be paid out of grant funds.
(D) Other Requirements. (1) Leveraging. Although a match is not
required to qualify for funding, if you claim leveraging from any
source, including your own institution, you must provide letters or
other documentation evidencing the extent and firmness of commitments
of leveraging from other Federal (e.g., Americorps Programs), State,
local, and/or private sources (including the applicant's own
resources). These letters or documents must be dated no earlier than
the date of this published SuperNOFA. Potential sources of leveraging
assistance include: your own
[[Page 11773]]
institution (for both direct and indirect costs);
Federal, State and local governments;
Housing authorities
Local or national nonprofit organizations
Banks and private businesses; foundations; and
Faith-based communities.
(2) Employment of Local Area Residents (Section 3). Please see
Section II(E) of the General Section of this SuperNOFA. The
requirements are applicable to certain activities that may be funded
under this program section of the SuperNOFA.
(3) Labor Standards. If you are awarded a grant, you must comply
with the labor standards (Davis-Bacon) as found at 24 CFR 570.603.
(4) OMB Circulars. Your grant will be governed by the provisions of
24 CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals and other Nonprofit Organizations), A-21 (Cost
Principles for Education Institutions, and A-133 (Audits of States,
Local Governments, and Non-Profit Organizations. The application kit
contains a detailed explanation of what these costs are. You can access
the OMB circulars at the White House website at http://whitehouse.gov/wh/eop/omb/html/circulars.
(5) Nondiscrimination. In addition to the fair housing and other
civil rights assurances described under Section II (B) of the SuperNOFA
General Section, you must comply with Section 109 of the Housing and
Community Development Act of 1974, as amended. Implementing regulations
for Section 109 are found under 24 CFR 570, including, but not limited
to, reporting and record-keeping requirements under 24 CFR 570.506 and
570.507.
IV. Application Selection Process
HUD will conduct two types of review: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this section.
(A) Threshold Factors for Funding Consideration. Under this
threshold review, your application can only be rated if it is both in
compliance with the requirements of the General Section of the
SuperNOFA and the following additional standards are met:
(1) You must be an eligible HSI and meet the other eligibility
requirements under Section III(B) of this program NOFA;
(2) Your application requests a Federal grant of $400,000 or less
over the two-year grant period;
(3) There is only one application from your institution or a campus
of your institution;
(4) At least one of the activities in your application is eligible.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor, HUD will
consider the extent to which your application demonstrates the
knowledge and experience of the overall project director and staff,
including the day-to-day program manager, consultants, and contractors
in planning and managing the kinds of programs for which funding is
being requested. If this experience is found within the HSI, you will
receive higher points on this factor than if you have secured this
experience from consultants, contractors, and other staff outside your
institution. In addition, if you demonstrate that the previous
experience is for the project team from the institution proposed for
this project, you will receive higher points than if the experiences
are for people not proposed to work on this project. Experience will be
judged in terms of recent, relevant, and successful experience of your
staff to undertake activities in:
(a) Outreach activities in specific communities to solve or
ameliorate significant housing and community development issues;
(b) Undertaking specific successful community development projects
with community-based organizations; and
(c) Providing proven leadership in solving community problems which
have a direct bearing on the proposed activity.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
importance of meeting the need in the target area. In responding to
this factor, you will be evaluated on the extent to which you document
the level of need for the proposed activities and the importance of
meeting the need.
You should use statistics and analyses contained in one or more
data sources that are sound and reliable. To the extent that your
targeted community's Five (5) Year Consolidated Plan and Analysis of
Impediments to Fair Housing Choice (AI) identify the level of the
problem and the urgency in meeting the need, you should include
references to these documents in your response to this factor.
If your proposed activities are not covered under the scope of the
Consolidated Plan and AI, you should indicate such, and use other sound
data sources to identify the level of need and the urgency in meeting
the need. Types of other sources include Census reports, HUD Continuum
of Care gaps analysis, law enforcement agency crime reports, Public
Housing Authorities' Comprehensive Plans, community needs analyses such
as provided by the United Way, your institution, etc., and other sound
and reliable sources appropriate for HSIAC. You may also address needs
in terms of fulfilling court orders or consent decrees, settlements,
conciliation agreements, and voluntary compliance agreements. To the
extent possible, the data you use should be specific to the area where
the proposed activities will be carried out. You should document needs
as they apply to the area where the activities will be targeted, rather
than the entire locality or State, unless the target area is the entire
locality or State.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan, the commitment of your institution to sustain the
proposed activities, and your actions regarding affirmatively
furthering fair housing.
(1) Quality of the Work Plan (35 Points) This factor includes your
statement of work and budget.
(a) Specific Services and/or Activities (12 Points). Specifically,
HUD will consider the extent to which your proposed activities will:
(i) Expand the role of your institution in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target
area;
(iv) Involve and empower the citizens of the target area in all
stages of the proposed project (particularly through an committee,
representative of the target community, to guide the project); and
[[Page 11774]]
(v) Be disseminated to a wide variety of audiences, both academic
and community-based, using a wide variety of media, including print and
Internet technology.
(b) Work Plan Impact (13 Points). HUD will consider the feasibility
of success of your program, the measurable objectives, and how timely
your products will be delivered. Specifically, HUD will examine the
extent to which:
(i) The project you propose can be completed within the two year
grant period; and
(ii) The objectives are measurable (e.g., the number of loans made,
the number of jobs created), result in measurable improvement to the
community (e.g., fifteen more homeowners, twenty more jobs in a
specific field), and how well you demonstrate that these objectives
will be achieved by your proposed management plan and team and will
result directly from your activities.
(c) Involvement of the Faculty and Students (5 Points). The extent
to which your application proposes to involve your students and
faculty, as part of their coursework in outreach and applied research
activities. HUD's goal is to encourage you to fund activities similar
to those eligible under the COPC program to be undertaken as a
complement to those proposed in your HSIAC application. For more
information about the COPC program, you can look at the University
Partnerships Clearinghouse web site at http://www.oup.org/techassist/copc/techcopc.html.
(d) HUD Priorities (5 Points). The extent to which your application
will further and support at least one of the following priorities of
HUD:
(1) Promoting healthy homes;
(2) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare-to-work programs;
(3) Enhancing ongoing efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You Are Out'' or the ``Officer or Teacher Next Door'' initiative;
(4) Providing educational, job training, and homeownership
opportunities through such initiatives as GEAR UP, Neighborhood
Networks, Twenty/20 Education Communities, and linking programs to
Americorps; or
(5) HUD's Partnership for Advancing Technology in Housing (PATH)
initiative.
The Healthy Homes initiative implements a series of activities to
protect children from home hazards such as lead-based paint, radon,
fires, and accidents around the home.
The GEAR UP initiative promotes partnerships between colleges and
middle or junior high schools in low-income communities, to help teach
students how they can go to college by informing them about college
options, academic requirements, costs, and financial aid, and by
providing support services, including tutoring, counseling, and
mentoring.
The Neighborhood Networks initiative enhances the self-sufficiency,
employability, and economic self-reliance of low-income families and
the elderly living in HUD-insured and HUD-assisted properties by
providing them with on-site access to computer and training resources.
The Twenty/20 Education Community initiative (formerly known as
Campus of Learners) is designed to transform public housing into safe
and livable communities where families undertake training in new
telecommunications and computer technology and partake in educational
opportunities and job training initiatives.
The Partnership for Advancing Technology in Housing (PATH)
initiative is a voluntary public/private partnership that seeks to
speed the creation and widespread use of advanced technologies in order
to radically improve the quality, durability, energy efficiency, and
environmental performance and affordability of housing. For more
information, you can go to the PATH web site at www.pathnet.org.
(2) Institutionalization of Project Activities (10 Points). The
extent to which your project will result in the kinds of proposed
activities being sustained by becoming part of the mission of your
institution. In reviewing this subfactor, HUD will consider the extent
to which program activities relate to your institution's mission;
demonstrate support and involvement of the institution's executive
leadership; are linked by a formal organizational structure to other
units related to outreach and community partnerships; are reflected in
budget and planning documents; are part of a climate that rewards
faculty work on these kinds of activities through promotion and tenure;
benefits students because they are part of a service learning program
at your institution; and are reflected in the curriculum. HUD will look
at your monetary and non-monetary commitments to faculty and staff
continuing work in the target area or other similar areas and to your
longer term commitment (five years after the start of the grant) of
hard dollars to similar work. If you have previously received an HSIAC
grant, you must describe the progress your institution has made since
you received the HSIAC grant in institutionalizing your project
activities.
(3) Affirmatively Furthering Fair Housing (5 Points). The extent to
which you propose to undertake activities designed to affirmatively
further fair housing, for example:
(a) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending:
(b) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(c) Providing housing mobility counseling services.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources,
which can be combined with HUD program funds to achieve program
objectives.
In evaluating this factor, HUD will consider the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
activities. Resources may include funding or in-kind contributions,
such as services or equipment. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities. You may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area.
You may count overhead and other institutional costs (e.g.,
salaries) that are waived as leveraging. However, higher points will be
awarded if you secure leveraging resources from sources outside your
institution.
You must provide letters or other documentation showing the extent
and firmness of commitments of leveraged funds (including your own
resources) in order for these resources to count in determining points
under this factor. Any resource for which there is no commitment letter
will not be counted, nor will the resource be counted without the
proposed level of commitment being quantified. If your application does
not include evidence of leveraging, it will receive zero (0) points for
this Factor.
[[Page 11775]]
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in a community's Consolidated Planning process, and are
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. For
specific information about your locality's process, contact the local
Community Development Agency or the local HUD field office. If you
propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address subfactors (1)
and (3).
In evaluating this factor, HUD will consider the extent to which
you demonstrate that you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support, and coordinate all known activities and, if funded, the
specific steps you will take to share information on solutions with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award, should be described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities you propose.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally-funded activities, including
those proposed or ongoing in the community.
(C) Selections. In order to be funded, you must receive a minimum
score of 70 points. HUD will fund applications in rank order, until it
has awarded all available funds. If two or more applications have the
same number of points, the application with the most points for Factor
3, Soundness of Approach, shall be selected. If there is still a tie,
the application with the most points for Factor 4, Leveraging, shall be
selected.
HUD will not fund specific proposed activities that do not meet
eligibility requirements (see 24 CFR part 570, subpart C) or do not
meet a national objective in accordance with 24 CFR 570.208.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded HSIACs. If HUD decides to
use this option, it will do so only if two adjacent HUD regions do not
yield at least one fundable HSIAC on the basis of rank order. If this
occurs, HUD will fund the highest ranking applicant within the two
regions as long as the minimum score of 70 points is achieved.
After all application selections have been made, HUD may require
that you participate in negotiations to determine the specific terms of
the Statement of Work and the grant budget. In cases where HUD cannot
successfully complete negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
V. Application Submission Requirements
You should include an original and two copies of the items listed
below. In order to be able to recycle paper, please do not submit
applications in bound form; binder clips or loose leaf binders are
acceptable. Also, please do not use colored paper. Please note the page
limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section.
These items include the standard forms, certifications, and assurances
listed in the General Section of the SuperNOFA that are applicable to
this funding (collectively referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives), referred to as the ``non-standard
forms'' can be found as Appendix A to this program section of the
SuperNOFA. The items are as follows:
(A) SF-424, Application for Federal Assistance.
(B) HUD-424M, Federal Assistance Funding Matrix.
(C) Application Checklist.
(D) Transmittal Letter, signed by the Chief Executive Officer of
your institution or his or her designee. If a designee signs, your
application must include the official designation of signatory
authority.
(E) Abstract/Executive Summary (one page limit) describing the
goals and activities of the project.
(F) Narrative Statement Addressing the Factors for Award. (50 page
limit, including tables, and maps, but not including any letters of
commitment and budget forms) (Please note that although submitting
pages in excess of the page limit will not disqualify your application,
HUD will not consider the information on any excess pages, which may
result in a lower score or failure to meet a threshold.) For FY 2001,
the statement of work and the budget are now part of Factor 3,
Soundness of Approach.
(1) The Statement of Work incorporates all activities to be funded
in your application and details how your proposed work will be
accomplished. For each proposed activity, your Statement of Work must:
(a) Arrange the presentation of major related activities (e.g.,
rehabilitation of a child care center, provision of tutoring services),
summarize each activity, identify the primary persons (as described in
addressing Rating Factor 1) involved in carrying out the activity and
accountable for the deliverables, and delineate the major tasks
involved in carrying it out. You should also describe how each activity
meets a CDBG national objective.
(b) Indicate the sequence in which tasks are to be performed,
noting areas of work that must be performed simultaneously. The
sequence, duration, and the products to be delivered should be
presented in six month intervals, up to 24 months.
(c) Identify the specific numbers of quantifiable intermediate and
end products and objectives (e.g., the number of houses of be
rehabilitated, the number of people to be trained, the number of
minority businesses started, etc.) you aim to deliver by the end of the
grant period as a result of the work performed.
(2) The budget presentation should be consistent with the Statement
of Work and include:
(a) A budget by activity, using Form HUD-30004 included in the
application kit and in the program area section of the SuperNOFA. This
form separates the Federal and non-Federal costs of each program
activity. Particular attention should be paid to accurately estimating
costs; determining the necessity for and reasonableness of costs; and
correctly computing all budget items and totals.
(b) A narrative statement of how you arrived at your costs, for any
line item over $5,000. Indirect costs must be substantiated and the
rate must have been approved by the cognizant Federal
[[Page 11776]]
agency. If you are proposing to undertake rehabilitation of
residential, commercial, or industrial structures or acquisition,
construction, or installation of public facilities and improvements,
you must submit reasonable costs supplied by a qualified entity other
than your institution. Guidance for securing these estimates can be
obtained from the CPD Director in your HUD field office or from your
local government.
(c) A statement of compliance with the 20 percent limitation on
``Planning and Administration'' costs.
(3) Your narrative statement addressing the factors for award
should address all factors for award. You should number the narrative
in accordance with each factor and subfactor. (Please note that
although submitting pages in excess of the page limit will not
disqualify your application, HUD will not consider the information on
any excess pages, which may result in a lower score or failure to meet
a threshold.)
In addressing Factor 4, for each leveraging source, cash or in
kind, you must submit a letter, dated no earlier than the date of this
SuperNOFA, from the provider on the provider's letterhead that
addresses the following:
The dollar amount or dollar value of the in-kind goods and/or
services committed. For each leveraging source, the dollar amount in
the commitment letter must be consistent with the dollar amount you
indicated in the Budget; How the leveraging amount is to be used; The
date the leveraging amount will be made available and a statement that
it will be for the duration of the grant period; Any terms and
conditions affecting the commitment, other than receipt of a HUD HSIAC
Grant; and The signature of the appropriate executive officer
authorized to commit the funds and/or goods and/or services. (See the
application kit and the program area section of the SuperNOFA for a
sample commitment letter.)
(G) Certifications.
(1) SF-424B, Assurances for Non-Construction Programs.
(2) HUD-50071, Certification of Payments to Influence Certain
Federal Transactions;
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
(5) HUD-50070, Certification of Drug-Free Workplace;
(6) HUD-2992, Certification Regarding Debarment and Suspension;
(7) HUD-2991, Certification of Consistency with the Consolidated
Plan; and
(8) HUD-2990, Certification of Consistency with the EZ/EC Strategic
Plan (if applicable);
(H) Acknowledgment of Receipt of Applications (HUD-2993). If you
wish to confirm that HUD received your application, please complete
this form. This form is optional.
(I) Client Comment and Suggestions (HUD-2994). If you wish to offer
comments on the HSIAC NOFA of this SuperNOFA or the SuperNOFA process,
please complete this form. This form is optional.
You may not submit appendices or general support letters or
resumes. If you submit letters of leveraging commitment, they must be
included in your response to Factor 4. If you submit other
documentation, it must be included with the pertinent factor responses
(taking note of the page limit).
VI. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VII. Environmental Requirements
Selection for award does not constitute approval of any proposed
sites. Following selection for award, HUD will perform an environmental
review of activities proposed for assistance under this program, in
accordance with 24 CFR part 50. The results of the environmental review
may require that your proposed activities be modified or that your
proposed sites be rejected. You are particularly cautioned not to
undertake or commit funds for acquisition or development of proposed
properties prior to HUD approval of specific properties or areas. Your
application constitutes an assurance that your institution will assist
HUD to comply with part 50; will supply HUD with all available and
relevant information to perform an environmental review for each
proposed property; will carry out mitigating measures required by HUD
or select alternate property; and will not acquire, rehabilitate,
convert, lease, repair, or construct property and not commit or expend
HUD or local funds for these program activities with respect to any
eligible property until HUD approval of the property is received. In
supplying HUD with environmental information, you should use the same
guidance as provided in the HUD Handbook entitled ``Field Environmental
Review Processing for HUD Colonias Initiative Grants'' issued January
27, 1999.
VIII. Authority
This program was approved by the Congress under the section 107 of
the CDBG appropriation for Fiscal Year 2001, as part of the FY 2001 HUD
Appropriations Act. HSIAC is being implemented through this program
section of the SuperNOFA and the policies governing its operation are
contained herein.
Appendix A
The non-standard forms, which follow, are required for your
HSIAC application.
BILLING CODE 4210-32-P
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[[Page 11781]]
FUNDING AVAILABILITY FOR THE ALASKA NATIVE/NATIVE HAWAIIAN
INSTITUTIONS ASSISTING COMMUNITIES PROGRAM (AN/NHIAC)
Program Overview
Purpose of the Program. To assist Alaska Native/Native Hawaiian
institutions of higher education (AN/NHIs) expand their role and
effectiveness in addressing community development needs in their
localities, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974, as amended.
Available Funds. Approximately $3 million, plus $1.2 million in
previously unexpended funds, to be divided evenly between Alaska Native
institutions of higher education (ANIs) and Native Hawaiian
institutions of higher education (NHIs).
Eligible Applicants: Only nonprofit Alaska Native and Native
Hawaiian institutions of higher education that meet the definitions of
Alaska Native and Native Hawaiian institutions of higher education
established in Title III, Part A, Section 317 of the Higher Education
Act of 1965, as amended by the Higher Education Amendments of 1998
(Pub.L. 105-244; enacted October 7, 1998).
Application Deadline. June 1, 2001.
Match. None.
Additional Information
If you are interested in applying for funds under the Alaska
Native/Native Hawaiian Institutions Assisting Communities (AN/NHIAC)
Program, please review carefully the General Section of this SuperNOFA
and the following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern time, on June 1, 2001, at HUD
Headquarters.
See the General Section of this SuperNOFA for specific procedures
covering the form of the application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original signed application and two copies. Submit your
completed application to the following address: Processing and Control
Branch, Office of Community Planning and Development, Department of
Housing and Urban Development, 451 Seventh Street, SW, Room 7251,
Washington, DC, 20410. When submitting your application, please refer
to AN/NHIAC and include your name, mailing address (including zip code)
and telephone number (including area code).
For ANIs, HUD will only accept one application per campus. For
NHIs, HUD will only accept one application per institution. If your
institution submits more than one application per campus (for ANIs) or
more than one application per institution (for NHIs), HUD will ask you
to identify which application you want evaluated. Only one application
may be evaluated. If you do not respond within the stipulated cure
period (see Section V of the General Section of this SuperNOFA), all of
your applications will be disqualified. You should take this policy
into account and take steps to ensure that multiple applications are
not submitted.
For Application Kits. For an application kit and any supplemental
material, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment, please call the
Center's TTY number at 1-800-HUD-2209. When requesting an application
kit, you should refer to AN/NHIAC Program and provide your name and
address (including zip code) and telephone number (including area
code). You may also access the application on the Internet through the
HUD web site at www.hud.gov.
For Further Information and Technical Assistance. You may call Jane
Karadbil of HUD's Office of University Partnerships at 202-708-1537,
extension 5918. If you have a hearing or speech impairment, you may
access this number via TTY by calling the Federal Information Relay
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil
via email at [email protected].
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
Approximately $3 million in FY 2001 funds and $1.2 million in
previously unexpended funds is being made available under this
SuperNOFA for AN/NHIAC. Of this amount, $2.1 million is being made
available for Alaska Native institutions (ANIs) of higher education and
$2.1 million is being made available for Native Hawaiian institutions
of higher education (NHIs). The performance period of 24 months will
commence on the effective date of the grant agreement. The maximum
amount which can be requested and awarded to a particular Alaska Native
institutions of higher education is $400,000. The maximum amount which
can be requested and awarded for a particular Native Hawaiian
institution of higher education is $2 million with each application
composed of no more than five separate projects, each in a different
neighborhood. Each separate project can be for no more than $400,000.
Since the Statement of Work and other facets of the technical
review are assessed in the context of the proposed budget and grant
request, and in the interest of fairness to all applicants, if you are
an ANI and submit an application requesting more than $400,000 in HUD
funds, it will be ruled ineligible. If you are an NHI and you submit an
application for more than $2 million, it will be ruled ineligible. If
you are an NHI and you submit an application in which you request more
than $400,000 for any one project, that particular project will be
ruled ineligible. HUD reserves the right to make awards for less than
the maximum amount or less than the amount requested in your
application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of AN/NHIAC is to assist AN/
NHIs expand their role and effectiveness in addressing community
development needs in their localities, including neighborhood
revitalization, housing, and economic development.
(1) For the purposes of this program, the term ``locality''
includes any city, county, township, parish, village, or other general
political subdivision of a State within which your AN/NHI is located.
(2) A ``target area'' is the locality or the area within the
locality in which your institution will implement its proposed HUD
grant.
(B) Eligible Applicants. Only if your institution is a nonprofit
institution of higher education and meets the statutory definition of
either an Alaska Native institution of higher education or a Native
Hawaiian institution of higher education, as contained in Title III,
Part A, Section 317 of the Higher Education Act of 1965, as amended by
the Higher Education Amendments of 1998 (Pub.L. 105-244) are you
eligible to apply. If you are an Alaska Native institution of higher
education, in order for you to meet this definition, at least 20
percent of your undergraduate headcount enrollment must be Alaska
Native
[[Page 11782]]
students. If you are a Native Hawaiian institution of higher education,
in order to meet this definition at least 10 percent of your
undergraduate headcount enrollment must be Native Hawaiian students.
You are not required to be on a list of eligible AN/NHIs prepared by
the U.S. Department of Education. However, if you are not, you will be
required to certify in the application that you meet the statutory
definition. If you are an ANI and received a grant in FY 2000, you are
not eligible to submit an application in FY 2001. If you are an NHI and
received a grant in FY 2000, you are not permitted to submit an
application for the same project in a different neighborhood, another
project in the same neighborhood, or another project with the same
project director as the project funded in FY 2000.
If you are an ANI and your institution has multiple campuses, each
one is eligible to apply separately, as long as it meets the above
enrollment test. You may undertake as many projects and activities as
you want, as long as you do not exceed the $400,000 cap for an
application. If you are an NHI, you are permitted to submit only one
application, no matter how many separate campuses you have, as long as
your institution meets the above enrollment test. You may undertake up
to five separate projects, each in a different neighborhood, with each
project requesting no more than $400,000. In your application you must
describe how each project is separate and distinct; how your proposed
activities relate to that project; and that each project will not rely
on any part of another project for its successful completion. A project
can include one or more of the eligible activities listed below. For
example, if you propose a homeownership project, you might rehabilitate
housing in a neighborhood, demolish some structures to create spaces
for lawns, and provide a loan pool for purchasers of this housing. All
these activities could still be viewed as one project. You might also
undertake a job training program for welfare-to-work families by
rehabilitating a warehouse and offering the job training there. These
activities could also be viewed as one project. But if you proposed to
create a homeownership loan program and a job training program, these
activities would be viewed as two separate projects. Your institution
could undertake both, but they would have to be in two different
neighborhoods.
(C) Eligible Activities. (1) General. Each activity you propose for
funding must meet both a Community Development Block Grant Program
(CDBG) national objective and the CDBG eligibility requirements. A
discussion of the national objectives can be found at 24 CFR part
570.208. There are three national objectives:
(a) Benefit to low-and moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
(You must ensure that of your aggregate grant expenditures under
paragraphs (a), (b), and (c) above at least 51% are for activities
benefiting low-and moderate-income persons).
You can find the regulations governing activities eligible under
the CDBG program at 24 CFR part 570, subpart C, particularly
Secs. 570.201 through 570.206. Ineligible activities are listed at
Sec. 570.207. The CDBG publication entitled ``Everything You Wanted to
Know About CDBG'' discusses the regulations. You can obtain a copy from
the SuperNOFA Information Center. If you propose an activity which
otherwise is eligible, it may not be funded if State or local law
requires that it be carried out by a governmental entity.
In addition, you may not propose the construction or rehabilitation
of your institution's facilities unless you can demonstrate that such
activities would meet the purpose of this program to expand the role
and effectiveness of an AN/NHI in its locality. HUD will scrutinize
proposed activities for eligibility. As examples of eligible and
ineligible on-campus activities, rehabilitating a library for use by
your students would not be an eligible activity, but rehabilitating it
to convert it to a micro-business enterprise center for the community
would be; or as another example, just undertaking your normal
activities (e.g., offering English as a Second Language classes) would
not be considered eligible activities because they would not expand
your role and effectiveness in community development activities. You
should call Jane Karadbil at 202-708-1537, extension 5918 if you have
any questions about the eligibility of any activities you may propose.
You may also look at the Office of University Partnerships website at
www.oup.org for summaries of last year's winners under the Hispanic-
serving Institutions Assisting Communities program, a program very
similar to this one.
(2) Examples of Eligible Activities. Examples of activities that
generally can be carried out with these funds, under one the three
national objectives, include, but are not limited to:
(a) Acquisition of real property;
(b) Clearance and demolition;
(c) Rehabilitation of residential structures to increase housing
opportunities for low- and moderate-income persons and rehabilitation
of commercial or industrial buildings to correct code violations or for
certain other purposes, e.g., making accessibility and visitability
modifications to housing;
(d) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
(e) Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets;
(f) Relocation payments and other assistance for temporarily and
permanently relocated individuals, families, businesses, and non-profit
organizations where the assistance is (1) required under the provision
of 24 CFR 570.606(b) or (c); or (2) determined by your institution to
be appropriate under the provisions of 24 CFR 570.606(d).
(g) Lead-based paint hazard reduction, pursuant to the CDBG
regulations
(h) Special economic development activities described at 24 CFR
570.203, including activities designed to promote training and
employment opportunities;
(i) Assistance to facilitate economic development by providing
technical assistance or financial assistance for the establishment,
stabilization, and expansion of microenterprises, including minority
enterprises.
(j) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD approved
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved
State CDBG Community Revitalization Strategy (CRS);
(k) Establishment of a Community Development Corporation (CDC) at
the institution to undertake eligible activities. If you are proposing
a Community Development Corporation (CDC) component, it may qualify for
CBDO activities;
(l) Up to 15 percent of the grant for eligible public services
activities including:
[[Page 11783]]
(i) Work study programs that meet the program requirements of the
Hispanic-serving Institutions Work Study program, which can be found at
24 CFR 570.416;
(ii) Outreach and other program activities as described in the
Community Outreach Partnership Centers Program section of the
SuperNOFA;
(iii) Educational activities including English as a Second Language
(ESL) classes, adult basic education classes, GED preparation and
testing, and curriculum development of courses that will lead to a
certificate or degree in community planning and development;
(iv) Job and career counseling assessment, training, and other
activities designed to promote employment opportunities, not related to
special economic development activities;
(v) Capacity building for community organizations;
(vi) Social and medical services for youths, adults, senior
citizens, and the homeless;
(vii) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them;
(viii) Day care services and costs for the children of students
attending your institution;
(ix) Continuum of care services for the homeless;
(x) Public access telecommunications centers including Twenty/20
Education Communities (formerly known as Campus of Learners) and
Neighborhood Networks;
(xi) Activities to use HUD's Partnership for Advancing Technology
in Housing (PATH) technology;
(xii) Services to assist low-income students to attend college, as
part of the U.S. Department of Education's Gaining Awareness and
Readiness for Undergraduate Program (GEAR UP). (For more information,
call 202-502-7676 or visit the U.S. Department of Education's website
at www.ed.gov).
(m) Up to 20% of your grant for program administration costs
related to the planning and execution of community development
activities assisted in whole or in part with grant funds. Pre-award
planning costs may not be paid out of grant funds.
(D) Other Requirements. (1) Leveraging. Although a match is not
required to qualify for funding, if you claim leveraging from any
source, including your own institution, you must provide letters or
other documentation evidencing the extent and firmness of commitments
of leveraging from other Federal (e.g., Americorps Programs), State,
local, and/or private sources (including the applicant's own
resources). These letters or documents must be dated no earlier than
the date of this published SuperNOFA. Potential sources of leveraging
assistance include: your own institution (for both direct and indirect
costs); State and local governments; housing authorities; local or
national nonprofit organizations; banks and private businesses;
foundations; and faith-based communities.
(2) Employment of local area residents (Section 3). Please see
Section II(E) of the General Section of this SuperNOFA. The
requirements are applicable to certain activities that may be funded
under this program section of the SuperNOFA.
(3) Labor Standards. If you are awarded a grant, you must comply
with the labor standards (Davis-Bacon) as found at 24 CFR 570.603.
(4) OMB Circulars. Your grant will be governed by the provisions of
24 CFR part 84 (Grants and Agreements with Institutions of Higher
Education, Hospitals and other Nonprofit Organizations), A-21 (Cost
Principles for Education Institutions, and A-133 (Audits of States,
Local Governments, and Non-Profit Organizations. The application kit
contains a detailed explanation of what these costs are. You can access
the OMB circulars at the White House website at http://whitehouse.gov/
WH/EOP/OMB/html/circulars.
(5) Nondiscrimination. In addition to the fair housing and other
civil rights assurances described under Section II (B) of the SuperNOFA
General Section, you must comply with Section 109 of the Housing and
Community Development Act of 1974, as amended. Implementing regulations
for Section 109 are found under 24 CFR 570, including, but not limited
to, reporting and record-keeping requirements under 24 CFR 570.506 and
570.507.
IV. Application Selection Process
HUD will conduct two types of review: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this section.
(A) Threshold Factors for Funding Consideration. Under this
threshold review, your application can only be considered for rating
and ranking if it is in compliance with both the requirements of the
General Section of the SuperNOFA and the following additional standards
are met:
(1) You must be an eligible Alaska Native or Native Hawaiian
institution of higher education and meet the other eligibility
requirements in Section III(B) of this program NOFA;
(2) If you are an ANI, you request a Federal grant of $400,000 or
less over the two-year grant period; or
(3) If you are an NHI, you request a Federal grant of $2 million or
less over the two year grant period composed of no more than five
separate projects, each in a different neighborhood, and each of no
more than $400,000.
(4) If you are an ANI, there is only one application from your
institution or a campus of your institution. If you are an NHI, there
is only one application from your institution, no matter how many
campuses there are.
(5) At least one of the activities in your application is eligible.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor, HUD will
consider the extent to which your application demonstrates the
knowledge and experience of the overall project director and staff,
including the day-to-day program manager, consultants, and contractors
in planning and managing the kinds of programs for which funding is
being requested. If this experience is found within the AN/NHI, you
will receive higher points on this factor than if you have secured this
experience from consultants, contractors, and other staff outside your
institution. In addition, if you demonstrate that the previous
experience is for the project team from the institution proposed for
this project, you will receive higher points than if the experiences
are for people not proposed to work on this project. Experience will be
judged in terms of recent, relevant, and successful experience of your
staff to undertake activities in:
(a) Outreach activities in specific communities to solve or
ameliorate significant housing and community development issues;
[[Page 11784]]
(b) Undertaking specific successful community development projects
with community-based organizations; and
(c) Providing proven leadership in solving community problems which
have a direct bearing on the proposed activity.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
importance of meeting the need in the target area. In responding to
this factor, you will be evaluated on the extent to which you document
the level of need for the proposed activities and the importance of
meeting the need.
You should use statistics and analyses contained in one or more
data sources that are sound and reliable. To the extent that your
targeted community's Five (5) Year Consolidated Plan and Analysis of
Impediments to Fair Housing Choice (AI) identify the level of the
problem and the urgency in meeting the need, you should include
references to these documents in your response to this factor.
If your proposed activities are not covered under the scope of the
Consolidated Plan and AI, you should indicate such, and use other sound
data sources to identify the level of need and the urgency in meeting
the need. Types of other sources include Census reports, HUD Continuum
of Care gaps analysis, law enforcement agency crime reports, Public
Housing Authorities' Comprehensive Plans, community needs analyses such
as provided by the United Way, your institution, etc., and other sound
and reliable sources appropriate for AN/NHIAC. You may also address
needs in terms of fulfilling court orders or consent decrees,
settlements, conciliation agreements, and voluntary compliance
agreements.
To the extent possible, the data you use should be specific to the
area where the proposed activities will be carried out. You should
document needs as they apply to the area where the activities will be
targeted, rather than the entire locality or State, unless the target
area is the entire locality or State.
Rating Factor 3: Soundness of Approach (50 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan, the commitment of your institution to sustain the
proposed activities, and your actions regarding affirmatively
furthering fair housing.
(1) Quality of the Work Plan (35 Points).
(a) Specific Services and/or Activities (12 Points). Specifically,
HUD will consider the extent to which your proposed activities will:
(i) Expand the role of your institution in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target
area.
(iv) Involve and empower the citizens of the target area in all
stages of the proposed project (particularly through a committee,
representative of the target community, to guide the project); and
(v) Be disseminated to a wide variety of audiences, both academic
and community-based, using a wide variety of media, including print and
Internet technology.
(b) Work Plan Impact (13 Points). HUD will consider the feasibility
of success of your program, the measurable objectives, and how timely
your products will be delivered. Specifically, HUD will examine the
extent to which:
(i) The project you propose can be completed within the two year
grant period; and
(ii) The objectives are measurable (e.g., the number of loans made,
the number of jobs created), result in measurable improvement to the
community (e.g., fifteen more homeowners, twenty more jobs in a
specific field), and how well you demonstrate that these objectives
will be achieved by your proposed management plan and team and will
result directly from your activities.
(c) Involvement of the Faculty and Students (5 points). The extent
to which your application proposes to involve your students and
faculty, as part of their coursework in outreach and applied research
activities. HUD's goal is to encourage you to fund activities similar
to those eligible under the COPC program to be undertaken as a
complement to those proposed in your AN/NHIAC application.
(d) HUD Priorities (5 points). The extent to which your application
will further and support at least one of the following priorities of
HUD:
(1) Promoting healthy homes;
(2) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare-to-work programs;
(3) Enhancing ongoing efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You Are Out'' or the ``Officer or Teacher Next Door'' initiative;
(4) Providing educational, job training, and homeownership
opportunities through such initiatives as GEAR UP, Neighborhood
Networks, Twenty/20 Education Communities, and linking programs to
Americorps; or
(5) HUD's Partnership for Advancing Technology in Housing (PATH)
initiative.
The Healthy Homes initiative implements a series of initiatives to
protect children from home hazards such as lead-based paint, radon,
fires, and accidents around the home.
The GEAR UP initiative promotes partnerships between colleges and
middle or junior high schools in low-income communities, to help teach
students how they can go to college by informing them about college
options, academic requirements, costs, and financial aid, and by
providing support services, including tutoring, counseling, and
mentoring.
The Neighborhood Networks initiative enhances the self-sufficiency,
employability, and economic self-reliance of low-income families and
the elderly living in HUD-insured and HUD-assisted properties by
providing them with on-site access to computer and training resources.
The Twenty/20 Education Communities initiative (formerly known as
Campus of Learners) is designed to transform public housing into safe
and livable communities where families undertake training in new
telecommunications and computer technology and partake in educational
opportunities and job training initiatives.
The Partnership for Advancing Technology in Housing (PATH)
initiative is a voluntary public/private partnership that seeks to
speed the creation and widespread use of advanced technologies in order
to radically improve the quality, durability, energy efficiency, and
environmental performance and affordability of housing. For more
information, you can go to the PATH web site at www.pathnet.org.
(6) Institutionalization of Project Activities (10 points). The
extent to which your project will result in the kinds of proposed
activities being sustained by becoming part of the mission of your
institution. In reviewing this subfactor, HUD will consider the extent
to which program activities relate to your institution's mission;
demonstrate support and involvement of the institution's executive
leadership; are linked by a formal organizational structure to other
units related to outreach and community partnerships; are reflected in
budget and planning documents; are part of a climate that rewards
faculty work on these kinds of activities through promotion and tenure;
benefits students because they are part
[[Page 11785]]
of a service learning program at your institution; and are reflected in
the curriculum. HUD will look at your monetary and non-monetary
commitments to faculty and staff continuing work in the target area or
other similar areas and to your longer term commitment (five years
after the start of the grant) of hard dollars to similar work.
(3) Affirmatively Furthering Fair Housing (5 points). The extent to
which you propose to undertake activities designed to affirmatively
further fair housing, for example:
(a) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending:
(b) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(c) Providing housing mobility counseling services.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources,
which can be combined with HUD program funds to achieve program
objectives.
In evaluating this factor, HUD will consider the extent to which
you have established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
activities. Resources may include funding or in-kind contributions,
such as services or equipment. Resources may be provided by
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities. You may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area.
You may count overhead and other institutional costs (e.g.,
salaries) that are waived as leveraging. However, higher points will be
awarded if you secure leveraging resources from sources outside the
institution.
You must provide letters or other documentation showing the extent
and firmness of commitments of leveraged funds (including your own
resources) in order for these resources to count in determining points
under this factor. Any resource for which there is no commitment letter
will not be counted, nor will the resource be counted without the
proposed level of commitment being quantified. If your application does
not include evidence of leveraging, it will receive zero (0) points for
this Factor.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participate or promote
participation in a community's Consolidated Planning process, and are
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. For
specific information about your locality's process, contact the local
Community Development Agency or the local HUD field office. If you
propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address subfactors (1)
and (3).
In evaluating this factor, HUD will consider the extent to which
you demonstrate that you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support, and coordinate all known activities and, if funded, the
specific steps you will take to share information on solutions with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award, should be described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities you propose.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally-funded activities, including
those proposed or ongoing in the community.
(C) Selections. For ANI applications, each application will be
reviewed and rated based on these selection criteria. For NHI
applicants, each project in an application will be reviewed and rated
separately. If you are an ANI, you must receive a score of at least 70
points on your application in order to be eligible for funding. If you
are an NHI, you must receive a score of at least 70 points for a
project in order for that project to be eligible for funding. HUD will
fund applications (for ANIs) or projects (for NHIs) in rank order,
until it has awarded all available funds. HUD will rank and select
applications from Alaska Native institutions and Native Hawaiian
institutions separately. If, within either of these two categories, two
or more applications (for ANIs) or projects (for NHIs) have the same
number of points, the application (for ANIs) or project (for NHIs) with
the most points for Factor 3, Soundness of Approach, shall be selected.
If there is still a tie, the application (for ANIs) or project (for
NHIs) with the most points for Factor 4, Leveraging, shall be selected.
If all the funds in one category are not awarded, they cannot be
transferred to the other category.
HUD will not fund specific proposed activities that do not meet
eligibility requirements (see 24 CFR part 570, subpart C), or do not
meet a national objective in accordance with 24 CFR 570.208.
After all application selections have been made, HUD may require
that you participate in negotiations to determine the specific terms of
the Statement of Work and the grant budget. In cases where HUD cannot
successfully complete negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
V. Application Submission Requirements
You should include an original and two copies of the items listed
below. In order to be able to recycle paper, please do not submit
applications in bound form; binder clips or loose leaf binders are
acceptable. Also, please do not use colored paper. Please note the page
limits for some of the items listed below and do not exceed them.
Your application must contain the items listed in this section.
These items include the standard forms, certifications, and assurances
listed in the General Section of the SuperNOFA that are applicable to
this funding (collectively referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives), referred to as the ``non-standard
forms'' can be found as Appendix A to this program section of the
SuperNOFA. The items are as follows:
(A) SF-424, Application for Federal Assistance.
[[Page 11786]]
(B) HUD-424M, Federal Assistance Funding Matrix.
(C) Application Checklist.
(D) Transmittal Letter, signed by the Chief Executive Officer of
your institution or his or her designee. If a designee signs, your
application must include the official designation of signatory
authority. If you are an NHI, this letter should cover your entire
application, no matter how many projects are proposed.
(E) Abstract/Executive Summary (one page limit for ANIs and three
pages for NHIs) describing the goals and activities of the project. If
you are an NHI, the abstract should cover your entire application, no
matter how many projects are proposed.
(F) Narrative Statement Addressing the Factors for Award. (If you
are an ANI, there is a 50 page limit including tables and maps, but not
including any letters of commitment or budget forms.; If you are an
NHI, there is a 50 page limit for each separate project, including
tables and maps, but not including any letters of commitment or budget
forms, with each project responding to all of the Narrative Statement
Addressing the Factors for Award Requirements) (Please note that
although submitting pages in excess of the page limit will not
disqualify your application, HUD will not consider the information on
any excess pages, which may result in a lower score or failure to meet
a threshold.) For FY 2001, the statement of work and the budget are now
part of Factor 3, Soundness of Approach.
(1) The Statement of Work incorporates all activities to be funded
in your application and details how your proposed work will be
accomplished. For each proposed activity, your Statement of Work must:
(a) Arrange the presentation of major related activities (e.g.,
rehabilitation of a child care center, provision of tutoring services),
summarize each activity, identify the primary persons (as described in
addressing Rating Factor 1) involved in carrying out the activity and
accountable for the deliverables, and delineate the major tasks
involved in carrying it out. You should also describe how each activity
meets a CDBG national objective.
(b) Indicate the sequence in which tasks are to be performed,
noting areas of work that must be performed simultaneously. The
sequence, duration, and the products to be delivered should be
presented in six month intervals, up to 24 months.
(c) Identify the specific numbers of quantifiable intermediate and
end products and objectives (e.g., the number of houses to be
rehabilitated, the number of people to be trained, the number of
minority businesses started, etc.) you aim to deliver by the end of the
grant period as a result of the work performed.
(2) The budget presentation should be consistent with the Statement
of Work and include:
(a) A budget by activity, using Form HUD-30004 included in the
application kit and in the program area section of the SuperNOFA. This
form separates the Federal and non-Federal costs of each program
activity. Particular attention should be paid to accurately estimating
costs; determining the necessity for and reasonableness of costs; and
correctly computing all budget items and totals.
(b) A narrative statement of how you arrived at your costs, for any
line item over $5,000. Indirect costs must be substantiated and the
rate must have been approved by the cognizant Federal agency. If you
are proposing to undertake rehabilitation of residential, commercial,
or industrial structures or acquisition, construction, or installation
of public facilities and improvements, you must submit reasonable costs
supplied by a qualified entity other than your institution. Guidance
for securing these estimates can be obtained from the CPD Director in
your HUD field office or from your local government.
(c) A statement of compliance with the 20 percent limitation on
``Planning and Administration'' costs.
(3) Your narrative statement addressing the factors for award
should address all factors for award. You should number the narrative
in accordance with each factor and subfactor. Please do not repeat
material in the Statement of Work.
In addressing Factor 4, for each leveraging source, cash or in
kind, you must submit a letter, dated no earlier than the date of this
SuperNOFA, from the provider on the provider's letterhead that
addresses the following:
The dollar amount or dollar value of the in-kind goods
and/or services committed. For each leveraging source, the dollar
amount in the commitment letter must be consistent with the dollar
amount you indicated in the Budget;
How the leveraging amount is to be used;
The date the leveraging amount will be made available and
a statement that it will be for the duration of the grant period;
Any terms and conditions affecting the commitment, other
than receipt of a HUD AN/NHIAC Grant; and
The signature of the appropriate executive officer
authorized to commit the funds and/or goods and/or services. (See the
application kit and the program area section of the SuperNOFA for a
sample commitment letter.) If you are an NHI, you should separate your
leveraging sources by project and include the appropriate letters in
the Narrative Statement for that project.
(G) Certifications.
(1) SF-424B, Assurances for Non-Construction Programs.
(2) HUD-50071, Certification of Payments to Influence Certain
Federal Transactions;
(3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
(5) HUD-50070, Certification of Drug-Free Workplace;
(6) HUD-2992, Certification Regarding Debarment and Suspension;
(7) HUD-2991, Certification of Consistency with the Consolidated
Plan; and
(8) HUD-2990, Certification of Consistency with the EZ/EC Strategic
Plan (if applicable);
(H) Acknowledgment of Receipt of Applications (HUD-2993). If you
wish to confirm that HUD received your application, please complete
this form. This form is optional.
(I) Client Comments and Suggestion Form (HUD-2994). If you wish to
offer comments on the AN/NHIAC NOFA of this SuperNOFA or the SuperNOFA
process, please complete this form. This form is optional.
You may not submit appendices or general support letters or
resumes. If you submit letters of leveraging commitment, they must be
included in your response to Factor 4. If you submit other
documentation, it must be included with the pertinent factor responses
(taking note of the page limit).
VI. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VII. Environmental Requirements
Selection for award does not constitute approval of any proposed
sites. Following selection for award, HUD will perform an environmental
review of activities proposed for assistance under this program, in
accordance with 24 CFR part 50. The results of the environmental review
may require that your proposed activities be modified or that your
proposed sites be rejected. You are particularly cautioned not to
undertake or commit funds for acquisition or development of proposed
properties prior to HUD approval of specific properties or areas. Your
application constitutes an assurance that your institution assist HUD
to
[[Page 11787]]
comply with part 50; will supply HUD with all available and relevant
information to perform an environmental review for each proposed
property; will carry out mitigating measures required by HUD or select
alternate property; and will not acquire, rehabilitate, convert, lease,
repair, or construct property and not commit or expend HUD or local
funds for these program activities with respect to any eligible
property until HUD approval of the property is received. In supplying
HUD with environmental information, you should use the same guidance as
provided in the HUD Handbook entitled ``Field Environmental Review
Processing for HUD Colonias Initiative Grants'' issued January 27,
1998.
VIII. Authority
This program was approved by Congress under the section 107 of the
CDBG appropriation for fiscal year 2001, as part of the FY 2001 HUD
Appropriations Act. AN/NHIAC is being implemented through this program
section of the SuperNOFA and the policies governing its operation are
contained herein.
Appendix A
The non-standard forms, which follow, are required for your AN/
NHIAC application.
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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[[Page 11793]]
FUNDING AVAILABILITY FOR THE FAIR HOUSING INITIATIVES PROGRAM
(FHIP)
Program Overview
Purpose of the Program. To increase compliance with the Fair
Housing Act (the Act) and with substantially equivalent State and local
fair housing laws.
Available Funds. Approximately $16.5 million is allocated to three
(3) Initiatives as follows:
A. Private Enforcement Initiative (PEI) $10.5 million.
B. Education and Outreach Initiative (EOI) $3.9 million.
C. Fair Housing Organizations Initiative (FHOI) $2.1 million.
Eligible Applicants. Eligibility requirements are described in
detail under each of the funded Initiatives and Components, set forth
below, and eligible applicants may include: Qualified Fair Housing
Organizations (QFHOs); Fair Housing Enforcement Organizations (FHOs);
public or private, for-profit or not-for-profit organizations or
institutions, or other public or private entities that are working to
prevent or eliminate discriminatory housing practices; State and local
governments or their agencies; and Fair Housing Assistance Program
(FHAP) agencies (as defined in Section IV of this program section).
Application Deadline. May 2, 2001.
Match: No matching funds are required for the Education and
Outreach or Private Enforcement Initiatives. However, sponsored
organizations under the Fair Housing Organizations Initiative (FHOI)
must meet the requirements described in Section IV (D)(1)(a) below.
Additional Information
If you are interested in applying for funding under the Fair
Housing Initiatives Program (FHIP), please review carefully the General
Section of this SuperNOFA, the FHIP Authorizing Statute (Sec. 561 of
the Housing and Community Development Act of 1987, as amended) and the
FHIP Regulations (24 CFR 125.103-501).
I. Application Due Date, Further Information, and Technical
Assistance
Application Due Date. You must submit completed applications for
all Initiatives and Components by 12 midnight, Eastern time, on or
before May 2, 2001, at HUD Headquarters, at the address shown below.
See the General Section of this SuperNOFA for specific procedures
governing the method of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand-carried).
Address for Submitting Applications. Your application consists of
an original signed application form (SF 424) and all items listed in
the Checklist (See Appendix B). Submit your completed application (one
original and five copies) to: FHIP SuperNOFA 2001 [Specify the
Initiative/Component to which you apply], FHIP/FHAP Support Division,
Fair Housing and Equal Opportunity, U.S. Department of Housing and
Urban Development 451 Seventh Street SW., Room 5224, Washington, DC
20410.
When you submit your application, please provide the following
information at the front top left corner of the mailing envelope: your
organization's name, name of contact person, mailing address (including
zip code), telephone number (including area code), and fax number.
Applicants for more than one Initiative or Component must submit a
separate signed original and five copies for each Initiative or
Component.
For Further Information and Technical Assistance. You may contact
Myron P. Newry of the FHIP Division, at 202-708-0800 (this is not a
toll-free number). Persons with hearing or speech impairments may
contact the Division by calling 1-800-290-1617 (this is a toll-free
number).
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparing applications. For more information about the date and time of
this broadcast, you should consult the HUD web site http://www.hud.gov/grants.
II. Amounts Allocated
In Fiscal Year 2001, $24.0 million was appropriated for the Fair
Housing Initiatives Program. Approximately $16.5 million is being made
available on a competitive basis to eligible organizations responding
to this SuperNOFA. The remaining approximately $7.5 million has been
designated for the National Housing Discrimination Audit 2001.
The amount available for each Initiative or Component and the award
cap (the maximum amount of funds that can be awarded for each grant)
are allocated as follows:
(A) Private Enforcement Initiative (PEI). Approximately $10.5
million is allocated; award cap is $250,000; project duration is 12
months.
(B) Education and Outreach Initiative (EOI). Approximately $3.9
million is allocated to the Regional/Local/Community-Based Program;
award cap is $100,000; project duration is 12 months; applications will
be submitted to the following Components:
(1) EOI-General Component. Approximately $3.1 million is allocated.
(2) EOI-Disability Component. Approximately $800,000 is allocated.
(C) Fair Housing Organizations Initiative (FHOI). Approximately
$2.1 million is allocated; project duration is three years. Award caps
are as follows:
Year 1: $350,000; no more than 15 percent of the award may be used
by the sponsoring organization for its administrative costs,
Year 2: $350,000; no more than 15 percent of the award may be used
by the sponsoring organization for its administrative costs,
Year 3: $350,000; no more than 15 percent of the award may be used
by the sponsoring organization for its administrative costs.
III. Program Description; Eligible Applicants; Eligible Activities
Changes to this year's NOFA. This year's FHIP NOFA is substantially
different from previous years. The project duration for PEI and EOI
awards is 12 months, and three years for FHOI. No FY 2001 funds have
been allocated to the EOI-National Program. The instances where the
Selecting Official may exercise discretionary authority to select
applications out of rank order in each Initiative or Component have
been revised as well: (a) the funding diversity provision has been
eliminated; and (b) the geographic diversity provision, if applied,
will be used to ensure that, to the extent possible, awards from each
Initiative or Component will be distributed across more states. Changes
also have been made in how the applications are rated. For example, up
to five points will be awarded to applications where the applicant and
proposed activities are located in areas not served by a State or local
agency that participates in the Fair Housing Assistance Program (FHAP).
In addition, under PEI and FHOI, points will be deducted if
organizations that have received FHIP funding to conduct enforcement-
related activities have not complied with the program requirements
regarding mandatory referrals and reimbursement of the federal
government for compensation resulting from FHIP-funded enforcement
activity.
Other Changes. There is no Application Kit; however, a hard copy of
the Housing Counseling and this Program NOFA and necessary forms will
be available from the SuperNOFA Information Center at www.HUD.gov/grants. We believe the NOFA more
[[Page 11794]]
clearly describes the requirements for completing a successful
application; all of the forms and certifications needed to complete
your application are included in the General and FHIP Sections of the
SuperNOFA. [Additional clarification is provided in Appendix A, Most
Frequently Asked Questions]
Bonus Points: The SuperNOFA provides for the award of up to two
bonus points for eligible activities/projects that the applicant
proposes be located in federally designated Empowerment Zones (EZs),
Enterprise Communities (ECs), Urban Enhancement Enterprise Communities
(EECs), or Strategic Planning Communities and serve the residents of
these federally designated areas, and are certified to be consistent
with the strategic plan of these federally designated references. (For
ease of reference in the SuperNOFA, these federally designated areas
are collectively referred to as ``EZ/ECs'' and residents of these
federally designated areas as EZ/EC residents). This NOFA contains a
certification which must be completed for the applicant to be
considered for EZ/EC bonus points. A list of EZs, ECs, EECs and
Strategic Planning Communities is available from the SuperNOFA
Information Center, through the HUD web site at http://www.hud.gov/grants, and is included in the Appendix to the General Section of the
SuperNOFA.
Court Ordered Consideration. For any application submitted by the
City of Dallas, Texas, for funds under this SuperNOFA for which the
City of Dallas is eligible to apply, HUD will consider the extent to
which the strategies or plans in the city's application or applications
will be used to eradicate the vestiges of racial segregation in the
Dallas Housing Authority's low income housing programs. The City of
Dallas should address the effect, if any, that vestiges of racial
segregation in the Dallas Housing Authority's low income housing
programs have on potential participants in the programs covered by this
NOFA, and identify proposed actions for remedying those vestiges. HUD
may add up to 2 points to the score based on this consideration. This
special consideration results from an order to the U.S. District Court
for the Northern District of Texas, Dallas, Division. (This Section is
limited to applications submitted by the City of Dallas).
Program Description. The Fair Housing Initiatives Program (FHIP)
assists fair housing activities that increase compliance with the Fair
Housing Act (the Act) and with the substantially equivalent fair
housing laws administered by state and local government agencies (FHAP
agencies). All activities funded under this NOFA must support the
Department's goal to increase its enforcement actions. Applications
selected for funding under EOI will support this goal by developing a
complaint referral process that should result in referrals to HUD of
credible, legitimate fair housing claims and other information
regarding discriminatory housing practices. Applications selected for
funding under PEI and FHOI must support this goal by complying with the
Mandatory Referral requirement described in Section IV.
Activities that are not eligible for funding. You are reminded to
read carefully the eligibility requirements for each Initiative and
Component. Although all applications selected for funding under this
NOFA must contribute to HUD's enforcement goal, enforcement-related
activities are not eligible for funding under EOI and there is a limit
on the amount of education-related activities that can be funded in an
enforcement grant (PEI or FHOI). No awardee may use FHIP funds to
settle a claim, satisfy a judgment, or fulfill a court order in any
defensive litigation.
Underserved Populations. Immigrant populations (especially racial
and ethnic minorities who are not English-speaking) are increasingly
responsible for new household formations in the United States, and they
often face formidable barriers because of discriminatory housing
practices. Congress has recognized that where we live, perhaps more
than any other factor, shapes our life prospects and who we become as
individuals. It is especially important that fair housing services be
directed to these immigrant populations and to the specific types of
discrimination they may encounter. All applicants are encouraged to
address the fair housing needs of these populations as follows:
EOI and PEI. In a tie-breaking situation, applications that list a
specific example or examples of the outreach that will be conducted to
advise immigrant and other underserved populations, as defined in
Section IV, below, of the services offered by the project will be
ranked higher than applications that do not. It is not sufficient to
merely assert you will conduct outreach to these populations.
FHOI. HUD has determined that rural areas and areas with immigrant
populations (especially racial and ethnic minorities who are not
English speaking) are underserved. HUD has targeted for funding
priority those projects which serve rural and immigrant populations
that contain large concentrations of persons protected under the Act
where either no public or private fair housing enforcement organization
exists or the jurisdiction is not sufficiently served by one or more
public or private fair housing enforcement organizations. HUD expects
to select one application that covers a rural area (see definition in
Section IV (17) below) and one in an area with large concentrations of
individuals who fall within one or more categories protected under the
Act who are immigrants (especially racial and ethnic minorities who are
not English speaking).
(A) Private Enforcement Initiative (PEI). This Initiative assists
private, tax-exempt fair housing enforcement organizations in the
investigation and enforcement of alleged violations of the Fair Housing
Act and substantially equivalent State and local fair housing laws. As
a condition of funding, you will be required to refer to HUD all cases
arising from FHIP-funded enforcement activities (see Mandatory
Referrals, Section IV below).
(1) Eligible Applicants. Eligible applicants are fair housing
enforcement organizations (FHOs) with at least one year of experience
in complaint intake, complaint investigation, testing for fair housing
violations, and meritorious claims in the two years prior to the filing
of this application (see, 24 CFR 125.401(b)(2) and qualified fair
housing enforcement organizations (QFHOs) with at least two years of
enforcement-related experience, as noted above, within the three years
prior to filing this application, see 24 CFR 125.103. You must certify,
in the Statement of Eligibility that you submit with this application,
that your organization is an FHO or a QFHO and document in the
Statement of Eligibility that your organization has the required one or
two years of enforcement-related experience. If you fail to submit the
completed Statement of Eligibility, your application will be declared
ineligible. You are required also to submit with your application a
copy of your Letter of Determination from the Internal Revenue Service
(IRS) in support of your 501(c)(3) tax-exempt status. However, failure
to provide this document with your application is a technical
deficiency and you will have 14 days to provide the requested
information (see Section V of the General Section of the SuperNOFA). If
you do not provide the requested tax-exempt documentation within the
prescribed timeframe, your application will be declared ineligible. You
are not eligible if you are currently receiving PEI General Component
funding
[[Page 11795]]
awarded to you under a previous NOFA, and, your grant agreement expires
after June 30, 2002.
Eligibility of Successor Organization. HUD recognizes that QFHOs
and FHOs may merge with each other or other organizations. The merger
of a QFHO or an FHO with a new organization, that has a separate
Employer Identification Number (EIN), does not confer QFHO or FHO
status upon the successor. To determine whether the successor
organization meets the eligibility requirements for this Initiative,
HUD will look at the enforcement-related experience of the successor
organization (based upon the successor organization's EIN). The
successor organization is not eligible to apply under this Initiative
unless it establishes in the Statement of Eligibility that it is a
private, tax-exempt organization with the requisite two years for a
QFHO or one year experience for an FHO.
(2) Eligible Activities include:
(a) Complaint intake of allegations of housing discrimination,
testing, evaluating testing results, or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws;
(b) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(c) Mediation or other voluntary resolution of allegations of fair
housing discrimination after a complaint has been filed; and
(d) Costs and expenses of litigating fair housing cases, including
expert witness fees.
(B) Education and Outreach Initiative (EOI). This Initiative
assists projects that inform and educate the public about the rights
and obligations under the Act and substantially equivalent State and
local fair housing laws. Under this Initiative, you must develop a
complaint referral process so that activities funded under this
Initiative will result in referrals to HUD of credible, legitimate fair
housing claims and other information regarding possible discriminatory
housing practices. HUD is not soliciting EOI National Program
applications under this program NOFA. Applications are solicited for
the EOI-Regional/Local/Community-Based Program only--where activities
are conducted on a regional/local/community-based level. You may submit
your application as a General Component or a Disability Component,
depending upon its focus. These Components are explained below.
(1) Eligible Applicants. Eligible applicants are QFHOs; FHOs (under
this Initiative an FHO need not have engaged in enforcement-related
activity for at least one year, see 24 CFR 125.103); public or private,
for-profit or not-for-profit organizations or institutions and other
public or private entities that are formulating or carrying out
programs to prevent or eliminate discriminatory housing practices (this
category includes entities that will be established as a result of
receiving an award under this FHIP NOFA); State or local governments or
their agencies; and agencies that participate in the Fair Housing
Assistance Program (see the list of FHAP agencies at Appendix C). If
you are a disability advocacy group or traditional civil rights
organization, you are encouraged to apply under this Initiative.
(2) Eligible Activities. The following are eligible activities for
either Component: conducting educational symposia; distributing
existing fair housing materials throughout your project area; providing
outreach and information on fair housing through printed and electronic
media; and providing outreach to persons with disabilities and/or their
support organizations and service housing providers, and the general
public regarding the rights of persons with disabilities under the Act.
When conducting your outreach activities, we encourage the use of
existing, locally or nationally available fair housing materials;
except that you may modify those existing materials in languages other
than English or Braille.
Disability Component. Applications that have a special focus on the
fair housing needs of persons with disabilities, so that persons with
disabilities, housing providers and the general public better
understand the rights and obligations under the Act and more fully
appreciate the forms of housing discrimination that persons with
disabilities may encounter, should submit their applications to the an
EOI-Disability Component. Although the Component has a disability
focus, the funded activities must provide education and outreach to all
persons protected under the Act.
General Component. Applications for all other fair housing
education and outreach activities should be submitted to the EOI-
General Component.
(C) Fair Housing Organizations Initiative (FHOI). This Initiative
provides assistance to projects that build the capacity of
organizations to become viable fair housing enforcement organizations
that conduct fair housing enforcement activities in underserved areas
(as defined in Section IV) with large concentrations of persons
protected by the Act. This is accomplished with the assistance of a
sponsoring organization. It is the sponsoring organization that submits
the application under this Initiative. The sponsored organization whose
enforcement capacity is enhanced by funding under this Initiative, will
be allowed to participate in this Initiative for three years contingent
upon annual performance reviews. Funds are allocated under this NOFA
for three years, and may be distributed to the sponsored organization
by the sponsoring organization. The sponsoring organization may receive
administrative cost as described below. HUD has targeted for funding
under this Initiative, projects that will provide fair housing
enforcement services to rural areas or to areas with large
concentrations of individuals who fall within one or more categories
protected under the Act who are immigrants (especially racial and
ethnic minorities who are not English speaking).
(1) Eligible Applicants. Only the sponsoring organization is
eligible to apply under this Initiative. The sponsoring organization
must be a qualified fair housing enforcement organization (QFHO) with
at least two years of experience in complaint intake, complaint
investigation, testing for fair housing violations, and meritorious
claims in the three years prior to the filing of this application, as
defined at 24 CFR 125.103. You must certify in the Statement of
Eligibility that you submit with this application that your
organization is a QFHO. If you fail to submit the completed Statement
of Eligibility, your application will be declared ineligible. You are
also required to submit a copy of your IRS tax-exempt status with your
application. However, failure to provide this document with your
application is a technical deficiency, and you will have 14 days to
provide the requested information (see Section V of the General Section
of the SuperNOFA). If you do not provide the requested tax-exempt
documentation within the prescribed timeframe, your application will be
declared ineligible.
Eligibility of Successor Organization. HUD recognizes that a QFHO
may merge with one or more organizations. The merger of a QFHO into a
new organization, that has a separate Employer Identification Number
(EIN), does not confer QFHO status upon the successor organization. To
determine whether the successor organization meets the eligibility
requirements for this Initiative, HUD will consider the enforcement-
related experience of the successor organization (based upon the
successor organization's EIN). The
[[Page 11796]]
successor organization is not eligible to apply under this Initiative
unless it can establish that it is a private, tax-exempt organization
with the requisite two years experience of a QFHO.
(2) Eligible Activities. The proposed activities must build the
enforcement capacity of the sponsored organization so that it can
undertake all of the following activities by the conclusion of year
three of the grant cycle:
(a) Complaint intake of allegations of housing discrimination,
testing, evaluating testing results or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws;
(b) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(c) Mediation or other voluntary resolution of allegations of fair
housing discrimination after a complaint has been filed; and
(D) Costs and expenses of litigating fair housing cases, including
expert witness fees.
(3) Administrative Costs for the Sponsoring Organization. The
sponsoring organization may use no more than 15 percent of the annually
awarded funds to cover its costs to administer the grant.
IV. Program Requirements
(A) Requirements For All Initiatives. In addition to the Civil
Rights Threshold requirements in Section II(B) of the General Section
of this SuperNOFA, you must also meet the following requirements:
(1) All FHIP-funded projects must address housing discrimination
based upon race, color, religion, sex, disability, familial status, or
national origin.
(2) Performance Measures and Products. Your application must
demonstrate how your project activities will support HUD goals,
identify performance measures/outcomes in support of those goals, and
identify current (baseline) conditions and target levels of the
performance measures that you plan to achieve. Your application also
must contain a strategy for generating project products, with related
timelines and milestones. If selected for funding, your final
performance measures and products will be negotiated between you and
HUD as part of your executed grant agreement.
(3) Reports and Meetings on Performance Measures and Products. You
are required to report quarterly on the status of project products
against your approved milestones and timelines and meet at least semi-
annually with HUD to ensure that project activities satisfy grant
requirements. In your final grant report, you must describe the status
of performance measures in a spreadsheet format or other manner
specified by the Department.
(4) Single Award Limitation/Preference Must Be Stated. You may
submit applications under all Initiatives and Components but you will
receive only one grant with the exception that successful FHOI
applicants may receive a grant award under one of the other
Initiatives. If you submit more than one application for funding, you
must clearly state your preference in two places in each application
you submit: (i) The Transmittal Letter and (ii) the Cover Page. If you
are selected for funding in more than one Initiative or Component, the
Selecting Official may honor your preference if it is in the best
interests of the Program. Failure to submit your preference at the time
of application will be treated as a technical deficiency, which may be
corrected as noted in Section V of the General Section of this
SuperNOFA.
(5) Independence of Awards. HUD will review each application
separately and without reference to other applications submitted by you
or others. Although there is no limit on the number of applications
that you may submit, applications must be independent and capable of
being implemented without reliance on the selection of other
applications submitted by you or other applicants.
(6) Project Starting Period. For planning purposes, assume a start
date no later than September 30, 2001.
(7) Page Limitation and Formatting Requirements. The narrative
response for each of the five Factors for Award is limited to ten pages
per factor (this page limit does not include attachments or documents,
which also should be numbered, that are required under each factor).
Narrative pages exceeding the ten-page limit, including unrequested
items, such as brochures and news articles, will not be considered. The
text must be double-spaced, and pages must be numbered consecutively
(from the beginning of the Factor 1 narrative to the end of the Factor
5 narrative). Please use Courier 12 as the typeface or font for your
narrative responses. You should respond fully to each factor. Failure
to provide narrative responses to all factors and omitting requested
information will result in full points not being allocated under the
Factors for Award, which may significantly affect your overall score.
(8) Training Funds. All projects, except for FHOI, are 12-month
projects. Your proposed budget must set-aside funds to participate in
HUD-sponsored or approved training ($3,000 for EOI and PEI; and $6,000
annually for FHOI). Requests to attend HUD-approved training must be
submitted to the Governmental Technical Representative (GTR) for
approval in advance of the requested training.
(9) Payment Contingent on Completion. Payments are contingent on
the satisfactory completion of your project activities and products as
reflected in your grant or cooperative agreement.
(10) Accessibility Requirements. All activities and materials
funded by this Program must be accessible to persons with disabilities
(24 CFR 8.4, 8.6, and 8.54).
(11) Copyright Materials. You may copyright any work that is
eligible for copyright protection; however, HUD reserves the right to
reproduce, publish, or otherwise use your work for Federal purposes,
and to authorize others to do so as outlined in 24 CFR 84.36.
(12) Complaints Against Grantees. Complaints from the public
against FHIP grantees should be forwarded to the Fair Housing and Equal
Opportunity (FHEO) Hub Director in the region where the project is
located (see Appendix C for list of FHEO Hub Directors). If, after
notice and consideration of relevant information, HUD concludes that
there has been inappropriate conduct, such as a violation of FHIP
program requirements, grant, or cooperative agreement terms or
conditions or any other applicable statute, regulation or other
requirement, HUD will take appropriate action in accordance with 24 CFR
84.62. Such action may include: written reprimand; consideration of
past performance in ranking future FHIP applications; reimbursement to
HUD of the funds received under the grant; or temporary or permanent
denial of participation in the FHIP in accordance with 24 CFR part 24.
(13) Avoiding Double Payments. If you are awarded funds under this
SuperNOFA, you (and any subcontractor or consultant) may not charge or
claim credit for the activities performed under this project to any
other Federal project.
(14) Ineligible Applications. Your application will be declared
ineligible for any of the following reasons:
(a) General Section Requirements and Procedures. If you do not meet
the Civil Rights Threshold Requirements set forth in Section II (B) of
the General Section of this SuperNOFA.
(b) Debarment and Suspension. If you are presently debarred,
suspended, proposed for debarment, declared
[[Page 11797]]
ineligible, or voluntarily excluded from covered transactions by any
Federal debarment or agency.
(c) Award Caps. If you request funding in excess of the maximum
allowed under the Initiative or Component for which you are applying.
Any amount over the award cap, even if less than one dollar, will be
considered excessive. In addition, inconsistencies in the amount
requested and/or miscalculations that result in amounts over the award
caps will be considered excessive.
(d) Research Activities. If your project is aimed solely and
primarily at research, including but not limited to surveys or
questionnaires.
(e) Statement of Eligibility. Your application will be declared
ineligible if you fail to submit the completed Statement of Eligibility
with your application.
(f) Ineligible PEI and FHOI Applicants. (i) If you are not a
private, tax-exempt organization. You must submit a copy of the Letter
of Determination from the Internal Revenue Service declaring your
501(c)(3) tax-exempt status as a tax-exempt organization, with your
application. This documentation should be readable and included as an
attachment to your Statement of Eligibility. Failure to submit this
documentation with your application will be treated as a technical
deficiency, which may be corrected as noted in Section V of the General
Section of this SuperNOFA. (ii) If you do not conduct a broad-based and
full-service enforcement project that addresses discrimination against
all persons protected by the Fair Housing Act on the basis of race,
color, religion, sex, disability, familial status, or national origin.
(iii) If you are currently receiving PEI General Component funding
awarded to you under a previous NOFA, and, your grant agreement expires
after June 30, 2002.
(15) Ineligible Activities.
(a) Fair Housing and Free Speech. None of the amounts made
available under this NOFA may be used to investigate or prosecute under
the Act any activity engaged in by one or more persons, including the
filing or maintaining of a non-frivolous legal action, that is
protected by the First Amendment to the U.S. Constitution. This
includes activities engaged in for the purpose of achieving or
preventing action by a government official or entity.
(b) Suits against the United States. No recipient of assistance
under this Program may use any funds provided by HUD for the payment of
expenses in connection with litigation against the United States (24
CFR 125.104(f)).
(c) Other Litigation. No recipient of assistance under this Program
may use any funds provided by HUD to settle a claim, satisfy a
judgment, or fulfill a court order in any defensive litigation.
(16) Key Personnel. If your organization is selected for award, you
must certify to HUD whether any key personnel have been convicted of a
felony or crime involving fraud or perjury. In advising HUD, you must
describe the type of conviction, the date entered and the penalty
received and submit a copy of the report from the police or court
documenting the conviction. Depending upon the facts, HUD may place
special conditions upon the grant.
(17) Definitions. The definitions that apply to this FHIP section
of the SuperNOFA are as follows:
Broad-based proposals are not limited to a single fair housing
issue; instead, they cover multiple issues related to housing
discrimination covered under the Act, such as: rental, sales and
financing of housing. (See also Full Service Projects below).
Disability advocacy groups mean organizations that traditionally
have provided for the civil rights of persons with disabilities. This
would include organizations such as Independent Living Centers, and
cross-disability legal services groups. Organizations must be
experienced in providing services to persons with a broad range of
disabilities, including physical, cognitive, and psychiatric/mental
disabilities. Organizations must demonstrate actual involvement of
persons with disabilities throughout their activities, including on
staff and board levels.
Enforcement actions include investigations and charges issued under
the Act, settlements with relief equivalent to, or greater than, what
HUD would seek had a charge been issued; settlements with relief for a
broad class of victims; referrals to the Department of Justice (DOJ),
where it has legal authority to take further action: zoning and land
use cases [42 U.S.C. 3614(b)]; pattern and practice cases (42 U.S.C.
3614(a)); requests for prompt judicial action; [42 U.S.C. 3610(e)]; and
allegations of criminal violations of the Act (42 U.S.C. 3631).
Enforcement proposals are potential complaints under the Act that
are timely, jurisdictional, and well-developed, that could reasonably
be expected to become enforcement actions if an impartial investigation
finds evidence supporting the allegations and the cases proceeded to a
resolution with HUD involvement.
Fair Housing Assistance Program (FHAP) Agencies mean State and
local government agencies that administer laws substantially equivalent
to the Act, as described in 24 CFR part 115.
Fair Housing Enforcement Organization (FHO) means an organization
engaged in fair housing activities as defined in 24 CFR 125.103.
Full-service projects must include the following enforcement-
related activities in your project application: interviewing potential
victims of discrimination; analyzing housing-related issues; taking in
complaints; testing; evaluating testing results; conducting preliminary
investigations; conducting mediation; enforcing meritorious claims
through litigation or referral to administrative enforcement agencies;
and disseminating information about fair housing laws.
Meritorious claims mean enforcement activities by an organization
as defined in 24 CFR 125.103.
Operating budget means your organization's total planned budget
expenditures from all sources, including the value of in-kind and
monetary contributions, in the period for which funding is requested.
Qualified Fair Housing Enforcement Organization (QFHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
Regional/Local/Community-Based Activities are defined at 24 CFR
125.301(a) & (d).
Rural Areas, according to the Rural Housing and Economic
Development Program of Community Planning and Development (CPD), may be
defined in one of five ways:
(i) A place having fewer than 2,500 inhabitants (within or outside
of metropolitan areas).
(ii) A county with no urban population (i.e., city) or 20,000
inhabitants or more; territory, persons and housing units in the rural
portions of ``extended cities.''
(iii) The rural portions of extended cities in the United States as
identified by the U.S. Census Bureau.
(iv) Open country which is not part of or associated with an urban
area. The United States Department of Agriculture (USDA) describes open
country as a site separated by open space from any adjacent densely
populated urban area. Open space includes undeveloped land,
agricultural land, or sparsely settled areas, but does not include
physical barriers (such as rivers or canals) public parks, commercial
and industrial developments, small areas reserved for
[[Page 11798]]
recreational purposes, and open space set aside for future development.
(v) Any place with a population not in excess of 20,000 and that is
not located in a Metropolitan Statistical Area.''
Traditional Civil Rights Organizations mean non-profit
organizations or institutions and/or private entities with a history
and primary mission of securing Federal civil rights protection for
groups and individuals protected under the Act or substantially
equivalent State or local laws and that are engaged in programs to
prevent or eliminate discriminatory housing practices.
Underserved Areas mean jurisdictions that contain large
concentrations of persons protected under the Act and where either no
public or private fair housing enforcement organizations exist or the
jurisdiction is not sufficiently served by one or more public or
private enforcement fair housing organizations.
Underserved Populations mean individuals who fall within one or
more of the categories protected under the Act and who are also: (1) Of
an immigrant population (especially racial and ethnic minorities who
are not English-speaking), (2) in rural populations, (3) among the
homeless, and (4) among persons with disabilities who can be
historically documented to have been subject to discriminatory
practices not having been the focus of Federal, State or local fair
housing enforcement efforts.
(B) Additional Requirements For Private Enforcement Initiative
(PEI) and Fair Housing Organizations Initiative (FHOI).
(1) Mandatory Referrals. You must refer to HUD all cases arising
from FHIP-funded enforcement activities. In all FHIP-funded cases where
you find a basis for filing a complaint on behalf of a bona fide
complainant other than your organization, you must file the complaint
with HUD unless the complainant refuses, in writing, to do so. In
addition to filing with HUD, a bona fide complainant may file in
Federal or State Court.
(2) Outreach Expenses. The funds awarded for enforcement grants may
be used for outreach and education activities (outreach activities) in
order to promote awareness of your project's services, as follows:
under FHOI, you may designate up to 10 percent of the requested funds
for outreach activities; under PEI, you may designate up to 5 percent
of the requested funds for outreach activities.
(3) Tester Requirements. Testers in your FHIP-funded testing
activities must not have prior felony convictions or convictions of
crimes involving fraud or perjury. All testers must receive training
acceptable to HUD or be experienced in testing procedures and
techniques. Testers and the organizations conducting tests, and the
employees and agents of these organizations may not:
(a) Have an economic interest in the outcome of the test; however,
testers retain their right to recover damages as provided by law;
(b) Be a relative related by adoption, blood, or marriage of any
party in a case;
(c) Have had any employment or other affiliation, within the past
year, with the person or organization to be tested; or
(d) Be a licensed competitor of the person or organization to be
tested in the listing, rental, sale, or financing of real estate.
(4) Review and Approval of Testing Methodology. If your Statement
of Work (SOW) proposes testing, other than rental testing, prior to
your carrying out the testing activities, HUD reserves the right to
require, as a product under the SOW, copies of the following documents
to be reviewed and approved by HUD prior to your carrying out the
testing activities:
(a) The testing methodology to be used, and
(b) The training materials to be provided to testers.
The testing methodology and training materials that you submit to
HUD for review and approval are for enforcement purposes and will
remain confidential.
(5) Conflict of Interest and Use of Settlement Funds
Certifications.
(a) You must certify that you will not solicit funds from or seek
to provide fair housing educational or other services or products for
compensation either directly or indirectly to any person or
organization that has been the subject of FHIP-funded testing by your
organization during the 12 month period following the test. This does
not preclude providing training or technical assistance that is court
ordered or contained in a negotiated settlement. HUD reserves the right
to negotiate with awardees additional provisions addressing potential
conflicts of interest.
(b) You must reimburse the United States for FHIP-funded activities
whenever you receive funds as the result of enforcement activities
funded in whole or in part by the FHIP program, including testing. You
must provide information about reimbursements and/or potential
reimbursements in a report that you submit to HUD (see Reports below).
To accomplish this, you must reimburse the United States for the FHIP-
funded activities in accordance with procedures set forth in your grant
or cooperative agreement. This reimbursement requirement does not apply
to compensation received as a result of a judgment in State or Federal
court. For example:
FHIP grant $15,000 ($10,000 which is for testing: 20 tests @ $500 each).
One test results in a $15,000 conciliation. Additional expenses paid
from non-FHIP funds: $100.
Amount of reimbursement to United States: $400.00
= $500 (Amt. of FHIP funds to conciliate) ..........
=============================================================
(6) Reports. You must provide reports in a format (which may be
computer-generated), at a frequency and with contents specified by HUD.
At a minimum, the report must include the number and basis of claims/
complaints filed with HUD, a FHAP agency, or in Federal/State court and
the number and terms of settlements or other outcomes achieved. In the
event HUD does not prescribe a format or frequency, you will provide a
narrative report within 90 days after all grant activities have ended.
You do not have to produce the terms of settlements that a court or
other tribunal orders be kept confidential. You will also be required
to provide status reports on case referrals you have made to HUD or a
FHAP agency. These reports are for enforcement purposes and will remain
confidential.
(7) Enforcement Log. You are required to record information about
the funded project in a case tracking log (or Fair Housing Enforcement
Log) in a format prescribed by HUD. Such information must include: the
number of complaints of possible discrimination you have received; the
protected basis of these complaints; the issue, test type, and number
of tests utilized in the investigation of each allegation; the
respondent type and testing results; the time for case processing,
including administrative or judicial proceedings; the cost of testing
activities and case processing; the entity to which the case was
referred; and the resolution and type of relief sought and received.
You must agree to make this log available to HUD. This log will be
considered confidential for enforcement purposes.
(C) Additional Requirements For Education and Outreach Initiative.
Complaint Referral Process: You must develop a process for referring
complaints to HUD. HUD expects this complaint referral process will
result in an increased number of referrals to HUD of credible,
legitimate fair housing
[[Page 11799]]
claims and other information regarding discriminatory practices.
(D) Additional Requirements For Fair Housing Organizations
Initiative. Sponsored organization's viability and fair housing
enforcement capacity. Over the duration of the grant, the sponsored
organization must demonstrate its capacity to become a viable, fair
housing enforcement organization that conducts fair housing-related
enforcement activities and leverages non-FHIP resources. These are the
performance measures that, if not met, may result in termination of the
grant, and your description for achieving these measures will be
considered when evaluating your application. We will look for this
description in your response to Rating Factor 3: Soundness of Approach.
Specifically:
(a) Fair Housing-related enforcement activities. The sponsored
organization must conduct all of these enforcement-related activities
by the conclusion of year 3 of the grant: complaint intake, complaint
investigation, testing for fair housing violations, and meritorious
claims. Your application must identify which activities the sponsored
organization will conduct at the end of the grant year 1, 2 and 3. Your
performance measures will be based upon this description, and failure
to meet them may result in termination of the grant.
(b) Organizational resources. The sponsored organization must not
rely exclusively on FHIP funding. At the conclusion of each grant year,
the sponsored organization must show increasing support from sources
other than what is awarded under this program. Specifically, at the
conclusion of year 1, no less than 5% of the funds supporting the
sponsored organization's fair housing enforcement-related activities
must be funded from non-FHIP funds; at the conclusion of year 2, no
less than 10% of the funds supporting the sponsored organization's fair
housing enforcement-related activities must be from non-FHIP funds; and
at the conclusion of year 3, no less than 20% of the funds supporting
the sponsored organization's fair housing enforcement-related
activities must be from non-FHIP funds. Your application must state how
you will meet these requirements. Your performance measures will be
based upon these requirements, and failure to meet them may result in
termination of the grant.
V. Application Selection Process
(A) Rating and Ranking. Your application for funding will be
evaluated competitively against all other applications submitted under
one of the following Initiatives or Components:
(1) Private Enforcement Initiative (PEI)
(2) Education and Outreach Initiative (EOI)-Regional/Local/
Community-Based Program:
a. General Component (EOI-GC)
b. Disability Component (EOI-DC)
(3) Fair Housing Organizations Initiative (FHOI)
All eligible applications will be reviewed and points awarded based
upon: (1) your narrative responses to the Factors for Award and (2)
bonus points, if entitled. The maximum number of points to be awarded
for the Factors for Award is 100. This SuperNOFA provides for the award
of up to two bonus points for eligible activities/projects located in
EZ/EC areas, if applicable. In addition, for applications submitted by
the City of Dallas, Texas, HUD may add up to 2 more points to the score
based on a special consideration from a court order as described in
Section III of the General Section of this SuperNOFA). Applications
with a score of seventy (70) points (bonus points are included in this
score) or more will be considered of sufficient quality for funding.
The Selecting Official will not select for award any application with a
score below seventy (70) points. Generally, applications of sufficient
quality for funding will be selected in rank order under each
Initiative or Component. HUD reserves the right to select applicants
out of rank order to achieve greater geographic distribution of awards
under each Initiative or Component, as described in Section V (C)
below. Selections under each Initiative or Component will continue to
be made until either all allocated funds have been obligated or until
no applications of sufficient quality remain.
(B) Tie Breaking. PEI and EOI-General Component. When two or more
applications have the same score, HUD will rank as higher the
application that lists one or more examples of the outreach it will
engage in to advise immigrant (especially racial and ethnic minorities
who are not English-speaking) and other underserved populations, as
defined in Section IV of this NOFA, of the services offered by the
project. If applying this procedure does not break the tie, the
application with the higher score under Rating Factor 3: Soundness of
Approach will be ranked higher. If Rating Factor 3 does not break the
tie, the application with the higher score under Rating Factor 1:
Capacity of the Applicant and Relevant Organizational Experience will
be ranked higher. If Rating Factor 1 does not break the tie, the
application requesting the lower FHIP funding will be ranked higher.
FHOI. When two or more applications have the same overall score,
the application with the higher score under Rating Factor 3: Soundness
of Approach will be ranked higher. If this does not break the tie, the
application with the higher score under Rating Factor 1: Capacity of
the Applicant and Relevant Organizational Experience will be ranked
higher. If this does not break the tie, the application requesting the
lower FHIP funding will be ranked higher.
(C) Achieving Geographic Diversity of Awards. HUD reserves the
right to select applications out of rank order to ensure that, to the
extent possible, applications from more states for each Initiative or
Component are selected for funding. If the Selecting Official exercises
this discretion, it shall be applied to all qualified applications
(applications of sufficient quality for funding `` applications that
received a score of 70 or more points) in each Initiative or Component
in which the Selecting Official applies geographic diversity. The
geographic diversity provision will be applied as follows: when there
are two or more applications of sufficient quality from the same state,
the application(s) with the lower score(s) will be moved to the end of
the qualified applicant queue. The applications moved to the end of the
qualified applicant queue will retain their rank order.
(D) Factors for Award Used to Evaluate and Rate All Applications.
The factors for rating and ranking applications and the maximum points
for each factor are provided below. Failure to provide the required
information under the appropriate Factor will result in a lower score
for that Factor--for example, information in the Project Abstract,
although useful for developing a project synopsis, is not considered in
the evaluation of applications.
Please respond fully to each Factor for Award and, when directed,
identify other sources in support of your response. The Factors for
Award are set out as follows:
In general. This section applies to all applicants. Your responses
to this and the In Addition section below must not exceed 10 pages per
factor.
In addition. This section identifies issues to which you must
respond, if required, by the particular Initiative or Component for
which you are applying.
Attachments. Where certain forms or documents are required for the
Initiative or Component under which you are applying, these
attachments, will not be
[[Page 11800]]
counted toward the 10-page limit on narrative responses for each
factor.
Rating Factor 1: Capacity of Applicant and Relevant Organizational
Experience (20 Points)
You must describe staff expertise and your organization's ability
to complete the proposed activities within the grant period. You must
also provide performance assessments conducted by your funding sources,
including HUD, that have been done of your organization's performance
of these activities. This performance assessment must be signed by or
attached to a transmittal signed by the authorized representative of
the funding source(s).
In General. HUD recognizes that, in carrying out the proposed
activities, you may have persons already on staff, plan to hire
additional staff, or rely on subcontractors or consultants to perform
specific tasks.
(a) (10 Points) Number and expertise of staff (this includes
subcontractors and consultants). You must show that you have
sufficient, qualified staff who will be available to complete the
proposed activities. Provide the following information for all staff
assigned to or hired for this project, not just key personnel (those
persons identified in attachments to Rating Factor 3: Soundness of
Approach):
(i) Identify, by name and/or title, all persons that will be
assigned to the project. You must describe the knowledge and experience
of the proposed overall project director and day-to-day program manager
in planning and managing large and complex interdisciplinary programs.
Indicate the percentage of time that key personnel will devote to your
project. To receive maximum points, your day-to-day program manager
must devote a minimum of 75% of his/her time to the project. You may
demonstrate capacity by thoroughly describing your prior experience in
fair housing. You should indicate how this prior experience will be
used in carrying out your proposed activities. Your application must
clearly identify those persons that are on staff at the time this
application is filed, and those persons who will be assigned at a later
date; describe each person's duties and responsibilities and their
expertise (including years of experience) to perform project tasks;
indicate whether the staff person is assigned to work full-time or
part-time (if part-time, indicate the percentage of time each person is
assigned to the project).
(ii) Attach resumes for all key personnel.
(iii) Describe the qualifications to be considered in the selection
of staff who will be assigned or hired at a later date, when you expect
they will begin working on the project (for example, 30 days from the
execution of the grant or cooperative agreement), and how project
activities will be carried out until then.
(iv) Describe the racial/ethnic diversity of project staff and the
applicant's governing board. If there is no diversity, please explain.
(b) (5 Points) Organizational experience. In responding to this
subfactor, you must show that your organization has either: (i)
conducted a past project or past projects identical or similar in scope
and complexity to the project proposed in this application (whether
FHIP-funded or not), or (ii) engaged in activities that, although not
identical or similar, are readily transferable to the proposed project.
Experience will be judged in terms of recent, relevant and successful
experience of your staff to undertake eligible activities. In rating
this factor, HUD will consider experience within the last 5 years to be
recent, experience pertaining to the specific activities to be
relevant, and experience producing specific accomplishments to be
successful. The more recent the experience and the more experience your
own staff members who work on the project have in successfully
conducting and completing similar activities, the greater the number of
points you will receive for this rating factor. If the applicant
organization has not engaged in projects similar to the scope and
activities proposed in the application, two (2) points will be
deducted.
In addition. If you are applying for funding under PEI or FHOI,
provide the following information when responding to this subfactor:
(i) Respond completely to all questions in the Statement of
Eligibility. For PEI, you must clearly state whether you are a QFHO or
an FHO. The requested information must establish that your organization
has engaged in each of the enforcement-related activities, for at least
one year (if you are an FHO) or two years (if you are a QFHO). For
FHOI, you must be a QFHO.
(ii) Describe the procedure you will use to ensure that testers
comply with the requirements in Section IV (B) (4) of this program
NOFA.
(iii) If you propose to conduct testing other than rental or
accessibility testing, document that, at a minimum, you have conducted
successful rental or accessibility testing. Provide a general
description of when and where the tests occurred, the entities tested,
and the overall results of the tests, including complaints filed and
the settlements or remedies secured.
FHOI. Provide a statement of organizational capacity and experience
of the sponsored organization.
In general.
(c) (5 Points) Performance on past project(s). You must describe
your organization's past performance record in the projects you cite in
the preceding sub-factor in support of your capacity and expertise to
perform the project for which you are seeking funding under this NOFA.
Include a description of the purpose of the past project and what was
accomplished. Attach a copy of the funding entity's performance
assessment/review of this project, whether FHIP-funded or not. If the
past project was HUD-funded, include a copy of the most recent SF 269A,
Financial Status Report.
--Indicate if complaints were filed with HUD or a FHAP agency, the
number of complaints that were filed [unless you received a prior PEI
or FHOI FHIP award (see (a)(i) below), this number will not be
considered when evaluating this response] and provide a status report
on the cases filed.
In addition.
(a) If you have received an FHOI or a PEI award under the FY 1998,
1999 or 2000 FHIP NOFA, you must:
(i) discuss your compliance with the mandatory referral requirement
of all cases arising from FHIP-funded activities requirement, as
described in those NOFAs. Three (3) points will be deducted for this
subfactor if you have not complied with the requirement.
(ii) discuss your compliance with the requirement to reimburse the
Federal government for compensation received from FHIP-funded
enforcement activities. If you have not reimbursed the Federal
government for such compensation, explain why you have not. Also, state
whether you reported to HUD any likely compensation that may result in
such reimbursement. One (1) point will be deducted for this sub-factor
if you have not complied with the requirement.
Attachments. All applicants must submit: Statement of Eligibility;
resumes of all key personnel; for those who have received funding for
other projects, a copy of the most recent performance assessment from
the funding source, if it was a HUD funded project, the most recent SF
269. In addition, FHOI, and PEI applicants must submit the Internal
Revenue Service's, Letter of Determination declaring your 501(c)(3)
status as a tax exempt organization.
Rating Factor 2: Need/Distress/Extent of the Problem (20 Points)
(a) (15 Points) Documentation of Need. You must describe the fair
[[Page 11801]]
housing need, its urgency and how your project is responsive to that
need. To justify the need for your project, you must describe the
following:
(1) The fair housing need, including:
(a) Geographic area to be served;
(b) Populations protected by the Act that will be served--your
project must serve all persons protected by the Act; and
(c) The presence of housing discrimination, segregation and/or
other indices of discrimination in the project area based upon race,
color, religion, sex, national origin, familial status, or disability
and submit data and studies that support this indication.
(2) The urgency of the identified need. For example:
(a) The consequences to persons protected by the Act if your
application is not selected for funding;
(b) Whether other fair housing public or private agencies or
organizations provide the services identified in your application;
(3) Other sources that support the need and urgency for this
project. For example, use reports, statistics, and other data sources
that are sound and reliable, including but not limited to, HUD or other
Federal, state or local government reports analyses, relevant economic
and/or demographic data, including those that show segregation,
foundation reports and studies, news articles, and other information
that relate to the identified need. Chapter V of the Fair Housing
Planning Guide, Vol. 1 has other suggestions for supporting
documentation. You may access the Guide from the HUD web at
``www.hud.gov.'' If the proposed activity is not covered under the
scope of the Consolidated Plan and Analysis of Impediments to Fair
Housing Choice (AI), you should so indicate, and use other sound data
sources to identify the level of need and the urgency in meeting the
need. If your application addresses needs that are identified in the
AI, you will receive more points than applicants that do not relate
their program to the identified needs. For you to receive maximum
points for this factor, there must be a direct relationship between
your proposed activities, community needs, and the purpose of the
program funding.
To the extent possible, the data you use should be specific to the
area where the proposed activity will be carried out. You should
document needs as they apply to the area where activities will be
targeted, rather than the entire locality or state. If the data
presented does not specifically represent your target area, you should
discuss why the target areas were proposed.
(4) The link between the need and your proposed activities:
(a) how the proposed activities augment or improve upon on-going
efforts by public and private agencies, organizations and institutions
in the target area, and/or why, in light of other on-going efforts, the
additional funding you are requesting is necessary.
In addition, with respect to (a) Documentation of Need, the
following apply to specific FHIP Initiatives or Components:
EOI-Disability Component. Your project must serve all persons
protected by the Act. However, your project may, in addition, focus on
the need to inform persons with disabilities, housing providers and the
public about the rights and obligations under the Act so that these
persons more fully appreciate the forms of housing discrimination that
those with disabilities may encounter.
PEI and EOI-General Component. If you intend to conduct outreach
and inform immigrant (especially racial and ethnic minorities who are
not English-speaking) and other underserved populations of the services
being offered by the project, please identify the underserved
population and list one or more examples of the outreach you will
conduct.
FHOI. HUD has targeted for funding under this Initiative, projects
that will provide fair housing enforcement services to rural areas or
to areas with large concentrations of individuals who fall within one
or more categories protected under the Act who are immigrants
(especially racial and ethnic minorities who are not English-speaking).
Although HUD has targeted these areas, you are still required to
justify the need for the sponsored organization by: (i) Demonstrating
the presence of housing discrimination, segregation and/or other
indices of discrimination in the project area based upon race, color,
religion, sex, national origin, familial status, or disability and
submit data and studies that support your claim; and (ii) explain why
the project area is underserved and why the proposed sponsored
organization is needed.
(b) (5 Points) Underserved Areas. Up to five points will be awarded
when the applicant and project area are not served by a State or local
FHAP agency. In instances where the applicant is located in an area not
served by a FHAP agency but the project activities are conducted in
various geographic areas, some that are not served by a State or local
FHAP agency, points will be awarded as follows:
5 points will be awarded if more than 80% of the activities are
conducted in areas not served by a State or local FHAP agency.
4 points will be awarded if more than 60% but less than 80% of the
activities are conducted in areas not served by a State or local FHAP
agency.
3 points will be awarded if more than 40% but less than 60% of the
activities are conducted in areas not served by a State or local FHAP
agency.
2 points will be awarded if more than 20% but less than 40% of the
activities are conducted in areas not served by a State or local FHAP
agency.
1 point will be awarded if less than 20% of the activities are
conducted in areas not served by a State or local FHAP agency.
You must indicate whether (a) you are located in an area that is
served by a State or local FHAP agency (see Appendix C for a list of
FHAP agencies); (b) the activities you propose will be conducted in a
project areas served by a State or local FHAP agency; and (c) explain
why the project area is underserved and/or why the proposed
organization or activity is needed.
Attachments. None required.
Rating Factor 3: Soundness of Approach (40 Points)
You must describe your project in detail, demonstrate how your
project activities will support HUD goals, propose suggested
performance measures/outcomes in support of these goals, and identify
current baseline conditions and target levels of the performance
measures that you plan to achieve. Also attach a Statement of Work
(SOW) and budget. Your proposed activities must support HUD's goal to
substantially increase the number of enforcement actions.
(5 Points) Describe Project. Describe in broad terms the design and
objectives of your project and your plan for accomplishing those
objectives. Please discuss the following:
(i) Project purpose.
(ii) Persons to be served.
(iii) Geographic area to be served.
(iv) Proposed activities and who will conduct these activities, you
or a subcontractor(s) or consultant(s).
(v) The methodology you will use to carryout these activities and
tasks.
Information Requirements. Your application must include a
description of the enforcement proposals to be referred to HUD to
increase enforcement actions. Your description must explain the
information you intend to collect and analyze, the type of complaints
you anticipate referring to HUD for enforcement purposes, and describe
the procedure you will implement for referring such complaints. If you
[[Page 11802]]
propose a testing program, you must explain how you plan to structure
the tests, train investigators, conduct investigations, etc. This
description should make clear the safeguards to be used to ensure that
complaints referred to HUD for enforcement action are fully
jurisdictional under the Act and supported by credible and legitimate
evidence that the Act has been violated. Describe the procedures you
will put in place to ensure that referrals of all complaints are sent
to HUD. Failure to provide this description will result in reduced
points for this subfactor.
In addition. If you apply under the:
EOI. Enforcement-related activities are not eligible for funding.
Describe how activities or final products can be used by other
organizations and agencies.
PEI/FHOI. You may conduct limited outreach activities (5% for PEI
and 10% for FHOI), as described in Section IV (B) (2). This must be
reflected clearly in your SOW and Budget. In general.
(b) (5 Points) Describe Budget and Financial Controls. HUD will
also assess the soundness of your approach by evaluating the quality,
thoroughness, and reasonableness of the budget and financial controls
of your organization, including information on your proposed program
cost categories. As part of your response, you must prepare a budget
that: (1) Is reasonable and cost-effective in achieving the goals
identified in your proposed SOW; (2) relates tasks in the SOW to the
proposed budget costs; (3) is cost-effective in achieving its
anticipated results, as well as in achieving significant impact on fair
housing; and (4) documents and justifies all cost categories in
accordance with the cost categories indicated in the Budget Narrative
Workplan that is discussed in more detail in (a) through (k) below:
Management of project over grant period.
Cost Effectiveness of Program. Discuss and provide supportive facts
concerning the extent to which your proposed program is cost effective
in achieving the anticipated results of the proposed activities. Also,
indicate how the proposed project will achieve a significant impact on
the community.
Financial Management Capacity. Identify and provide documentation
to support your organization's financial management system. In
addition, provide documentation about your capabilities in handling
financial resources and maintenance of an adequate accounting and
internal control procedures.
FHOI. Provide a statement of transfer of programmatic and
management responsibilities from the sponsoring to sponsored
organization by the end of grant year 3.
(c) (5 Points) Describe Support of HUD Goals. In addition. If you
are applying under the:
EOI. Describe the elements of the complaint referral process you
will develop as a task under this grant. Explain how the process will
result in an increased number of referrals to HUD of credible,
legitimate fair housing claims and other information regarding
discriminatory practices.
FHOI. Over the course of the grant, the sponsored organization must
conduct fair housing-related enforcement activities and leverage non-
FHIP resources. These are the performance measures that, if not met,
may result in termination of the grant, and your description for
achieving these measures will be considered when evaluating your
application. Specify:
1. Fair Housing related enforcement activity. The sponsored
organization must conduct all of these enforcement related activities
by the conclusion of year 3 of the grant: complaint intake, complaint
investigation, testing for fair housing violations, and meritorious
claims. Your application must identify which activities the sponsored
organization will conduct at the end of the grant year 1, 2 and 3. Your
performance measures will be based upon this description, and failure
to meet them may result in termination of the grant.
2. Organizational resources. The sponsored organization must not
rely exclusively on FHIP funding. Your application must show that at
the conclusion of each grant year, the sponsored organization is
leveraging non-FHIP resources. Specifically, at the conclusion of year
1, no less than 5% of the funds supporting the sponsored organization's
fair housing enforcement-related activities must be from non-FHIP
funds; year 2, no less than 10% of the funds supporting the sponsored
organization's fair housing enforcement related activities must be from
non-FHIP funds.
PEI/FHOI. Describe a procedure to ensure that referrals of all
complaints are made as required by this NOFA. Your description should
include safeguards to ensure that referred complaints are fully
jurisdictional under the Act and supported by credible and legitimate
evidence that the Act has been violated.
(d) (5 Points) Proposed Performance Measures and Products. Identify
and discuss the specific methods and measures you will use (in addition
to HUD reporting requirements) to measure progress, evaluate program
effectiveness, and identify program changes necessary to improve
performance. Describe how you will obtain, document and report the
information. The more descriptive and illustrative your plan is for
documenting and providing this information, the greater the number of
points you will receive. You should: identify current (baseline)
conditions and set appropriate target levels and milestones with
timelines for such performance measures and proposed products. FHIP
funded projects must address housing discrimination based upon race,
color, religion, sex, disability, familial status, or national origin.
Attachments.
(e) (10 Points) Proposed Statement of Work (SOW), and Financial
Management and Audits Information. The Statement of Work and budget are
attachments that will not count toward the 10-page limit on the
narrative response to this factor. However, points will be assigned
based on the quality and accuracy of the SOW and budget.
Statement of Work--Submit a proposed SOW that comprehensively
outlines in chronological order the administrative and program
activities and tasks to be performed during the grant period. Your
outline should identify all activities and tasks to be performed and by
whom (i.e., you or a sub-contractor), and the products that will be
provided to HUD and when. The tasks identified in the SOW should be
related to the proposed budget costs reflected in the budget.
(f) (10 Points) The Budget Form and the Budget Information--Non-
Construction Programs SF-424A, must show the total cost of the project
and indicate other sources of funds that will be used for the project.
While the costs are based only on estimates, the budget narrative work
plan must include information such as quotes obtained from various
vendors, or you may rely on historical data. Applicants must round all
budget items to the nearest dollar.
A written budget narrative must accompany the proposed budget. It
must explain and attach back-up documentation for each cost category.
Generally, estimated costs for high-cost items or subcontractors/
consultants should be supported by bids from at least three (3)
sources. Where there are travel costs for subcontractors/consultants,
you must show that local subcontractors/consultants are not available
and that the combined travel costs (per diem rates should be consistent
with Federal Travel Regulations) and rates and fees of the
[[Page 11803]]
out-of-town subcontractors/consultants do not exceed the rates and fees
charged by local subcontractors and consultants.
(a) Direct Labor--by position or individual, specify the estimated
hours per position, the rate per hour, estimated cost per staff
position and the total estimated direct labor costs;
(b) Fringe Benefits--by staff position, identify the rate, the
salary base on which the rate was computed, estimate the cost per
position, and the total estimated fringe benefits cost;
(c) Material Costs--indicate the item, unit costs per item, the
number of items to be purchased, estimated cost per item, and the total
estimated material costs;
(d) Transportation Costs--where use of a local private vehicle is
proposed, costs must indicate the proposed number of miles (travel
costs should be consistent with Federal Travel Regulations), rate per
mile of travel identified by item, and estimated total private vehicle
costs. Where air transportation is proposed, costs should identify the
destination(s), number of trips per destination, estimated air fare and
total estimated air transportation costs. If other transportation costs
are listed, you should identify the other method of transportation
selected, the number of trips to be made and destinations, the
estimated costs, and the total estimated costs for any other
transportation costs.
(e) Per diem--you must identify per diem or subsistence costs per
travel day, the number of travel days, and the estimated costs for per
diem/subsistence which should total estimated transportation costs. You
must use the Federal Travel Regulation for per diem rate for cities
listed under ``Transportation Costs'' in your costs estimates.
(f) Equipment charges--must identify the type of equipment,
quantity, unit costs and total estimated equipment costs;
(g) Consultant Costs--indicate the type, estimated number of
consultant days, rate per day, total estimated consultant costs per
consultant and total estimated costs for all consultants;
(h) Subcontract Costs--identify each proposed subcontract and
amount (each proposed subcontract must include a separate budget that
identifies proposed costs by cost categories). [In addition, your
project budget should include any costs related to subcontract(s) with
the FHAP agencies and disability advocacy and/or traditional civil
rights organizations that account for activities related to the
subcontractor's role in the project.] Your application must include a
separate detailed budget for each subcontract.
(i) Other Direct Costs--listed by item, quantity, unit costs, total
for each item listed, and total direct costs for the award; and
(j) Indirect Costs--should identify your approved indirect cost
rate base to which the rate applies and total indirect costs. If you do
not have an accepted, Federally negotiated indirect cost rate, you may
use direct cost for all of your program costs. Alternately, you may
develop a proposed indirect cost rate in accordance with Office of
Management and Budget (OMB) Circular A-122, Cost Principles and
Procedures for Non-Profit Organizations, and provide supportive
documentation on this calculation.
(k) Audit Information--You must submit a certification from an
Independent Public Accountant or your cognizant government auditor,
stating that the financial management system you employ meets
prescribed standards for fund control and accountability required by:
OMB Circular A-133, Audits of States, Local Governments and Non-Profit
Organizations; OMB Circular A-110 (as codified at 24 CFR part 84),
Uniform Administrative Requirements for Grants and Agreements With
Institutions of Higher Education, Hospitals, and other Non-Profit
Organizations; and/or OMB Circular A-102 (as codified at 24 CFR part
85) Uniform Administrative Requirements for Grants and Cooperative
Agreements to State, Local and Federally-Recognized Indian Tribal
Governments. This information must contain the name and telephone
number of the Independent Auditor, cognizant Federal auditor, or other
audit agency, as applicable.
Include All Tasks Shown On This Form
Statement of Work For __________
The applicant, __________, agrees to undertake the following
activities in accordance with its FY 2001 application for funding under
the __________ Initiative__________Component (if applicable) for a__-
month project commencing__________, 2001 in the geographic area of
__________. For FHOI, provide a timetable for transfer of activities/
responsibilities from the sponsoring to the sponsored organization.
--
--
--
--
--
Administrative Activities
----------------------------------------------------------------------------------------------------------------
Activities Tasks Submitted by Submitted to
----------------------------------------------------------------------------------------------------------------
1.............................. .................. ............................. GTR/GTM
2.............................. .................. ............................. GTR/GTM
3.............................. .................. ............................. GTR/GTM
4.............................. .................. ............................. GTR/GTM
5.............................. .................. ............................. GTR/GTM
6. Complete HUD-2880 Disclosure Submit Disclosure When changes occur........... GTR/GTM
Statements. Statement. If no
changes occur,
submit statement
of no change with
final report.
7. Complete SF-269A Financial Submit SF-269A and Quarterly.................... GTR/GTM
Status Report and Written Copy of Written
Quarterly Status Reports on Report.
All Activities.
8. Voucher for Payment......... Submit payment Per Payment Schedule......... GTR/GTM
request to LOCCS.
9. Complete Listing of Current Submit Listing for 45 Days and At end of Grant.. GTR/GTM
or Pending Grants/Contracts/ Recipient and any
Other Financial Agreeemnts. contractors.
10. Prepare summary of First Submit summary of 395 days..................... GTR/GTM
Year (24 month grants). first year
accomplishments.
[[Page 11804]]
11. Prepare and Submit Draft of Submit Draft of One month before end of grant GTR/GTM
Final Report. Report. Report term..
Summary should
include
objectives,
accomplishments
and results.
Complaint and
testing
activities should
summarize data on
complaints
received and
tests conducted
by basis and
issue and
outcomes
including Number
of credible,
legitimate
Complaints Filed
with HUD, State
or local Fair
Housing Agency,
Department of
Justice or
Private
Litigator; and
Types of Relief/
Results..
12. Complete Final Report and Submit a copy of Within 90 days after end of GTR/GTM
Provide Copies of All Final the Final Report grant term..
Products Not Previously and All Final
Submitted. Products not
previously
submitted to GTR
and GTM..
13. Submit 2 copies of Final Activities and Within 90 days after end of GTR/GTM
Report and all Final Program database entry grant term..
Products produced under the sheet(s) to HUD..
Grant (with diskette, where Copy of HUD
feasible) to HUD.. database entry
sheet(s) or
detailed
description of
items submitted
to GTR and GTM.
----------------------------------------------------------------------------------------------------------------
Key Personnel
Title Name
----------------------------------------------------------------------------------------------------------------
Activities Tasks Submitted by Submitted to
----------------------------------------------------------------------------------------------------------------
1. Contact HUD and/or other List of materials 90 days...................... GTR/GTM. Submit one copy of
information sources to obtain requested. all final products to HUD
any appropriate materials
prior to development of new
materials.
2. Review/refine referral Copy of Referral 45 days...................... GTR/GTM
process to refer potential Process. All
victims to HUD, DOJ, a state audit-based
or local agency, or a private enforcement
attorney. actions should be
referred to HUD.
3. Intake and process Submit copy of Quarterly.................... GTR/GTM
complaints, including testing Enforcement Log
and referral. Complete and a Report on
Enforcement Log which details number of
complaints received; dates; enforcement
the protected basis of these proposals
complaints; the issue, test referred to HUD.
type, and number of tests
utilized in the investigation
of each allegation; the
respondent type and testing
results; the time for case
processing, including
administrative or judicial
proceedings; the cost of
testing activities and case
processing; to whom the case
was referred; and resolution/
type of relief sought and
received. (PEI and FHOI
PROJECTS ONLY).
4. Non-rental Testing Submit testing 60 days...................... GTR/GTM
methodology and tester methodology and
training must be received/ tester training
approved by HUD. to HUD for review
and approval.
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
GTR/GTM
----------------------------------------------------------------------------------------------------------------
If you have a Federally negotiated indirect rate, you should use
that rate as the appropriate base in this section. In all other
instances, you should include your current overhead rate, if any, which
has been tailored to your organization's operating budget. The rate and
base used here is illustrative only.
Budget Narrative Workplan Format
Name of Organization: ____________________ Budget Period: ________ months
----------------------------------------------------------------------------------------------------------------
Estimated Estimated
Position or individual hours Rate per hour cost Federal cost In-kind cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
[[Page 11805]]
$ $ $ $
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Total direct labor........ $ $ $
----------------------------------------------------------------------------------------------------------------
Fringe benefits Rate Base Estimated Federal In-kind
cost cost cost
----------------------------------------------------------------------------------------------------------------
F.I.C.A....................... $ $ $ $
Unemployment Insurance \1\.... $ $ $ $
Health Insurance \2\.......... $ $ $ $
Workers Compensation \1\...... $ $ $ $
---------------------------------------------------------------------------------
Total fringe benefits..... $ $ $
----------------------------------------------------------------------------------------------------------------
Materials Quality Unit Estimated Federal In-kind
cost cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
$ $ $ $
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Total materials........... $ $* $
----------------------------------------------------------------------------------------------------------------
Local travel Mileage/fare Rate/mile Estimated Federal In-kind
cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Subtotal local travel..... $ $ $
----------------------------------------------------------------------------------------------------------------
* Materials/Equipment prices must be supported by vouchers/cash register receipts of same or similar item or
lease quotes from vendor at time of budget negotiation.
\1\ Rates may vary by State.
\2\ Rates may vary by organization.
----------------------------------------------------------------------------------------------------------------
Number of Estimated
Air travel destination travelers Roundtrip fare cost Federal cost In-kind cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $ $
---------------------------------------------------------------------------------
Subtotal air travel....... $ $ $
----------------------------------------------------------------------------------------------------------------
Other travel items Quantity Unit Estimated Federal In-kind
cost cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Subtotal other travel..... $ $ $
----------------------------------------------------------------------------------------------------------------
Per diem subsistence Number of Number of days/ Estimated Federal In-kind
travelers rate per day cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
---------------------------------------------------------------------------------
Per diem subsistence.......... $ $ $
Total travel.............. $ $* $
----------------------------------------------------------------------------------------------------------------
Equipment Quantity Unit Estimated Federal In-kind
cost cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Total equipment costs..... $ $** $
----------------------------------------------------------------------------------------------------------------
[[Page 11806]]
Consultants Days Rate per day Estimated Federal In-kind
cost cost cost
----------------------------------------------------------------------------------------------------------------
$ $ $ $
$ $ $ $
$ $ $ $
$ $ $ $
$ $ $ $
---------------------------------------------------------------------------------
Total consultants......... $ $*** $
----------------------------------------------------------------------------------------------------------------
* All travel must be grant related and rates cannot exceed the Federal rate.
** Lease/purchase of equipment must be supported by three quotes at time of budget negotiation.
*** Daily rate cannot exceed $406 per day unless waiver is obtained from Grant Officer.
----------------------------------------------------------------------------------------------------------------
Estimated
Subcontracts Rate/service Quantity cost Federal cost In-kind cost
----------------------------------------------------------------------------------------------------------------
............... ............... $ $ $
---------------------------------------------------------------------------------
Total subcontracts........ $ $* $
----------------------------------------------------------------------------------------------------------------
Other direct Quantity Unit Estimated Federal In-kind
cost cost cost cost
----------------------------------------------------------------------------------------------------------------
............... $ $ $ $
............... $ $ $ $
............... $ $ $ $
............... $ $ $ $
---------------------------------------------------------------------------------
Total other direct........ $ $ $
----------------------------------------------------------------------------------------------------------------
Indirect Rate Base Estimated Federal In-kind
cost cost cost
----------------------------------------------------------------------------------------------------------------
** ............... $ $ $
---------------------------------------------------------------------------------
Total indirect............ $ $ $
----------------------------------------------------------------------------------------------------------------
Total estimated cost Total federal Total in-kind
cost cost
---------------------------------------------------------------------------------
Total costs............... $ $ $
Amount to enter on Form $ $ $
424 funding matrix.
----------------------------------------------------------------------------------------------------------------
* When individual subcontract fees exceed 10% of your grant amount, an itemized budget is required.
** If you have a Federally negotiated indirect rate, you should use that rate as the appropriate base in this
section. In all other instances, you should include your current overhead rate, if any, which has been
tailored to your organization's operating budget. The rate and base used here is illustrative only.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure additional community
resources to support your project. Points will be awarded on the basis
of the percentage of non-FHIP resources you have identified and how
firm the commitment is for those resources.
(10 Points) Firm Commitment of Leveraging. HUD encourages you to
secure resources from sources other than what is requested from this
program. Community resources may include funding or in-kind
contributions, such as work space or services or equipment, allocated
to the purpose(s) of your proposal. Resources may be provided by
governmental entities (including other HUD programs), public or private
non-profit organizations, for-profit private organizations, or other
entities willing to work with you. In order to secure points you must
establish leveraging of community resources by providing letters of
firm commitment from the organizations and/or individuals who will
support your project. Each letter of firm commitment must: (i) Identify
the organization and/or individual committing resources to the project,
(ii) identify the sources and amounts of the leveraged resources (the
total FHIP and non-FHIP amounts must match those in your proposed
budget submitted under Factor 3), and (iii) describe how these
resources will be used as part of your SOW. The letter must be signed
by the individual or organization official legally able to make
commitments for the organization. If the resources are in-kind or
donated goods, the commitment letter must indicate the dollar value of
those resources. No points will be awarded for general letters of
support endorsing the project from organizations and/or individuals
(including elected officials) in your community. The commitment is firm
if the offerer conditions it on the making of an award under this
program NOFA.
If your project will not be supported by non-FHIP resources, then
you will not receive any points under this factor. Points will be
assigned based on the following scale:
Two points will be awarded if your project will be supported by
non-FHIP funds, but those funds are less than 5%
[[Page 11807]]
of the project's total costs are from non-FHIP funds.
Four points will be awarded if more than 5%, but less than 10% of
the project's total costs are from non-FHIP funds.
Six points will be awarded if more than 10% but less than 20% of
the project's total costs are from non-FHIP funds.
Eight points will be awarded if more than 20% but less than 30% of
the project's total costs are from non-FHIP funds.
Ten points will be awarded if more than 30% of the project's total
costs are from non-FHIP funds.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinate your
activities with other organizations in the project area, participate or
promote participation in the project area's Consolidated Planning
process (including Analysis of Impediments to Fair Housing Choice), and
create linkages with other activities in the community. In other words,
to what extent are you working with others to address community needs
in your project area. In evaluating this factor, HUD will consider the
extent to which you demonstrate:
(a) (5 points) How your proposed activities are linked to and
coordinated with activities of other organizations in the target
community. This includes a discussion of how FHIP-funded activities
will augment and improve on-going efforts by public and private
agencies, organizations, and institutions in the target area. Describe
in your proposal how your project activities will be coordinated with
organizations in your project area, and linked with:
(i) Other proposed or on-going HUD-funded program activities;
(ii) Other proposed or on-going State, Federal, local or privately-
funded activities which, taken as a whole, support and sustain a
comprehensive system to address the purpose of these programs; and
(iii) Other activities undertaken to address barriers to housing
choice identified in the Consolidated Plan's Analysis of Impediments to
Fair Housing Choice.
In addition, describe how you will participate in, and/or promote
participation in the project area's Consolidated Planning process.
(b) (5 points) Outreach activities to promote awareness of project
activities. This includes (i) a discussion of how your methods or
approaches will ensure that project activities and materials are made
available to local groups and organizations, (ii) identification of
such groups and organizations in your project area, and (iii) an
explanation of how your project will promote coordination with various
groups or organizations in your project area. At a minimum, your
application should discuss procedures you will use to promote awareness
of the services provided by your proposal.
(F) Applicant Notification and Award Procedures.
(1) Notification. No information will be available to you during
the period of HUD evaluation, which begins on the closing date of this
program NOFA and lasts approximately 90 days thereafter, except to
advise you, in writing or by telephone, if HUD determines that your
application is ineligible or has technical deficiencies which may be
corrected as described in Section V of the General Section of the
SuperNOFA. Selections will be announced by HUD when the evaluation and
selection process is completed. HUD will also advise applicants who
were not selected of the scores they received. HUD will not release the
names of applicants or their scores to third parties. Selections do not
become final until final negotiations with HUD are successfully
concluded.
(2) Negotiations. If you are selected, HUD will require you to
participate in negotiations to determine the specific terms of your
cooperative or grant agreement. HUD will follow the negotiation
procedures described at Section III of the General Section of the
SuperNOFA. The selection is conditional and does not become final until
the negotiations between the applicant and the Department are
successfully concluded and the grant or cooperative agreement is
executed. HUD will negotiate only with the person identified in the
application as the Director of the organization or if specifically
identified in the application, the Project Director. HUD will not
negotiate with any third party (i.e, a subcontractor, etc.)
(3) Funding Instrument. HUD expects to award a cost reimbursable or
fixed-price cooperative or grant agreement to each applicant selected
for award. Upon completion of negotiations, HUD reserves the right to
use the funding instrument it determines is most appropriate.
(4) Adjustments to Grant Amounts. As provided in Section III of the
General Section of the SuperNOFA, HUD may approve an application for an
amount lower than the amount requested, fund only portions of your
application, withhold funds after approval, and/or require that special
conditions be added to your grant agreement, in accordance with 24 CFR
84.14, the requirements of this SuperNOFA, or where:
(a) HUD determines the amount requested for one or more eligible
activities is unreasonable or unnecessary;
(b) An ineligible activity is proposed in an otherwise eligible
project;
(c) Insufficient amounts remain to fund the full amount requested
in the application, and HUD determines that partial funding is a viable
option;
(d) The past record of key personnel warrants special conditions,
or
(e) The Selecting Official determines it is in the best interests
of the Program.
(5) Performance Sanctions. A grantee or subcontractor failing to
comply with the procedures set forth in its grant agreement will be
liable for such sanctions as may be authorized by law, including
repayment of improperly used funds, termination of further
participation in the FHIP, and denial of further participation in
programs of HUD or any Federal agency.
VI. Application Submission Requirements
In addition to the forms, certifications and assurances required of
applicants to all HUD programs, which can be found at Section II of the
General Section of the SuperNOFA, you must submit with each FHIP
application, the forms, certifications and assurances described below
and found at Appendix B.
In general.
When applying under any Initiative or Component you must submit the
following:
(A) Transmittal Letter. Your transmittal letter must identify: (1)
The dollar amount requested, (2) the specific FHIP Initiative, or in
the case of EOI, the specific Component (General or Disability), for
which you are applying, and (3) your preference for selection, if you
are applying to more than one Initiative or Component.
(B) Narrative Statement. Respond completely to each of the five
Factors for Award. Failure to provide the required information in the
appropriate Factor will result in a lower score for that Factor--for
example, information in the Project Abstract, although useful for
developing a project synopsis, will not be considered when evaluating
applications. The narrative responses must not exceed 10 pages per
factor (required attachments are not counted); text must be double-
spaced and pages numbered consecutively (starting with Factor 1 through
the end of Factor 5). Please use Courier 12 as the typeface or font for
your narrative responses.
Listed below are requirements by Factor:
[[Page 11808]]
Award Factor 1: Capacity of Applicant and Relevant Organizational
Experience--Statement of Eligibility; Performance Assessments/
Evaluation of Past Projects, and if HUD funded, the SF 269a, PEI and
FHOI Applicants:
(1) Testing Experience. You must document your prior testing
experience (see Factor 1: Capacity of the Applicant and Relevant
Organizational Experience), and
(2) Letter of Determination from IRS of your 501(c)(3) tax-exempt
status.
Award Factor 2: Need/Distress/Extent of the Problem.
Submit data and studies that indicate the presence of housing
discrimination, segregation and/or other indices of discrimination in
the project area based upon race, color, religion, sex, national
origin, familial status or disability, and explain why the project area
is underserved and why the proposed organization is needed.
Award Factor 3: Soundness of Approach--Statement of Work, Budget
Form(s), Budget Narrative. You must submit a certification from an
Independent Public Accountant or your cognizant government auditor on
your financial management and audit information. In addition, you must
describe the information you intend to collect and analyze, the type of
complaints you anticipate referring to HUD for enforcement purposes,
and describe the procedure you will implement for referring such
complaints.
In addition:
Depending upon the Initiative or Component for which you are
seeking funding, you must respond to the following points in your
narrative responses:
(C) EOI Applicants:
(1) You must describe the elements you will use to develop the
process for referring fair housing complaints to HUD.
(D) FHOI Applicants
(1) The sponsored organization must conduct all of these
enforcement-related activities by the conclusion of year 3 of the
grant: complaint intake, complaint investigation, testing for fair
housing violations, and meritorious claims. The application must
specify which activities will be conducted in year 1, year 2, and year
3. Even though HUD has targeted for award projects that assist rural
and immigrant populations, you must explain why the proposed fair
housing enforcement organization is needed.
(2) Performance Measures. You must address the following:
(a) The sponsored organization's capacity to become a viable, fair
housing enforcement organization that conducts fair housing related
enforcement activities and leverages non-FHIP resources.
(b) That the sponsored organization will meet the required
performance measures for sponsored organizations and how these measures
will be achieved.
Award Factor 4: Leveraging Resources--Letter(s) of Firm Commitment.
Award Factor 5: Comprehensiveness and Coordination--No Attachments
Required.
VII. Corrections to Deficient Applications
Section V of the General Section of the SuperNOFA provides the
procedures for corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(3), (4), (9), (12), and (13) of
HUD regulations, activities assisted under this program are
categorically excluded from the requirements of the National
Environmental Policy Act and are not subject to environmental review
under related laws and authorities.
IX. Authority
Section 561 of the Housing and Community Development Act of 1987,
as amended, (42 U.S.C. 3616) established the Fair Housing Initiatives
Program (FHIP)) and the implementing regulations are found at 24 CFR
part 125.
Appendix A--Frequently Asked Questions
Q. In previous years, FHIP applicants were not required to
submit the Certification of Consistency with the Consolidated Plan,
is the Certification required this year?
A. Yes.
Q. Where can I find a copy of the Application Kit?
A. There will be no Application Kit for the FY2001 FHIP
SuperNOFA. The NOFA more clearly describes the requirements for
completing a successful application and all forms and certifications
needed to complete the application are included in the General and
FHIP Sections of the SuperNOFA.
Q. What are the maximum number of narrative pages that can be
submitted for each Rating Factor?
A. The maximum number is 10 pages per factor. This does not
include any attachments that may be required under each factor (for
example, the proposed statement of work and budget required under
Factor 3: Soundness of Approach). The narrative pages must be double
spaced and you are encouraged to use Courier 12 font or typeface.
Q. The FHIP SuperNOFA refers to QFHOs and FHOs. What is the
difference between them?
A. These terms are defined in the FHIP regulations. Both
organizations must be organized as private, tax-exempt, charitable
organizations, that have engaged in enforcement-related activities.
The amount of enforcement-related experience is an eligibiliity
requirement for PEI, least one year for and FHOI, at least two
years. (See 24 CFR 125.103, for a QFHO; and 24 CFR 125.401(b)(2) for
an FHO.)
Applicants to PEI and FHOI are required to complete the
Statement of Eligibility--where they self-identify as a QFHO or an
FHO and provide information, including dates of your enforcement-
related activities. The information you provide should enable HUD to
determine if your organization meets at least one or two year
enforcement-related experience requirement. Your application will be
declared ineligible, if you fail to submit the completed Statement
of Eligibility with your application.
Q. May an applicant subcontract out a percentage of its
activities to subcontactors or consultants, if it is selected for an
FHIP award?
A. Yes. However, when the fees to a particular subcontractor or
consultant exceed 10% of the grant amount, an itemized budget is
required.
Q. Is an organization ``engaged in testing for fair housing
violations'' if it hires a subcontractor or consultant to conduct
its testing program?
A. Yes, so long as the applicant analyzes the test results.
Q. Does the SuperNOFA identify what makes an application
ineligible?
A. Yes. See the eligibility requirements for each Initiative and
Section IV(B)(14) and (15) of the FHIP SuperNOFA.
Q. Are there major differences between this year's SuperNOFA and
last year's?
A. Yes, those differences are explained in Section III of the
FHIP NOFA. The differences are: (1) Fewer components; (2) Uniform
Project Duration and Award Caps; (3) Redesign of FHOI; (4) Changes
to Rating system; (5) Changes to Selection Process; (6) No
Applicaiton Kit; and (7) No EOI-National Program NOFA.
Q. At what point may an FHOI ``sponsored organization'' apply
under any FHIP Initiative?
A. A sponsored organization is eligible after three (3) years to
apply for funds under EOI and, depending upon its record of
conducting enforcement-related activities, may be eligible to apply
for funds under PEI.
Q. What are award caps?
A. An award cap is the maximum amount that will be awarded under
the Initiative for which you are applying. If you request an amount
over this maximum amount, your application will be declared
ineligible.
Q. Where do you send completed applications?
A. All completed applications must be received by the FHIP
Office in Washington, DC. These applications should be mailed to the
address stated in the SuperNOFA under the Section Address for
Submitting Applications.
Q. What is the best method of knowing that the appropriate
person has received my application? Should I follow up with a call?
[[Page 11809]]
A. Include with your completed application a complete copy of
the Acknowledgment of Application Receipt. Be sure to include your
correct mailing address and the person to whom the Acknowledgment
should be sent. HUD will not acknowledge the receipt of applications
over the telephone.
Q. What is the website address?
A. Http//www.hud.gov/grants.
Q. What is the due date?
A. The due date is outlined in the SuperNOFA under Section I,
Application Due Date.
Q. If I have a technical question, can I call HUD?
A. Yes, technical questions should be directed to Myron P. Newry
of the [FHIP/FHAP Support Division, at (202) 708-0800 (this is not a
toll-free number).] Persons with hearing or speech impairments may
call 1-800-290-1617 (this is a toll-free number).
Q. What is meant by geographic diversity?
A. In order to ensure a wider distribution of FHIP funding, the
Assistant Secretary may apply the geographic diversity procedure to
select qualified applicants out of rank order. It applies only when
more than one qualified organization is in the same State, i.e.,
when more than one qualified organization is in the same State, the
selecting official may select the highest ranked among them and the
other(s) is moved to the bottom of the qualified applicant queue. If
sufficient funds remain, it is possible that applications moved to
the end of the queue may be selected for award.
Appendices B and C
Forms that must be filed with all FHIP applications, in addition
to the forms found at Section III of the General Section of the
SuperNOFA and the list of HUD offices and FHAP agencies are in
Appendices B and C that follow:
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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[[Page 11843]]
FUNDING AVAILABILITY FOR THE HOUSING COUNSELING PROGRAM
Program Overview
Purpose of the Program. The purpose of this program is to provide
comprehensive housing counseling through national, regional, multi-
state housing counseling agencies, State housing finance agencies, and
local HUD-approved housing counseling agencies. Counseling assists
homebuyers, homeowners, and tenants to meet their housing needs and
resolve their housing problems.
Available Funds. Approximately $17.55 million.
Eligible Applicants. (1) HUD-approved national, regional, or multi-
state intermediaries; (2) HUD-approved local housing counseling
agencies; and (3) State housing finance agencies.
Application Deadline. May 3, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Further Information, and Technical
Assistance
Application Due Date. If you are a Local Housing Counseling Agency
or a State Housing Finance Agency you must submit to the Homeownership
Center designated below, and the HOC must receive, a completed
application on or before 6:00 pm, local time, May 3, 2001.
If you are a National, Regional or Multi-State Housing Counseling
Intermediary, you must submit a completed application on or before
12:00 midnight, Eastern time, on May 3, 2001, to the HUD Headquarters
Office designated below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Addresses for Submitting Applications. If you are a Local Housing
Counseling Agency or State Housing Finance Agency, your completed
application consists of an original and two copies. Send your completed
application to the respective HUD Homeownership Center (HOC) having
jurisdiction over the locality, area or State in which your proposed
program is located. Your application should be sent to the attention of
the Program Support Division Director, and the envelope should be
clearly marked ``FY 2001 Housing Counseling Grant Application.'' A list
of the HUD Homeownership Centers, including their field office and
State jurisdictions, and the Program Support Division Directors appears
below.
------------------------------------------------------------------------
Homeownership center Field office States
------------------------------------------------------------------------
U.S. Department of HUD--
Detroit Office
Mr. John Niebieszczanski, Albany, Baltimore, Connecticut,
Patrick V. McNamara Bangor, Boston, Delaware, District
Building, SF Program Buffalo, of Columbia, Maine,
Support Branch 4, 477 Burlington, Camden, Maryland,
Michigan Ave. Rm. 1600, Charleston, Massachusetts,
Detroit, MI 48226. For Cincinnati, Michigan, New
technical questions Cleveland, Hampshire, New
Contact: Robert Wright Columbus, Detroit, Jersey, New York,
(215) 656-0527 x3406. Flint, Grand Ohio, Pennsylvania,
Rapids, Hartford, Rhode Island,
Manchester, New Vermont, Virginia,
York, Newark, West Virginia.
Philadelphia,
Pittsburgh,
Providence,
Richmond,
Washington, DC,
Wilmington.
Atlanta Homeownership Center
Ms. Gayle Knowlson, 40 Atlanta, Birmingham, Alabama, Puerto
Marietta Street, 8th Floor, Caribbean, Chicago Rico, Florida,
Atlanta, GA 30303-2806. and Springfield, Georgia, Illinois,
Contact: Fellece Sawyer- Columbia, Coral Indiana, Kentucky,
Coleman (404) 331-5001, Gables, Greensboro, Mississippi, North
x2675. Indianapolis, Carolina, South
Jackson, Carolina,
Jacksonville, Tennessee.
Knoxville,
Louisville,
Memphis, Nashville,
Orlando, Tampa.
Denver Homeownership Center
Ms. Dawn Davis, Wells Fargo Albuquerque, Denver Arkansas, Colorado,
Building, 633 17th Street, (Casper, Fargo, Iowa, Kansas,
Denver, CO 80202-3607. Sioux Falls), Louisiana,
Contact: Irma Devich (303) Dallas, Des Moines, Minnesota,
672-5216 x1980. Denver, Fort Worth, Missouri, Montana,
Helena, Houston, Nebraska, New
Kansas City, Little Mexico, North
Rock, Lubbock, Dakota, Oklahoma,
Milwaukee, South Dakota,
Minneapolis, New Texas, Utah,
Orleans, Oklahoma Wisconsin, Wyoming.
City, Omaha, Salt
Lake City, San
Antonio,
Shreveport, St.
Louis, Tulsa.
Santa Ana Homeownership
Center
Mr. Jerrold Mayer, 1600 N. Anchorage, Boise, Alaska, Arizona,
Broadway, Suite 100, Santa Fresno, Honolulu, California, Hawaii,
Ana, CA 92706-3927. Las Vegas, Los Oregon, Idaho,
Contact: Rhonda J. Rivera, Angeles, Phoenix, Nevada, Washington.
Chief 1-888-827-5605 (714) Portland, Reno
796-1200 x3210. Sacramento, San
Diego, San
Francisco, Santa
Ana, Seattle,
Spokane, Tucson.
------------------------------------------------------------------------
If you are a National, Regional or Multi-State Housing Counseling
Intermediary, your completed application also consists of an original
and two copies. Submit your completed application to Director, Program
Support Division, Office of Single Family Housing, HUD Headquarters,
451 Seventh Street, S.W., Washington, DC 20410, Room 9166. The envelope
should be clearly marked, ``FY 2001 Intermediary Application.:
Application Kits. Application kits will not be used this year.
For Further Information and Technical Assistance. If you are a
local housing counseling agency or State housing finance agency, you
may call the HUD Homeownership Center serving your area. If you are a
national, regional, or multi-state intermediary, you may call HUD
Headquarters, Program Support Division at (202) 708-0317 (this is not a
toll-free number). Persons with hearing or speech impairments may
access this number via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339. Please see above for a list of offices
and telephone numbers you can call to receive assistance. Before the
application deadline, HUD staff will be available to provide general
guidance.
Satellite Broadcast. HUD will hold an informational broadcast via
satellite for potential applicants to learn more about
[[Page 11844]]
the program and preparation of the application. For more information
about the date and time of the broadcast, you should consult the HUD
web site at http://www.hud.gov.
New data collection and performance measurement system. To improve
HUD's ability to measure performance and target resources to the most
effective housing counseling programs, HUD is undertaking an effort to
modify both the Housing Counseling Handbook and the associated 9902
form, our primary data collection instrument. HUD plans to gather
quantitative information (to supplement the qualitative and anecdotal
information already collected) to measure the performance of each
housing counseling program. To ensure that our modifications to the
data collection instrument are most effective, however, we would like
to hear from you, the potential grantees. If you would like to offer
any suggestions or recommendations on how best to measure and assess
the impact and outcomes of housing counseling services, please send
your comments to Director, Program Support Division, Office of Single
Family Housing, HUD Headquarters, Room 9166, 451 Seventh Street, SW,
Washington, DC, 20410.
II. Amount Allocated
Under this SuperNOFA, approximately $17.55 million of the $20
million appropriated is made available for eligible applicants. An
allocation of up to $1.8 million of the $20 million total in program
funding has been set aside for Housing Counseling support which may
include continuation of the Housing Counseling Clearinghouse, tuition
assistance for housing counselors, and/or other HUD counseling
initiatives and activities. An allocation of up to $500,000 of the $20
million appropriated is available for the Home Equity Conversion
Mortgage (HECM) Program, as provided in section 255(k) of the National
Housing Act (12 U.S.C. 1715z-20). An allocation up to $150,000 is
available to assist HUD's Office of Public and Indian Housing with
housing counseling support in the Native American Programs.
Local housing counseling agencies, State housing finance agencies,
and national, regional and multi-state intermediaries may apply for and
receive a grant only under one of the three categories described below.
Affiliates and branches of State housing finance agencies or national,
regional and multi-state intermediaries that are not HUD-approved can
apply for a subgrant under either Category 2 or 3, but not both. (The
term ``affiliate'' or ``affiliates'' includes the term ``branch'' or
``branches'' of the affiliate unless otherwise stated.) A HUD-approved
local housing counseling agency applying as an affiliate for a subgrant
under either Category 2 or 3 cannot apply directly to HUD for separate
funding. Only one source of HUD funds is permissible under any of the
three categories or within Category 2 or Category 3. For example, an
organization affiliated with two or more intermediaries can only apply
to one intermediary for a housing counseling subgrant. Another example
is an organization affiliated with an intermediary and a State housing
finance agency. This organization can apply to either the intermediary
or the State housing finance agency for a housing counseling subgrant
but not both.
In situations where an applicant submitted an application under two
or more categories or submitted an application to two or more
intermediaries within Categories 2 or 3, a decision must be made by the
applicant to affirm one funding source. If two or more applications
were submitted then the applicant must select one category or one
intermediary within Categories 2 or 3, under which to apply and must
withdraw all other applications. If two or more grants were awarded
then one grant source must be selected and all others forfeited.
III. Applicant Categories
The amount of funds available for allocation are set forth below in
three competing categories. Applicants must submit an application under
the specific category for which they are eligible to apply for a grant.
(A) Category 1--Local Housing Counseling Agencies (LHCA).
Approximately $6.6 million has been made available for grants to local
HUD-approved housing counseling agencies. Funding is allocated to each
HUD field office jurisdiction by a formula that reflects the increased
emphasis on the expansion of homeownership opportunities for first-time
homebuyers and HUD's intent to ensure appropriate geographical
distribution of program funds. For FY 2001, no individual local housing
counseling agency may be awarded more than $100,000.
A local HUD-approved housing counseling agency may apply for a
grant to HUD, or a subgrant to a state housing finance agency, as an
affiliate, or a subgrant to a national, regional, and multi-state
intermediary as an affiliate. However, the local HUD-approved housing
counseling agency can apply for only one grant or subgrant under any of
the three categories or within Category 2 or 3.
There will be no suballocations for field office jurisdictions this
year. Allocations for use in local agency programs by HUD Homeownership
Centers are as follows:
------------------------------------------------------------------------
------------------------------------------------------------------------
Philadelphia HOC........................................... 1,861,698
Atlanta HOC................................................ 1,924,468
Denver HOC................................................. 1,469,281
Santa Ana.................................................. 1,344,553
------------------------------------------------------------------------
(B) Category 2--National, Regional, and Multi-State Intermediaries.
Approximately $9.95 million is being set aside to fund HUD-approved
national, regional and multi-state intermediaries that apply for
funding under this SuperNOFA. Awards for HUD-approved housing
counseling intermediaries may not exceed $1.2 million, except for
regional intermediaries, whose awards may not exceed $250,000.
A national, regional or multi-state intermediary may provide a
subgrant to an affiliate, but not to an affiliate that applies directly
to HUD, a State housing finance agency, or another intermediary in
Category 2.
(C) Category 3--State Housing Finance Agencies (SHFA).
Approximately $1 million is being set aside to fund State housing
finance agencies that have a role as a housing counseling agency and/or
as an intermediary to affiliates, offering housing counseling services.
(State housing finance agencies are defined in 24 CFR 266.5 under the
definition of ``housing finance agency''). The amount of funding
available to each of the four HUD Homeownership Center jurisdictions is
as follows:
------------------------------------------------------------------------
Funding
Homeownership center allocation
------------------------------------------------------------------------
Atlanta, GA............................................. $254,285
Denver, CO.............................................. 254,285
Philadelphia, PA........................................ 267,145
Santa Ana, CA........................................... 224,285
---------------
Total............................................... $1,000,000
------------------------------------------------------------------------
There is no cap on the award amount that a State housing finance
agency, or its affiliates, may receive, but HUD will take into
consideration prior usage of grant funds as stated in Factor 1. A State
housing finance agency may provide a subgrant to an affiliate, but not
to an affiliate that applies to HUD or a national, regional, and multi-
state intermediary or another State housing finance agency.
[[Page 11845]]
IV. Funding Policies
(A) Remaining and Deobligated Funds/Reallocations. If funds remain
after HUD has funded all approvable grant applications in its
Homeownership Center jurisdictions, or Headquarters, or if any funds
become available due to deobligation or refusal to accept an award,
that amount will be retained by HUD for future housing counseling use
or HUD may use that amount (or any part thereof) by allocating it to
another HUD office jurisdiction, and/or another allocation category.
(B) Funding Levels. The Factors for Award will be used to evaluate
your application for funding. If you are a successful applicant, HUD
may require that you participate in negotiations to determine the
specific grant amount and the terms of the grant agreement. HUD will
follow the negotiation procedures described in Section III(D) of the
General Section of the SuperNOFA. Housing Counseling grants are
fundable for a period of twelve (12) calendar months. This period may
begin from the date that your award is executed by HUD, or may begin on
a date that is not more than 90 days prior to the date that you are
notified of your award, which beginning date shall be determined by
HUD.
(C) Funding Methodology. As described below, in Section VII(B) of
this program section of the SuperNOFA, the Factors for Award will be
used to evaluate your application and a maximum of 100 points may be
awarded for each application. Only applicants who receive at least 50
points out of the 100 will be considered eligible for funding. All
eligible applicants will then be funded in proportion to the score they
receive, or as negotiated.
This year's formula will work as follows: every agency that
receives a score of 50 points will receive a base award of $2500, then
will receive additional funds for every point above that 50 point
cutoff. The total number of agencies with scores above 50 will be
multiplied by $2500 and that amount will be subtracted from the total
available to the HOC. Then, the remaining balance will be divided by
the total number of points each agency scores that are above the 50
point cutoff. The division will result in a dollar value for each
point. The number of points that each agency scores above the 50 point
base will be multiplied by that dollar value. The result of that
multiplication will be added to the $2500 base for the total award
amount. For example, an agency with a score of 85 would receive $2500
plus the dollar value for each point times 35 (35 being the number of
points above the 50 point cutoff). $66,128
(D) Award Instrument. All Housing Counseling Program awards shall
be made on a cost reimbursement basis in accordance with the
requirements in OMB Circular A-87, Cost Principles for State and Local
Governments and Indian Tribal Governments; or OMB Circular A-122, Cost
Principles for Non-Profit Organizations, as applicable to your
organization; and the administrative requirements established in OMB
Circular A-102, which was implemented by 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State and Local
Governments and Indian Tribal Governments); OMB Circular A-110, which
was implemented by 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations); and OMB Circular A-133 which was implemented by 24 CFR
parts 84 and 85. If you receive an award you are also required to
ensure that any sub-recipients also comply with the requirements in
these circulars.
After selection, but prior to award of funds, you will be required
to submit to ensure to HUD's satisfaction that your financial
accounting system meets the federal requirements for fund control and
accountability as required by these OMB Circulars. You must also submit
documentation establishing your organization's indirect cost rate. Such
documentation may consist of a certification from, or your most recent
audit by, the cognizant Federal agency or an Independent Public
Accountant. If your organization does not have an established indirect
cost rate, you will be required to develop and submit an indirect cost
proposal to HUD or the cognizant Federal Agency as applicable, for
determination of an indirect cost rate which will govern your award.
Funds will not be awarded until the determination of the Indirect cost
rate.
Your submission should include the name and telephone number of the
Independent Auditor or the cognizant Federal Auditor. HUD cannot award
funds to an organization unless its financial management system meets
Federal requirements for funds control and accountability.
V. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. HUD-approved housing counseling agencies
provide counseling and advice to tenants and homeowners on property
maintenance, financial management, and other matters appropriate to
assist tenants and homeowners in improving their housing conditions and
meeting responsibilities of tenancy and homeownership. In addition,
HUD-approved housing counseling agencies conduct community outreach
activities and provide counseling to individuals, including persons
with visual or hearing impairments or other disabilities, with the
objective of increasing awareness of homeownership opportunities and
improving access of low and moderate income households to sources of
mortgage credit. HUD believes that this activity is key to the
revitalization and stabilization of low income and minority
neighborhoods. Agencies assist first-time homebuyers by offering
Homebuyer Education and Learning Program (HELP) training sessions.
Agencies also meet the counseling needs of eligible persons 62 or older
who desire to use the Home Equity Conversion Mortgage (HECM) to convert
equity in their homes into a lump sum payment or an income stream that
can be used for home improvements, medical costs, and/or living
expenses.
(B) Eligible Applicants. Under the Housing Counseling Program, HUD
contracts with qualified public or private nonprofit organizations to
provide housing counseling services. There are three categories of
applicants that are eligible to submit applications:
(1) HUD-approved Housing Counseling Intermediaries. If you are a
housing counseling intermediary, you are responsible for distributing
grant funds to affiliated local housing counseling agencies. In FY
2001, you must list all of your affiliates and the cities and states in
which you and your affiliates maintain offices, then identify which
affiliates will receive funding through this grant award. Your local
affiliates are eligible to undertake any or all of the housing
counseling activities described for HUD-approved local housing
counseling agencies. Local affiliates receiving funding through your
organization do not need to be HUD-approved in order to receive funds
from you. However, you must be HUD-approved as of the date of this
SuperNOFA. You must identify all of your affiliates in your application
that will be seeking a subgrant. If your affiliate is not HUD-approved,
you must certify the quality of services provided will meet, or exceed,
standards for local HUD-approved housing counseling agencies.
HUD will permit you wide discretion in implementing your housing
counseling programs with your affiliates, but your application must
[[Page 11846]]
clearly define your management responsibilities, the service delivery
responsibilities of your affiliates and appropriate time frames for
reporting results to HUD.
You can decide how to allocate funding among your affiliates with
the understanding that a written record must be kept of how you
determined your funding levels. This record must be made available to
your affiliates and to HUD. You should budget an amount that reflects
your best estimate of the cost to oversee and fund the housing
counseling efforts of your affiliates. You must seek other private and
public sources of funding to supplement HUD funding. HUD does not
intend for its counseling grant funds to cover all costs incurred by an
agency participating in this program.
(2) HUD-approved local housing counseling agencies. These agencies
are private and public non-profit organizations, approved by HUD to
provide housing counseling services directly to clients. If you are a
HUD-approved local housing counseling agency, HUD will fund your
activities according to the budget submitted with your application. The
amounts you request should reflect anticipated operating needs for your
housing counseling activities, based upon your counseling experience
during the previous fiscal year and your current agency capacity.
If you apply directly to HUD, you cannot apply as an affiliate for
a subgrant to a State housing finance agency or to a national, regional
or multi-state intermediary. In addition, you must disclose all funding
sources to HUD. If you are a local housing counseling agency that is
not currently HUD-approved, you may receive FY 2001 funding only as an
affiliate of a HUD-approved national, regional, or multi-state
intermediary; or State housing finance agency.
(3) State housing finance agencies. Your primary activity under
this grant as a State housing finance agency is to provide housing
counseling services as a local housing counseling agency and/or serve
as an intermediary distributing counseling funding to local housing
counseling organizations that operate in your State or territory. You
and your local affiliates are eligible to undertake any or all of the
housing counseling activities described for HUD-approved local housing
counseling agencies.
As either a housing counseling agency or intermediary, you and your
local affiliates do not need to be HUD-approved in order to receive
these funds.
As an intermediary, you must list all of your affiliates in your
application and designate those affiliates that will be seeking a
subgrant. The amount you request should reflect anticipated operating
needs for housing counseling activities, based upon the counseling
experience during FY 2000 and your current capacity.
In your role as an intermediary, the amount you request should
reflect your best estimate of costs to oversee and fund your housing
counseling affiliates. The amount you request should reflect
anticipated operating needs for housing counseling activities, based on
past experience. For State Housing Finance Agencies who participated in
the program in FY 1998 or FY 1999, the request should reflect your past
usage of HUD housing counseling grant funds. HUD will give you wide
discretion to implement your housing counseling program with your
affiliates.
As an intermediary, you must execute subgrant agreements with your
affiliates that clearly delineate the mutual responsibilities for
program management, including appropriate time frames for reporting
results to HUD. As part of the subgrant agreement, your affiliate must
certify that it has not applied for a grant from any other Housing
Counseling grant allocation or category, or another State housing
finance agency. Your affiliate may be a local housing counseling
agency. Local housing counseling agencies may also be affiliates of
national, regional, or multi-State intermediaries or HUD approved local
housing counseling agencies. You must decide how to allocate funding
among your affiliates and keep a written record of how your
determination was made. This record must be made available to the
affiliates and to HUD. You must certify that, if your affiliate is not
HUD-approved, the quality of services provided will meet, or exceed,
standards for local HUD-approved housing counseling agencies.
You must seek other private and public sources of funding to
supplement HUD funding. HUD does not expect its counseling grant funds
to cover all costs incurred by your organization's participation in
this program. You may use the HUD grant to undertake any of the
eligible counseling activities.
(C) Eligible Activities. Housing counseling services/activities
include:
(1) Homebuyer Education Programs that offer potential purchasers
general information on the homebuying process. These types of programs
include HUD's Homebuyer Education and Learning Program (HELP), where
HUD's educational materials are used in sessions consisting of
approximately eight to twelve (8-12) hours of training. HUD staff at
each HUD Homeownership Center will be available to provide you with the
HELP materials.
(2) Pre-purchase Homeownership Counseling, which focuses more
specifically on the client's needs and circumstances. This type of
counseling covers purchase procedures, mortgage financing, down
payment/closing cost fund accumulation, accessibility requirements, and
if appropriate, credit improvement, and debt consolidation.
(3) Post-purchase Counseling, including property maintenance, and
personal money management.
(4) Mortgage delinquency and default resolution counseling
including restructuring debt, arrangement of reinstatement plans, loan
forbearance, and other loss mitigation tools available.
(5) Home Equity Conversion Mortgage (HECM) counseling to assist
clients who are 62 years old or older with the complexities of
converting the equity in their homes into income to pay living expenses
or medical expenses.
(6) Loss Mitigation Counseling for clients who may be facing
default and foreclosure, and need mortgage default resolution and
foreclosure avoidance counseling.
(7) Marketing and Outreach Initiatives including providing general
information about housing opportunities within your target area and
providing housing counseling services and information to persons with
disabilities. Under this program, you are required to extend marketing
and outreach services to all segments of the population.
(8) Renter Assistance Counseling including information about rent
subsidy programs, rights and responsibilities of tenants, and lease and
rental agreements.
(9) Fair Housing Assistance including:
(a) Advocating with lenders, appraisers and developers on behalf of
clients to recognize the value of non-traditional lending standards,
the vitality of housing values in all areas, and the added value of
accessible housing design; and
(b) Advising clients on how to recognize discriminatory acts, and
how to file a Fair Housing complaint. (This will require being familiar
with the provisions of the Fair Housing Act.)
Your potential clients may include: first-time homebuyers,
homebuyers and homeowners eligible for, and applying for HUD, VA, FmHA
(or its successor agency), State, local, or conventionally financed
housing or housing assistance; or persons who occupy such housing and
seek the assistance of a housing counseling agency to address a housing
need. You may elect to offer this
[[Page 11847]]
assistance in conjunction with any HUD housing program; however, to do
this, you must be familiar with FHA's single family and multifamily
housing programs.
(10) Mobility Counseling, to help families and individuals who are
seeking new rental housing opportunities understand the wide range of
housing options available.
VI. Program Requirements
(A) General Requirements. The requirements listed in Section II of
the General Section of the SuperNOFA apply to this program.
(B) Specific Requirements.
(1) Civil Rights Threshold Requirements--All eligible applicants
and subrecipients must meet the Civil Rights Threshold requirements
that are listed in Section II(B) of the General Section of the
SuperNOFA.
(2) Accessibility--All eligible applicants and subrecipients will
make counseling offices and services accessible to persons with a wide
range of disabilities and help persons locate suitable housing in
locations throughout the applicant's community, target area, or
metropolitan area, as defined by the applicant.
(C) Requirements Applicable to Religious Organizations. Where your
organization is, or you propose to contract with, a primarily religious
organization, or a wholly secular organization established by a
primarily religious organization, to provide, manage, or operate a
housing counseling program, you and your subrecipients must undertake
your responsibilities in accordance with the following principles:
(1) You will not discriminate on behalf of or against any segment
of the population in the provision of services or in outreach,
including those of other religious affiliations.
(2) You will not provide religious instruction or religious
counseling, conduct religious services or worship, engage in religious
proselytizing, and exert religious influence in the provision of
assistance under your housing counseling program.
(D) Performance Measurement. You are required to complete and
submit a form HUD-9902, Fiscal Year Activity Report. The information
compiled from this report provides HUD with its primary means of
measuring your program performance.
VII. Application Selection Process
(A) General. Your application will be evaluated competitively, and
ranked against all other applicants that applied in the same funding
category. National, regional, and multi-State applications will be
rated and ranked in HUD Headquarters, and initially selected for
funding in rank order. Local agency and State housing finance agency
applications will be rated and ranked by the HUD Homeownership Centers
and initially selected for funding in rank order. However, after the
initial selection, the actual amount funded will be based on successful
completion of negotiations.
(B) Factors for Award Used to Rate and Rank Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for each
applicant is 100. Your response to the following rating factors should
provide HUD with detailed information regarding the housing counseling
work of your organization. Please be specific, providing relevant
examples and complete descriptions of your services.
Rating Factor 1: Capacity, Experience, and Effective Use of
Resources (35 Points)
This factor addresses the scope and effective use of your
organizational resources in successfully implementing your proposed
activities and complying with the OMB Circulars set forth in this
Notice. Your rating or the rating of your organization and staff for
technical merit will include any subcontractors, consultants,
subrecipients, and members of consortia that are identified as
participants in your proposal. In rating this factor, HUD will consider
the extent to which your proposal demonstrates:
(1) (10 points) The knowledge and experience of your proposed
project director and staff, including the day-to-day program manager,
consultants and contractors in planning and managing programs for which
you are requesting funding. Your experience will be judged in terms of
recent and relevant experience of your staff to undertake eligible
program activities. You are expected to have sufficient personnel, or
be able to quickly access qualified experts or professionals, to
deliver the proposed activities in a timely and effective fashion. HUD
will assess the readiness and ability of your organization to
immediately begin your proposed work program. To demonstrate that you
have sufficient personnel, you must submit the proposed number of staff
for each task to be conducted, by the employees and experts allocated
to each activity you plan to undertake in your program. You must
identify their titles and relevant professional background and
experience related to the tasks they are to perform. In addition, you
must allocate the staff hours for each task of these employees and
experts.
(2) (25 points) Your past performance, specifically your ability to
attain measurable progress in the implementation of your most recent
activities where your performance has been assessed and the costs
associated with that performance.
HUD will consider your performance as measured by your expenditures
of previous year's grant awards and demonstrated progress in achieving
the purpose of the activities associated with those grant dollars. HUD
will also consider any documented evidence, such as form HUD-9902, of
your ability under past awards to comply with grant award provisions.
Any organization that used less than 90 percent of its grant award in
FY 99 will receive no points under this subsection.
The extent to which your services are reasonable and cost-effective
in meeting the needs identified in Factor 2 and in complying with OMB
Circular A-122, by: relating your service tasks to your proposed budget
costs providing cost estimates for salary levels, staff assignments,
number of staff hours, and all other budget items to show they are
reasonable, allowable, and appropriate for the proposed activities; and
documenting and justifying all costs.
Rating Factor 2: Need/Extent of the Problem (10 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address a documented
problem in your target area. To the extent that the community served by
your housing counseling organization has documented the need in the
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI); or requirements of court orders or consent
decrees, settlements and voluntary compliance agreements, references to
these documents should be included in the response. If your proposed
activities are not covered under the scope of the Consolidated Plan or
AI, you should indicate such and use other sound data sources to
identify the level of need for your proposed program of activities.
In responding to this factor, you will be evaluated on the extent
to which you document a critical level of need for your proposed
activities in the area where activities will be carried out. The
documentation of need should demonstrate the extent of the problem
addressed by the proposed activities. Examples of data that might be
used to demonstrate need, include economic
[[Page 11848]]
and demographic data relevant to the target area and your proposed
activities. There must be a clear relationship between the proposed
activities, community needs and the purposes of this program for an
applicant to receive points for this factor.
HUD will also consider your involvement in addressing barriers to
equal homeownership or rental housing opportunities, including:
(a) The extent to which your proposed activities undertake
Affirmatively Furthering Fair Housing (AFFH) may be undertaken in a
variety of ways, as appropriate to your target area. The following are
some suggestions for all housing counseling agencies:
(i) Implementing affirmative marketing strategies to attract all
segments of the population regardless of race, color, religion,
national origin, sex, familial status, and disability, especially those
least likely to request housing counseling services to purchase or
retain their homes.
(ii) Being pro-active in reducing concentrations of poverty and/or
minority populations in the target area. This could include working
with, or adopting the counseling practices of, agencies which conduct
housing opportunity counseling to encourage low-income and minority
persons to move to low-minority-concentration areas, and helping to
locate suitable housing in such areas if the client chooses to move to
one.
(iii) Working with local lenders to develop alternative lending
criteria. For instance, you may make referrals to lenders of clients
with good credit and payment histories, but who do not fit the standard
profiles for lending practices, or advocate with financial institutions
on behalf of clients with financial patterns which reflect cultural
differences (such as family savings pools, which are common among some
Asian populations). Your activities should also focus on finding
appropriate housing, free from environmental hazards, for all segments
of the population in neighborhoods with good transportation, schools,
employment opportunities, and other services.
(b) The following are some suggested activities for national,
regional, or multi-state intermediaries and State housing finance
agencies:
(i) Training affiliates in Fair Housing issues.
(ii) Making national or regional agreements with lenders, insurers,
and organizations which train appraisers and loan appraisers on fair
housing requirements, accessibility, and financing methods which
support your organization's fair housing and housing opportunity
efforts.
Rating Factor 3: Scope of Housing Counseling Services (35 Points)
This factor addresses the quality and effectiveness of your
proposed housing counseling plan (work plan), which describes your
housing counseling needs, goals, and objectives related to the scope of
services you propose to provide, including a description of all
counseling activities to be performed. In rating this factor, HUD will
consider:
(1) The scope of housing counseling services and/or activities that
you will provide, how these services/activities will be delivered, and
the extent to which the design and scope of your services/activities
provide geographic coverage for the target areas as defined by the
applicant and meet the needs of persons traditionally underserved in
the community as identified in Rating Factor 2. In addition, you should
identify the immediate benefits to be achieved, indicators by which
these benefits will be measured, and the costs associated with
providing your services, to prove cost-effectiveness.
(2) The number of clients served by your organization and the
complexity of the services offered. The rater will consider the variety
and complexity of the housing counseling services you provide, taking
into account the level of work involved in meeting the needs of your
clients. For example, if you offer comprehensive default counseling,
you should explicitly describe the comprehensive nature of the
counseling activities, such as stating that it takes approximately 16
hours of one-on-one sessions to help one family. Or, if your offer
homebuyer education workshops, explain that you can serve 10 families
at a time, completing a full course in 12 hours total. Again, you
should identify the benefits associated with your services, citing
relevant past experience as evidence of your potential achievement, and
identifying indicators by which these benefits can be measured. The
rater will be assessing the level of effort required to provide your
services and the costs associated with that effort.
Intermediaries, including state Housing Finance Agencies, must
provide details on the activities of the intermediary organization
(e.g. training affiliates or coordinating partnerships with lenders)
and the activities of the affiliates or branches, explicitly stating
the types of services offered and the time and resources associated
with providing those services.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure private and public
resources which can be combined with HUD's program resources to provide
housing counseling services. In evaluating this factor HUD will
consider:
(1) The extent to which you have obtained additional resources, or
partnered with other entities to secure additional resources, to
increase the effectiveness of your housing counseling activities.
Resources may include funding or in-kind contributions, such as
services or equipment, allocated to the purpose(s) of your program.
Resources may be provided by governmental entities, public or private
nonprofit organizations, for-profit private organizations, or other
entities willing to partner with you. You may also partner with other
program funding recipients to coordinate the use of housing counseling
and support services in your target area.
(2) You must provide evidence of leveraging/partnerships by
including in your application letters of firm commitments, memoranda of
understanding, or agreements to participate from entities identified as
partners in your application. Each letter of commitment, memoranda of
understanding, or agreement to participate should include the
partnering organization's name, proposed level of commitment and
responsibilities as they relate to your proposed program. The
commitment letter must also be signed by an official of the
organization legally able to make commitments on behalf of the
partnering organization.
(3) If you are a housing counseling agency funded under this
SuperNOFA, you may use your HUD and leveraged funds to deliver
comprehensive housing counseling, or may specialize in delivery of
particular housing counseling services. Either way, your services/
activities must reflect the housing counseling needs you submitted in
your funding application for your target area and identified in your
plan. You may conduct a wide range of housing counseling services that
are eligible under this program.
(4) If you are a national, regional or multi-state intermediary or
a State housing finance agency, you must distribute the majority of
your HUD award and leveraged funds to your housing counseling
affiliates and branches. HUD will give you wide discretion to implement
your housing counseling program with your affiliates and branches. You
must execute
[[Page 11849]]
subgrant agreements with your affiliates and branches that clearly
delineates the mutual responsibilities for program management and
appropriate time frames for reporting results to HUD. You can decide
how to allocate the HUD and leveraged funding among your affiliates
with the understanding that a written record must be kept of how you
determined your funding levels. This record must be made available to
your affiliates and to HUD.
Note: HUD housing counseling funding is not intended to fully
fund either an organization's housing counseling program, nor that
of its local affiliates. All organizations that use housing
counseling grant funds and their local affiliates are expected to
seek other private and public sources of funding for housing
counseling to supplement HUD funding.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participated or promoted
participation in a community's Consolidated Planning process and are
working towards addressing identified needs in a holistic and
comprehensive manner through linkages with other activities in your
community. In evaluating this factor, HUD will consider the extent to
which you can demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities; and, if funded, the
specific steps you will take to share information on solutions and
outcomes with others. Any written agreements or memoranda of
understanding in place should be described.
(2) Taken or will take specific steps to become active in the
Consolidated Planning process (including the Analysis of Impediments to
Fair Housing Choice) established in your target area to identify and
address needs/problems related to the activities you propose in your
application. If you reported in your FY 1999 application that you
``will take specific steps'', describe what steps you have taken.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the target area's Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in your target area.
If you reported in your FY 2000 application that you ``will take
specific steps,'' describe what steps you have taken.
VIII. Application Submission Requirements
(A) General. The contents of your application will differ if you
are a local housing counseling agency; or a national, regional, or
multi-state intermediary; or a State housing finance agency. For all
applicants, however, your application must include the standard forms,
certifications, and assurances listed in the General Section of the
SuperNOFA (collectively, referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives, letters), referred to as the ``non-
standard forms'' can be found as Appendix A to this program section of
the SuperNOFA. The items are as follows:
(1) Narrative statements addressing the five Rating Factors in
Section VII.(B) of this program section of the SuperNOFA. Your
narrative responses should be numbered in accordance with the rating
factors and subfactors identified in Section V(B) of this program
section of the SuperNOFA. The narrative responses must include the
quantitative, as well as qualitative, information requested in the
rating factors.
(2) Form HUD-9902, Housing Counseling Agency Fiscal Year Activity
Report, for fiscal year October 1, 1998 through September 30, 1999. If
you did not participate in HUD's Housing Counseling Program during FY
1999, this report should be completed to reflect your counseling
workload during that period. This form must be fully completed and
submitted by every applicant for FY 2000 HUD funding. A copy of this
form is included in the Appendix to the program section of this
SuperNOFA.
(3) Budget Work Sheet. A proposed budget for use of the requested
HUD funds.
(4) Evidence of Housing Counseling Funding Sources (required of all
applicants).
(5) Narrative of Prior Fiscal Year Performance. You must provide a
descriptive narrative that sets forth your (and, if applicable, your
affiliate organizations) prior fiscal year's performance as related to
its goals, objectives, and mission. Your narrative must describe the
most recent operational and program activities of your organization.
(6) Current Housing Counseling Plan. See Rating Factor 3 for a
description.
(7) Direct-labor and Hourly-labor rate and Counseling Time Per
Client for proposed tasks.
(8) The Congressional District in which your proposed activities
are to occur.
(9) Intermediary. If you are an intermediary, you must provide and
certify to the number of states in which you maintain offices,
including the national office and all affiliate or branch offices.
(10) Authority to Operate as State housing finance agency. If you
are a State housing finance agency, you must submit your statutory
authority to operate as a State housing finance agency.
(B) National, Regional, and Multi-State Intermediaries and State
Housing Finance Agencies. If you are a national, regional, or multi-
state intermediary or a State housing finance agency, you must submit
an application that covers both your network organization and your
affiliated agencies. In FY 2001, you must list all of your affiliates
and the cities and states in which you and your affiliates maintain
offices, then identify which affiliates will receive funding through
this grant award. Your application must include:
(1) A description of your affiliated agencies. For each affiliated
agency, list the following information:
(a) Organization name;
(b) Address (city, state, and zip code);
(c) Director and contact person (if different);
(d) Phone/FAX numbers (including TTY, if available);
(e) Federal tax identification number;
(f) ZIP code service areas;
(g) Number of staff providing counseling;
(h) Type of services offered (defined by homebuyer education
programs, pre-purchase counseling, post-purchase counseling, mortgage
default and delinquency counseling, HECM counseling, outreach
initiatives, renter assistance, mobility counseling, and other);
(i) Number of years of housing counseling experience.
(2) Relationship with Affiliates. You must briefly describe your
relationship with your affiliates (i.e. membership organization, field
or branch office, subsidiary organization, etc.).
(3) Oversight System. You must briefly describe the process that
will be used to determine affiliate funding levels, distribute funds,
and monitor affiliate performance.
[[Page 11850]]
VIII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
IX. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9) and (12) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
and are not subject to environmental review under the related laws and
authorities.
X. Authority
HUD's Housing Counseling Program is authorized by section 106 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x), and is
generally governed by HUD Handbook 7610.1, REV-4, dated August 9, 1995.
Appendix A
The non-standard forms, which follow, are required for your
Housing Counseling Program application.
BILLING CODE 4210-32-P
[[Page 11851]]
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[[Page 11852]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.111
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11853]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.112
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11854]]
[[Page 11855]]
FUNDING AVAILABILITY FOR THE LEAD-BASED PAINT HAZARD CONTROL GRANT
PROGRAM
Program Overview
Purpose of the Program. The purpose of the Lead-Based Paint Hazard
Control Grant Program is to assist States, Indian Tribes and local
governments in undertaking comprehensive programs to identify and
control lead-based paint hazards in eligible privately-owned housing
for rental or owner-occupants in partnership with community-based
organizations.
Available Funds. Approximately $59 million.
Eligible Applicants. States, Indian Tribes or local governments. If
you are a State or Tribal applicant, you must have a Lead-Based Paint
Contractor Certification and Accreditation Program authorized by EPA.
Application Deadline. May 17, 2001.
Match. A minimum of 10% match in local funds.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit your completed application (an
original and four copies) to HUD on or before 12:00 midnight, Eastern
time, on May 17, 2001, at the address shown below.
See the General Section of the SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight deliver, or hand carried).
Address for Submitting Applications. For Mailed Applications. The
address for mailed applications is: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control, 451
Seventh Street, SW, Room P3206, Washington, DC 20410.
For Overnight/Express Mail or Hand Carried Applications. The
address for applications that are hand carried or sent via overnight
delivery is: HUD Office of Healthy Homes and Lead Hazard Control, Suite
3206, 490 East L'Enfant Plaza, SW, Washington, DC 20024. Hand carried
applications will be accepted at this address (490 East L'Enfant) up
until 5:00 pm on the application due date.
After 5:00 pm on the application due date, hand carried
applications will be accepted until 12:00 midnight, in the South Lobby
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929. Persons with speech or
hearing impairments, may call the Center's TTY number at 1-800-HUD-
2209. When requesting an application kit, please refer to the Lead-
Based Paint Hazard Control Grant Program. Please be sure to provide
your name, address (including zip code), and telephone number
(including area code).
For Further Information and Technical Assistance. You may contact
Ellis G. Goldman, Director, Program Management Division, Office of
Healthy Homes and Lead Hazard Control, at the address above; telephone
(202) 755-1785, extension 112 (this is not a toll-free number). If you
are a hearing- or speech-impaired person, you may reach the above
telephone numbers via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
(A) Available Funding. Approximately $59 million will be available
for the Lead-Based Paint Hazard Control Grant Program.
(B) Allocation of Funds/Grant Awards. Both existing grantees or
previously unfunded applicants are eligible to apply for grants of $1
million to $3 million. Approximately 20 to 25 grants will be awarded.
Approximately 70% of the funds shall be available to existing Lead-
Based Paint Hazard Control grantees. Applications from existing (or
previous) grantees will be evaluated and scored as a separate group and
will not be in direct competition with applications from previously
unfunded applicants.
III. Program Description, Eligible Applicants; Eligible Activities
(A) Program Description. The Lead-Based Paint Hazard Control Grant
Program assists States, Indian Tribes and local governments in
undertaking programs for the identification and control of lead-based
paint hazards in eligible privately-owned housing units for rental and
owner-occupants. The application kit for this program section of the
SuperNOFA lists HUD-associated housing programs which also meet the
definition of eligible housing.
(1) Because lead-based paint is a national problem, these funds
will be awarded to:
(a) Maximize both the number of children protected from lead
poisoning and housing units where lead-hazards are controlled;
(b) Target lead hazard control efforts at housing in which children
are at greatest risk of lead poisoning;
(c) Stimulate cost-effective approaches that can be replicated;
(d) Emphasize lower cost methods of hazard control;
(e) Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities; and
(f) Affirmatively further fair housing, Partnership for Advancing
Technology in Housing (PATH), and environmental justice.
(2) The objectives of this program include:
(a) Implementation of a national strategy, as defined in Title X of
the Housing and Community Development Act of 1992 (42 U.S.C. 4851 et.
seq.) (Title X), to build the community's capacity necessary to
eliminate lead-based paint hazards in all housing, as widely and
quickly as possible by establishing a workable framework for lead-based
paint hazard identification and control;
(b) Mobilization of public and private resources, involving
cooperation among all levels of government, the private sector, and
community-based organizations to develop cost-effective methods for
identifying and controlling lead-based paint hazards;
(c) Development of comprehensive community approaches which result
in integration of all community resources (governmental, community-
based, and private businesses) to address lead hazards in housing;
(d) Integration of lead-safe work practices into housing
maintenance, repair, weatherization, rehabilitation, and other programs
which will continue beyond your grant period;
(e) Establishment of a public registry (listing) of lead-safe
housing; and
(f) To the greatest extent feasible, promotion of job training,
employment, and other economic opportunities for low-income and
minority residents and businesses that are owned by and/or employ low-
income and minority residents as defined in 24 CFR 135.5 (See 59 FR
33881, June 30, 1994).
(B) Eligible Applicants. (1) To be eligible to apply for funding
under this program, you must be a State, Indian Tribe, or unit of local
government. Multiple units of a local government (or multiple local
governments) may apply as part of a consortium; however, you must
identify a single lead primary
[[Page 11856]]
government or agency as ``the applicant.'' You may submit only one
application. In the event you submit multiple applications, this will
be considered a curable (minor) defect and the application review
process delayed until you notify HUD in writing which application
should be reviewed. Your other applications will be returned
unevaluated.
(2) Threshold Requirements. As an applicant, you must meet all of
the threshold requirements of Section II(B) of the General Section of
the SuperNOFA.
(3) Consolidated Plans.
(a) If your jurisdiction has a current HUD approved Consolidated
Plan, you must submit, as an appendix, a copy of the lead-based paint
element included in the approved Consolidated Plan.
(b) If your jurisdiction does not have a currently approved
Consolidated Plan, but it is otherwise eligible for this grant program,
you must include your jurisdiction's abbreviated Consolidated Plan,
which includes a lead-based paint hazard control strategy developed in
accordance with 24 CFR 91.235.
(4) Contracts or other formal arrangements with Community-Based
Organizations. If selected for funding, local and State applicants must
enter into contractual relationships or other formal arrangements with
community-based organizations. Such relationships must be established
prior to actual execution of the grant agreement. This requirement does
not apply to Indian Tribes.
(5) EPA Authorization. If you are a State government or an Indian
Tribal government, you must have an EPA authorized Lead-Based Paint
Contractor Certification and Accreditation Program on the application
deadline to be eligible. Your program approval date in the Federal
Register notice published by the EPA will be used.
(6) If you were funded under the FY 2000 Lead-Based Paint Hazard
Control Funding competition in the FY 2000 SuperNOFA issued February
24, 2000 (65 FR 9539), you are not eligible for funding under this
program section of the SuperNOFA.
(7) The eligibility factors discussed in paragraphs (1) through (6)
above are threshold requirements. If you do not satisfy the appropriate
eligibility requirements stated in these paragraphs, HUD will not
review your application.
(C) Eligible Activities. HUD is interested in promoting lead hazard
control approaches that result in the reduction of this health threat
for the maximum number of low-income families with children under six,
for the longest period of time, and that demonstrate techniques which
are cost-effective, efficient, and can be used elsewhere. HUD will
allow flexibility within the parameters established below. Funds will
be available only for projects conducted by contractors, risk
assessors, inspectors, workers and others engaged in lead-based paint
activities who meet the requirements of an EPA authorized State or
Tribal Lead-Based Paint Contractor Certification and Accreditation
Program under the requirements of section 404 of the Toxic Substances
Control Act (TSCA). However, low level hazard interventions (e.g., dust
control and minor paint stabilization) do not require certified
personnel unless required by state or local laws or regulations. All
applicants must use personnel certified under the state, tribal, or EPA
administered program for their state or tribe.
(1) Direct Project Elements that you may undertake directly or
through subrecipients, include:
(a) Performing dust testing, hazard screens, inspections, and risk
assessments of eligible housing constructed before 1978 to determine
the presence of lead-based paint and/or lead hazards from paint, dust,
or soil.
(b) Conducting the required pre-hazard control blood lead testing
of children under the age of six years (72 months) residing in units
undergoing inspection, risk assessment, or hazard control, unless
reimbursable from Medicaid or another source.
(c) Conducting lead hazard control, which may include any
combination of the following: interim control of lead-based paint
hazards in housing (which may include specialized cleaning techniques
to address lead dust); abatement of lead-based paint hazards using
different methods for each unit (based on the condition of the unit and
the extent of hazards); and abatement of lead-based paint hazards,
including soil and dust, by means of removal, enclosure, encapsulation,
or replacement methods. Complete abatement of all lead-based paint or
lead-contaminated soil is not acceptable as a cost effective strategy
unless justification is provided and approved by HUD. Abatement of lead
contaminated soil should be limited to areas with bare soil in the
immediate vicinity of the structure, i.e., dripline or foundation of
the structure being treated, and children's play areas.
(d) Carrying out temporary relocation of families and individuals
during the period in which hazard control is conducted and until the
time the affected unit receives clearance for reoccupancy.
(e) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
(f) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
Hazard Control grant funds may be used for lead hazard control work
done in conjunction with other housing rehabilitation programs. HUD
strongly encourages integration of this grant program with housing
rehabilitation and PATH technologies.
(g) Conducting clearance dust-wipe testing and laboratory analysis.
(h) Engineering and architectural activities that are required for,
and in direct support of, lead hazard control.
(i) Providing lead-based paint worker or contractor certification
training and/or licensing to low-income persons.
(j) Providing free training on lead-safe, essential maintenance
practices to homeowners, renters, painters, remodelers, and apartment
maintenance staff working in low-income private housing.
(k) Providing cleaning supplies for lead-hazard control to
community/neighborhood-based organizations, homeowners, and renters in
low-income private housing.
(l) Conducting planning, coordination, and training activities to
facilitate local implementation of HUD's regulations on Lead-Based
Paint Poisoning Prevention in Certain Residential Structures, published
on September 15, 1999 (64 FR 50140), and which became effective on
September 15, 2000. These activities are intended to allow the creation
of a workforce properly trained in lead-safe work practices and which
is available to conduct interim controls on HUD assisted housing
covered by these regulations. These regulations are available from the
National Lead Information Center at 1-800-424-LEAD.
(m) Conducting general or targeted community awareness, education
or outreach programs on lead hazard control and lead poisoning
prevention. This includes educating owners of rental properties on the
Fair Housing Act and training on lead-safe maintenance and renovation
practices and management. Upon request, this also would include making
all materials available in alternative formats to persons with
disabilities (e.g.; Braille, audio, large type).
(n) Procuring liability insurance for lead-hazard control
activities.
[[Page 11857]]
(o) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such
information and data as may be required by HUD. This activity is
separate from administrative costs.
(p) Conducting applied research activities directed at
demonstration of cost effective methods for lead hazard control.
(q) Purchasing or leasing equipment having a per unit cost under
$5,000.
(r) Purchasing or leasing up to two (2) X-ray fluorescence
analyzers for use by the Lead-Based Paint Hazard Control Grant Program,
if not already available.
(s) Preparing a final report at the conclusion of grant activities.
(2) Support Elements.
(a) Administrative costs. There is a 10% maximum for administrative
costs. Specific information on administrative costs is included in this
Lead-Based Paint Hazard Control Grant Program section of this
SuperNOFA.
(b) Program planning and management costs of sub-grantees and other
sub-recipients.
(D) Ineligible Activities. You may not use grant funds for any of
the following:
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, except for X-ray fluorescence analyzers.
(3) Chelation or other medical treatment costs related to children
with elevated blood lead levels. Non-Federal funds used to cover these
costs may be counted as part of the required matching contribution.
(4) Lead hazard control activities in publicly owned housing, or
project-based Section 8 housing.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you, the applicant, must comply with the
following requirements:
(A) Budgeting. (1) Matching Contribution. You must provide a
matching contribution of at least 10% of the requested grant sum. This
may be in the form of a cash or in-kind (non-cash) contribution or a
combination of both. With the sole exception of Community Development
Block Grant (CDBG) funds, Federal funds may not be used to satisfy the
statutorily required ten (10) percent matching requirement. Federal
funds may be used, however, for contributions above the statutory
requirement. If you do not show a minimum 10% match in your
application, you will be rated lower during the evaluation process,
and, if selected, you will be required to provide the matching
contribution before being given the grant.
(2) Direct Lead Hazard Control Activities. The budget proposed must
show a minimum of 60 percent of the total Federal amount requested
identified for direct lead hazard control activities. Direct lead
hazard control activities consist of inspections, risk assessments,
contracts for lead hazard control services, and clearance evaluations.
Direct hazard control activities do not include relocation, blood
testing of residents or workers, housing rehabilitation, training,
community education, applied research, purchase of supplies or
equipment, or administrative costs.
(3) Lead-Safe Work Practice Training Activities. The budget
proposed must include a minimum of two (2) percent of the total Federal
amount to promote the creation of a workforce properly trained in lead-
safe work practices and which is available to conduct interim controls
on HUD assisted housing units being treated under the provisions of the
HUD Lead Safe Housing Regulation (Sections 1012 and 1013 of Title X of
the Housing and Community Development Act of 1992), 24 CFR Part 35(in
particular, paragraphs 35.1330 (a) (4) (iii)-(v), published September
15, 1999 (64 FR 50201 et eq.).
(4) Applied Research Activities. You may identify a maximum of five
(5%) percent of the total grant request for applied research
activities.
(5) Administrative Costs. There is a 10% maximum for administrative
costs.
(B) Period of Performance. The period of performance is 36 months
for previously unfunded applicants. Existing grantee applicants will be
allowed 30 months.
(C) Certified Performers. You may use grant funds only for projects
conducted by certified contractors, risk assessors, inspectors, workers
and others engaged in lead-based paint activities. The individuals and
firms (if applicable) must be certified under an EPA authorized State
or Tribal program or a program operated by the EPA in the absence of a
State or Tribal program.
(D) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier
Resources Act (16 U.S.C. 3501), you may not use grant funds for
properties located in the Coastal Barrier Resources System.
(E) Flood Disaster Protection Act. Under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), you may not use grant
funds for lead-based paint hazard control of a building or mobile home
that is located in an area identified by the Federal Emergency
Management Agency (FEMA) as having special flood hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
(F) National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR
part 800 apply to the lead-based paint hazard control activities that
are undertaken pursuant to this program. HUD and the Advisory Council
for Historic Preservation have developed an optional Model Agreement
for use by grantees and State Historic Preservation Officers in
carrying out activities under this program. This may be obtained from
the SuperNOFA Clearinghouse.
(G) Waste Disposal. You must handle waste disposal according to the
requirements of the appropriate local, State and Federal regulatory
agencies. You must handle disposal of wastes from hazard control
activities that contain lead-based paint but are not classified as
hazardous in accordance with the HUD Guidelines for the Evaluation and
Control of Lead-Based Hazards in Housing (HUD Guidelines). The
Guidelines may be purchased from HUD User (1-800-245-2691) or
downloaded from the HUD website (www.hud.gov/offices/lead).
(H) Worker Protection Procedures. You must observe the procedures
for worker protection established in the HUD Guidelines, as well as the
requirements of the Occupational Health and Safety Administration
(OSHA) (29 CFR 1926.62--Lead Exposure in Construction), or the State or
local occupational safety and health regulations, whichever are most
protective. If other applicable requirements contain more stringent
requirements than the HUD Guidelines, the more rigorous standards shall
be followed.
(I) Prohibited Practices. You must not engage in practices that are
not allowed because of health and safety risks. Methods that generate
high levels of lead dust shall be undertaken only with requisite worker
protection,
[[Page 11858]]
containment of dust and debris, suitable clean-up, and clearance.
Prohibited practices include:
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(3) Uncontained hydroblasting or high pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
(5) Heat guns operating above 1100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride or other
volatile hazardous chemicals in a poorly ventilated space; and
(7) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two (2) square feet in any one interior room or space, or totaling
no more than 20 square feet on exterior surfaces.
(J) Proposed Modifications From Current Procedures. Proposed
methods that differ from currently approved standards or procedures
will be considered on their merits through a separate HUD review and
approval process after the grant award is made and a specific
justification has been presented. HUD may consult with experts from
both the public and private sector as part of its final determinations
and will document its findings in an environmental assessment. HUD will
not approve proposed modifications that, in HUD's opinion, involve a
lowering of standards with potential to adversely affect the health of
residents, contractors or workers, or the quality of the environment.
(K) Written Policies and Procedures. You must have clearly
established, written policies and procedures for all phases of lead
hazard control, including risk assessment, inspection, development of
specifications, pre-hazard control blood lead testing, financing,
relocation and clearance testing. Grantees, subcontractors, sub-
grantees, sub-recipients, and their contractors must adhere to these
policies and procedures.
(L) Continued Availability of Lead Safe Housing to Low-Income
Families. Units in which lead hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income residents as required by Title X. You must maintain a registry
(listing) of units in which lead hazards have been controlled for
distribution and marketing to agencies and families as suitable housing
for families with children under six.
(M) Testing. In developing your application budget, include costs
for inspection, risk assessment, and clearance testing for each
dwelling that will receive lead hazard control, as follows:
(1) Testing. (a) General. All testing and sampling shall conform to
the current HUD Guidelines and Federal, state or tribal regulations
developed as part of the appropriate contractor certification program.
It is particularly important to provide this full cycle of testing for
lead hazard control, including interim controls. Testing must be
conducted according to the HUD Guidelines and the EPA lead hazard
standards rule at 40 CFR part 745, subparts D and L. All test results
must be provided to the owner, together with a notice describing the
owner's legal duty to disclose the results to tenants and buyers.
(b) Pre-Hazard Control. A combined inspection and risk assessment
is recommended. You should ensure that the results of the pre-hazard
control investigation are sufficient to support hazard control
decisions. When appropriate, you may elect to perform a lead hazard
screen in lieu of an inspection or risk assessment.
(c) Non-Identification of Lead Hazards from Paint, Dust, Soil. In
the event you propose to conduct lead hazard control work without
identification of lead hazards from paint, dust, and soil, you must
fully justify the technical and other rationale for such a proposal.
HUD must approve such proposals. Approval is subject to HUD
environmental review under 24 CFR part 50.
(d) Clearance Testing. Clearance dust testing must be conducted
according to the HUD Guidelines and the EPA lead hazards standards rule
at 40 CFR part 745, subparts D and L. You are required to meet the
post-hazard control dust-wipe test clearance thresholds at 40 CFR
745.227(e)(8)(viii). Wipe tests shall be conducted by an appropriately
certified individual who is independent of the lead hazard control
contractor. Dust-wipe and soil samples, and any paint samples to be
analyzed by a laboratory, must be analyzed by a laboratory recognized
by the EPA National Lead Laboratory Accreditation Program (NLLAP).
Units treated shall not be reoccupied until clearance is achieved.
(2) Blood lead testing. Before lead hazard control work begins,
each occupant who is under six years old must be tested for lead
poisoning within the six months preceding the housing intervention. Any
child with an elevated blood lead level must be referred for
appropriate medical follow-up. The standards for such testing are
described in the Centers for Disease Control and Prevention
publications Preventing Lead Poisoning in Young Children (1991), and
Screening Young Children for Lead Poisoning: Guidance for State and
Local Public Health Officials (1997).
(N) Cooperation With Related Research and Evaluation. You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
EPA or other government agency and associated with this grant program,
including preservation of project data and records and compiling
requested information in formats provided by the researchers,
evaluators or HUD. This also may include the compiling of certain
relevant local demographic, dwelling unit, and participant data not
contemplated in your original proposal. Participant data shall be
subject to Privacy Act protection.
(O) Data collection. You will be required to collect and maintain
the data necessary to document the various lead hazard control methods
used and the relative cost of these methods.
(P) Section 3 Employment Opportunities. Please see Section II(E) of
the General Section of the SuperNOFA. The requirements of Section 3 of
the Housing and Urban Development Act of 1968 are applicable to the
Lead-Based Paint Hazard Control Program.
(Q) Replacing Existing Resources. Funds received under this grant
program should not be used to replace existing community resources
dedicated to any ongoing project.
(R) Certifications and Assurances. You must include the
certifications and assurances listed in the General Section of the
SuperNOFA with your application.
(S) Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if you use grant funds in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
V. Application Selection Process
(A) Rating and Ranking. HUD intends to fund the highest ranked
applications within the limits of funding, but reserves the right to
advance other eligible applicants in funding rank. A decision to
advance an applicant will be based on programs that: foster innovative
local approaches or lead hazard control methods.
(B) Award Offers. In the selection process, once available funds
have been allocated to meet the requested or negotiated amounts of the
top eligible applicants, HUD reserves the right to
[[Page 11859]]
offer any residual amount as partial funding to the next eligible
applicant, provided HUD is satisfied that the residual amount is
sufficient to support a viable, though reduced effort, by such
applicant(s). If you are an applicant offered a reduced grant amount
you will have a maximum of seven (7) calendar days to accept such a
reduced award. If you fail to respond within the seven day limit, you
shall be considered to have declined the award.
(C) Budget. HUD will evaluate your proposed budget (for a 36 month
period for previously unfunded applicants and a 30 month period for
existing grantee applicants) to determine if it is reasonable, clearly
justified, and consistent with the intended use of grant funds. HUD is
not required to approve or fund all proposed activities. You may devote
up to 36 months (30 months for existing grantee applicants) for the
planning, implementation, and completion of lead hazard control
activities. You must thoroughly document and justify all budget
categories and costs (Part B of Standard Form 424A).
(D) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are stated below. The maximum number of points to be awarded is
102. This maximum includes two EZ/EC bonus points as described in the
General Section of the SuperNOFA. Also, Section III(C)(2) of the
General Section, which addresses a court-ordered consideration, is
applicable to this program.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 points for previously unfunded
applicants; 30 points for existing grantees)
This factor addresses your organizational capacity necessary to
successfully implement the proposed activities in a timely manner. The
rating of the ``applicant'' or the ``applicant's staff'' for technical
merit or threshold compliance, unless otherwise specified, includes any
community-based organizations, sub-contractors, consultants, sub-
recipients, and members of consortia which are firmly committed to your
project. In rating this factor, HUD will consider:
(1) Your recent, relevant and successful demonstrated experience
(including governmental and community-based partners) to undertake
eligible program activities. You must describe the knowledge and
experience of the proposed overall project director and day-to-day
program manager in planning and managing large and complex
interdisciplinary programs, especially involving housing
rehabilitation, public health, or environmental programs. You must
demonstrate that you have sufficient personnel or will be able to
quickly retain qualified experts or professionals, to immediately begin
your proposed work program and to perform your proposed activities in a
timely and effective fashion. In the narrative response for this
factor, you should include information on your program staff, their
experience, commitment to the program, salary information, and position
titles. Resumes (for up to three key personnel), position descriptions,
and a clearly identified organizational chart for the lead hazard
control grant program effort must be included in an appendix. Indicate
the percentage of time that key personnel will devote to your project.
To receive maximum points, your day-to-day program manager must be
dedicated for a minimum of 75% of the time. Describe how other
principal components of your agency or other organizations will
participate in or otherwise support the grant program. You may
demonstrate capacity by thoroughly describing your prior experience in
initiating and implementing lead hazard control efforts and/or related
environmental, health, or housing projects. You should indicate how
this prior experience will be used in carrying out your proposed
comprehensive Lead-Based Paint Hazard Control Grant Program.
(2) If you have received previous HUD Lead-Based Paint Hazard
Control Grant funding, your past experience will be evaluated in terms
of progress under the most recent previous grant. You must provide a
description of your progress in implementing your most recent grant
award within the period of performance, including the total number of
housing units completed as of the most recent calendar quarter.
Rating Factor 2: Needs/Extent of the Problem (20 points)
This factor addresses the extent to which there is a need for the
proposed program activities to address a documented problem in the
target area.
(1) Document a critical level of need for your proposed activities
in the area where activities will be carried out. Since an objective of
the program is to prevent at-risk children from being poisoned,
specific attention must be paid to documenting such need as it applies
to the targeted areas, rather than the entire locality or state. If the
target area is an entire locality or state, then documenting need at
this level is appropriate. So the threat to your jurisdiction's
children can be thoroughly assessed, you should describe the need in
both the target areas as well as the entire jurisdiction.
(2) Document the following:
(a) Numbers and percentages of children with elevated blood lead
levels, particularly in the areas targeted in your proposal;
(b) Economic and demographic data relevant to the target area,
including poverty and unemployment rates;
(c) Housing market data available from HUD, or other data sources,
including the Consolidated Plan/Analysis of Impediments, Public Housing
Authority's Five Year Comprehensive Plan, State or local Welfare
Department's Welfare Reform Plan;
(d) Other data relevant to the target area or jurisdiction that may
document an unmet need. These data may include the number of lead
poisoned children where the identified lead-based paint hazards have
not been remediated, the number of lead-based paint health and/or
housing code violations, or the number of pre-1978 housing units
anticipated to undergo rehabilitation in the next 12 months; or
(3) To the extent that statistics and other data contained in your
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI) support the extent of the problem, you should
include references to the Consolidated Plan and the AI in your
response.
(4) Provide information on your jurisdiction, and, the areas
targeted for the lead hazard control activities (data may be available
in your currently approved Consolidated Plan, derived from 1990 Census
Data, or special local studies):
(a) The age and condition of housing;
(b) The number and percentage of very-low (income less than 50% of
the area median) and low (income less than 80% of the area median)
income families, as determined by HUD, with adjustments for smaller and
larger families;
(c) The number and proportion of children under six years (72
months) of age at risk of lead poisoning;
(d) The extent of the lead poisoning problem in children under six
years of age in target areas and the overall jurisdiction; and
(e) Other socioeconomic or environmental factors that demonstrate a
need to establish or continue lead hazard control work in your
jurisdiction.
(5) You also must provide documentation of the priority that the
[[Page 11860]]
community's Consolidated Plan and Analysis of Impediments has placed on
addressing the needs you described.
(6) If your application addresses needs that are in the
Consolidated Plan, Analysis of Impediments to Fair Housing Choice,
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements, you will receive more points than
applicants that do not relate their program to identified needs.
(7) For you to receive maximum points for this factor, there must
be a direct relationship between your proposed activities, community
needs, and the purpose of the program funding. If the data presented in
your response does not specifically represent your target area, you
should discuss why the target areas were proposed.
Rating Factor 3: Soundness of Approach (45 points for previously
unfunded applicants and 30 points for existing grantees)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. You should present information on your proposed
lead-based paint hazard control program and describe how it will
satisfy the identified needs. To the extent possible, describe a
comprehensive strategy to address the need to protect targeted
neighborhoods rather than individual units or homes. Your response to
this factor must include the following elements:
(1) Lead Hazard Control Strategy (37 points for previously unfunded
applicants; 22 points for existing grantees). Describe your strategy to
plan and execute your lead hazard control grant program. You should
provide information on:
(a) Implementing a Lead Hazard Control Program (16 points for
previously unfunded applicants; 8 points for existing grantees).
Describe how you will implement the strategy for your proposed lead
hazard control program. The description must include information on:
(i) How your previous experience in reducing or eliminating lead-
based paint hazards in conjunction with other Federal, State or locally
funded programs will facilitate such implementation.
(ii) Your overall strategy for the identification, selection,
prioritization, and enrollment of units of eligible privately-owned
housing for lead hazard control. Describe the proposed activities that
will occur in an EZ/EC and how they will benefit the residents of those
zones or communities. Provide estimates of the total number of owner
occupied and/or rental units which will receive lead hazard control.
You should describe how you will respond to the needs of EBL children
located outside the targeted areas.
(iii) The degree to which the work plan focuses on eligible
privately-owned housing units with children under six years (72 months)
old. Describe your planned approach to control lead hazards before
children are poisoned and/or to control lead hazards in units where
children have already been identified with an elevated blood lead
level. Describe your process for referring and tracking children with
elevated blood lead levels for medical case management. Provide
estimates of the number of children you will assist through this
program.
(iv) The financing strategy, including eligibility requirements,
terms, conditions, and amounts available, you will use in carrying out
lead hazard control activities. You must discuss the way these funds
will be administered (e.g. use of grants, deferred loans, forgivable
loans, other resources, private sector financing, etc.), as well as the
agency that will administer the financing process. Describe any
matching requirements proposed for assistance to investor-owned
properties. Investor-owner match that is a program requirement should
also be reflected in your response to Factor 4.
(v) You should describe how your proposed program will satisfy the
stated needs or will assist in addressing the impediments in the AI.
Describe how your proposed program will further and support the policy
priorities of the Department, including promoting healthy homes;
providing opportunities for self-sufficiency, particularly for persons
enrolled in welfare to work programs; or providing educational and job
training opportunities. Describe how your strategy will provide long-
term benefits to families with children under six years of age.
(b) Lead Hazard Control Outreach and Community Involvement (5
points for all applicants). Your application must describe:
(i) Proposed methods of community education. These may include
community awareness, education, training, and outreach programs in
support of the work plan and objectives. This description should
include general and/or targeted efforts undertaken to assist your
program in reducing lead exposure. Programs should be culturally
sensitive, targeted, and linguistically appropriate. Upon request, this
would include making materials available in alternative formats to
persons with disabilities (e.g., Braille, audio, large type), and in
other languages common to the community to the extent possible.
(ii) How you intend to involve neighborhood or community-based
organizations in your proposed activities. Your activities may include
training, outreach, community education, marketing, inspection
(including dust lead testing), and the conduct of lead hazard control
activities. HUD will evaluate the level of substantive involvement
during the review process.
(iii) Outreach strategies and methodologies to affirmatively
further fair housing and provide lead-safe housing to all segments of
the population: homeowners, owners of rental properties, and tenants.
Once the population to which outreach will be ``targeted'' is
identified, outreach strategies directed specifically to them should be
multifaceted. This criterion goes beyond testing and hazard control; it
concerns what happens to the units after lead hazard control activities
are completed and tries to ensure, for the long term, that all families
will have adequate, lead-safe housing choices.
(c) Technical Approach for Conducting Lead Hazard Control
Activities (16 points for previously unfunded applicants; 9 points for
existing grantees).
(i) Describe your process for the conduct of risk assessments and/
or inspections in units of eligible privately-owned housing in which
you will undertake lead hazard control. You may include housing which
has a valid risk assessment or inspection which had been previously
performed by certified inspectors or risk assessors, in accordance with
the HUD Guidelines and identified with lead-based paint hazards.
(ii) Describe your testing methods, schedule, and costs for
performing blood lead testing, risk assessments and/or inspections to
be used. If you propose to use a more restrictive standard than the HUD
thresholds (e.g., 0.5% or 1.0 mg/cm2), identify the lead-based paint
threshold for undertaking lead hazard control which will be used. All
testing shall be performed in accordance with the HUD Guidelines.
(iii) Describe the lead hazard control methods you will undertake
and the number of units you will treat for each method selected
(interim controls, hazard abatement, and complete abatement). Provide
an estimate of the per unit costs (and a basis for those estimates) for
each lead hazard control method proposed and a schedule for initiating
and completing lead hazard control work in the selected units. Discuss
efforts to incorporate cost-
[[Page 11861]]
effective lead hazard control methods (if you propose complete
abatement, provide HUD with a detailed rationale for that decision).
Explain your cost estimates, providing detail on how the estimates were
developed, with particular references to cost effectiveness.
(iv) Schedule. Describe your expected schedule for the overall
project. Discuss when you plan to complete planning and receive
approval of your workplan; perform lead hazard control on your first
unit; and complete lead hazard control on all units in your workplan
and grant agreement.
Describe the schedule for a typical unit which will receive lead
hazard control. Discuss the duration for enrollment and qualification;
evaluation; hazard control; and clearance.
(v) Describe how you will integrate proposed lead hazard control
activities with rehabilitation activities, including the training
needed to create a workforce properly trained in lead-safe work
practices for units being treated under other HUD programs.
(vi) Describe your contracting process, including development of
specifications for selected lead hazard control methods. Describe the
management processes you will use to ensure the cost-effectiveness of
your lead hazard control methods. Your application must include a
discussion of the contracting process for the conduct of lead hazard
control activities in the selected units.
(vii) Describe your plan for occupant protection or the temporary
relocation of occupants of units selected for lead hazard control work.
You should address the use of safe houses and other housing
arrangements, storage of household goods, stipends, incentives, etc.
(viii) If you are an existing grantee, you must describe the
actions you will take to ensure that your proposed lead hazard control
work will occur concurrently with other ongoing HUD lead hazard control
grant work. Your application must provide the detail necessary to
assure HUD that you will implement the proposed work immediately and
perform it concurrently with existing lead hazard control grant work.
(ix) If you are an existing grantee, you must describe your
progress in implementing your most recent lead hazard control grant
award. If the production achieved is below the performance values
(percentages of units completed) provided in the application kit, and
no changes are proposed, you should explain why the strategy in the
earlier grant remains appropriate. Failure to provide this discussion
will result in reduced points for this subfactor.
(2) Economic Opportunity (4 points for all applicants). Describe
the ways you will train individuals and contractors in housing related
trades, such as painters, remodelers, renovators, maintenance
personnel, and rehabilitation specialists, and others in lead-safe
practices. Describe how you will integrate such practices into lead
hazard control activities including interim control work conducted on
HUD assisted housing units being treated under the provisions of the
HUD Lead-Safe Housing Regulation.
Describe the methods to be used to provide economic opportunities
for residents and businesses in the community. This discussion should
include information on how you will promote training, employment,
business development, and contract opportunities as part of your lead
hazard control program. Describe how you will accomplish the
requirements of section 3 of the Housing and Urban Development Act of
1968 to give preference to hiring of low-and very low-income persons or
contracting with businesses owned by or employing low-and very low-
income persons.
(3) Program Evaluation, Data Collection, and Research (4 points for
all applicants).
(a) Identify and discuss the specific methods and measures you will
use (in addition to HUD reporting requirements) to measure progress,
evaluate program effectiveness, and identify program changes necessary
to improve performance. Describe how you will obtain, document and
report the information.
(b) Provide a detailed description of any proposed applied research
activities. Describe the objectives, methodology and impact at the
local level of the proposed research activities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to obtain other community
resources (financing is a community resource) and private resources
that can be combined with HUD's program resources to achieve program
objectives.
(1) In evaluating this factor, HUD will consider the extent to
which you have established working partnerships with other entities to
get additional resources or commitments to increase the effectiveness
of the proposed program activities. Resources may include cash or in-
kind contributions (such as services or equipment) allocated to the
proposed program. Resources may be provided by governmental entities,
public or private organizations, or other entities partnering with you.
Leveraging arrangements with investor-owners may have the benefits of
increasing the efficiency of public lead hazard expenditures and
creating a financial stake for investor owners in the quality of lead
hazard control work. In advance of the actual agreements with investor-
owners, however, it may be difficult to predict the precise amount of
contributions they will generate. Contractual or other formal
relationships with community-based organizations are a requirement for
State and local government applicants. Applicants which do not have
such partnerships at the time of application will be required to
establish partnership relationships with community-based organizations
immediately following notification of grant award (this requirement
does not apply to you if you are an Indian Tribe applicant). You also
may partner with other program funding recipients to coordinate the use
of resources in your target area.
(2) You should detail any activities to increase the understanding
of lead poisoning prevention activities in your community. This could
include partnerships with childhood lead screening programs or
collaboration with ongoing health, housing or environmental research
efforts which could result in a greater availability of resources.
(3) Matching funds must be shown to be specifically dedicated to
and integrated into supporting the lead-based paint hazard control
program. You may not include funding from any Federally funded program
(except the CDBG program) as part of your required 10% match. Other
resources committed to the program that exceed the required 10% match
will provide points for this rating factor and may include funds from
other Federally funded programs. You must support each source of
contributions, cash or in-kind, both for the required minimum and
additional amounts, by a letter of commitment from the contributing
entity, whether a public or private source. This letter must describe
the contributed resources that you will use in the program. Staff in-
kind contributions should be given a monetary value. If you do not
provide letters specifying details and the amount of the actual
contributions, those contributions will not being counted. Matching
contributions required of investor-owners may be included as part of
your match. Documentation and estimates for the amount of the match
should be provided in the annex for this factor.
[[Page 11862]]
(4) For meeting the required match, you must provide evidence of
leveraging or partnerships by including letters of firm commitment,
memoranda of understanding, or agreements to participate from those
entities identified as partners in your application. Each letter of
commitment, memorandum of understanding, or agreement to participate
should include the organization's name, the proposed level of
commitment and responsibilities as they relate to your proposed
program. The commitment must be signed by an official of the
organization legally able to make commitments on behalf of the
organization. Describe the role of community-based organizations in
specific program activities, such as hazard evaluation and control;
monitoring; and awareness, education, and outreach within the
community.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address current and future needs by using available HUD and
other community resources. In evaluating this factor, HUD will consider
how you have:
(1) Coordinated your proposed activities with those of other groups
or organizations to best support and coordinate all known activities
and the specific steps you will take to share information on solutions
and outcomes with others. Any written agreements or memoranda of
understanding in place or proposed should be described. You should, at
a minimum, describe the activities, in your metropolitan area or
region, of other HUD Lead-Based Paint Hazard Control grantees, Centers
for Disease Control and Prevention (CDC) Childhood Lead Poisoning
Prevention grantees, HUD or EPA Lead Outreach and Education grantees,
and other programs which are addressing lead poisoning prevention
needs. Coordination also includes providing technical assistance and
training to neighboring or regional jurisdictions to facilitate the
implementation of lead-based paint hazard control activities in those
jurisdictions.
(2) Become actively involved (or if not currently active, the
specific steps it will take to become active) in your community's
Consolidated Planning and Analysis of Impediments process established
to identify and address a need/problem that is related in whole, or
part, directly, or indirectly to the activities you propose.
(3) Developed linkages, or the specific steps you will take to
develop linkages with other activities, programs or projects through
meetings, information networks, task forces, planning processes or
other mechanisms to coordinate your activities so solutions are
comprehensive, including linkages with:
(a) Other HUD funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other HUD, Federal, State or locally funded activities,
including those proposed or on-going in the community(s) served.
(4) Coordinated and integrated lead hazard control work with
housing rehabilitation, housing and health codes, other related housing
programs, or including work of community development corporations and
childhood lead poisoning prevention programs.
(a) Describe the degree to which lead hazard control work will be
done in conjunction with other housing-related activities (i.e.,
rehabilitation, weatherization, correction of code violations, and
other similar work), or your plan for the integration and coordination
of lead hazard control activities into those activities in the future.
(b) Describe plans to incorporate lead-based paint maintenance,
essential maintenance practices, and hazard control standards with the
applicable housing codes and health regulations, including training of
workers to conduct such activities.
(c) Describe plans to generate and use public subsidies or other
resources (such as revolving loan funds) to finance future lead hazard
control activities.
(d) Describe plans to develop public-private lending partnerships
to finance lead hazard control as part of acquisition and
rehabilitation financing including the use of Community Reinvestment
Act ``credits'' by lending institutions.
(e) Evidence firm commitments from participating organizations by
describing:
(i) The name of each organization;
(ii) The capabilities or focus of each organization;
(iii) The proposed level of effort of each organization; and
(iv) The resources and responsibilities of each organization,
including the applicant's clearly proposed plans for the training and
employment of low-income residents.
(f) Described specific plans and objectives to implement a registry
of lead-safe housing into your community's planning. Such plans could
include strategies on how the information would be managed and made
available to the public so that families (particularly low income
families with children under age six) can make informed decisions
regarding their housing options. Existing grantee applicants must
address any registry of lead-safe housing and specifically discuss the
availability, amount of information contained, and the use by members
of the community. Describe your plans to develop and maintain a
registry of publicly available information on lead-safe units.
(g) Detail the extent to which the policy of affirmatively
furthering fair housing for all segments of the population is advanced
by the proposed activities. Detail how your proposed work plan will
support the community's efforts to further housing choices for all
segments of the population. If you have an existing grant, you should
discuss activities which have contributed to enhanced lead safe housing
opportunities to all segments of the population.
(h) Describe plans to adopt or amend statutes, regulations, or
policies which will more fully integrate lead hazard control into
community policies and priorities.
(5) Describe how the lead hazard control efforts which are focused
in the Empowerment Zone/Enterprise Community will directly benefit the
residents or community in that EC/EZ.
(6) Describe efforts to coordinate and cooperate with other
organizations which will lead to a reduction in lead risks to community
residents. This could include such activities as free training to
create a workforce properly trained in lead safe work practices, lead-
safe repainting and remodeling; promotion of essential maintenance
practices; and provision of lead dust testing to low-income, privately-
owned homes which may not receive lead hazard control assistance under
this grant program.
VI. Application Submission Requirements
(A) Applicant Information. (1) Application Format. The application
narrative response to the Rating Factors is limited to a maximum of 25
pages. Your response must be typewritten on one (1) side only on 8 1/
2'' x 11'' paper using a 12 point (minimum) font with not less than 3/
4'' margins on all sides. Appendices should be referenced and discussed
in the narrative response. Materials provided in the appendices should
directly apply to the rating factor narrative.
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(2) Application Checklist. Your application must contain the items
listed in this Section VI(A)(B). These items include the standard
forms, certifications, and assurances listed in the General Section of
the SuperNOFA that are applicable to this funding (collectively,
referred to as the ``standard forms''). The standard forms can be found
in Appendix B to the General Section of the SuperNOFA. The remaining
application items that are forms (i.e., excluding such items as
narratives, letters), referred to as the ``non-standard forms'' can be
found as Appendix A to this program section of the SuperNOFA. The
application items are as follows:
(a) Transmittal Letter that identifies ``the applicant'' (or
applicants) submitting the application, the dollar amount requested,
what the program funds are requested for, and the nature of involvement
with community-based organizations.
(b) The name, mailing address, telephone number, and principal
contact person of ``the applicant.'' If you have consortium associates,
sub-grantees, partners, major subcontractors, joint venture
participants, or others contributing resources to your project, you
must provide similar information for each of these partners.
(c) Checklist and Submission Table of Contents.
(d) Applicant Abstract. An abstract describing the goals and
objectives of your proposed program (2 page maximum).
(e) Standard Form 424, Application for Federal Assistance.
(f) HUD 424M, Federal Assistance Funding Matrix.
(g) A detailed budget (total budget is the federal share and
matching contribution) with supporting cost justifications for all
budget categories of your grant request. You must provide a separate
estimate for the overall grant management element (Administrative
Costs), which is more fully defined in the application kit for this
program section of the SuperNOFA. The budget shall include not more
than 10% for administrative costs and not less than 90% for direct
project elements. A minimum of 60% of the total Federal amount
requested must be dedicated to direct lead hazard control activities. A
minimum of 2% of the total Federal amount must be dedicated to
activities to create a workforce properly trained in lead-safe work
practices. In the event of a discrepancy between grant amounts
requested in various sections of the application, the amount you
indicate on the SF-424 will govern as the correct value.
(h) An itemized breakout (using the SF-424A) of your required
matching contribution, including:
--Values placed on donated in-kind services;
--Letters or other evidence of commitment from donors; and
--The amounts and sources of contributed resources.
(i) Standard Forms SF-LLL and SF-424B, and HUD Forms 2880, 2990,
2991, 2992, 2993, 2994, 50070 and 50071.
(j) Contracts, Memoranda of Understanding or Agreement, letters of
commitment or other documentation describing the proposed roles of
agencies, local broad-based task forces, participating community or
neighborhood-based groups or organizations, local businesses, and
others working with the program.
(k) A copy of the lead hazard control element included in your
current program year's Consolidated Plan. You should include the
discussion of any lead-based paint issues in your jurisdiction's
Analysis of Impediments, particularly as it addresses your target
areas.
(l) Narrative responses to the five rating factors.
(B) Proposed Activities. All applications must, at a minimum,
describe the proposed activities in the narrative responses to the
rating factors. Your narrative statement must be numbered in accordance
with each factor for award (Rating Factors 1 through 5).
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with HUD regulations in 24 CFR part 58, recipients of
lead-based paint hazard control grants will assume Federal
environmental review responsibilities. Recipients of a grant under this
funded program will be given guidance in these responsibilities.
IX. Authority
The Lead-Based Paint Hazard Control Program is authorized by
section 1011 of the Residential Lead-Based Paint Hazard Reduction Act
of 1992 (Title X of the Housing and Community Development Act of 1992).
Appendix A
The non-standard forms, which follow, are required for your
Lead-Based Paint Hazard Control Program application. They are the
Checklist and Submission Table of Contents and the Total Budget
(Federal Share and Matching Contribution, including instructions).
BILLING CODE 4210-32-P
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Notices
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Notices
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FUNDING AVAILABILITY FOR HEALTHY HOMES RESEARCH PROGRAM OVERVIEW
Purpose of the Program. To fund research to improve methods for
detecting and controlling residential environmental health and safety
(EHS) hazards. The purpose of the Healthy Homes Initiative is to
develop, demonstrate and promote cost effective, preventive measures to
correct multiple safety and health hazards in the home environment
which produce serious diseases and injuries in children.
Available Funds. Approximately $1.5 million.
Eligible Applicants. Academic and not-for-profit institutions
located in the U.S., State and local governments, and Federally-
recognized Indian tribes are eligible to apply. For-profit firms also
are eligible; however, they are not allowed to earn a fee.
Application Deadline. May 17, 2001.
Match. None required.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit an original and four copies of your
completed application on or before 12:00 midnight, Eastern time, on May
17, 2001, at the address shown below.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Address for Submitting Applications. For Mailed Applications. The
address for mailed applications is: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control, 451
Seventh Street, SW, Room P3206, Washington, DC 20410.
For Overnight/Express Mail or Hand Carried Applications. The
address for applications that are hand carried or sent via overnight/
express mail delivery is: HUD Office of Healthy Homes and Lead Hazard
Control, Suite 3206, 490 L'Enfant Plaza, SW, Washington, DC 20024. Hand
carried applications will be accepted at this address (490 L'Enfant) up
until 5:00 pm on the application due date.
After 5:00 pm on the application due date, hand carried
applications will be accepted until 12:00 midnight, in the South Lobby
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929. Persons with speech or
hearing impairments may call the Center's TTY number at 1-800-HUD-2209.
When requesting an application kit, please refer to the Healthy Homes
Research grant program. Please be sure to provide your name, address
(including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. You may contact:
Ms. Ellen Taylor, Office of Healthy Homes and Lead Hazard Control, at
the address above; telephone (202) 755-1785, extension 116, or Ms.
Karen Williams, Grants Officer, extension 118 (these are not toll-free
numbers). Hearing- and speech-impaired persons may access the above
telephone number via TTY by calling the toll-free Federal Information
Relay Service at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
Approximately $1.5 million will be available to fund research
proposals in FY 2001. Grants or cooperative agreements will be awarded
on a competitive basis according to the Rating Factors described in
Section V(B). HUD anticipates awarding three to five grants ranging
from approximately $200,000 to approximately $600,000.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. Background. In the FY 2001 Budget, HUD
received a third year of funding to continue the Healthy Homes
Initiative (sometimes referred to as the ``Initiative'' or ``HHI'')
that protects children from housing conditions responsible for multiple
diseases and injuries. The Initiative departs from the more traditional
approach of attempting to correct one hazard at a time (e.g., asbestos,
radon). In April 1999, HUD submitted to Congress a preliminary plan
containing a full description of the Initiative. This description
(Summary and Full Report) is available on the HUD website at
www.hud.gov/offices/lead.
In addition to deficiencies in basic housing facilities that may
impact health, changes in the U.S. housing stock and more sophisticated
epidemiological methods and biomedical research have led to the
identification of new and often more subtle health hazards in the
residential environment (e.g., indoor air quality hazards). While such
hazards will tend to be found disproportionately in housing that is
substandard (e.g. structural problems, lack of adequate heat, etc.),
such housing-related environmental hazards may also exist in housing
that is otherwise of good quality. Appendix A to this Healthy Homes
Research program section of the SuperNOFA briefly describes the
housing-associated health and injury hazards HUD considers key targets
for intervention. Appendix B to this Healthy Homes Research program
section of the SuperNOFA lists the references that serve as the basis
for the information provided in this Healthy Homes Research section of
this SuperNOFA.
HUD is interested in promoting approaches that are cost-effective
and efficient and that result in the reduction of health threats for
the maximum number of residents for the long run, and in particular
low-income children. The overall goals and objectives of the HHI are:
(1) Mobilize public and private resources, involving cooperation
among all levels of government, the private sector, and community-based
organizations to develop the most promising, cost-effective methods for
identifying and controlling housing-based hazards.
(2) Build local capacity to operate sustainable programs that will
continue to prevent and, where they occur, minimize and control
housing-based hazards in low and very low income residences when HUD
funding is exhausted.
(3) Affirmatively further fair housing and environmental justice.
HUD recognizes that there are many key scientific and implementation
questions related to this Initiative, some of which were articulated in
the HHI Preliminary Plan. With this NOFA, HUD hopes to advance the
recognition and control of residential environmental health and safety
hazards and more closely examine the link between housing and health.
(B) Eligible Applicants. Academic and not-for-profit institutions
located in the U.S., State and local governments and Federally-
recognized Indian tribes are eligible under all existing
authorizations. For-profit firms also are eligible; however, they are
not allowed to earn a fee (i.e., no profit can be made
[[Page 11876]]
from the project). Federal agencies and Federal employees are not
eligible to submit applications. The General Section of the SuperNOFA
provides additional eligibility requirements.
(C) Eligible Activities. (1) General Goals and Objectives. The
overall goal of this research is to gain knowledge to improve the
efficacy and cost-effectiveness of methods for evaluation and control
of environmental health and safety hazards in the home. Through the
Healthy Homes Initiative, HUD is assessing and promoting new risk
reduction techniques and research on the control of key hazards
described in Appendix A. Objectives to be addressed by these projects
are:
(a) Investigation of the epidemiology of housing-related hazards
and illness and injury.
(b) Development and assessment of low-cost test methods and
protocols for identification and assessment of housing-related hazards.
(c) Development and assessment of cost-effective methods for
reducing or eliminating housing-related hazards.
(d) Evaluation of the effectiveness of housing interventions and
public education campaigns, and barriers and incentives affecting
future use of the most cost-effective strategies.
(f) Investigation of the environmental health effects on children
living in deteriorated housing and the impact on their development and
productivity.
A table of examples of current Healthy Homes and lead-related
research projects being funded by HUD can be found in Appendix C.
(2) HUD is interested in the following research topics:
(a) Evaluation of residential Environmental Health and Safety (EHS)
hazard control methodologies.
--Controlling excess moisture and dust, and improving indoor air
quality (e.g., controlling combustion products) have been identified as
key areas in the HHI Preliminary Plan.
(b) Low-cost analytical techniques for the rapid, on-site
determination of environmental contaminants of concern (e.g.,
bioaerosols, pesticides, allergens).
--Establish and validate any necessary procedures, such as extraction
and/or digestion, that would work well with the field device/procedure.
--Examine old technology (e.g., colorimetric tests, titrimetric
procedures) as well as newer techniques.
--Consider the safety and environmental impacts of the procedure,
particularly as used in the field.
(c) New or Novel Methods of EHS Hazard Evaluation or Control, or
other areas of research that are consistent with the overall goals of
this research program section of the SuperNOFA.
--Identify and evaluate new methods and/or techniques for EHS hazard
control in the residential environment.
--Identify materials and/or procedures that may be used for abatement
or for interim controls.
--Show the potential utility of these methods for hazard control and
risk reduction.
--Evaluate critical elements and potential weaknesses of the methods or
techniques, and address how to minimize the effect of each critical
element and/or eliminate or mitigate each weakness.
--Demonstrate where and how these methods have been applied and tested,
and/or perform demonstration activities.
--Illustrate the results obtained, and the costs involved.
--Recommend cost-effective changes to the Program for inclusion in
future HUD Healthy Homes Initiative grants.
--Additional ideas will be considered with an open mind toward novel
techniques and applications.
Although HUD is soliciting proposals for research on these specific
topics, the Department will also consider funding applications for
research on topics which are relevant under the overall goals and
objectives of this research, as described above. In such instances, the
applicant should describe how the proposed research activity addresses
these overall goals and objectives.
Applicants should consider the efficiencies that might be gained by
working cooperatively with some of the recipients of HUD Healthy Homes
and Lead Hazard Control grants, who are widely distributed throughout
the U.S. Information on current grantees is available at www.hud.gov/offices/lead.
You may address one or more of the research topic areas within your
proposal, or submit separate applications for different topic areas.
Projects need not address all of the objectives within a given topic
area.
IV. Program Requirements.
(A) Applicable Requirements. Please refer to Section II of the
General Section of the SuperNOFA, Requirements and Procedures
Applicable to All Programs. The threshold requirements are listed in
Section II.B of the General Section of this SuperNOFA.
(B) Certifications and Assurances. In addition to the
certifications mentioned in the Section II(G) of the General Section of
the SuperNOFA, you must comply with the following:
(1) All relevant State and Federal regulations regarding exposure
to and proper disposal of hazardous materials.
(2) Any blood lead testing, blood lead level test results, and
medical referral and follow-up for children under six years of age will
be conducted according to the recommendations of the Centers for
Disease Control and Prevention (CDC) Preventing Lead Poisoning in Young
Children, (See Appendix B of this research program section of the
SuperNOFA).
(3) HUD research grant funds will not replace existing resources
dedicated to any ongoing project.
(4) Laboratory analysis covered by the National Lead Laboratory
Accreditation Program (NLLAP) will be conducted by a laboratory
recognized under the program.
(5) Human research subjects will be protected from research risks
in conformance with Federal Policy for the Protection of Human
Subjects, codified by HUD at 24 CFR part 60.
(6) The requirements of OSHA (e.g., 29 CFR part 1910 and/or 1926,
as applicable), or the State or local occupational safety and health
regulations, whichever are most stringent, will be met.
(C) Period of Performance. The period of performance cannot exceed
36 months from the time of award.
V. Application Selection Process
(A) Submitting Applications for Grants. Applications that meet all
of the threshold requirements will be eligible to be scored and ranked,
based on the total number of points allocated for each of the rating
factors described below in Section V(B) of this program section of the
SuperNOFA. Your application must receive a total score of at least 65
points to remain in consideration for funding.
Awards will be made in rank order, within the limits of funding
availability.
You may address more than one of the research topic areas within
your proposal, or submit separate applications for different topic
areas. Projects need not address all of the objectives within a given
topic area. While you will not be penalized for not addressing all of
the specific objectives for a given topic area, if two applications for
research in a given topic have equal scores, HUD will select the
applicant whose project addresses the most objectives.
You are encouraged to plan projects that can be completed over a
short time period (e.g., 12 to 24 months from the date of award) so
useful information generated from the research can be available for
policy or program
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decisions and disseminated to the public as quickly as possible.
Regarding the amount to be awarded to the selected applicants,
please refer to the Negotiations section in the General Section of this
SuperNOFA.
(1) Use of Residual Funds. In the selection process, HUD reserves
the right to offer partial funding to any or all applicants. If you are
offered a reduced grant amount, you will have a maximum of seven (7)
calendar days to accept such a reduced award. If you fail to respond
within the seven day limit, you shall be considered to have declined
the award.
(B) Rating Factors. The factors for rating and ranking applicants,
and maximum points for each factor, are provided below. The maximum
number of points to be awarded is 100. The EZ/EC bonus points described
in the General Section of the SuperNOFA do not apply to this Research
NOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses the extent to which you have the ability and
organizational resources necessary to successfully implement your
proposed activities in a timely manner. The rating of you, the
``applicant,'' will include any sub-grantees, consultants, sub-
recipients, and members of consortia that are firmly committed to the
project (generally, ``subordinate organizations''). In rating this
factor HUD will consider the extent to which your application
demonstrates:
(1) The capability and qualifications of the principal investigator
and key personnel (10 points). Qualifications to carry out the proposed
study as evidenced by academic background, relevant publications, and
recent (within the past 10 years) relevant research experience.
Publications and research experience are considered relevant if they
required the acquisition and use of knowledge and skills that can be
applied in the planning and execution of the research that is proposed
under this program section of this SuperNOFA.
(2) Past performance of the research team in managing similar
research (10 points). Demonstrated ability to successfully manage
various aspects of a complex research study in such areas as logistics,
research personnel management, data management, quality control,
community research involvement (if applicable), and report writing, as
well as overall success in project completion (i.e., research completed
on time and within budget). You should also demonstrate that your
project would have adequate administrative support, including clerical
and specialized support in areas such as accounting and equipment
maintenance.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for your
proposed program activities to address documented problems, target
areas or target groups. In responding to this factor, you should
document in detail how your research would make a significant
contribution towards achieving some or all of HUD's stated goals and
objectives for one or more of the topic areas described in Sections III
(A) and (C)(2)(a)-(c) of this program section of the SuperNOFA.
(1) Your rating will be based on the scope and completeness of your
documentation which should include available data linking housing-based
hazards to disease or injuries to children. Examples of data that might
be used to demonstrate need include:
(a) Rates of childhood illnesses or injuries (e.g., asthma, burns)
that could be caused or exacerbated by exposure to conditions in the
home environment and/or rates of environmentally-related disease or
adverse health effects (e.g., hypertension, elevated blood lead levels)
that would be addressed by your research;
(b) Unavailability of other Federal, State or local funding or
private sector resources that could be, or is used, to address the
problem. This includes current research projects for which funding will
be terminated or significantly reduced in the next 12 months.
(c) Data documenting affected groups or areas that are
traditionally underserved or have special needs.
(2) If your application addresses needs that are in the
Consolidated Plan, Analysis of Impediments to Fair Housing Choice (AI),
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements, you will receive more points than
applicants that do not relate their program to identified need.
(3) In addition, if you are seeking funding for ``other'' research,
as is described in section III(C)(2)(c), you must document the
importance and need for the research with respect to addressing the
overall goal of this research program, and providing measurable
positive impact on children's health.
Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality of your proposed research plan.
Specific components include the following:
(1) Soundness of the study design (25 points). The project
description/study design must be thorough and feasible, and reflect
your knowledge of the relevant scientific literature. You should
include a plan for analyzing and archiving data. You should approach
your study design as a project with a goal, some activities with
associated tasks, a time frame, and an associated cost.
(2) Quality assurance mechanisms (8 points). You must describe the
quality assurance mechanisms which will be integrated into your
research design to ensure the validity and quality of the results.
Areas to be addressed include acceptance criteria for data quality,
procedures for selection of samples/sample sites, sample handling,
measurement and analysis, and any standard/nonstandard quality
assurance/control procedures to be followed. Documents (e.g.,
government reports, peer-reviewed academic literature) which provide
the basis for your quality assurance mechanisms should be cited.
(3) Project management plan (5 points). The proposal should include
a management plan that provides a schedule for the completion of major
activities, tasks and deliverables, with an indication that there will
be adequate resources (e.g., personnel, financial) to successfully meet
the proposed schedule. Projects with a duration of 24 months or less
will be awarded more points in this category than projects with a
longer duration.
(4) Project Evaluation (5 points). You are required to identify and
discuss the specific methods you will use to measure progress towards
your goals, track and report results of your research, and evaluate the
effectiveness of your project:
(i) Discuss the performance goals for your project and identify
specific outcome measures;
(ii) Describe how the outcome information will be obtained,
documented, and reported; and
(iii) Identify the major milestones for your project, and describe
how your progress towards these milestones will be tracked, recorded
and reported.
(5) Budget Proposal (2 Points). Your budget proposal should
thoroughly estimate all applicable direct and indirect costs, and be
presented in a clear and coherent format in accordance with the
requirements listed in the
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General Section of this SuperNOFA. HUD is not required to approve or
fund all proposed activities. Your budget should be submitted in the
format recommended; an electronic spreadsheet is available on HUD's
website, www.hud.gov/offices/lead. You must thoroughly document and
justify all budget categories and costs (Part B of Standard Form 424A)
and all major tasks, for yourself, sub-recipients, partners, major
subcontractors, joint venture participants, or others contributing
resources to the project. Your budget proposal should be activity and
task related.
Rating Factor 4: Leveraging Resources (10 Points)
Your proposal should demonstrate that the effectiveness of the HUD
research grant funds are being increased by securing other public and/
or private resources or by structuring the research in a cost-effective
manner, such as integrating the project into an existing research
effort. Resources may include funding or in-kind contributions (such as
services, facilities or equipment) allocated to the purpose(s) of your
research. Staff and in-kind contributions should be given a monetary
value.
You should provide evidence of leveraging/partnerships by attaching
to your application the following: letters of firm commitment,
memoranda of understanding, or agreements to participate from those
entities identified as partners in the research efforts. Each letter of
commitment, memorandum of understanding, or agreement to participate
should include the organization's name, proposed level of commitment
(with monetary value) and responsibilities as they relate to specific
activities or tasks of your proposed program. The commitment must also
be signed by an official of the organization legally able to make
commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
You should describe how the results of your proposed research
efforts will support planning, policy development, implementation of
healthy homes programs, and/or public education in the area of
residential EHS hazard control or in accordance with the goals and
operations of the Partnership for Advancing Technology in Housing
(PATH) (refer to Section VI(E) of the General Section of the
SuperNOFA). If your application involves a particular community, it
should relate to the community's Consolidated Plan and Analysis
Impediments to Fair Housing Choice. In addition, you should also
address the extent to which your research could be used to expand fair
housing choice and to affirmatively further fair housing.
VI. Application Submission Requirements
(A) Applicant Data. Your application must contain the items listed
in this Section (VI(A)). These items include the standard forms,
certifications, and assurances listed in the General Section of the
SuperNOFA that are applicable to this funding (collectively, referred
to as the ``standard forms''). The standard forms can be found in
Appendix B to the General Section of the SuperNOFA. The remaining
application items that are forms (i.e., excluding such items as
narratives), referred to as the non-standard forms can be found as
Appendix D to this program section of the SuperNOFA: The items are as
follows:
(1) Transmittal Letter that identifies what the research program
funds are requested for, the dollar amount requested, and the applicant
or applicants submitting the application. If two or more organizations
are working together on the research, a primary applicant must be
designated.
(2) Checklist and Submission Table of Contents (see Appendix D).
(3) The name, mailing address, telephone number, and principal
contact person of the prime applicant. If you have consortium
associates, sub-grantees, partners, major subcontractors, joint venture
participants, or others contributing resources to your project, similar
information must be provided for each of these entities.
(4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update
Report; Certification Regarding Lobbying; and/or SF-LLL, Disclosure of
Lobbying Activities, where applicable.
(5) Completed Standard Forms SF-424, 424M, 424A, 424B, and other
certifications and assurances listed in the General Section of the
SuperNOFA and in Section VII(B) of this program section of the
SuperNOFA.
(6) A detailed total budget with supporting cost justification for
all budget categories of the Federal grant request. Use the budget
format discussed in Section V(B) Rating Factor 3:5, above. (See
Appendix D.)
(7) A two-page (maximum) abstract containing the following
information: The project title, the names and affiliations of all
investigators, and a summary of the objectives, expected results, and
study design described in the proposal.
(8) A project description/narrative statement addressing the rating
factors for award of funding under this program section of the
SuperNOFA. The narrative statement must be numbered in accordance with
each factor for award (Rating Factors 1 through 5). The response to the
rating factors should not exceed a total of 25 pages for each research
topic area. Any pages in excess of this limit will not be read.
(9) Any important attachments, appendices, references, or other
relevant information may accompany the project description, but must
not exceed twenty (20) pages for the entire application. Any pages in
excess of this limit will not be read.
(10) The resumes of the principal investigator and other key
personnel. Resumes shall not exceed three pages each, and are limited
to information that is relevant in assessing the qualifications of key
personnel to conduct and/or manage the proposed research.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(1) and (5) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (42 U.S.C. 4321) and are not subject to environmental review
under the related laws and authorities.
IX. Authority
These grants are authorized under sections 1051 and 1052 of the
Residential Lead Based Paint Hazard Reduction Act of 1992, which is
Title X of the Housing and Community Development Act of 1992, sections
501 and 502 of the Housing and Urban Development Act of 1970, and the
Departments of Veterans Affairs and Housing and Urban Development, and
Independent Agencies Appropriations Act, 2001, Public Law 106-377,
approved October 27, 2000.
Appendix A
The following briefly describes the housing-associated health
and injury hazards HUD considers key targets for intervention:
Allergens and asthma: Experts estimate that 14 million Americans
have asthma, with an associated annual cost of $14 billion. Asthma
is now recognized as the leading cause of school and work absence,
emergency room visits and hospitalization. For
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sensitized children, exposure to antigens from dust mites, certain
pets, and cockroaches has been associated with more severe asthma.
There is a preponderance of evidence showing a dose-response
relationship between exposure and prevalence of asthma and
allergies; some evidence also indicates that exposure to antigens
early in life may predispose or hasten the onset of allergies and
asthma. Dust mites have been identified as the largest trigger for
asthma and allergies. Cockroach allergens appear to be excessive in
30-50% of inner-city housing and affect 5-15% of the population,
whereas dust mite appears to be the dominant allergen in other
environments.
Interventions known to have beneficial effects include
installation of impervious mattress and pillow covers, which can
reduce allergen exposure by 90%. Other dust mite control measures
include dehumidification, laundering bedding, and removal of carpets
and other dust sinks. Cleaning carpets with tannic acid solution has
also been demonstrated to greatly reduce dust mites. Asthma
prevention program costs have been estimated at about $500 per unit,
which includes about $150 for educational interventions.
Asbestos: Asbestos is a mineral fiber that has been used
commonly in a variety of building construction materials and
household products for insulation and as a fire-retardant. The
Environmental Protection Agency (EPA) and the Consumer Product
Safety Commission (CPSC) have banned most asbestos products.
Manufacturers have also voluntarily limited uses of asbestos. Today,
asbestos is most commonly found in older homes: in pipe and furnace
insulation materials, asbestos shingles, millboard, textured paints
and other coating materials, and floor tiles. Elevated
concentrations of airborne asbestos can occur when asbestos-
containing materials (ACM) are disturbed by cutting, sanding or
other remodeling activities. Improper attempts to remove these
materials can release asbestos fibers into the air in homes,
increasing asbestos levels and endangering people living in those
homes. The most dangerous asbestos fibers are too small to be
visible. After they are inhaled, they can remain and accumulate in
the lungs. Asbestos can cause lung cancer, mesothelioma (a cancer of
the chest and abdominal linings), and asbestosis (irreversible lung
scarring that can be fatal). Most people with asbestos-related
diseases were exposed to elevated concentrations on the job; some
developed disease from exposure to clothing and equipment brought
home from job sites. As with radon, dose-response extrapolations
suggest that lower level exposures, as may occur when asbestos-
containing building materials deteriorate or are disturbed, may also
cause cancer.
Intact asbestos-containing materials are not a hazard; they
should be monitored for damage or deterioration and isolated if
possible. Repair of damaged or deteriorating ACM usually involves
either sealing (encapsulation) or covering (enclosure) it. Repair is
usually cheaper than removal, but it may make later removal of
asbestos more difficult and costly. Repairs should be done only by a
professional trained and certified to handle asbestos safely and can
cost from a few hundred to a few thousand dollars; removal can be
more expensive.
Combustion products of heating and cooking appliances: Burning
of oil, natural gas, kerosene, and wood for heating or cooking
purposes can release a variety of combustion products of health
concern. Depending upon the fuel, these may include carbon monoxide
(a chemical asphyxiant), oxides of nitrogen (respiratory irritants),
polycyclic aromatic hydrocarbons (e.g., the carcinogen
benzo[a]pyrene), and airborne particulate matter (respiratory
irritants). Carbon monoxide, an odorless gas, can be fatal. Nitrogen
dioxide can damage the respiratory tract, and sulfur dioxide can
irritate the eyes, nose and respiratory tract. Smoke and other
particulates irritate the eyes, nose and throat, and can cause lung
cancer.
Improper venting and poor maintenance of heating systems and
cooking appliances can dramatically increase exposure to combustion
products. Experts recommend having combustion heating systems
inspected by a trained professional every year to identify blocked
openings to flues and chimneys; cracked or disconnected flue pipe;
dirty filters; rust or cracks in the heat exchanger; soot or
creosote build-up; and exhaust or gas odors. Installing a carbon
monoxide detector is also recommended; however, such a detector will
not detect other combustion by-products.
Insect and rodent pests: The observed association between
exposure to cockroach antigen and asthma severity has already been
noted above. In addition, cockroaches may act as vehicles to
contaminate environmental surfaces with certain pathogenic
organisms. Rodents can transmit a number of communicable diseases to
humans, either through bites, arthropod vectors, or exposure to
aerosolized excreta. In addition, humans can become sensitized to
proteins in rodent urine, dander and saliva. Such sensitization may
contribute to asthma severity among children. Insect and rodent
infestation is frequently associated with substandard housing that
makes it difficult to eliminate. Treatment of rodent and insect
infestations often includes the use of toxic pesticides which may
present hazards to occupants (see below). Integrated pest management
(IPM) for rodents and cockroaches, which reduces the use of
pesticides, is estimated to cost approximately $150 per unit. IPM
control measures include sealing holes and cracks, removing food
sources and use of traps.
Lead: Exposure to lead, especially from deteriorating lead-based
paint, remains one of the most important and best-studied of the
household environmental hazards to children. Although blood lead
levels have fallen nationally, a large reservoir of lead remains in
housing. The most recent national survey, conducted from 1991-94,
showed that nearly one million U.S. preschoolers still have elevated
blood lead levels. Overall, the prevalence rate among all children
under six years of age is 4.4%. Among low-income children living in
older housing where lead-based paint is most prevalent, the rate
climbs to 16%; and for African-American children living in such
housing, it reaches 21%.
HUD estimates that 64 million dwellings have some lead-based
paint, and that 20 million have lead-based paint hazards. Of those,
about 3.6 million have young children and of those, about 500,000
units have inadequate cash flow to respond to lead-based paint
hazards. Costs can range anywhere from $500 to $15,000 per unit.
Corrective measures include paint stabilization, enclosure and
removal of certain building components coated with lead paint, and
cleanup and ``clearance testing'', which ensures the unit is safe
for young children.
Mold and moisture: An analysis of several pulmonary disease
studies estimates that 25% of airways disease, and 60% of
interstitial lung disease may be associated with moisture in the
home or work environment. Moisture is a precursor to the growth of
mold and other biological agents, which is also associated with
respiratory symptoms. An investigation of a cluster of pulmonary
hemosiderosis (PH) cases in infants showed PH was associated with a
history of recent water damage to homes and with levels of the mold
Stachybotrys atra (SA) in air and in cultured surface samples.
Associations between exposure to SA and ``sick building'' symptoms
in adults have also been observed. Other related toxigenic
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fungi have been found in association with SA-associated illness and
could play a role. For sensitive individuals, exposure to a wide
variety of common molds may also aggravate asthma. Addressing mold
problems in housing requires coordination among the medical, public
health, microbiological, housing, and building science communities.
The cost of mold/moisture-related intervention work (e.g.,
integrated pest management, clean and tune furnace, remove debris,
vent clothes dryer, cover dirt floor with impermeable vapor barrier)
is a few hundred dollars, unless major modification of the
ventilation system is needed. In Cleveland, mold interventions,
including repairs to ventilation systems and basement flooring, in
the most heavily-contaminated homes range from $500-$5,000, with
some costs also being dedicated to lead hazard control
simultaneously through its lead+asthma program.
Pesticide residues: According to the EPA, 75 percent of U.S.
households used at least one pesticide product indoors during the
past year. Products used most often are insecticides and
disinfectants. Another study suggests 80 percent of most people's
exposure to pesticides occurs indoors and that measurable levels of
up to a dozen pesticides have been found in the air inside homes.
The amount of pesticides found in homes appears to be greater than
can be explained by recent pesticide use in those households; other
possible sources include contaminated soil or dust that migrates in
from outside, stored pesticide containers, and household surfaces
that collect and then release the pesticides. Pesticides used in and
around the home include products to control insects (insecticides),
termites (termiticides), rodents (rodenticides), molds and fungi
(fungicides), and microbes (disinfectants). In 1990, the American
Association of Poison Control Centers reported that some 79,000
children were involved in common household pesticide poisonings or
exposures. In households with children under five years old, almost
one-half stored at least one pesticide product within reach of
children. Exposure to chlorpyriphos (CP), a commonly used
organophosphate insecticide, in the prenatal and early postnatal
period may impair neurodevelopment. While CP is a biodegradable
pesticide, substantial persistence of CP in house dust has been
demonstrated. Exposure to high levels of cyclodiene pesticides,
commonly associated with misapplication, has produced various
symptoms, including headaches, dizziness, muscle twitching,
weakness, tingling sensations, and nausea. In addition, EPA is
concerned that cyclodienes might cause long-term damage to the liver
and the central nervous system, as well as an increased risk of
cancer.
There are available data on hazard evaluation methods and
remediation effectiveness regarding pesticide residues in the home
environment.
Radon progeny: The National Academy of Sciences estimates that
approximately 15,000 cases of lung cancer per year are related to
radon exposure. Epidemiologic studies of miners exposed to high
levels of radon in inhaled air have defined the dose response
relation for radon-induced lung cancer at high exposure levels.
Extrapolation of these data has been used to estimate the excess
risk of lung cancer attributable to exposure to radon gas at the
lower levels found in homes. These estimates indicate that radon gas
is an important cause of lung cancer deaths in the U.S. Excessive
exposures are typically related to home ventilation, structural
integrity and location.
Radon measurement and remediation methods are well-developed,
and the Environmental Protection Agency (EPA) recommends that every
home be measured for radon. EPA estimates that materials and labor
costs for radon reduction in an existing home are $800-$2500.
Including radon resistant techniques in new home construction costs
$350-$500, and can save up to $65 annually in energy costs,
according to the EPA.
Take home hazards from work/hobbies and work at home: When the
clothing, hair, skin, or shoes of workers become contaminated with
hazardous materials in the workplace, such contaminants may
inadvertently be carried to the home environment and/or an
automobile. Such ``take-home'' exposures have been demonstrated, for
example, in homes of lead-exposed workers. In addition, certain
hobbies or workplaces located in the home may provide an especially
great risk of household contamination.
Control methods include storing and laundering work clothes
separately, and showering and changing before leaving work, or
immediately after arriving home. Once a home becomes contaminated,
cleaning floors and contact surfaces and replacing furnishings may
be necessary to reduce exposures.
Unintentional injuries/fire: Unintentional injury is now the
leading cause of death and disability among children younger than 15
years of age. In 1997, nearly 7 million persons in the United States
were disabled for at least 1 full day by unintentional injuries
received at home. During the same year, 28,400 deaths were
attributable to unintentional home injuries, of which 1800 occurred
among children 0-4 years of age. Among young children, three types
of events accounted for more than \3/4\ of deaths: fires/ burns,
drownings, and mechanical suffocation. Falls and poisoning are the
next most common.
Home visitation protocols have been shown to be effective in
reducing exposure to such hazards. The ``add-on'' cost of injury
prevention measures, when combined with other housing interventions
are estimated at about $100 per unit. This includes the cost of some
injury prevention devices, such as smoke alarms, electrical socket
covers, etc.
Appendix B--Relevant Publications and Guidelines
To secure any of the documents listed, call the listed telephone
number (generally, the telephone numbers are not toll-free).
Regulations: 1. Worker Protection: OSHA publication--Telephone:
202-693-1888 (OSHA Regulations) (available for a charge)--Government
Printing Office--Telephone: 202-512-1800 (not a toll-free number):
--General Industry Lead Standard, 29 CFR 1910.1025 (Document Number
869022001124). Can be downloaded from the Internet without charge
from www.osha-slc.gov/OshStd_data/1910_1025.html.
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices A,
B, C, and D (Document Number 869022001141). Can be downloaded from
the Internet without charge from www.osha-slc.gov/OshStd_data/1926_0062.html.
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations)
(available for a charge)--Telephone 1-800-424-9346, or, from the
Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free
number). Can be downloaded from the Internet without charge from
www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
3. Lead; Requirements for Lead-Based Paint Activities in Target
Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745
(EPA) (Lead Hazard Standards, Work Practice Standards, EPA and State
Certification and Accreditation Programs for those engaged in lead-
based paint activities)--Telephone: 1-202-554-1404 (Toxic Substances
Control Act Hotline) (not a toll-free number). Can be downloaded
from the Internet without charge from www.epa.gov/opptintr/lead/index.html.
4. Requirements for Notification, Evaluation and Reduction of
Lead-Based Paint Hazards in Federally Owned Residential Property and
Housing Receiving Federal Assistance; Final Rule: 24 CFR part 35,
subparts A through R, published September 15, 1999, at Federal
Register pages 50201 through 50231(HUD)--Telephone: 1-800-424-LEAD
(National Lead
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Information Center). Can be downloaded from the Internet without
charge from www.hud.gov/lea/leadwnlo.html or www.epa.gov/lead/leadbase.htm.
5. U.S. Environmental Protection Agency. Lead; Identification of
Dangerous Levels of Lead; Final Rule at 66 FR 1205-1240, January 5,
2001. TSCA Hotline: 202-554-1404 (not a toll-free number). Can be
downloaded from the Internet without charge from www.epa.gov/lead/leadhaz.htm.
Guidelines: 1. Guidelines for the Evaluation and Control of
Lead-Based Paint Hazards in Housing; HUD, June 1995, and amended
September, 1997. (Available for a charge)--Telephone: 800-245-2691.
Can be downloaded from the Internet without charge from www.hud.gov/lea/leadwnlo.html.
2. Preventing Lead Poisoning in Young Children; Centers for
Disease Control, October 1991: Telephone: 888-232-6789.
3. Screening Young Children for Lead Poisoning: Guidance for
State and Local Public Health Officials, November 1997; Centers for
Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can
be downloaded from the Internet without charge from www.hud.gov/lea/leadwnlo.html.
Reports and Articles: 1. Putting the Pieces Together:
Controlling Lead Hazards in the Nation's Housing, (Summary and Full
Report); HUD, July 1995 (available for a charge)--Telephone 800-245-
2691. Can be downloaded from the Internet without charge from
www.hud.gov/lea/leadwnlo.html.
2. The Healthy Homes Initiative: A Preliminary Plan (Summary and
Full Report); HUD, July 1995. Can be downloaded from the Internet
without charge from www.hud.gov/lea/leadwnlo.html.
3. Institute of Medicine. Indoor Allergens. Assessing and
Controlling Adverse Health Effects. National Academy Press.
Washington, D.C. 1993.
4. Mott L., Our Children at Risk. Natural Resources Defense
Council. Washington, D.C. 1997. Can be ordered from the Internet
from www.nrdc.org
5. Rom W.N., Ed. Environmental and Occupational Medicine.
Little, Brown and Co., Boston. 1992.
6. President's Task Force on Environmental Health Risks and
Safety Risks to Children. Asthma and The Environment: An Action Plan
to Protect Children. Washington, D.C. 1999. Eliminating Childhood
Lead Poisoning: A Federal Strategy Targeting Lead Paint Hazards.
Washington, D.C., 2000. Can be downloaded from the Internet without
charge from www.epa.gov/children.
BILLING CODE 4210-32-P
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FUNDING AVAILABILITY FOR THE HEALTHY HOMES DEMONSTRATION AND
EDUCATION PROGRAM
Program Overview
Purpose of the Program. The purpose of the Healthy Homes
Demonstration and Education Program is to develop, demonstrate and
promote cost effective, preventive measures to correct multiple safety
and health hazards in the home environment which produce serious
diseases and injuries in children. HUD is interested in reducing health
threats to the maximum number of residents, especially children, in a
cost efficient manner.
Available Funds. Approximately $5.5 million.
Eligible Applicants. Not-for-profit institutions, and for-profit
firms located in the U.S., State and local governments, and Federally-
recognized Indian Tribes are eligible to apply. For-profit firms are
not allowed to include a fee in the cost proposal (i.e., no profit can
be made from the project). Federal agencies and federal employees are
not eligible to apply for this program.
Application Deadline. May 17, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this
initiative, please review carefully the General Section of this
SuperNOFA and the following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
four copies) is due on or before 12:00 midnight, Eastern time, on May
17, 2001, at the address shown below.
See the General Section of the SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight deliver, or hand carried).
Address for Submitting Applications. For Mailed Applications. The
address for mailed applications is: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control, 451
Seventh Street, SW., Room P3206, Washington, DC 20410.
For Overnight/Express Mail or Hand Carried Applications. The
address for applications that are hand carried or sent via overnight/
express mail delivery is: HUD Office of Healthy Homes and Lead Hazard
Control, Suite 3206, 490 L'Enfant Plaza, SW., Washington, DC 20024.
Hand carried applications will be accepted at this address (490
L'Enfant) up until 5 pm on the application due date.
After 5 pm on the application due date, hand carried applications
will be accepted until 12:00 midnight, in the South Lobby of HUD
Headquarters, 451 Seventh Street, SW., Washington, DC 20410.
For Application Kits. You may obtain an application kit from the
SuperNOFA Information Center at 1-800-HUD-8929, or the TTY number at 1-
800-HUD-2209. When requesting an application kit, please refer to
Healthy Homes Demonstration and Education Program. Please be sure to
provide your name, address (including zip code), and telephone number
(including area code). Alternatively, you may obtain an application kit
by downloading it from the internet at http://www.hud.gov.
For Further Information and Technical Assistance. You may contact
Ms. Ellen Taylor, Planning and Standards Division, Office of Healthy
Homes and Lead Hazard Control, at the address above; telephone (202)
755-1785, extension 116, or Ms. Karen Williams, Grants Officer,
extension 118 (these are not toll-free numbers). Hearing- and speech-
impaired persons may access the above telephone numbers via TTY by
calling the toll-free Federal Information Relay Service at 1-800-877-
8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
Approximately $5.5 million will be available in FY 2001. Grants
will be awarded on a competitive basis following evaluation of all
proposals according to the Rating Factors described in Section V(C).
HUD anticipates that approximately 6 to 8 grants will be awarded,
ranging from approximately $250,000 to approximately $1,000,000.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. (1) Background. In the FY 2001 Budget, HUD
received a third year of funding to continue the Healthy Homes
Initiative (sometimes referred to as the ``Initiative'' or ``HHI'')
that protects children from housing conditions responsible for multiple
diseases and injuries. The Initiative departs from the more traditional
approach of attempting to correct one hazard at a time (e.g., asbestos,
radon). In April 1999, HUD submitted to Congress a preliminary plan
containing a full description of the Initiative. This description
(Summary and Full Report) is available on the HUD website at
www.hud.gov/offices/lead.
The Healthy Homes Initiative builds upon HUD's existing housing-
related health and safety issues, including lead hazard control,
building structural safety, electrical safety, and fire protection to
address multiple childhood diseases and injuries related to housing in
a more coordinated fashion. A coordinated effort is feasible because a
limited number of building deficiencies contribute to many hazards.
Substantial savings are possible using this approach, because separate
visits to a home by an inspector, public health nurse, or outreach
worker can add significant costs to efforts to eliminate hazards.
In addition to deficiencies in basic housing facilities that may
impact health, changes in the U.S. housing stock and more sophisticated
epidemiological methods and biomedical research have led to the
identification of new and often more subtle health hazards in the
residential environment (e.g., indoor air quality hazards). While such
hazards will tend to be found disproportionately in housing that is
substandard (e.g., structural problems, lack of adequate heat, etc.),
such housing-related environmental hazards may also exist in housing
that is otherwise of good quality. Appendix A to the Healthy Homes (HH)
Demonstration and Education program section of the SuperNOFA briefly
describes the housing-associated health and injury hazards HUD
considers key targets for intervention. Appendix B to the HH
Demonstration and Education program section of the SuperNOFA lists the
references that serve as the basis for the information provided in this
section of the SuperNOFA.
HUD is interested in promoting approaches that are cost-effective
and efficient and that result in the reduction of health threats for
the maximum number of residents for the long run, and in particular
low-income children. The overall goals and objectives of the HHI are:
(1) Mobilize public and private resources, involving cooperation
among all levels of government, the private sector, and community-based
organizations to develop the most promising, cost-effective methods for
identifying and controlling housing-based hazards.
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(2) Build local capacity to operate sustainable programs that will
continue to prevent and, where they occur, minimize and control
housing-based hazards in low and very low income residences when HUD
funding is exhausted.
(3) Affirmatively further fair housing and environmental justice.
(B) Healthy Homes Demonstration and Education Activities. Through
the Healthy Homes Demonstration and Education program, HUD will
initiate projects to promote implementation of available risk reduction
techniques for the control of key hazards described in Appendix A. HUD
has decided to initiate the HH Demonstration and Education projects
through this competition. There are two categories of grants being
awarded. These are:
Demonstration projects implementing housing assessment,
maintenance, renovation and construction techniques to identify and
correct housing-related illness and injury risk factors, and
Education projects disseminating healthy homes information
and replicating successful interventions.
HUD will evaluate proposals based on the elements described below.
Although you are expected to focus your efforts in one of the two
categories, the activities of a proposed project may also address the
other category. Applicants are required to be specific as to the
locations where they are targeting their intervention activities to
occur, the residents, individuals, or groups targeted to receive
interventions, and the organizations targeted to continue to operate
effective intervention strategies over the life of the award and
hereafter.
(1) Demonstration Projects. Objectives to be addressed by these
projects are:
(a) Identification of target areas and homes where intervention
would be appropriate.
(b) Identification and evaluation of effective methods of hazard
abatement and risk reduction.
(c) Development of appropriately-scaled, flexible, cost-effective
and efficient intervention strategies that take into account the range
of conditions likely to be encountered in older housing, and that
maximize the number of housing units that receive an intervention.
(d) Development of methodologies for evaluating intervention
effectiveness.
(e) Development of local capacity in target areas and target groups
to operate sustainable programs to prevent and control housing-based
hazards, especially in low and very-low income residences.
(f) Development of a cost-effective protocol for identifying homes
that are candidates for interventions, identifying hazards in these
homes, and screening out homes where structural or other condition
factors (e.g., cost) make interventions infeasible or impractical.
(2) Education Projects. Objectives to be addressed by these
projects are:
(a) Development and delivery of public outreach programs to prevent
and eradicate both emerging and well-recognized housing-related
childhood diseases and injuries, and promote the use of identified
solutions.
(b) Increased identification and control of housing based hazards
through education and outreach to specific high-risk communities and
other identified audiences such as health care deliverers, pregnant
women, children, residential construction contractors, maintenance
personnel, housing inspectors, real estate professionals, home buyers
and homeowners.
(c) Implementation of media strategies to use print, radio and
television to increase public awareness of housing related hazards that
threaten children.
(d) Dissemination of materials that inform parents and caregivers
about housing-related hazards and enable them to take prompt corrective
action.
(C) Eligible Activities. The following direct activities and
support activities are eligible under this grant program.
(1) Direct Project Elements (activities conducted by you and any
sub-recipients):
(a) Performing evaluations of eligible housing to determine the
presence of housing-based hazards (e.g., mold growth, allergens,
unvented appliances, exposed steam pipes or radiators, deteriorated
lead-based paint) through the use of generally accepted testing
procedures.
(b) Conducting medical examinations of young children for
conditions caused or exacerbated by exposure to hazards where this is
considered essential to your project, and there are no alternative
sources to cover these costs.
(c) Conducting housing interventions to remediate existing housing-
based hazards and address conditions that could result in their
recurrence. Any lead hazard evaluation and control work shall be
conducted by certified performers in accordance with the HUD Guidelines
for the Evaluation and Control of Lead-Based Paint Hazards in Housing
(``Guidelines'') and applicable regulations. You may obtain the
Guidelines and applicable regulations by downloading them from the
Internet at http://www.hud.gov/offices/lead. All pest control
activities shall incorporate the principles and methods of integrated
pest management (IPM).
(d) Carrying out temporary relocation of families and individuals,
when necessary, during the period in which intervention is conducted
and until the time the affected unit receives clearance for
reoccupancy. Residents relocated must be guaranteed the choice of
returning to the unit after the intervention.
(e) Performing medical testing recommended by a physician or
applicable occupational or public health agency for individuals in
hazardous conditions and environmental sampling to protect the health
of the intervention workers, supervisors, and contractors.
(f) Undertaking housing rehabilitation activities that are
specifically required to carry out effective control of housing-based
hazards, and without which the intervention could not be completed and
maintained. Grant funds under this program may also be used to control
lead-based paint hazards, but such controls may not be a principal
focus of the grant.
(g) Conducting clearance testing and analysis for lead, mold,
carbon monoxide and/or other toxins as appropriate, with respect to
generally accepted standards or criteria, or where not available, other
appropriate levels justified in conjunction with the project.
(h) Carrying out architectural, engineering and work specification
development and other construction management services to control
housing-based hazards and remediate existing hazards.
(i) Providing training on safe maintenance practices to homeowners,
renters, painters, remodelers, and housing maintenance staff working in
low- or very-low income housing.
(j) Providing cleaning supplies for hazard intervention and hazard
control to community/neighborhood-based organizations for use by
homeowners and tenants in low-income housing, or to such homeowners,
and tenants directly.
(k) Conducting general or targeted community education programs on
environmental health and safety hazards. This activity would include
training on safe maintenance and renovation practices, among other
topics, and further fair housing and environmental justice goals. It
would also include making materials available, upon request, in
alternative formats for persons with disabilities (e.g., Braille,
audio, large type), and in languages other than English that are common
in the community, whenever possible.
(l) Securing liability insurance for hazard intervention and hazard
[[Page 11897]]
evaluation and control activities to be performed.
(m) Supporting data collection, analysis, and evaluation of project
activities. This activity is separate from administrative costs.
(n) Conducting activities directed at demonstration of cost-
effective evaluation and intervention methods for assessing and
preventing housing-based hazards.
(o) Maintaining a registry (updated at least monthly) of housing
units in which housing-based hazards were not found during evaluation,
and those in which such problems and hazards have been controlled.
Units on the registry should be given priority for affirmatively
marketing to low-income families with young children and such families
should be given preference for occupancy when they are vacant.
(p) Preparing quarterly progress reports and an overall final grant
report detailing activities (e.g., number of units tested, types of
interventions provided, evaluation of most cost efficient methodologies
by type of unit), findings, and recommended future actions for cost
effective interventions, at the conclusion of grant activities.
(2) Support Elements. (a) Your administrative costs.
(b) Program planning and management costs of sub-grantees and other
sub-recipients.
(D) Ineligible Activities
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, unless prior written approval is obtained from HUD.
(3) Medical treatment costs.
IV. Program Requirements
In addition to program requirements listed in the General Section
of the SuperNOFA, you, the applicant must comply with the following
requirements:
(A) Budgeting--Administrative Costs. There is a 10% maximum for
administrative costs. The application kit contains specific information
on allowable administrative costs.
(B) Period of Performance. The period of performance cannot exceed
36 months from the time of the award.
(C) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier
Resources Act (16 U.S.C. 3501), funds may not be used for properties
located in the Coastal Barrier Resources System.
(D) Flood Disaster Protection Act. Under the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), funds may not be used for
construction, reconstruction, repair or improvement of a building or
mobile home which is located in an area identified by the Federal
Emergency Management Agency (FEMA) as having special flood hazards
unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
(E) National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) (NHPA) and the regulations at
36 CFR part 800 apply to the mold intervention and related hazard
control activities that are undertaken pursuant to this program. HUD
and the Advisory Council for Historic Preservation have developed an
optional Model Agreement for use by grantees and State Historic
Preservation Officers in carrying out any lead hazard control
activities under this program. This must be obtained from the SuperNOFA
Information Center at 1-800-HUD-8929.
(F) Waste Disposal. Waste disposal will be handled according to the
requirements of the Occupational Health and Safety Administration
(OSHA) (e.g., 29 CFR part 1910 and/or 1926, as applicable), the
Environmental Protection Agency (EPA) (e.g., 40 CFR parts 61, 260-282,
300-374, and/or 700-799, as applicable), the Department of
Transportation (e.g., 49 CFR parts 171-177), and/or appropriate State
or local regulatory agency(ies). Disposal of wastes from intervention
activities that contain lead-based paint but are not classified as
hazardous will be handled in accordance with the HUD Guidelines and
applicable EPA regulations and guidance.
(G) Worker Protection Procedures. You must comply with the
requirements of OSHA (e.g., 29 CFR part 1910 and/or 1926, as
applicable), or the State or local occupational safety and health
regulations, whichever are most stringent.
(H) Written Policies and Procedures. You must have written policies
and procedures for all phases of intervention, including evaluation,
development of specifications, financing, occupant relocation,
independent project inspection, and clearance testing (e.g., for mold,
lead, carbon monoxide or other hazards, as applicable). You and all
your subcontractors, sub-recipients, and their contractors must comply
with these policies and procedures.
(I) Clearance Testing for Lead Hazard Control Activities. Clearance
dust testing for lead hazard control activities must be conducted
according to the HUD Guidelines and the EPA lead hazards standards rule
at 40 CFR 745 subparts D, L, and Q. You are required to meet the post-
hazard control dust-wipe test clearance thresholds at 40 CFR
745.227(e)(8)(viii). Wipe tests shall be conducted by an appropriately
certified individual who is independent of the lead hazard control
contractor. Dust-wipe and soil samples and any paint samples to be
analyzed by a laboratory, must be analyzed by a laboratory recognized
by the EPA National Lead Laboratory Accreditation Program (NLLAP).
Units treated shall not be reoccupied until clearance is achieved.
(J) Continued Availability of Safe Housing to Low-Income Families.
Units in which housing-based hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income residents for not less than 3 years following the completion of
intervention activities according to Section 1011(a) of the Residential
Lead-Based Paint Hazard Reduction Act of 1992 (Title X), as amended by
Section 217 of Public Law 104-134 (the Omnibus Consolidated Rescissions
and Appropriations Act of 1996, 110 Stat. 1321, approved April 26,
1996).
(K) Environmental Review. You must comply with HUD's regulations in
24 CFR 50.3(h) in carrying out responsibilities regarding HUD's
environmental review. Recipients of a grant under this NOFA will be
given guidance in these responsibilities.
(L) Economic Opportunities for Low-and Very Low-Income Persons
(Section 3). Recipients of assistance must comply with Section 3 of the
Housing and Urban Development Act of 1968, 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection with
Assisted Projects) and the HUD regulations at 24 CFR part 135,
including the reporting requirements of subpart E. Section 3 requires
recipients to ensure that, to the greatest extent feasible, training,
employment and other economic opportunities will be directed to (1) low
and very low income persons, particularly those who are recipients of
government assistance for housing, and (2) business concerns which
provide
[[Page 11898]]
economic opportunities to low and very low income persons.
(M) Data collection and provision. You must collect, maintain and
provide to HUD the data necessary to document the various approaches
used to evaluate and control housing-based hazards, including
evaluation and control methods, building conditions, medical and
familial information (with confidentiality of individually-identifiable
information ensured) in order to determine the effectiveness and
relative cost of these methods.
(N) Certifications and Assurances. You must include the
certifications and assurances listed in Section II(G) of the General
Section of the SuperNOFA with your application.
(O) Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if program funds are used in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
V. Application Selection Process
(A) Threshold Requirements. Please see Section III of the General
Section of this SuperNOFA. As an applicant, you must meet all of the
threshold requirements of Section II(B) of the General Section of the
SuperNOFA. Applications that meet all of the threshold requirements
will be eligible to be scored and ranked based on the total number of
points allocated for each of the rating factors described below. Your
application must receive a total score of at least 65 points to remain
in consideration for funding.
(B) Rating and Ranking. HUD intends to make awards to qualifying
applications in the following order:
STEP 1. An award will be made to the highest ranked application in
each of the two categories listed in Section III(B) of this program
section of the SuperNOFA within the limits of funding availability. If
there are insufficient funds to award in both categories, HUD will make
awards in the demonstration category (1), then the education category
(2), in order.
STEP 2. After following Step 1 if funding remains available, an
award will be made each of the two categories, demonstration (1) and
education (2), in order.
STEP 3. After following Step 2 if funding remains available, awards
will be made in rank order, regardless of category.
You must state the category for which you are applying. If an
applicant wishes to apply under more than one category they must submit
a separate application for each category. While you will not be
penalized for not addressing all the specific objectives within a given
category, if two applications have equal scores, HUD will first select
the applicant whose project addresses the most objectives.
(C) Factors for Award Used to Evaluate and Rate Applications. This
section provides the factors for rating and ranking your application
and the maximum points for each factor. The maximum number of points to
be awarded is 102. This maximum includes two EZ/EC bonus points as
described in the General Section of the SuperNOFA. Also, Section
III(C)(2) of the General Section, which addresses a court-ordered
consideration, is applicable to this program.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses your organizational capacity necessary to
successfully implement your proposed activities in a timely manner. The
rating of you or your staff includes any community-based organizations,
sub-contractors, consultants, sub-recipients, and members of consortia
that are firmly committed to your project. In rating this factor HUD
will consider:
(1) Your recent, relevant and successful demonstrated experience in
undertaking eligible program activities. You must describe the
knowledge and experience of the proposed overall project director and
day-to-day project manager in planning and managing large and complex
interdisciplinary programs, especially those involving housing
rehabilitation, public health, or environmental programs. In your
narrative response for this factor, you should include information on
your project staff, their experience, commitment to the project, and
position titles. Resumes of up to three (3) pages each and position
descriptions for up to three personnel in addition to the project
director and project manager, and a clearly delineated organizational
chart for your project must be included as an appendix. Copies of job
announcements (including salary range) should be included for any key
positions that are currently vacant. Indicate the percentage of time
that key personnel will devote to your project and any salary costs to
be paid by funds from this program. Include descriptions of the
experience and qualifications of subcontractors and consultants.
(2) Your qualifications to carry out the proposed activities as
evidenced by experience, academic background, training, and/or relevant
publications of project staff.
(3) Whether you have sufficient personnel or will be able to
quickly retain qualified experts or professionals to begin your
proposed project immediately and to perform your proposed activities in
a timely and effective fashion. Describe how principal components of
your organization will participate in or support your project. You
should thoroughly describe capacity, as demonstrated by experience in
initiating and implementing related environmental, health, or housing
projects.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for your
proposed project activities to address documented problems, target
area(s) and target groups.
(1) Document a critical level of need for your proposed activities
in the area where activities will be carried out. You should pay
specific attention to documenting the need as it applies to your target
area(s), rather than the larger geographic area.
(2) Your documentation should summarize available data linking
housing-based hazards to disease or injuries to children in your target
area(s). Examples of data that might be used to demonstrate need,
include:
(a) Economic and demographic data relevant to your target area(s),
including poverty and unemployment rates;
(b) Rates of childhood illnesses or injuries (e.g., asthma, burns)
that could be caused or exacerbated by exposure to conditions in the
home environment, among children residing in your target area(s), and/
or rates of environmentally-related disease or adverse health effects
(e.g., hypertension, elevated blood lead levels) in your target
area(s); and
(c) Unavailability of other Federal, State or local funding or
private sector resources that could be, or is being, used to address
the problem.
(3) For the areas targeted for your project activities, provide
data available in your jurisdiction's currently approved Consolidated
Plan, or derived from 1990 Census Data, or derived from other sources,
including the Analysis of Impediments to Fair Housing Choice, AI, (all
data should be documented) that address:
(a) The age and condition of housing;
(b) The number and percentage of very-low and low-income families
with incomes less than 80% of the median income, as determined by HUD,
for the area, with adjustments for smaller and
[[Page 11899]]
larger families (See application kit for additional information).
(c) To the extent that statistics and other data contained in your
community's Consolidated Plan or Analysis of Impediments to Fair
Housing Choice (AI) support the extent of the problem, you should
include references to the Consolidated Plan and the AI in your
response.
(d) Data documenting targeted groups that are traditionally
underserved or have special needs. If the data presented in your
response does not specifically represent your target area, you should
discuss why the target areas are being proposed. If your application
addresses needs that are in the Consolidated Plan, AI, court orders or
consent decrees, settlements, conciliation agreements, and voluntary
compliance agreements, you will receive more points than applicants
that do not relate their project to identified need.
Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. You should present information on the proposed
approach for addressing housing-based hazards and describe how proposed
activities would help HUD achieve its goals for this program area. For
you to receive maximum points for this factor, there must be a direct
relationship between the proposed activities, community needs, and the
purpose of the project. The response to this factor should include the
following elements:
(1) Strategy (25 points). Describe your project goals and
objectives and the strategy you will use in planning and executing the
project. You should provide information on the general approach and
overall plan employed:
(a) Baseline Plan for Project Management (10 points). Include a
management plan that:
(i) Lists the project objectives, major tasks and activities. All
specific activities necessary to complete the proposed project must be
included in the task listing;
(ii) Identifies appropriate performance goals and benchmarks;
(iii) Provides a schedule for the assignment and completion of
major tasks and activities, and a timeframe for delivery;
(iv) Designates resources and identifies responsible entities; and
(v) Provides an estimate of per unit (or other appropriate
apportionment) costs (and a basis for those estimates) for the type of
interventions that are planned.
(b) Budget Justification (2 points). Your proposed budget will be
evaluated for the extent to which it is reasonable, clearly justified,
and consistent with the project management plan and intended use of
program funds. HUD is not required to approve or fund all proposed
activities. Your budget should be submitted in the format recommended;
an electronic spreadsheet is available on HUD's website, at
www.hud.gov/lea/leaforms.html. You must thoroughly document and justify
all budget categories and costs (Part B of Standard Form 424A) and all
major tasks, for yourself, sub-recipients, partners, major
subcontractors, joint venture participants, or others contributing
resources to the project. Describe clearly and in detail your budgeted
costs for each required program element (major task) included in your
overall plan.
(c) Project Evaluation (8 points). You are required to identify and
discuss the specific methods you will use to measure progress towards
your goals, track and report results of interventions, and evaluate the
effectiveness of interventions:
(i) Discuss the performance goals for your project and identify
specific outcome measures;
(ii) Describe how the outcome information will be obtained,
documented, and reported; and (P)(iii) Identify the major milestones
for your project, and describe how your progress towards these
milestones will be tracked, recorded and reported.
(d) Economic Opportunity (5 points). To the greatest extent
feasible, your project should promote job training, employment, and
other economic opportunities for low-income and minority residents and
businesses which are owned by, and/or employ, low-income and minority
residents as defined in 24 CFR 135.5. You should:
(i) Describe methods that will result in economic opportunities for
residents and businesses in the community where activities will be
carried out. Include information on how you will provide employment,
business development, and contract opportunities;
(ii) Describe how you or your partners will satisfy the
requirements of Section 3 of the Housing and Urban Development Act of
1968 to give preference to hiring low-and very low-income persons or
contracting with businesses owned by or employing low-and very-low
income persons;
(iii) Describe how your proposed project will further and support
the policy priorities of the Department, including providing
opportunities for self-sufficiency, particularly for persons enrolled
in welfare-to-work programs; or providing educational and job training
opportunities; and
(iv) Describe the extent to which your proposed activities will
occur in an Empowerment Zone or Enterprise Community (EZ/EC), if
applicable.
(2) Approach for Implementing the Project (20 points). Describe
your overall approach for your proposed project. The description must
include a discussion of specific planned project activities which
address one or more of the following categories:
(a) Demonstration activities.
(i) Describe in detail how you will identify, select, prioritize,
and enroll units of eligible housing in which you will undertake
housing-based hazards interventions, how you will integrate safe work
practices into housing maintenance, repair, and improvements, and then
target such units to low-income families with young children. You
should use all reasonably available sources of information on
controlling housing-based hazards in buildings and protecting workers
and occupants during and after the intervention process.
(ii) Describe any assessment tools you would employ to establish
baseline data.
(iii) Provide the estimated total number of owner occupied and/or
rental units in which you will conduct interventions.
(iv) Describe your process for evaluating units of eligible housing
in which you will undertake housing-based hazard interventions.
(v) Describe any specialized testing or visual inspection that you
will conduct during unit inspection with reference to source(s) of the
protocol(s).
(vi) Discuss efforts to incorporate cost-effective methods to
address multiple environmental health and safety hazards, and describe
the specific interventions you will utilize to control housing-based
hazards before children are affected; and/or to control these hazards
in units where children have already been treated for illnesses or
injuries associated with housing-based hazards (e.g., burns, lead
poisoning, asthma).
(vii) Describe the process for your referral of children for
medical case management if this is not ongoing.
(viii) Describe your process for the development of work
specifications for the selected interventions.
(ix) Describe your management processes to be used to ensure the
cost-effectiveness of the housing interventions, and provide cost
estimates per intervention and per unit.
[[Page 11900]]
(x) Discuss your contracting process to obtain contractors to
conduct interventions in selected units.
(xi) Describe your plan for the temporary relocation of occupants
of units selected for intervention, if relocation is necessary, and how
you will determine the need for relocation. Address the use of safe
houses and other housing arrangements, storage of household goods,
stipends, incentives, etc.
(xii) Describe your plan for ensuring right of return and/or first
referral for occupants of units selected for intervention who have had
to move for intervention to occur.
(xiii) Describe how you will affirmatively further fair housing.
(xiv) Describe the financing strategy, including eligibility
requirements, terms, conditions, and amounts available, to be employed
in conducting housing-based hazards activities. You must discuss the
way funds will be administered (e.g., use of grants, deferred loans,
forgivable loans, other resources, private sector financing, etc.) as
well as the agency which will administer the process.
(b) Education Activities. This should include general and/or
targeted efforts undertaken to assist your efforts in reducing exposure
to housing-based hazards. You must describe:
(i) Proposed methods of community education. These should include
community awareness, education, training, and outreach programs in
support of your work plan and objectives that are culturally sensitive,
targeted, and linguistically appropriate.
(ii) Proposed involvement of neighborhood or community-based
organizations in the proposed activities. These activities may include
outreach, community education, marketing, inspection, and housing
evaluations and interventions.
(iii) Proposed methods to reach high risk groups and communities,
vulnerable populations and persons traditionally underserved (see
Rating Factor 2(d)).
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources (such as financing, supplies or services) which can be
combined with HUD's resources to achieve project purposes.
(1) In evaluating this factor, HUD will consider the extent to
which you have partnered with other entities to secure additional
resources to increase the effectiveness of your proposed project.
Describe how other organizations will participate in or support your
project. Resources may include funding or in-kind contributions (such
as services or equipment) allocated to your proposed project. Resources
may be provided by governmental entities, public or private
organizations, or other entities willing to be your partner in this
effort.
(2) Each source of contributions (financial or in-kind) must be
supported by a letter of commitment from the contributing entity,
whether a public or private source, which must describe the contributed
resources that will be used in your project. Staff in-kind
contributions should be given a market-based monetary value. If you
fail to provide letters of commitment with specific details including
the amount of the actual contributions, you will not get rating points
for this factor. Each letter of commitment, memorandum of
understanding, or agreement to participate shall include the
organization's name and the proposed level of commitment and
responsibilities as they relate to the proposed project. The commitment
must be signed by an official legally able to make commitments on
behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which your project reflects a
coordinated, community-based process of identifying needs and building
a system to address the needs by using available HUD and other
community resources. In evaluating this factor, HUD will consider:
(1) The degree of coordination of your proposed project with those
of other groups or organizations to best support and coordinate all
activities, and the specific steps you will take to share information
on solutions and outcomes with others. Any written agreements or
memoranda of understanding in place must be described.
(2) The extent to which you have developed linkages, or the
specific steps you will take to develop linkages, to coordinate your
activities so solutions are holistic and comprehensive. Linkages
include those with other HUD, Federal, State, the Partnership for
Advancing Technology in Homebuilding (PATH) (see Section VI(E) of the
General Section of the SuperNOFA), or locally funded activities through
meetings, information networks, planning processes, or other means.
(3) The degree of coordination with housing rehabilitation, housing
and health inspection, and other related housing programs.
(a) Describe your plan for integrating and coordinating housing-
based hazard interventions with other housing-related activities (e.g.,
rehabilitation, weatherization, removal of code violations, and other
similar work).
(b) Describe your plans to consolidate housing-based hazard
interventions with applicable housing codes and health regulations.
(c) Describe your plans to generate and use public subsidies or
other resources (such as revolving loan funds) to finance future
interventions to prevent and control housing-based hazards,
particularly in low-and very-low-income housing.
(d) Detail the extent to which you will ensure that the needs of
minorities and persons with disabilities will be addressed adequately
during your intervention activities; and that housing in which
environmental hazards have been addressed will remain available and
affordable in the long run for low income, minority, large families,
and for persons with disabilities.
(4) If applicable, the application should demonstrate a knowledge
of the target community's Consolidated Plan and/or Analysis of
Impediments to Fair Housing Choice and detail the Consolidated Plan
issue areas in which your organization participates. Describe the
degree to which you have become actively involved (or if not currently
active, the specific steps you will take to become active) in your
community's Consolidated Planning and/or AI process established to
identify and address a need/problem that is related in whole or part,
directly, or indirectly the activities you propose.
VI. Application Submission Requirements
(A) Applicant Information. You should submit your application in
accordance with the format and instructions contained in this program
section of this SuperNOFA (the application kit repeats this
information). The following is a checklist of required application
contents. Your application must contain the items listed in this
section (VI(A)). These items include the standard forms,
certifications, and assurances listed in the General Section of the
SuperNOFA that are applicable to this funding (collectively, referred
to as the ``standard forms''). The standard forms can be found in
Appendix B to the General Section of the SuperNOFA. The remaining
application items that are forms (i.e., excluding such items as
narratives), referred to as the ``non-standard forms'' can be found as
Appendix C to this program section of
[[Page 11901]]
the SuperNOFA. The items are as follows:
(1) Transmittal letter that summarizes your proposed project,
provides the dollar amount requested, and identifies you and your
partners in the application.
(2) The name, mailing address, telephone number, and principal
contact person. If you are a consortium of associates, sub-recipients,
partners, major subcontractors, joint venture participants, or others
contributing resources to the project, similar information shall also
be provided for each of these entities and you must specify the lead
entity.
(3) Checklist and Submission Table of Contents.
(4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update
Report; Certification Regarding Lobbying; and SF-LLL, Disclosure of
Lobbying Activities, where applicable.
(5) Standard Forms SF-424, 424M, 424A, 424B, and other
certifications and assurances listed in this program section.
(6) A narrative statement addressing the rating factors for award.
The narrative statement must be numbered in accordance with each factor
for award (Rating Factors 1 through 5). The response to the rating
factors must not exceed a total of 25 pages. Any pages in excess of
this limit will not be read.
(7) Any attachments, appendices, references, or other relevant
information that directly support the narrative may accompany it, but
must not exceed twenty (20) pages for your entire application. Any
pages in excess of this limit will not be read.
(8) A detailed budget with supporting cost justification for all
budget categories of your funding request (in accordance with Rating
Factor 3(1)(b)). This information will not be counted towards the page
limits.
(9) The resumes and position descriptions of your project director
and project manager and up to three additional key personnel, not to
exceed three pages each (in accordance with Rating Factor 1). This
information will not be counted towards the page limits.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Activities assisted under this program are subject to HUD
environmental review to the extent required under 24 CFR part 50. An
award under the Healthy Homes Initiative does not constitute approval
of specific sites where activities may be carried out. Following award
execution, HUD will perform environmental reviews for activities to be
carried out on properties proposed by your organization. You may not
rehabilitate, convert, repair or construct a property, or commit or
expend program funds or non-HUD funds for these program activities for
any eligible property, until you receive written notification from the
appropriate HUD official that HUD has completed its environmental
review and the property has been approved. The results of environmental
reviews may require that proposed activities be modified or proposed
sites rejected.
IX. Authority
The authority for this program is Sections 501 and 502 of the
Housing and Urban Development Act of 1970 and the Departments of
Veterans Affairs and Housing and Urban Development, and Independent
Agencies Appropriations Act, 2001, Pub.L. 106-377, approved October 27,
2000.
Appendix A
The following briefly describes the housing-associated health
and injury hazards HUD considers key targets for intervention:
Allergens and asthma: Experts estimate that 14 million Americans
have asthma, with an associated annual cost of $14 billion. Asthma
is now recognized as the leading cause of school and work absence,
emergency room visits and hospitalization. For sensitized children,
exposure to antigens from dust mites, certain pets, and cockroaches
has been associated with more severe asthma. There is a
preponderance of evidence showing a dose-response relationship
between exposure and prevalence of asthma and allergies; some
evidence also indicates that exposure to antigens early in life may
predispose or hasten the onset of allergies and asthma. Dust mites
have been identified as the largest trigger for asthma and
allergies. Cockroach allergens appear to be excessive in 30-50% of
inner-city housing and affect 5-15% of the population, whereas dust
mite appears to be the dominant allergen in other environments.
Interventions known to have beneficial effects include
installation of impervious mattress and pillow covers, which can
reduce allergen exposure by 90%. Other dust mite control measures
include dehumidification, laundering bedding, and removal of carpets
and other dust sinks. Cleaning carpets with tannic acid solution has
also been demonstrated to greatly reduce dust mites. Asthma
prevention program costs have been estimated at about $500 per unit,
which includes about $150 for educational interventions.
Asbestos: Asbestos is a mineral fiber that has been used
commonly in a variety of building construction materials and
household products for insulation and as a fire-retardant. The
Environmental Protection Agency (EPA) and the Consumer Product
Safety Commission (CPSC) have banned most asbestos products.
Manufacturers have also voluntarily limited uses of asbestos. Today,
asbestos is most commonly found in older homes: in pipe and furnace
insulation materials, asbestos shingles, millboard, textured paints
and other coating materials, and floor tiles. Elevated
concentrations of airborne asbestos can occur when asbestos-
containing materials (ACM) are disturbed by cutting, sanding or
other remodeling activities. Improper attempts to remove these
materials can release asbestos fibers into the air in homes,
increasing asbestos levels and endangering people living in those
homes. The most dangerous asbestos fibers are too small to be
visible. After they are inhaled, they can remain and accumulate in
the lungs. Asbestos can cause lung cancer, mesothelioma (a cancer of
the chest and abdominal linings), and asbestosis (irreversible lung
scarring that can be fatal). Most people with asbestos-related
diseases were exposed to elevated concentrations on the job; some
developed disease from exposure to clothing and equipment brought
home from job sites. As with radon, dose-response extrapolations
suggest that lower level exposures, as may occur when asbestos-
containing building materials deteriorate or are disturbed, may also
cause cancer.
Intact asbestos-containing materials are not a hazard; they
should be monitored for damage or deterioration and isolated if
possible. Repair of damaged or deteriorating ACM usually involves
either sealing (encapsulation) or covering (enclosure) it. Repair is
usually cheaper than removal, but it may make later removal of
asbestos more difficult and costly. Repairs should be done only by a
professional trained and certified to handle asbestos safely and can
cost from a few hundred to a few thousand dollars; removal can be
more expensive.
Combustion products of heating and cooking appliances: Burning
of oil, natural gas, kerosene, and wood for heating or cooking
purposes can release a variety of combustion products of health
concern. Depending upon the fuel, these may include carbon monoxide
(a chemical asphyxiant), oxides of nitrogen (respiratory irritants),
polycyclic aromatic hydrocarbons (e.g., the carcinogen
benzo[a]pyrene), and airborne particulate matter (respiratory
irritants). Carbon monoxide, an odorless gas, can be fatal. Nitrogen
dioxide can damage the respiratory tract, and sulfur dioxide can
irritate the eyes, nose and respiratory tract. Smoke and other
particulates irritate the eyes, nose and throat, and can cause lung
cancer.
Improper venting and poor maintenance of heating systems and
cooking appliances can dramatically increase exposure to combustion
products. Experts recommend having combustion heating systems
inspected by a trained professional every year to identify blocked
openings to flues and chimneys; cracked or disconnected flue pipe;
dirty filters; rust or cracks in the heat exchanger; soot or
creosote build-up; and exhaust or gas odors. Installing a carbon
monoxide detector is also recommended; however, such a detector will
not detect other combustion by-products.
[[Page 11902]]
Insect and rodent pests: The observed association between
exposure to cockroach antigen and asthma severity has already been
noted above. In addition, cockroaches may act as vehicles to
contaminate and environmental surfaces with certain pathogenic
organisms. Rodents can transmit a number of communicable diseases to
humans, either through bites, arthropod vectors, or exposure to
aerosolized excreta. In addition, humans can become sensitized to
proteins in rodent, urine, dander and saliva. Such sensitization may
contribute to asthma severity among children. Insect and rodent
infestation is frequently associated with substandard housing that
makes it difficult to eliminate. Treatment of rodent and insect
infestations often includes the use of toxic pesticides which may
present hazards to occupants (see below). Integrated pest management
(IPM) for rodents and cockroaches, which reduces the use of
pesticides, is estimated to cost approximately $150 per unit. IPM
control measures include sealing holes and cracks, removing food
sources and use of traps.
Lead: Exposure to lead, especially from deteriorating lead-based
paint, remains one of the most important and best-studied of the
household environmental hazards to children. Although blood lead
levels have fallen nationally, a large reservoir of lead remains in
housing. The most recent national survey, conducted from 1991-94,
showed that nearly one million U.S. preschoolers still have elevated
blood lead levels. Overall, the prevalence rate among all children
under six years of age is 4.4%. Among low-income children living in
older housing where lead-based paint is most prevalent, the rate
climbs to 16%; and for African-American children living in such
housing, it reaches 21%.
HUD estimates that 64 million dwellings have some lead-based
paint, and that 20 million have lead-based paint hazards. Of those,
about 3.6 million have young children and of those, about 500,000
units have inadequate cash flow to respond to lead-based paint
hazards. Costs can range anywhere from $500 to $15,000 per unit.
Corrective measures include paint stabilization, enclosure and
removal of certain building components coated with lead paint, and
cleanup and ``clearance testing,'' which ensures the unit is safe
for young children.
Mold and moisture: An analysis of several pulmonary disease
studies estimates that 25% of airways disease, and 60% of
interstitial lung disease may be associated with moisture in the
home or work environment. Moisture is a precursor to the growth of
mold and other biological agents, which is also associated with
respiratory symptoms. An investigation of a cluster of pulmonary
hemosiderosis (PH) cases in infants showed PH was associated with a
history of recent water damage to homes and with levels of the mold
Stachybotrys atra (SA) in air and in cultured surface samples.
Associations between exposure to SA and ``sick building'' symptoms
in adults have also been observed. Other related toxigenic fungi
have been found in association with SA-associated illness and could
play a role. For sensitive individuals, exposure to a wide variety
of common molds may also aggravate asthma. Addressing mold problems
in housing requires coordination among the medical, public health,
microbiological, housing, and building science communities.
The cost of mold/moisture-related intervention work (e.g.,
integrated pest management, clean and tune furnace, remove debris,
vent clothes dryer, cover dirt floor with impermeable vapor barrier)
is a few hundred dollars, unless major modification of the
ventilation system is needed. For example, in Cleveland, mold
interventions, including repairs to ventilation systems and basement
flooring, in the most heavily-contaminated homes range from $500--
$5,000, with some costs also being dedicated to lead hazard control
simultaneously through its Lead+Asthma program.
Pesticide residues: According to the EPA, 75 percent of U.S.
households used at least one pesticide product indoors during the
past year. Products used most often are insecticides and
disinfectants. Another study suggests 80 percent of most people's
exposure to pesticides occurs indoors and that measurable levels of
up to a dozen pesticides have been found in the air inside homes.
The amount of pesticides found in homes appears to be greater than
can be explained by recent pesticide use in those households; other
possible sources include contaminated soil or dust that migrates in
from outside, stored pesticide containers, and household surfaces
that collect and then release the pesticides. Pesticides used in and
around the home include products to control insects (insecticides),
termites (termiticides), rodents (rodenticides), molds and fungi(
fungicides), and microbes (disinfectants). In 1990, the American
Association of Poison Control Centers reported that some 79,000
children were involved in common household pesticide poisonings or
exposures. In households with children under five years old, almost
one-half stored at least one pesticide product within reach of
children. Exposure to chlorpyriphos (CP), a commonly used
organophosphate insecticide, in the prenatal and early postnatal
period may impair neurodevelopment. While CP is a biodegradable
pesticide, substantial persistence of CP in house dust has been
demonstrated. Exposure to high levels of cyclodiene pesticides,
commonly associated with misapplication, has produced various
symptoms, including headaches, dizziness, muscle twitching,
weakness, tingling sensations, and nausea. In addition, EPA is
concerned that cyclodienes might cause long-term damage to the liver
and the central nervous system, as well as an increased risk of
cancer.
There are available data on hazard evaluation methods and
remediation effectiveness regarding pesticide residues in the home
environment.
Radon progeny: The National Academy of Sciences estimates that
approximately 15,000 cases of lung cancer per year are related to
radon exposure. Epidemiologic studies of miners exposed to high
levels of radon in inhaled air have defined the dose response
relation for radon-induced lung cancer at high exposure levels.
Extrapolation of these data has been used to estimate the excess
risk of lung cancer attributable to exposure to radon gas at the
lower levels found in homes. These estimates indicate that radon gas
is an important cause of lung cancer deaths in the U.S. Excessive
exposures are typically related to home ventilation, structural
integrity and location.
Radon measurement and remediation methods are well-developed,
and the Environmental Protection Agency (EPA) recommends that every
home be measured for radon. EPA estimates that materials and labor
costs for radon reduction in an existing home are $800-$2500.
Including radon resistant techniques in new home construction costs
$350-$500, and can save up to $65 annually in energy costs,
according to the EPA.
Take-home hazards from work/hobbies and work at home: When the
clothing, hair, skin, or shoes of workers become contaminated with
hazardous materials in the workplace, such contaminants may
inadvertently be carried to the home environment and/or an
automobile. Such ``take-home'' exposures have been demonstrated, for
example, in homes of lead-exposed workers. In addition, certain
hobbies or workplaces located in the home may provide an especially
great risk of household contamination.
Control methods include storing and laundering work clothes
separately, and showering and changing before leaving work, or
immediately after arriving home. Once a home becomes contaminated,
cleaning floors and contact surfaces and replacing furnishings may
be necessary to reduce exposures.
Unintentional injuries/fire: Unintentional injury is now the
leading cause of death and disability among children younger than 15
years of age. In 1997, nearly 7 million persons in the United States
were disabled for at least 1 full day by unintentional injuries
received at home. During the same year, 28,400 deaths were
attributable to unintentional home injuries, of which 1800 occurred
among children 0-4 years of age. Among young children, three types
of events accounted for more than 3/4 of deaths: fires/ burns,
drownings, and mechanical suffocation. Falls and poisoning are the
next most common.
Home visitation protocols have been shown to be effective in
reducing exposure to such hazards. The ``add-on'' cost of injury
prevention measures, when combined with other housing interventions
are estimated at about $100 per unit. This includes the cost of some
injury prevention devices, such as smoke alarms, electrical socket
covers, etc.
Appendix B
References: To secure any of the documents listed, call the
listed telephone number (generally, the telephone numbers are not
toll-free).
Regulations: 1. Worker Protection: OSHA publication--Telephone:
202-693-1888 (OSHA Regulations) (available for a charge)--Government
Printing Office--Telephone: 202-512-1800 (not a toll-free number):
--General Industry Lead Standard, 29 CFR 1910.1025 (Document Number
869022001124). Can be downloaded from
[[Page 11903]]
the Internet without charge from www.osha-slc.gov/OshStd_data/1910_1025.html.
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices A,
B, C, and D (Document Number 869022001141). Can be downloaded from
the Internet without charge from www.osha-slc.gov/OshStd_data/1926_0062.html.
2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations)
(available for a charge)--Telephone 1-800-424-9346, or, from the
Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free
number). Can be downloaded from the Internet without charge from
www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
3. Lead; Requirements for Lead-Based Paint Activities in Target
Housing and Child-Occupied Facilities; Final Rule: 40 CFR Part 745,
(EPA) (Lead Hazard Standards, Work Practice Standards, EDP and State
Certification and Accreditation programs for those engaged in lead-
based paint activities)--Telephone: 1-202-554-1404 (Toxic Substances
Control Act Hotline) (not a toll-free number). Can be downloaded
from the Internet without charge from www.epa.gov/opptintr/lead/index.html.
Guidelines: 1. Guidelines for the Evaluation and Control of
Lead-Based Paint Hazards in Housing; HUD, June 1995, and amended
September, 1997. (available for a charge)--Telephone: 800-245-2691.
Can be downloaded from the Internet without charge from www.hud.gov/lea/leadwnlo.html.
2. Preventing Lead Poisoning in Young Children; Centers for
Disease Control, October 1991: Telephone: 888-232-6789.
3. Screening Young Children for Lead Poisoning: Guidance for
State and Local Public Health Officials, November 1997; Centers for
Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can
be downloaded from the Internet without charge from www.hud.gov/lea/leadwnlo.html.
Reports: 1. Putting the Pieces Together: Controlling Lead
Hazards in the Nation's Housing, (Summary and Full Report); HUD,
July 1995 (available for a charge)--Telephone 800-245-2691. Can be
downloaded from the Internet without charge from www.hud.gov/lea/leadwnlo.html
2. The Healthy Homes Initiative: A Preliminary Plan (Summary and
Full Report); HUD, July 1995. Can be downloaded from the Internet
without charge from www.hud.gov/lea/leadwnlo.html
3. Institute of Medicine. Indoor Allergens. Assessing and
Controlling Adverse Health Effects. National Academy Press.
Washington, D.C. 1993.
4. Mott L., Our Children at Risk. Natural Resources Defense
Council. Washington, D.C. 1997. Can be ordered from the Internet
from www.nrdc.org
5. Rom W.N., Ed. Environmental and Occupational Medicine.
Little, Brown and Co., Boston. 1992.
6. President's Task Force on Environmental Health Risks and
Safety Risks to Children. Asthma and The Environment: An Action Plan
to Protect Children. Washington, D.C. 1999. Eliminating Childhood
Lead Poisoning: A Federal Strategy Targeting Lead Paint Hazards.
Washington, D.C., 2000. Can be downloaded from the Internet without
charge from www.epa.gov/children.
Appendix C
The non-standard forms, which follow, are required for your
Healthy Homes Demonstration and Education application. They are the
Checklist and Submission Table of Contents and the Total Budget
(Federal Share and Matching Contribution, including instructions).
BILLING CODE 4210-32-P
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Notices
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Notices
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[[Page 11915]]
FUNDING AVAILABILITY FOR THE HOPE VI PROGRAM
Program Overview
Purpose of the Program. HOPE VI Revitalization Grants. In
accordance with section 24(a) of the U.S. Housing Act of 1937 (1937
Act), the purpose of HOPE VI Revitalization grants is to assist public
housing agencies (PHAs) to:
(1) Improve the living environment for public housing residents of
severely distressed public housing projects through the demolition,
rehabilitation, reconfiguration, or replacement of obsolete public
housing projects (or portions thereof);
(2) Revitalize sites (including remaining public housing dwelling
units) on which such public housing projects are located and contribute
to the improvement of the surrounding neighborhood;
(3) Provide housing that will avoid or decrease the concentration
of very low-income families; and
(4) Build sustainable communities.
HOPE VI Demolition Grants. Demolition grants enable PHAs to
expedite the demolition of severely distressed public housing units.
Any subsequent new construction or revitalization of any remaining
units must be funded from other resources, which may include a HOPE VI
Revitalization Grant.
Available Funds. Approximately $565 million, as allocated in
accordance with Section II of this HOPE VI section of the SuperNOFA,
below.
Eligible Applicants. PHAs that meet the requirements at Section
III(B) of this HOPE VI section of the SuperNOFA, below.
Application Deadlines. Revitalization grant applications are due on
June 22, 2001. Demolition grant applications are due on July 10, 2001.
Additional Information
If you are interested in applying for a HOPE VI grant, please
review the following information, the General Section of this
SuperNOFA, and the HOPE VI Application Kit.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
(A) Application Due Dates. (1) Revitalization grant applications
are due at HUD Headquarters on or before 12:00 midnight, Eastern time
on June 22, 2001.
(2) Demolition grant applications are due at HUD Headquarters on or
before 12:00 midnight, Eastern time on July 10, 2001. See Section
VII(B)(3) of this HOPE VI section of the SuperNOFA, below, for
important information regarding the application deadline and deficiency
cure period for Demolition grant applications.
(3) See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
(B) Submission of Applications.
(1) Revitalization Grants. (a) Send an original and one copy of
your completed application to HUD Headquarters, 451 Seventh Street, SW,
Room 4130, Washington, DC 20410, Attention: Mr. Milan Ozdinec, Acting
Deputy Assistant Secretary for Public Housing Investments.
(b) Send one copy of your completed application to your local HUD
Field Office.
(2) Demolition Grants. (a) Send one copy of your completed
application to HUD Headquarters, 451 Seventh Street, SW, Room 4130,
Washington, DC 20410, Attention: Mr. Milan Ozdinec, Acting Deputy
Assistant Secretary for Public Housing Investments.
(b) Send one copy of your completed application to your local HUD
Field Office.
(3) Field Offices: Appendix A-1.
A list of HUD Field Offices and their hours of operation is
included as Appendix A of the General Section of this SuperNOFA. If you
wish to hand carry your application(s) to your local HUD Field Office,
you may do so during normal business hours before the application
deadline dates. On each application deadline date, HUD Field Office
business hours will be extended to 6:00 pm. HUD will determine whether
your application is timely filed based on the date and time of receipt
at HUD Headquarters, not the date and time of receipt at your local
Field Office.
(C) Application Kits. HUD will mail an Application Kit to every
eligible PHA. To obtain an Application Kit and any supplemental
materials, 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-HUD-2209. When requesting an Application Kit,
please refer to HOPE VI and provide your name, address (including zip
code), and telephone number (including area code). The Application Kit
also will be available on the HUD Grant Information Website
(www.hud.gov/grants) and the HOPE VI Home Page (www.hud.gov/hopevi).
(D) Further Information and Technical Assistance. You may call,
fax, or write Mr. Milan Ozdinec, Acting Deputy Assistant Secretary for
Public Housing Investments, Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 4130, Washington, DC 20410;
telephone (202) 708-0614x4166; fax (202) 401-2370 (these are not toll
free numbers). Persons with hearing or speech impairments may call via
TTY by calling the Federal Information Relay Service at 1-800-877-8339.
(E) Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants HOPE VI staff will review the NOFA
and answer questions from members of the audience. For more information
about the date and time of the broadcast, consult the HUD Grant
Information Website (www.hud.gov/grants).
II. Amount Allocated
------------------------------------------------------------------------
Funds Available
Allocation of for Award in this
Type of Assistance funds HOPE VI section
(approximate) of the SuperNOFA
(Approximate)
------------------------------------------------------------------------
A. Revitalization Grants for $225,000,000 $225,000,000
projects with 300+ units;
preference for Section 202
projects scoring 80+ points......
B. Revitalization Grants for all 265,000,000 265,000,000
Housing Authorities..............
Demolition Grants................. 75,000,000 75,000,000
Technical Assistance.............. 10,000,000 .................
-------------------------------------
Total......................... 575,000,000 565,000,000
------------------------------------------------------------------------
[[Page 11916]]
(A) Revitalization Grants. (1) Allocation of Funds.
(a) Total Allocation. Approximately $490 million of the FY 2001
HOPE VI appropriation has been allocated to fund HOPE VI Revitalization
grants and will be awarded in accordance with this HOPE VI section of
the SuperNOFA.
(b) Group A Applications.
(i) Section 202 Priority. Approximately $225 million of the FY 2001
HOPE VI appropriation has been allocated to fund Revitalization
applications that propose to revitalize severely distressed public
housing projects that:
(A) have 300 or more units. If your application proposes to
revitalize more than one development or a scattered site development,
as described in section II(A)(5)(b) and (c) of this HOPE VI section of
the SuperNOFA, all of the units will be counted toward the 300 unit
minimum; and
(B) receive a score of 80 points or more; and
(C) propose to provide replacement housing (including on-site
replacement housing) for public housing developments that:
(i) have been identified by HUD, in HUD's sole determination, to be
subject to conversion or assessment under Section 202 of the Omnibus
Consolidated Rescissions and Appropriations Act of 1996 (``Section
202''); and
(ii) as of January 1, 2000, have not subsequently been determined
by HUD to have satisfied the requirements of Section 202; and
(iii) as of January 1, 2000, have not approved Section 202
Mandatory Conversion plan (i.e., a plan for removal of units from the
public housing inventory in accordance with the requirements at 24 CFR
971.7(d)), approved demolition or disposition application under section
18 of the U.S. Housing Act, or approved HOPE VI Revitalization Grant
(``Section 202 Developments'').
(ii) Section 202 Priority Guidelines.
(A) If you intend to submit an application for a Section 202
Development, discuss your proposal with your Field Office to ensure
that it qualifies under the standards set forth above.
(B) If more than one development is targeted in your application
(in accordance with section II(A)(5)(b) and (c) of this HOPE VI section
of the SuperNOFA), and one or more qualify under Section 202, all
developments targeted in the application will be considered to qualify
under Section 202.
(iii) Other Priority A Applications.
(A) If funds remain of the $225 million allocated for Group A
application after all applications described in (b)(i) above are
funded, applications that target developments with 300 or more units
will be funded, in score order, to the approximately $225 million
allocation.
(B) If funds remain of the $225 million allocated for all eligible
Group A applications described in (b)(i) and (b)(iii) above are funded,
those remaining funds will be combined with the $265 allocation for
Group B applications.
(c) Group B Applications.
Approximately $265 million has been allocated to fund all other
Revitalization applications without regard to the size of the project
to be revitalized, including any eligible Group A applications that
were not funded.
(2) Application Submission.
(a) If you submit an application that targets a Section 202
Development, you may also submit a second application, regardless of
whether it targets a 202 Development or the number of units in the
development.
(b) If you do not submit an application that targets a Section 202
Development, you may submit only one application.
(3) Total Grant Amount. The total amount you may request per
Revitalization Application is limited to $35 million or the sum of the
amounts in paragraph (4) below, of this Section II(A)(3), whichever is
lower.
(4) Revitalization Grant Limitations.
(a) Total Development Cost (TDC). TDCs are limited by the HUD-
published TDC Cost Tables, which are issued for each fiscal year (FY)
for the building type and bedroom distribution for the public housing
replacement units. Use the TDCs in effect at the time the SuperNOFA is
published when making your TDC calculations. The total cost of
development, including relocation costs, is limited to the sum of:
(i) HUD's TDCs up to 100 percent of HUD's published TDC limits for
the costs of demolition and new construction, multiplied by the number
of HOPE VI replacement units; and/or
(ii) 90 percent of the TDC limits, multiplied by the number of
public housing units after substantial rehabilitation and
reconfiguration.
(b) Community and Supportive Services (CSS). You may request an
amount up to 15 percent of the total HOPE VI grant to pay the costs of
CSS activities, as described in Section IV(C)(3) of this HOPE VI
section of the SuperNOFA. These costs are in addition to the TDC
calculation in subparagraph (a) above.
(c) Demolition and Site Remediation Costs of Unreplaced On-site
Units. You may request an amount necessary for demolition and site
remediation costs of units that will not be replaced on-site. This cost
is in addition to the TDC calculation in subparagraph (a) above.
(d) Extraordinary Site Costs. (i) You may request a reasonable
amount to pay extraordinary site costs necessary to complete the
proposed revitalization. These costs are in addition to the TDC
calculation in paragraph (a) above. Extraordinary site costs may be
incurred in the remediation and demolition of existing property, as
well as in the development of new and rehabilitated units. Examples of
such costs include, but are not limited to: abatement of extraordinary
environmental site hazards; removal or replacement of extensive
underground utility systems; extensive rock and/or soil removal and
replacement; removal of hazardous underground tanks; work to address
unusual site conditions such as slopes, terraces, water catchments,
lakes, etc.; and work to address flood plain and other environmental
remediation issues. Costs to abate asbestos and lead-based paint should
be included in normal demolition costs where such items are found
within the structures themselves. An example of extraordinary lead-
based paint would be where the lead has leached into the soil and
extraordinary measures are needed to remove the lead.
(ii) Extraordinary site costs must be justified and verified by an
engineer or architect licensed by his or her state licensing board who
is not an employee of the housing authority or the city. The engineer
or architect must provide his or her license number and state of
registration. An Extraordinary Site Costs Certification is included in
the HOPE VI Application Kit.
(e) You may not use HOPE VI Revitalization Grant funds to pay for
any revitalization activities carried out before the date of the letter
announcing the award of the HOPE VI Grant.
(f) You may use any non-public housing funds to supplement public
housing funds for any project cost.
(g) Your application must disclose all prior HUD public housing
grant assistance received for the project(s) you have targeted for the
physical revitalization related to the proposed revitalization
activities. Do not include Modernization or Capital Funds used for
prior rehabilitation activities unrelated to the proposed HOPE VI
revitalization activities.
(5) Revitalization Site and Unit Application Guidelines.
(a) Except as provided in subparagraphs (b) and (c) below, each
[[Page 11917]]
application must target one severely distressed public housing project
(i.e., a project with one development number).
(b) Each application may request funds for more than one project if
those projects are immediately adjacent to one another or within a
quarter-mile of each other. If you include more than one project in a
single application, you must provide a map that clearly indicates that
the projects are within a quarter-mile of each other.
(c) Your application may request funds to revitalize a scattered
site public housing project. The sites targeted in an application
proposing to revitalize scattered sites (regardless of whether the
scattered sites are under multiple project numbers) must fall within a
one square mile area, except that you may identify a larger site if you
can show that all of the targeted scattered site units are located
within the hard edges (e.g., major highways, railroad tracks,
lakeshore, etc.) of a neighborhood.
(d) You may request funds for as few or as many units as you wish
in your application. HUD will review requests for small numbers of
units on an equal basis with requests for large numbers of units.
(e) You may submit a Revitalization application that targets a
project that is being revitalized or replaced under a previously-funded
HOPE VI Revitalization grant or another source of HUD funds. However,
you may not apply for new HOPE VI Revitalization funds for units in
that project that were funded by the previous HOPE VI Revitalization
grant or other HUD funds, even if the previously-awarded HUD funds
turned out to be inadequate to pay the costs to revitalize or replace
all of the targeted units. For example, if a project has 700 units and
you were awarded HOPE VI Revitalization grant funds or other HUD public
housing funds to address 300 of those units, you may submit an FY 2001
HOPE VI Revitalization application to revitalize the remaining 400
units. You may not apply for supplemental funds to supplement work on
the original 300 units.
(B) Demolition Grants. (1) Allocation of Funds. Approximately $75
million of the FY 2001 HOPE VI appropriation has been allocated to fund
HOPE VI Demolition grants and will be awarded in accordance with this
HOPE VI section of the SuperNOFA.
(2) Demolition Grant Limitations.
(a) Demolition. You may request up to $5,000 per unit for
demolition and other eligible related costs.
(b) Relocation. (i) You may request up to $3,000 in relocation
costs for each unit that is occupied as of the date you submit your
HOPE VI Demolition grant application.
(ii) At least half of the funds requested for relocation must be
used to provide mobility counselling and other services to promote the
self-sufficiency of displaced residents, and must be matched by non-
HOPE VI funds in accordance with Section IV(E)(2)(d)(ii) of this HOPE
VI section of the SuperNOFA, below.
(c) Extraordinary Site Costs. (i) You may request a reasonable
amount to pay extraordinary site costs necessary to complete the
proposed demolition. If requested, extraordinary site costs must be
included as part of an application for funding of demolition of public
housing units; you may not apply for them by themselves. For Priority
Group 4 applications, as described in Section VII(A)(1)(d) below, these
costs are in addition to the TDC calculation in Section II(A)(3)(a) of
this HOPE VI section of the SuperNOFA, above. Examples of such costs
include, but are not limited to: abatement of extraordinary
environmental site hazards; removal of extensive underground utility
systems; extensive rock and/or soil removal and replacement; removal of
hazardous underground tanks; work to address unusual site conditions
such as slopes, terraces, water catchments, lakes, etc.; and work to
address flood plain and other environmental remediation issues. Costs
to abate asbestos and lead-based paint should be included in normal
demolition costs where such items are found within the structures
themselves. An example of extraordinary lead-based paint would be where
the lead has leached into the soil and extraordinary measures are
needed to remove the lead.
(ii) Extraordinary site costs must be justified and verified by an
engineer or architect licensed by his or her state licensing board who
is not an employee of the housing authority or the city. The engineer
or architect must provide his or her license number and state of
registration. An Extraordinary Site Costs Certification is included in
the HOPE VI Application Kit.
(d) Nondwelling Facilities.
(i) You may request reasonable amounts to pay for the demolition of
significant nondwelling facilities related to the demolition of
dwelling units. These costs must be included as part of an application
for funding of demolition of public housing units; you may not apply
for them by themselves. Examples of such costs include, but are not
limited to, the demolition of heating plants, community buildings, or
streets.
(ii) Such costs must be justified and verified by an engineer or
architect, as described in subparagraph (c)(ii) above. A Nondwelling
Facilities Cost Certification is included in the Demolition Grant
Application section of the HOPE VI Application Kit.
(e) HUD recognizes that the HOPE VI grant may not cover the total
costs of relocation, abatement, and demolition in all cases and that
you may have to provide additional funding from other sources.
(f) You may not use HOPE VI Demolition Grant funds to pay for any
demolition or related activities carried out before the date of the
letter announcing the award of the HOPE VI Grant.
(3) Demolition Site and Unit Application Guidelines.
(a) You may submit up to 10 HOPE VI Demolition grant applications
that target a total of no more than 4,500 severely distressed public
housing units.
(b) You may target units in only one public housing project per
application.
(c) You may submit more than one application targeting units in a
single housing project.
(d) You may target as many or as few units per application as you
wish.
(C) Section 8. (1) If you anticipate that you will need Section 8
assistance in order to carry out necessary relocation in conjunction
with proposed revitalization or demolition during FY 2002, you must
state the number of certificates you will need, both in total and in FY
2002, and include a completed Section 8 Application (HUD-52515) for the
units you will need in FY 2002 with your HOPE VI application. The
Section 8 Application Form can be found in the HOPE VI Application Kit
and from HUDCLIPS (www.hudclips.org). If you are selected for HOPE VI
funding, the HUD Field Office will detach the Section 8 application and
process it in accordance with Section 8 Guidelines. If you are
successful in receiving a HOPE VI Revitalization grant, you should
confirm with your Field Office that your Section 8 application is
processed.
(2) If you will need Section 8 assistance in fiscal years beyond FY
2002 for revitalization or demolition that is being carried out in
phases, or if you have unused Section 8 vouchers that are available to
be used for HOPE VI-related relocation in FY 2002 but will need more
for subsequent years, you must request additional vouchers only as
needed during the appropriate fiscal years.
(3) Section 8 assistance cannot be awarded or used to relocate
residents from units that are to be demolished until those units have
been approved by HUD for demolition.
[[Page 11918]]
(4) If you have already applied for FY 2002 Section 8 assistance
for the targeted units, include a copy of your Section 8 application
with your HOPE VI application.
(5) If you have previously received Section 8 assistance to
relocate residents from the targeted severely distressed units, you may
still apply for a HOPE VI Revitalization Grant to physically replace
those same units, or a HOPE VI Demolition Grant to demolish the units
without replacement.
(6) You may request Section 8 assistance to provide temporary
relocation to families who intend to move back to the site upon
completion of the demolition and revitalization of the severely
distressed project.
(7) You may request Section 8 assistance for all units covered
under a HOPE VI Revitalization or Demolition application to relocate
residents from units that will not be replaced with hard units.
(8) Under standard HUD policy, Section 8 vouchers are available as
replacement units for all units (occupied or vacant) that will be
demolished, sold, or otherwise disposed of, minus the number of public
housing units replaced with Federal funds. To the extent that the
resulting number exceeds the number of units requested for relocation
as a result of activities funded by a HOPE VI Revitalization or
Demolition grant under this NOFA, you should apply for Section 8
vouchers in accordance with the funding notices issued by HUD. For more
information, see Notice PIH 2000-27, which is available through
HUDCLIPS (www.hudclips.org).
(D) Technical Assistance. The FY 2001 appropriation for HOPE VI
allocated $10 million to provide Technical Assistance in the planning,
development, and implementation of the HOPE VI Program. Those funds
will be administered by the Office of Public Housing Investments.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The HOPE VI Program, through its
Revitalization funding component, assists PHAs in improving the living
environment for public housing residents of severely distressed public
housing projects through the demolition, rehabilitation,
reconfiguration, or replacement of obsolete public housing projects (or
portions thereof), in revitalizing sites in which public housing sites
are located, and providing housing that avoids or decreases the
concentration of very low-income families. The demolition funding
component of the HOPE VI Program enables PHAs to expedite the
demolition of severely distressed public housing units.
(B) Eligible Applicants. (1) Troubled Status. In accordance with
section 24(j) of the 1937 Act, the term ``applicant'' means:
(a) Any PHA that is not designated as ``troubled'' pursuant to
section 6(j)(2) of the 1937 Act;
(b) Any PHA for which a private housing management agent has been
selected, or a receiver has been appointed, pursuant to section 6(j)(3)
of the 1937 Act; and
(c) Any PHA that is designated as ``troubled'' pursuant to section
6(j)(2) of the 1937 Act and that:
(i) Is designated as troubled principally for reasons that will not
affect its capacity to carry out a revitalization program;
(ii) Is making substantial progress toward eliminating the
deficiencies of the agency that resulted in its troubled status; or
(iii) Is otherwise determined by HUD to be capable of carrying out
a revitalization program.
(2) MTCS Reporting. (a) To be eligible to submit an application
under this HOPE VI Section of the SuperNOFA, you must:
(i) have a minimum reporting rate of not less than 85 percent for
public housing resident records to HUD's MTCS (see 24 CFR part 908 and
Notices PIH 98-30, 99-2, and 2000-13) for the period ending December
1999, and
(ii) submit a certification with your application certifying that
you have met this requirement.
(b) If you received less than an 85 percent rate of reporting under
MTCS for the period ending December 1999, you will still be considered
to have passed this threshold requirement if:
(i) you subsequently achieved a minimum rate of not less than 85
percent for public housing resident records under the MTCS as of the
December 2000 reporting period, or
(ii) you were granted forbearance by HUD under the applicable
procedures under PIH Notice 2000-13 for the semi-annual assessment
period ending December 2000, and
(iii) you submit a certification with your application indicating
that you have either:
(A) achieved the minimum reporting rate as of the December 2000
reporting period, or
(B) obtained a forbearance from HUD for the semi-annual assessment
period ending December 2000.
(C) Eligible Activities. The following are the activities that are
eligible to be carried out using HOPE VI Revitalization and Demolition
Grant funds. Other activities may also be eligible at future dates as
Congress may authorize. Keep in mind that, until HUD has approved a
Request for Release of Funds following a responsible entity's
environmental review under 24 CFR part 58, or until HUD has completed
an environmental review and given approval for the action under 24 CFR
part 50, you may not undertake any actions that are choice-limiting or
could have environmentally adverse effects, including demolishing,
acquiring, rehabilitating, converting, leasing, repairing, or
constructing property, and you may not commit or spend HUD or local
funds for these activities.
(1) Eligible Revitalization Activities. HOPE VI Revitalization
grants may be used for activities to carry out revitalization programs
for severely distressed public housing in accordance with section 24(d)
of the 1937 Act. If HOPE VI Revitalization Grant funds are used for any
of the following activities, you must conduct them in accordance with
the following program requirements.
(a) Relocation, including reasonable moving expenses, for residents
displaced as a result of the revitalization of the project.
(i) General. You must provide suitable, decent, safe, and sanitary
housing for each family required to relocate as a result of
revitalization activities under the Revitalization Plan.
(ii) Standard Relocation Requirements. You must carry out
relocation activities in compliance with the following statutory and
regulatory requirements, as applicable:
(A) Relocation or temporary relocation carried out as a result of
rehabilitation under an approved Revitalization Plan is subject to the
Uniform Relocation Assistance and Real Property Policies Act (42 U.S.C.
4601 et seq; 49 CFR part 24) (URA) and regulations at 24 CFR 968.108 or
successor regulations.
(B) Relocation carried out as a result of acquisition under an
approved Revitalization Plan is subject to the URA and regulations at
24 CFR 941.207 or successor regulations.
(C) Relocation carried out as a result of disposition under an
approved Revitalization Plan is subject to section 18 of the 1937 Act,
as amended.
(D) Relocation carried out as a result of demolition under an
approved Revitalization Plan is subject to the URA.
(iii) Relocation Application Information. In your application, you
will provide:
[[Page 11919]]
(A) information on your plans for relocation in your response to
Rating Factor 3(5) (Relocation and Section 8); and
(B) a list of the names of current residents to be relocated as of
the date the HOPE VI Revitalization application is submitted.
(iv) The HOPE VI Revitalization Relocation Plan. If you are
selected to receive a HOPE VI Revitalization grant, you will be
required to submit to HUD a HOPE VI Revitalization Relocation Plan,
including a Reoccupancy Agreement executed with the recognized resident
body, as described in Section IV(D)(1)(c) of this HOPE VI Section of
the SuperNOFA.
(b) Demolition of dwelling units and nondwelling facilities, in
whole or in part. You may not carry out, nor permit others to carry out
the demolition of any units or nondwelling facilities until HUD
approves one of the following:
(i) information in your HOPE VI Revitalization Application, along
with any supplemental information requested by HUD after the award of
the grant. Section 24(g) of the 1937 Act provides that severely
distressed public housing demolished pursuant to a Revitalization Plan
is not required to be approved by a demolition application under
section 18 of the 1937 Act or regulations at 24 CFR part 970;
(A) If you do not receive a HOPE VI Revitalization grant, the
information in your application will not be used to process a request
for demolition.
(B) Please note that demolition is not a required element of a HOPE
VI Revitalization application.
(ii) a demolition application under Section 18 of the Act. While
not required in order to proceed with demolition, you may carry out
demolition based on an existing Section 18 demolition approval, or
apply for Section 18 approval; or
(iii) a Section 202 Mandatory Conversion Plan, if the project is
subject to the requirements of Section 202.
(c) Disposition of a severely distressed public housing site, by
sale or lease, in whole or in part, in accordance with section 18 of
the 1937 Act and implementing regulations at 24 CFR part 970. A long
term lease of one year or more which is not incident to the normal
operation of the development is considered a disposition.
(d) Rehabilitation and physical improvement of public housing and/
or community facilities primarily intended to facilitate the delivery
of community and supportive services for residents of the project and
residents of off-site replacement housing, in accordance with 24 CFR
968.112(b), (d), (e), and (g)-(o) and 24 CFR 968.130 and 968.135(b) and
(d) or successor regulations, as applicable.
(e) Development. (i) For any standard (non-mixed finance) public
housing development activity, (whether on-site reconstruction or off-
site development), you must obtain HUD approval of a Standard
Development Proposal submitted under 24 CFR part 941 (or successor
part).
(ii) For mixed-finance housing development, you must obtain HUD
approval of a Mixed Finance Proposal, submitted under 24 CFR part 941,
subpart F (or successor part and subpart).
(iii) For new construction of community facilities primarily
intended to facilitate the delivery of community and supportive
services for residents of the project and residents of off-site
replacement housing, you must comply with 24 CFR part 941 (or successor
part). Information required for this activity must be included in
either a Standard or Mixed Finance Development Proposal.
(f) Homeownership Activities. For homeownership replacement units
developed under a Revitalization Plan, you must obtain HUD approval of
a homeownership proposal submitted under section 24(d)(1)(J) or Section
32 of the 1937 Act. The Homeownership Proposal must be consistent with
the 80 percent of Area Median Income (AMI) limitations under the 1937
Act.
Assistance may include:
(i) Downpayment or closing cost assistance;
(ii) Provision of second mortgages; and/or
(iii) Construction or permanent financing for new construction,
acquisition, or rehabilitation costs related to homeownership
replacement units.
(g) Acquisition.
(i) Rental Units. For acquisition of rental units in existing or
new apartment buildings, single family subdivisions, etc., with or
without rehabilitation, for use as public housing replacement units,
you must comply with 24 CFR part 941 or successor part.
(ii) Land for Housing, Off-Site Units. For acquisition of land for
public housing development, you must comply with 24 CFR part 941 or
successor part.
(iii) Land for Economic Development. (A) For acquisition of land
for economic development-related activities that promote the economic
self-sufficiency of residents, you must comply with 24 CFR part 941,
subpart F, or successor part.
(B) With HUD approval, you may also use HOPE VI grant funds for
limited infrastructure and site improvements associated with developing
retail, commercial, or office facilities, such as rough grading and
bringing utilities to (but not on) the site.
(C) You must enter into a long-term ground lease to govern the
development and use of land acquired for economic development purposes.
(D) You may not use HOPE VI Grant funds to pay hard development
costs or to buy equipment for retail, commercial, or office facilities.
(h) Necessary management improvements, including transitional
security activities.
(i) Reasonable costs for administration, planning, technical
assistance, and fees and costs, as established by HUD guidance and
policies regarding cost controls. These costs are limited to the
incremental costs of implementing the Revitalization Plan, as
specifically approved by HUD, such as fees for architectural and
engineering work, program management (if any), and reasonable legal
fees.
(j) Community and Supportive Services (CSS). (i) The CSS Component
of the HOPE VI Program encompasses all activities that are designed to
promote upward mobility, self-sufficiency, and improved quality of life
for the residents of the public housing project involved, including
literacy training, job training, day care, transportation, and economic
development activities. The CSS Component is further described in
Section IV(C)(3) of this HOPE VI section of the SuperNOFA.
(ii) Consistent with section 24(j)(3) of the 1937 Act, you may use
an amount up to 15 percent of the total HOPE VI Grant to pay the costs
of CSS activities. You may spend additional sums on CSS activities
using donations, HUD funds made available for that purpose, or other
PHA funds.
(iii) Consistent with section 24(d)(2) of the Act, you may deposit
up to 15 percent of your HOPE VI grant amount into an endowment trust
to provide CSS activities, in accordance with section IV(C)(3)(d) of
this HOPE VI section of the SuperNOFA, below.
(k) Leveraging other resources, including additional housing
resources, supportive services, job creation, and other economic
development uses on or near the project that will benefit future
residents of the site.
(l) Rental assistance under Section 8.
(2) Eligible Demolition Activities. The following are the specific
activities that are eligible using HOPE VI Demolition grant funds and
the corresponding program requirements.
[[Page 11920]]
(a) Relocation, including reasonable moving expenses and self-
sufficiency programs related to the permanent relocation of families.
(i) General. You must provide suitable, decent, safe, and sanitary
housing for each family required to relocate as a result of demolition
activities.
(ii) Standard Relocation Requirements. You must carry out
relocation activities in compliance with the following statutory and
regulatory requirements, as applicable:
(A) Relocation as a result of demolition approved by a Section 18
demolition application is subject to the URA and Section 18 of the Act.
(B) Relocation as a result of demolition approved as part of a
Section 202 Mandatory Conversion Plan is subject to the URA.
(iii) The HOPE VI Demolition Relocation Plan. You will be required
to provide a HOPE VI Demolition Relocation Plan in your application, as
described in Section IV(E)(2) of this HOPE VI section of the SuperNOFA.
(b) Demolition of dwelling units in buildings, in whole or in part,
including the abatement of environmentally hazardous materials such as
asbestos, in accordance with section 18 of the 1937 Act as amended.
(c) Demolition of nondwelling facilities, if such demolition is
directly related to the demolition of severely distressed dwelling
units to be demolished with funds from the HOPE VI Demolition Grant.
(d) Restoration of the site to a ``greenfield,'' clean state by
removing all demolished materials, filling in the site, and
establishing a lawn. No additional improvements, such as constructing
new curbs and gutters, installing playground equipment, or planting
gardens may be paid for with HOPE VI Demolition grant funds.
(e) In the case of partial demolition of a site, minimal site
restoration after demolition and subsequent site improvements to
benefit the remaining portion of the project in order to provide
project accessibility or to make the site more marketable.
(f) Reasonable costs for administration, planning, technical
assistance, and fees and costs which are deemed to be incremental costs
of carrying out the demolition as specifically approved by HUD.
IV. Program Requirements
(A) HOPE VI Application Requirements. In addition to the Fair
Housing requirements provided in Section II(B) of the General Section
of this SuperNOFA, all HOPE VI applications (Revitalization and
Demolition) must comply with the following program requirements:
(1) Severe Distress. The targeted public housing project or
building in a project must be severely distressed. In accordance with
section 24(j)(2) of the 1937 Act, the term ``severely distressed public
housing'' means a public housing project (or building in a project)
that:
(a) Requires major redesign, reconstruction or redevelopment, or
partial or total demolition, to correct serious deficiencies in the
original design (including inappropriately high population density),
deferred maintenance, physical deterioration or obsolescence of major
systems, and other deficiencies in the physical plant of the project;
(b) Is a significant contributing factor to the physical decline of
and disinvestment by public and private entities in the surrounding
neighborhood;
(c) (i) Is occupied predominantly by families who are very low-
income families with children, are unemployed, and dependent on various
forms of public assistance; or
(ii) Has high rates of vandalism and criminal activity (including
drug-related criminal activity) in comparison to other housing in the
area;
(d) Cannot be revitalized through assistance under other programs,
such as the Capital and Operating Funds Programs for public housing
under the Act, or the programs under sections 9 and 14 of the 1937 Act
(as in effect before the effective date under section 503(a) of the
Quality Housing and Work Responsibility Act of 1998 (Pub.L. 105-276,
approved October 21, 1998, referred to as the Public Housing Reform
Act), because of cost constraints and inadequacy of available amounts;
and
(e) In the case of individual buildings, is sufficiently separated
from the remainder of the project of which the building is part to make
use of the building feasible for revitalization; or
(f) That was a project described in paragraphs (a) through (e)
above that has been legally vacated or demolished, but for which HUD
has not yet provided replacement housing assistance (other than tenant-
based assistance).
(2) Appropriateness. In accordance with section 24(e)(1) of the
1937 Act, an application for any HOPE VI grant must demonstrate the
appropriateness of the proposal in the context of the local housing
market relative to other alternatives.
(3) Litigation. You may not have any litigation pending which would
preclude timely startup of activities.
(4) Desegregation Orders. You must be in full compliance with any
desegregation or other court order related to Fair Housing (e.g., Title
VI of the Civil Rights Act of 1964, the Fair Housing Act, and section
504 of the Rehabilitation Act of 1973) that affects your public housing
program and that is in effect on the date of application submission.
(5) Flood Insurance. In accordance with the Flood Disaster
Protection Act of 1973 (42 U.S.C. 4001-4128), your application may not
propose to provide financial assistance for acquisition or construction
(including rehabilitation) of properties located in an area identified
by the Federal Emergency Management Agency (FEMA) as having special
flood hazards, unless:
(a) The community in which the area is situated is participating in
the National Flood Insurance program (see 44 CFR parts 59 through 79),
or less than one year has passed since FEMA notification regarding such
hazards; and
(b) Where the community is participating in the National Flood
Insurance Program, flood insurance is obtained as a condition of
execution of a Grant Agreement and approval of any subsequent
demolition or disposition application.
(6) Coastal Barrier Resources Act. In accordance with the Coastal
Barrier Resources Act (16 U.S.C. 3501), your application may not target
properties in the Coastal Barrier Resources System.
(B) HOPE VI Post-Award Requirements. If you are selected for
funding, in addition to the Fair Housing requirements provided in
Sections II(B), (C) and (D) of the General Section of this SuperNOFA,
all HOPE VI Grantees (Revitalization and Demolition) must comply with
the following requirements:
(1) Internet Access. You must have access to the Internet and
provide HUD with email addresses of key staff and contact people.
(2) Labor Standards. (a) Revitalization Grant Labor Standards.
Davis-Bacon or HUD-determined wage rates apply to development or
operation of revitalized housing to the extent required under section
12(a) of the 1937 Act. Davis-Bacon wage rates apply to demolition
followed by construction on the site.
(b) Demolition Grant Labor Standards. HUD-determined wage rates
apply to demolition followed only by filling in the site and
establishing a lawn.
(c) Under section 12(b) of the 1937 Act, wage rate requirements do
not apply to individuals who:
(i) Perform services for which they volunteered;
[[Page 11921]]
(ii) Do not receive compensation for those services or are paid
expenses, reasonable benefits, or a nominal fee for the services; and
(iii) Are not otherwise employed in the work involved (24 CFR part
70).
(d) If other Federal programs are used in connection with your HOPE
VI activities, labor standards requirements apply to the extent
required by the other Federal programs on portions of the project that
are not subject to Davis-Bacon rates under the Act.
(3) Section 3. You must comply with the requirements of section 3
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Employment Opportunities for Lower Income Persons in Connection with
Assisted Projects) and its implementing regulation at 24 CFR part 135
(``Section 3''). Section 3 requires that, to the greatest extent
feasible, HOPE VI Grantees direct training, employment, and other
economic opportunities to low- and very low-income persons--
particularly those who are recipients of government assistance for
housing--and business concerns which provide economic opportunities to
low- and very low-income persons. More information about Section 3 can
be found at HUD's Section 3 website (www.hud.gov/fhe/sec3over.html).
(4) MBE/WBE. You must adopt the goal of awarding a specified
percentage of the dollar value of the total of the HOPE VI contracts to
be awarded during subsequent fiscal years to minority business
enterprises and take appropriate affirmative action to assist resident-
controlled and women's business enterprises, in accordance with the
requirements of Executive Orders 11246, 11625, 12432, and 12138.
(5) OMB Circulars and Administrative Requirements. You and your
Team, as defined in Rating Factor 1, Capacity, must comply with the
following administrative requirements related to the expenditure of
Federal funds. OMB Circulars can be found at www.whitehouse.gov/omb/grants/index.html#circulars, and the Code of Federal Regulations can be
found at www.access.gpo.gov/nara/cfr/index.html.
(a) Administrative requirements applicable to PHAs are:
(i) 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to State, Local and Federally Recognized Indian
Tribal Governments), as modified by 24 CFR 941 or successor part,
subpart F, relating to the procurement of partners in mixed finance
developments, except when inconsistent with the provisions of the FY
2001 HUD Appropriations Act or other applicable Federal statutes.
Requests for Proposals (RFPs) and Requests for Qualifications (RFQs)
must reflect pertinent language from the HOPE VI section of this
SuperNOFA; e.g., seeking diversity, accessibility, fair housing
requirements, etc.
(ii) OMB Circular A-87 (Cost Principles for State, Local and Indian
Tribal Governments);
(iii) 24 CFR 85.26 (audit requirements).
(b) Administrative requirements applicable to non-profit
organizations are:
(i) 24 CFR part 84 (Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations);
(ii) OMB Circular A-122 (Cost Principles for Non-Profit
Organizations);
(iii) 24 CFR 84.26 (audit requirements).
(c) Administrative requirements applicable to for profit
organizations are:
(i) 24 CFR part 84 (Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations);
(ii) 48 CFR part 31 (contract cost principles and procedures);
(iii) 24 CFR 84.26 (audit requirements).
(6) Environmental Review. (a) If you are selected for funding and
an environmental review has not been conducted on the targeted site,
the responsible entity, as defined in 24 CFR 58.2(a)(7), must assume
the environmental review responsibilities for projects being funded by
HOPE VI. If you object to the responsible entity conducting the
environmental review, on the basis of performance, timing or
compatibility of objectives, HUD will review the facts and determine
who will perform the environmental review. At any time, HUD may reject
the use of a responsible entity to conduct the environmental review in
a particular case on the basis of performance, timing or compatibility
of objectives, or in accordance with 24 CFR 58.77(d)(1). If a
responsible entity objects to performing an environmental review, or if
HUD determines that the responsible entity should not perform the
environmental review, HUD may designate another responsible entity to
conduct the review or may itself conduct the environmental review in
accordance with the provisions of 24 CFR part 50. After selection by
HUD for Joint Review, you must provide any documentation to the
responsible entity (or HUD, where applicable) that is needed to perform
the environmental review.
(b) If you are selected for funding, you must have a Phase I
environmental site assessment completed in accordance with the American
Society for Testing and Material (ASTM) Standards E 1527-97, as
amended, for each affected site. A Phase I assessment is required
whether the environmental review is completed under 24 CFR part 50 or
24 CFR part 58. The results of the Phase I assessment must be included
in the documents that must be provided to the responsible entity (or
HUD) for the environmental review. If the Phase I assessment recognizes
environmental concerns or if the results are inconclusive, a Phase II
environmental site assessment will be required.
(c) You may not undertake any actions with respect to the
Development, or with respect to any off-site replacement public
housing, that are choice-limiting or could have environmentally adverse
effects, including demolishing, acquiring, rehabilitating, converting,
leasing, repairing, or constructing property proposed to be assisted
under this NOFA, and you may not commit or expend HUD or local funds
for these activities, until HUD has approved a Request for Release of
Funds following a responsible entity's environmental review under 24
CFR part 58, or until HUD has completed an environmental review and
given approval for the action under 24 CFR part 50.
(d) If the environmental review is completed before HUD approval of
the HOPE VI Supplemental Submissions and you have submitted your
Request for Release of Funds (RROF), the Supplemental Submissions
approval letter shall state any conditions, modifications,
prohibitions, etc. as a result of the environmental review, including
the need for any further environmental review. You must carry out any
mitigating/remedial measures required by HUD, or select an alternate
eligible property, if permitted by HUD. If the remediation plan is not
approved by HUD and a fully-funded contract with a qualified contractor
licensed to perform the required type of remediation is not executed,
HUD reserves the right to determine that the grant is in default.
(e) If the environmental review is not completed and/or you have
not submitted the RROF before HUD approval of the Supplemental
Submissions, the letter approving the Supplemental Submissions will
instruct you to refrain from undertaking, or obligating or expending
funds on, physical activities or other choice-limiting actions, until
HUD approves your RROF and the related certification
[[Page 11922]]
of the responsible entity (or HUD has completed the environmental
review). The RP approval letter also will advise you that the approved
RP may be modified on the basis of the results of the environmental
review.
(f) In accordance with the Grant Agreement, the costs of
environmental reviews and hazard remediation are eligible costs under
the HOPE VI Program.
(7) Environmental Justice. In accordance with Executive Order
12898,
(a) public housing may be developed only in environmentally sound
and desirable locations that will avoid disproportionately high and
adverse environmental effects on minority and low-income communities,
and
(b) proposed activities may not have the effect of excluding or
denying persons (including populations) from participation in or
benefits from those activities, or subjecting persons (including
populations) to discrimination because of their race, color, or
national origin.
(C) Revitalization Application Requirements. Your HOPE VI
Revitalization application must comply with the following requirements:
(1) Resident Training Session. (a) You must conduct at least one
Training Session for residents of the severely distressed project(s) on
the HOPE VI development process.
(b) The Resident Training Session must be held after the
publication date of the FY 2001 HOPE VI NOFA.
(c) You must provide a certification in your application that you
addressed the following issues during the resident training session:
(i) relocation policies, procedures, and options;
(ii) reoccupancy criteria;
(iii) number of units to be built, on-site and off-site;
(iv) partners that will provide community and supportive services;
(v) the requirements of section 3 and plans to ensure compliance;
(vi) plans for continued resident and community involvement; and
(vii) community and supportive service activities to be provided
for residents during the course of the grant term.
(d) Notice of the Resident Training Session must be provided to
each affected resident.
(e) As practical and applicable, the meetings should be conducted
in English and the language(s) most appropriate for the community.
(f) The meeting space must be accessible for persons with
disabilities, i.e., the meeting space must be accessible for
wheelchairs, signing must be provided for the hearing impaired, if
applicable, etc.
(2) Public Meetings.
(a) You must conduct at least three public meetings with residents
and the broader community, including young people between the ages of
16 and 21, to involve them in a meaningful way in the process of
planning the revitalization and preparing the application.
(b) In addition to other means of notification, at least one notice
for each meeting must be placed in a commercial newspaper or journal
that serves both the public housing project and the broader community.
(c) At least two of the public meetings must be held after the
publication date of this HOPE VI NOFA.
(d) One of the public meetings may have been held before the
publication of this NOFA, but no more than six months before such
publication.
(e) at least one of the public meetings must be held after the plan
which will form the basis of the application has been established, so
that residents and the community are fully informed about the basics of
the proposed Revitalization Plan.
(f) You must provide a certification in your application that you
addressed the following issues during the three public meetings:
(i) The HOPE VI planning and implementation process;
(ii) The proposed physical plan, including site and unit design;
(iii) The extent of proposed demolition;
(iv) Planned community and supportive service activities;
(v) Other proposed revitalization activities;
(vi) Relocation issues, including relocation planning, mobility
counseling, and maintaining the HOPE VI community planning process
during the demolition and reconstruction phases where temporary
relocation is involved;
(vii) reoccupancy plans and policies, including site-based waiting
lists; and
(viii) Section 3 and employment opportunities to be created as a
result of redevelopment activities.
(g) As practical and applicable, the meetings should be conducted
in English and the language(s) most appropriate for the community.
(h) Meeting spaces must be accessible for persons with
disabilities, i.e., the meeting space must be accessible for
wheelchairs, signing must be provided for the hearing impaired, if
applicable, etc.
(3) Community and Supportive Services (CSS). (a) General. Each HOPE
VI Revitalization application must include a CSS Component that
includes activities designed to help residents achieve self-
sufficiency, upward mobility, economic independence with sustainable
``living wage'' jobs, educational achievement, and improved quality of
life for the maximum number of public housing residents in the existing
project and in the revitalized community. This section lists the
requirements for the CSS component, the kinds of activities that should
be included in your CSS Workplan, and the types of organizations that
you should consider when developing your CSS team, creating
partnerships, and developing resources to fund your CSS activities. You
will refer to this section of the NOFA when describing your CSS
Capacity and Experience (Rating Factor 1(2)), Quality of CSS Plan
(Rating Factor 3(6)), and CSS Resources (Rating Factor 4(2)).
(b) Subgrant Agreements. (i) If you wish to form a formal
partnership with a private nonprofit agency(ies) for the provision of
specific CSS activities, you may do so by entering into a subgrant
agreement with the selected agency(ies).
(ii) While you are not required to undertake a competitive
procurement under 24 CFR part 85 to select a subgrantee, HUD
nevertheless requires your assurance that you have:
(A) evaluated alternative service providers for the specific
activities to be provided,
(B) selected the entity that you reasonably believe will most
effectively provide such activities, and
(C) ensured that the amount to be awarded under the subgrant
agreement is consistent with the cost principles of OMB Circular A-87.
(iii) HUD encourages you to leverage your HOPE VI grant funds by
selecting subgrantees that will provide, in addition to the agreed upon
fee-for-service amount, in-kind services on a gratis basis (e.g.,
leased space at no cost, etc.).
(iv) The selected nonprofit subgrantee must comply with the
requirements of 24 CFR part 84.
(v) You may not enter into a subgrant agreement with a for-profit
entity or for a CSS coordinator. Instead, you must conduct a
competitive procurement for the services of such entities under 24 CFR
part 85. However, if you can demonstrate that the services to be
provided by the proposed for-profit entity or by the proposed CSS
coordinator can be obtained only from that source, you may request HUD
approval to carry out a non-competitive procurement under 24 CFR
85.36(d)(4).
[[Page 11923]]
(c) Requirements of the Community and Supportive Services Workplan.
(i) The objectives of your CSS Workplan must be results-oriented, with
quantifiable goals and outcomes that can be used to measure progress,
make changes in activities as necessary, and demonstrate the success of
the CSS component of the HOPE VI Program.
(ii) CSS activities must be developed in response to a rigorous
resident needs identification process and directly respond to the
identified needs.
(iii) CSS activities must be of an appropriate scale, type, and
variety to meet the needs of all residents (including adults, youth
ages 16 to 21, and children) of the severely distressed project,
including residents remaining on-site, residents who will relocate
permanently to other PHA units or Section 8 housing, residents who will
relocate temporarily during the construction phase, and new residents
of the revitalized units.
(iv) Non-public housing residents may also participate in CSS
activities, as long as the primary participants in the activities are
residents as described in subparagraph (iii) above.
(v) Your plan must include procedures to track HOPE VI site
residents who relocate to alternative housing to assure that everything
possible is done to support them to become self-sufficient and live
successfully in the alternative housing of their choice.
(vi) CSS activities such as life skills training must be designed
to begin promptly after grant award so that residents who will be
relocated have time to participate and benefit from such activities
before leaving the site.
(vii) Resident training activities must begin promptly after grant
award and Section 3 firms must be in place quickly so that residents
are trained in time to take advantage of employment opportunities such
as jobs and other contractual opportunities in the pre-development,
demolition, and construction phases of the revitalization.
(viii) Modern computer technology must be integrated into the
education component of the CSS Workplan.
(ix) CSS activities must be coordinated with the efforts of other
service providers in your locality, including non-profit organizations,
educational institutions, and state and local programs.
(x) CSS activities must be consistent with state and local welfare
reform requirements and goals. The social and learning environment must
encourage and enable low-income residents to achieve long-term self-
sufficiency, particularly persons enrolled in welfare-to-work programs.
To that end, it is crucial that local welfare agencies and workforce
development agencies are active members of your HOPE VI partnership.
Many HOPE VI residents are directly affected by Temporary Assistance to
Needy Families (TANF), making these self-sufficiency efforts critical
to their success.
(xi) CSS activities must be well integrated with the physical
development process, both in terms of timing and the provision of
facilities to house on-site service and educational activities.
(d) CSS Activities may include, but are not limited to:
(i) Educational activities that promote learning and serve as the
foundation for young people from infancy through high school
graduation, helping them to succeed in academia and the professional
world. Such activities, which include after school programs, mentoring,
and tutoring, must be created with strong partnerships with public and
private educational institutions.
(ii) Adult educational activities, including remedial education,
literacy training, tutoring for completion of secondary or post-
secondary education, assistance in the attainment of certificates of
high school equivalency, and English as a Second Language courses, as
needed.
(iii) Job readiness and retention activities which frequently are
key to securing private sector commitments to the provision of jobs.
(iv) Employment training activities that include results-based job
training, preparation, counseling, development, placement, and follow-
up assistance after job placement.
(v) Life skills training on topics such as parenting, consumer
education, and family budgeting, aided by the creation and operation of
on-site credit unions.
(vi) Motivational and self-empowerment training.
(vii) Homeownership counseling that is scheduled to begin promptly
after grant award so that, to the maximum extent possible, qualified
residents will be ready to purchase new homeownership units when they
are completed.
(viii) Coordinating with health care services providers or
providing on-site space for a health clinic, doctors, a wellness
center, dentists, etc. that will primarily serve the public housing
residents. HOPE VI funds may not be used to provide direct medical care
to residents.
(ix) Substance/alcohol abuse treatment and counseling.
(x) Domestic violence prevention.
(xi) Child care services which provide sufficient hours of
operation for parents to achieve self-sufficiency goals, serve
appropriate ages as needed to facilitate parental access to education
and job opportunities, and stimulate children to learn.
(xii) Transportation, as necessary, to enable all family members to
participate in available CSS activities and/or to commute to their
places of employment.
(xiii) Entrepreneurship training and mentoring, with the goal of
establishing resident-owned businesses.
(e) CSS Partnerships and Resources. The following are the kinds of
organizations and agencies that can provide you with in-kind,
financial, and other types of resources necessary to carry out and
sustain your CSS activities.
(i) Local Boards of Education, public libraries, local community
colleges, institutions of higher learning, non-profit or for-profit
educational institutions and public/private mentoring programs that
will lead to new or improved educational facilities and improved
educational achievement of young people in the revitalized development,
from birth through higher education.
(ii) National corporations, local businesses, and other large
institutions such as hospitals that can commit to provide entry-level
jobs. Employers may agree to train residents or commit to hire
residents after they complete jobs preparedness or training programs
that are provided by you, other partners, or the employer itself. Such
private sector and non-profit partners must be given the opportunity to
participate in the development of your CSS programs to assure that they
will result in adequate training to prospective employees.
(iii) Job development organizations which link private sector or
non-profit employers with low-income prospective employees.
(iv) Workforce Development Agencies.
(v) University Schools of Public Health.
(vi) Organizations that provide residents with job readiness and
retention training and support.
(vii) Economic development agencies such as the Small Business
Administration, which provide entrepreneurial training and small
business development centers.
(viii) Where applicable, Empowerment Zone and Enterprise Community
Boards.
(ix) Programs that integrate employment training, education, and
counseling, and where creative
[[Page 11924]]
partnerships with local boards of education, state charter schools,
TANF, foundations, and private funding sources have been or could be
established, such as:
(A) Youthbuild (www.hud.gov/progdesc/youthb.cfm).
(B) Step-Up (www.hud.gov/progdesc/stepup.cfm).
(C) AmeriCorps (www.cns.gov/americorps). See Section VI(B) of the
General Section of this SuperNOFA for more information on AmeriCorps.
(x) Sources of capital such as foundations, banks, and charitable,
fraternal, and business organizations.
(xi) TANF Agencies/welfare departments.
(xii) Non-profit organizations such as the Girl Scouts and the
Urban League, both of which have Memoranda of Agreement (MOA) with HUD.
Copies of these MOAs can be found on the HOPE VI Home Page
(www.hud.gov/hopevi).
(xiii) Civil rights organizations.
(xiv) Local area agencies on aging, if applicable.
(xv) Local agencies and organizations serving persons with
disabilities.
(xvi) Faith-based organizations.
(xvii) Federal, state, and local crime prevention programs and
policy efforts, such as:
(A) Local law enforcement agencies;
(B) Your local United States Attorney;
(C) HUD's ``One Strike and You're Out'' (www.hud.gov:80/progdesc/
1strike.cfm);
(D) HUD's ``Officer Next Door'' initiative (www.hud.gov:80/ond/
ond.html);
(E) The local Department of Justice ``Weed and Seed'' Program task
force (if the targeted project is located in a designated Weed and Seed
area) (www.ojp.usdoj.gov/eows);
(F) HUD's ``Operation Safe Home'' Program (www.hud.gov:80/progdesc/
opsafe.cfm); and
(G) HUD's Drug Elimination Programs.
(f) Endowment Trust for Community and Supportive Services.
Consistent with section 24(d)(2) of the Act, you may deposit up to 15
percent of your HOPE VI grant (the maximum amount of the award
allowable for CSS activities) into an endowment trust to provide CSS
activities. HUD will review the amount of your proposed HOPE VI
allocations to an endowment trust as part of its review and approval of
your CSS Workplan. In reviewing your proposed allocations to the
endowment trust, HUD will take into account your demonstrated ability
to pay for current CSS activities with HOPE VI or other funds, and the
projected long-term sustainability of the trust to carry out CSS
activities. HUD intends to issue separate guidance concerning the
establishment, operation and management of HOPE VI-funded endowment
trusts. These provisions will be incorporated into the FY 2001 HOPE VI
grant agreement that you execute with HUD. Once HUD approves your CSS
Workplan and determines that the endowment trust has been established
and will thereafter be operated and maintained, in accordance with the
HOPE VI grant agreement, HUD will release HOPE VI funds to you in a
lump sum for deposit into the endowment trust. You must invest the
endowment funds in a wise and prudent manner. Although HUD considers
the deposit of endowment trust funds in certificates of deposit and
other types of securities that are insured, guaranteed, or issued by
the United States of America to be wise and prudent investments, other
investment options also are available. These options will be described
in the guidance that HUD will be issuing. Endowment funds (together
with any income earned on those funds) may only be used for eligible
CSS activities, as provided in section IV(C)(3)(d) of this HOPE VI
section of the SuperNOFA, below. You may use amounts in an endowment
trust in conjunction with other amounts donated or otherwise made
available to the trust for similar purposes.
(D) Revitalization Grant Post-Award Requirements. If you are
selected for funding, you must comply with the following requirements:
(1) Revitalization Plan. After HUD conducts a post-award review of
your application and makes a visit to the site, you will be required to
submit components of your Revitalization Plan to HUD, as provided in
the HOPE VI Revitalization Grant Agreement. These components include,
but are not limited to:
(a) Supplemental Submissions, that may include revisions and
clarifications to your application;
(b) a Community and Supportive Services Workplan, in accordance
with guidance provided by HUD; and
(c) a HOPE VI Revitalization Relocation Plan, in conformance with
the requirements of HOPE VI relocation guidance as provided by HUD,
that describes the assistance and the services to be provided to
affected families.
(i) The HOPE VI Revitalization Relocation Plan is intended to
ensure that residents who have been temporarily or permanently
relocated, as well as any residents yet to be relocated, by activities
funded by a HOPE VI Revitalization Grant are provided with CSS
activities such as mobility counseling and direct assistance in
locating housing.
(ii) The HOPE VI Revitalization Relocation Plan must include a
Reoccupancy Agreement that establishes the criteria for relocated
residents to occupy the revitalized units, executed between the
recognized resident body, the PHA, and, if applicable, the entity that
will own the public housing units.
(iii) You may not begin relocation activities until your HOPE VI
Revitalization Relocation Plan has been approved by HUD.
(d) a standard or mixed-finance development proposal, as
applicable;
(e) a disposition application, as applicable; and
(f) a homeownership proposal, as applicable.
(2) Neighborhood Networks. All Revitalization Grantees will be
required to be approved as Neighborhood Networks Centers. This Program,
which supports HUD's Bridging the Digital Divide policy initiative, as
described in Section VI(H) of the General Section, provides on-site
access to computer and training resources. These Centers, originally
designed for HUD-insured and HUD-assisted properties, have helped
hundreds of residents improve computer technology skills which in turn
has increased job and education opportunities. HUD will make technical
assistance available to each PHA where needed. More information on the
requirements of the Neighborhood Network Center Program is available on
the Neighborhood Networks website (www.hud.gov/nnw/nnwindex.html).
(3) Match. (a) Overall Match. In accordance with section 24(c) of
the 1937 Act, if you are selected for funding, you must supplement your
HOPE VI Revitalization grant with funds from other sources equal to not
less than 5 percent of the HOPE VI funds provided. You will make this
certification by signing the HOPE VI Revitalization Grant Applicant
Certifications. The Certification Form is included in the HOPE VI
Application Kit, and the text of the certifications is included as
Appendix A to this HOPE VI section of the SuperNOFA, below.
(b) Additional Community and Supportive Services Match. In addition
to supplemental amounts provided in accordance with subparagraph (a)
above, if you are selected for funding and propose to use more than 5
percent of your HOPE VI grant for CSS activities (you may use up to 15
percent of your grant for such activities), you must certify that you
will provide supplemental funds from sources other than HOPE VI, dollar
for dollar, for the
[[Page 11925]]
amount over 5 percent of the grant that you will use for CSS
activities. You will make this certification by signing the HOPE VI
Revitalization Applicant Certifications. The Certification Form is
included in the HOPE VI Application Kit, and the text of the
certifications is included as Appendix A to this HOPE VI section of the
SuperNOFA, below.
(c) Matching Funds. In accordance with section 24(c)(2) of the 1937
Act, in calculating the amount of supplemental funds provided by a
Grantee for purposes of subparagraphs (a) and (b) above, you may
include amounts from other Federal sources, any State or local
government sources, any private contributions, the value of any donated
material or building, the value of any lease on a building, the value
of the time and services contributed by volunteers, and the value of
any other in-kind services or administrative costs provided. Other
Federal sources may include funds provided by the MROP, Comprehensive
Grant, CIAP, or Public Housing Capital Fund Programs or other HUD-
provided public housing funds, including funds derived from program
income. Matching funds must be directly applicable to the
revitalization of the site and the transformation of the lives of
residents.
(4) Program Income. If you receive program income prior to grant
closeout (e.g., from sale of homeownership replacement units or the
disposition of improved land), the program income:
(a) must be reflected in your approved sources and uses statement;
(b) must be reinvested in the Development and used for low-income
housing purposes, as approved by HUD; and
(c) must be used for eligible activities before you may draw down
additional cash payments from the (HOPE VI Grant.)
(5) Replacement Units.
(a) Homeownership units will be deemed to be replacement units only
if, combined with rental ACC units, they do not exceed the total number
of units demolished and/or disposed of at the targeted severely
distressed project and otherwise meet the requirements listed in
Section III(C)(1)(f), above, of this HOPE VI section of the SuperNOFA.
(b) Rental units will be deemed to be public housing replacement
units and qualify for operating subsidy only if:
(i) Combined with public housing homeownership replacement units,
the units do not exceed the lesser of:
(A) The number of units that you had under ACC on August 21, 1996;
or
(B) The number of units for which you were receiving operating
subsidy on August 21, 1996; and
(ii) The units are to be placed under an ACC and operated as public
housing units.
(c) HOPE VI funds may not be used to develop market rate units or
affordable housing units which do not qualify as public housing or
homeownership replacement units, as described in subparagraphs (a) and
(b) above.
(6) Timeliness of Construction. (a) If you are selected for
funding, you must proceed within a reasonable timeframe, as indicated
below. In determining reasonableness of such timeframe, HUD will take
into consideration those delays caused by factors beyond your control.
(b) You must start construction within 12 months from the date of
HUD's approval of the Supplemental Submissions as requested by HUD
after grant award. This time period may not exceed 18 months from the
date the Grant Agreement is executed.
(c) You must complete construction within 48 months from the date
of HUD's approval of your Supplemental Submissions. This time period
for completion may not exceed 54 months from the date the Grant
Agreement is executed.
(d) In accordance with section 24(i) of the 1937 Act, if you do not
proceed within a reasonable timeframe, as described in paragraphs (a)
through (c) above, HUD shall withdraw any grant amounts that you have
not obligated. HUD shall redistribute any withdrawn amounts to one or
more other applicants eligible for HOPE VI assistance or to one or more
other entities capable of proceeding expeditiously in the same locality
in carrying out the Revitalization Plan of the original Grantee.
(7) Building Standards. (a) All activities that include
construction, rehabilitation, lead-based paint removal, and related
activities must meet or exceed local building codes.
(b) Your new construction must comply with the accessibility
standards of the Fair Housing Act, section 504 of the Rehabilitation
Act of 1973, the Americans with Disabilities Act of 1990, and the
Architectural Barriers Act of 1968. You are also encouraged to read the
policy statement and Final Report of the HUD Review of Model Building
Codes that identifies the variances between the design and construction
requirements of the Fair Housing Act and several model building codes.
That report can be found on the HUD Home Page (www.hud.gov/fhe/modelcodes).
(c) New construction must comply with the latest HUD-adopted Model
Energy Code issued by the Council of American Building Officials. In
addition, HUD encourages you to set higher standards for energy and
water efficiency in HOPE VI new construction, which can achieve utility
savings of 30 to 50 percent with minimal extra cost. Upon request, HUD
will provide technical assistance and training in design and financing
to assist your authority, architects, and contractors in improving
resource efficiency.
(d) HUD encourages you to design programs that incorporate
sustainable construction and demolition practices, such as the
dismantling or ``deconstruction'' of public housing units, recycling
demolition debris, and reusing salvage materials in new construction.
``A Guide to Deconstruction'' can be found at (www.hud.gov/deconstr.pdf). Articles about specific deconstruction projects can be
found on the U.S. Forest Service website (www.fpl.fs.fed.us/query.asp);
enter deconstruction as the search term.
(e) HUD encourages you to use PATH technologies in the construction
and delivery of replacement housing. PATH (Partnership for Advancing
Technology in Housing) is a voluntary initiative that seeks to
accelerate the creation and widespread use of advanced technologies to
radically improve the quality, durability, environmental performance,
energy efficiency, and affordability of our Nation's housing. Further
information about PATH can be found in Section VI(G) of the General
Section of this SuperNOFA and on the PATH website (www.pathnet.org).
(f) In accordance with Section VI(E) of the General Section of this
SuperNOFA, HUD encourages you to incorporate the principles of
Universal Design when developing housing and community facilities. The
intent of Universal Design is to make housing units and community
facilities more usable by as many people as possible, regardless of age
and ability, at little or no extra cost. Examples include designing
wider doorways, installing levers instead of doorknobs, and putting
bathtub/shower grab bars in all units. Computers and telephones can
also be set up in ways that enable as many residents as possible to use
them.
(g) There must not be any environmental or public policy factors
such as sewer moratoriums that would preclude development in the
requested locality.
(8) Lead-Based Paint. You must comply with lead-based paint testing
and abatement requirements for HUD-associated housing, as provided for
under the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821, et
seq.). You must also comply with regulations at 24 CFR part 35, 24 CFR
965.701, and
[[Page 11926]]
24 CFR 968.110(k), as they may be amended or revised from time to time.
Unless otherwise provided, you will be responsible for testing and
abatement activities.
(9) Site and Neighborhood Standards for Replacement Housing. You
must comply with the Fair Housing Act and Title VI of the Civil Rights
Act of 1964, and regulations thereunder. In determining the location of
any replacement housing, you must comply with either the site and
neighborhood standards regulations at 24 CFR 941.202 (b-d) or with the
standards outlined below.
(a) Goals of the HOPE VI Program. The HOPE VI Program provides
resources to address the needs of severely distressed public housing
developments within an administrative framework of less intrusive
Federal oversight and increased reliance on informed local
decisionmaking. HOPE VI Grants are made so that Grantees can develop
and implement comprehensive strategies that address not only the
physical and management needs of the developments, but also the social
and economic needs of the residents and the surrounding community. You
are expected to ensure that your Revitalization Plan will expand
assisted housing opportunities in non-poor and non-minority
neighborhoods and/or will accomplish substantial revitalization in the
Development and its surrounding neighborhood. You are also expected to
ensure that eligible households of all races and ethnic groups will
have equal and meaningful access to the housing.
(b) Objectives in Selecting HUD-Assisted Sites. The fundamental
goal of HUD's fair housing policy is to make full and free housing
choice a reality. Housing choice requires that households of all races
can freely decide the type of neighborhood where they wish to reside,
that minority neighborhoods are no longer deprived of essential public
and private resources, and that stable, racially-mixed neighborhoods
are available as a meaningful choice for all. To make full and free
housing choice a reality, sites for HUD-assisted housing investment
should be selected so as to advance two complementary goals:
(i) expand assisted housing opportunities in non-minority
neighborhoods, opening up choices throughout the metropolitan area for
all assisted households; and
(ii) reinvest in minority neighborhoods, improving the quality and
affordability of housing there to represent a real choice for assisted
households.
(c) Compliance with Fair Housing Act and Title VI of the Civil
Rights Act of 1964. You must comply with the Fair Housing Act and Title
VI of the Civil Rights Act of 1964, and implementing regulations, in
determining the location of any replacement housing.
(d) Grantee's Election of Requirements. You may, at your election,
separately with regard to each site you propose, comply with the
development regulations regarding Site and Neighborhood Standards (24
CFR 941.202 (b)-(d)), or with the Site and Neighborhood Standards
contained in this Section.
(e) Replacement Housing Located On Site or in the Surrounding
Neighborhood. Replacement housing under HOPE VI that is located on the
site of the existing project or in its surrounding neighborhood will
not require independent approval under Site and Neighborhood Standards,
since HUD will consider the scope and impact of the proposed
revitalization to alleviate severely distressed conditions at the
public housing project and its surrounding neighborhood in assessing
the application to be funded under this NOFA. For the purposes of this
review, the term ``surrounding neighborhood'' means the neighborhood
within a three mile radius of the site of the existing project.
(f) Off-Site Replacement Housing Located Outside of the Surrounding
Neighborhood. Unless you demonstrate that there are already significant
opportunities in the metropolitan area for assisted households to
choose non-minority neighborhoods (or these opportunities are under
development), HOPE VI replacement housing not covered by (9)(e) of this
Section may not be located in an area of minority concentration (as
defined in paragraph (g) below) without the prior approval of HUD. Such
approval may be granted if you demonstrate to the satisfaction of HUD
that:
(i) you have made determined and good faith efforts, and found it
impossible with the resources available, to acquire an appropriate
site(s) in an area not of minority concentration;
(ii) the replacement housing, taking into consideration both the
CSS activities or other revitalizing activities included in the
Revitalization Plan, and any other revitalization activities in
operation or firmly planned, will contribute to the stabilization or
improvement of the neighborhood in which it is located, by addressing
any serious deficits in services, safety, economic opportunity,
educational opportunity, and housing stock; or
(iii) the replacement housing is located in a neighborhood that is
not an area of high poverty rate (30 percent or more).
(iv) HUD recognizes that in some metropolitan areas, factors
including the cost of land, jurisdictional limits, or political
opposition may make it extremely difficult for you to acquire and
develop non-impacted sites. If you seek approval under the condition
stated in subparagraph (9)(f)(i) above, you must detail your efforts
with sufficient specificity for HUD to determine whether HUD can
contribute other resources, such as legal assistance. If you experience
or anticipate that you will experience difficulty acquiring and
developing non-impacted sites to implement your Revitalization Plan,
you are strongly encouraged to consult with HUD prior to concluding
that you have demonstrated impossibility.
(g) Area of Minority Concentration. The term ``area of minority
concentration'' is any neighborhood in which:
(i) the percentage of households in a particular racial or ethnic
minority group is at least 20 points higher than the percentage for the
housing market area; i.e., the Metropolitan Statistical Area in which
the proposed housing is to be located, or
(ii) the neighborhood's total percentage minority is at least 20
points higher than the percentage for the housing market area as a
whole.
(E) Demolition Grant Application Requirements. (1) Eligible Units.
Severely distressed public housing units to be demolished with HOPE VI
Demolition grant funds must meet one of the criteria in the description
of priority groups in Section VII(A)(1) of this HOPE VI Section of the
SuperNOFA.
(2) The HOPE VI Demolition Relocation Plan.
(a) General. You will be required to provide a HOPE VI Demolition
Relocation Plan in your application. It is as important to provide
relocating families in demolition-only situations with supportive
services as it is to provide such services in connection with HOPE VI
Revitalization grants.
(b) HOPE VI Demolition Relocation Plan. Your HOPE VI Demolition
Relocation Plan that you include in your application must describe how
you will:
(i) provide a reasonable time between notification and date to
vacate units;
(ii) provide one-on-one move counseling to ensure that families
fully understand the choices open to them for alternative housing
throughout the jurisdiction and secure units in neighborhoods of their
choice;
[[Page 11927]]
(iii) provide self-sufficiency programs that will help residents;
acquire the skills to live in the selected community, sustain their new
living arrangement for the foreseeable future, and facilitate a smooth
transition from public to private rental housing, both for relocatees
and for members of their new communities; and (iv) ensure that Section
8 housing complies with the Section 8 requirements regarding lead-based
paint and other hazardous materials. If necessary, HOPE VI funds may be
used to modify Section 8 relocation units to make them accessible for
residents with disabilities.
(c) Current Residents. In your application, you must list the names
of each resident in occupancy as of the date the application is
submitted.
(F) Demolition Post-Award Requirements. If you are selected for
funding, your HOPE VI Demolition program must comply with the following
requirements:
(1) Timeliness of Demolition. (a) you must complete the proposed
demolition within a reasonable timeframe, which is two years from the
date of Grant Agreement execution. HUD will take into consideration
delays caused by factors beyond your control when enforcing this
requirement or as otherwise approved by HUD to accommodate reasonable
relocation and demolition schedules.
(b) In accordance with section 24(i) of the 1937 Act, if you do not
proceed within a reasonable timeframe, in the determination of HUD, HUD
shall withdraw any grant amounts that you have not obligated. HUD shall
redistribute any withdrawn amounts to one or more other applicants
eligible for HOPE VI assistance or to one or more other entities
capable of proceeding expeditiously in the same locality in carrying
out the activities of the original Grantee.
(2) Match Requirement. In accordance with section 24(c)(3) of the
1937 Act, if assistance will be used only for demolition of public
housing (without replacement), you are exempt from the requirement to
match physical demolition activities using non-HOPE VI funds. However,
throughout the life of the HOPE VI grant, you must partner with other
agencies to obtain goods, services, and additional non-HOPE VI funding
to enhance the self-sufficiency activities funded by HOPE VI, in an
amount that is at least twice the amount of the HOPE VI grant funds
received for relocation.
V. Threshold Criteria
(A) All HOPE VI Applications. In addition to the Compliance with
Fair Housing and Civil Rights Laws threshold requirement listed in
Section II(B)(1) of the General Section of this SuperNOFA, your HOPE VI
application must meet the following HOPE VI Threshold Criteria to be
considered for funding.
(1) Eligible Applicant. You must be an eligible PHA, as defined in
Section III(B), above, of this HOPE VI section of the SuperNOFA. If HUD
has designated your housing authority as troubled pursuant to section
6(j)(2) of the 1937 Act, HUD's Troubled Agency Recovery Centers will
use documents and information available to it to determine whether you
qualify as an eligible applicant under Section III(B) of this HOPE VI
section of the SuperNOFA.
(2) Severe Distress. (a) The targeted public housing project, or
buildings in a project, must be severely distressed.
(b) To meet the severe distress requirement, you must certify that
the public housing project or building in a project targeted in your
HOPE VI application meets the definition of severe distress provided in
Section IV(A)(1) of this HOPE VI section of the SuperNOFA (in
accordance with section 24(j)(2) of the 1937 Act). You will make this
certification by signing the HOPE VI Grant Applicant Certifications.
The Certifications are included in the HOPE VI Application Kit, and the
text of the Certifications is included as Appendix A (Revitalization)
and Appendix B (Demolition) to this HOPE VI section of the SuperNOFA.
(c) For Revitalization applications, a severely distressed project
that has been legally vacated or demolished (but for which HUD has not
yet provided replacement housing assistance, other than tenant-based
assistance) must also satisfy the requirements of paragraph (b) above
as to the condition of the site before vacation or demolition.
(d) For Demolition applications, a severely distressed project that
has been legally vacated (but for which HUD has not yet provided
replacement housing assistance, other than tenant-based assistance)
must also satisfy the requirements of paragraph (b) above as to the
condition of the site before vacation.
(3) Appropriateness of Proposal. In accordance with section
24(e)(2) of the 1937 Act, your application must demonstrate the
appropriateness of your proposal in the context of the local housing
market relative to other alternatives. Examples of inappropriate
proposals would be to rebuild on the site and/or build off-site
replacement public housing in isolated or non-residential areas, or
propose unit types or costs which cannot be supported by a market
analysis. Examples of how you can demonstrate appropriateness of your
Revitalization proposal follow. However, HUD will carry out the actual
determination on a case-by-case basis.
(a) Your application might demonstrate appropriateness of your
proposal in terms of marketability if it proposes the maximum range of
incomes and housing types (rental vs. homeownership, market rate vs.
public housing, townhouse vs. detached house, etc.) possible given
local conditions.
(b) Your application might demonstrate that the land is being used
for the highest and best use, given market conditions and the social
goals of your agency.
(c) Your application might demonstrate that there is a demand for
the physical development you propose, including residential public,
subsidized and market rate units, community facilities, and economic
development and retail structures.
(B) Revitalization Threshold Criteria. (1) Severe Physical
Distress.
(a) Your application must include the Severe Physical Distress
Certification that the project meets the definition of severe physical
distress in Section IV(A)(1)(a), above, of this HOPE VI section of the
SuperNOFA. The Certification must be signed by an engineer or architect
licensed by their state licensing board. The engineer or architect must
include his or her license number and state of registration on the
certification. The engineer or architect may not be an employee of the
housing authority or the city. The certification must be signed on or
before the application deadline date, in order to indicate the
condition of the project at the time of application submission. If you
neglect to include this certification in your application, you will
have an opportunity to submit the certification, but it must still be
signed on or before the application deadline date. You may not submit a
certification signed after the deadline date in order to cure this
deficiency.
(b) A severely distressed project that has been legally demolished
(but for which HUD has not yet provided replacement housing assistance,
other than tenant-based assistance) must also satisfy the requirements
of paragraph (a) above as to the condition of the site before
demolition. Your application must include a Severe Physical Distress
Certification Form, as provided in the HOPE VI Application Kit, signed
by an engineer or architect, that the project met the definition of
physical distress as of the day the demolition application approval
letter was dated by HUD.
[[Page 11928]]
(2) Separability. (a) In accordance with section 24(j)(2)(A)(v) of
the 1937 Act, if you propose to target only individual buildings of a
project for revitalization, you must demonstrate to HUD's satisfaction
that the severely distressed public housing is sufficiently separated
from the remainder of the project of which the building is part to make
use of the building feasible for revitalization.
(b) You must demonstrate that the site plan and building designs of
the revitalized portion will provide defensible space for the occupants
of the revitalized building(s) and that the properties which remain
will not have a negative influence on the revitalized buildings(s),
either physically or socially. Separations may include a road, berm,
catch basin, or other recognized neighborhood distinction.
(3) Resident Training Session. (a) You must conduct at least one
training session in accordance with the requirements of Section
IV(C)(1), above, of this HOPE VI section of the SuperNOFA. To
demonstrate that you have met each requirement, you must include the
following evidence in your application:
(i) a copy of the notice of the resident training session and a
description of how it was distributed to each affected resident;
(ii) the agenda for the resident training session, indicating that
the training session was held after the publication of the FY 2001
SuperNOFA;
(iii) a copy of the first page of the sign-in sheets, with a
certification at the bottom of the page stating the total number of
signatures collected at the training session; and
(iv) a certification, as provided in the HOPE VI Application Kit,
that the issues itemized in Section (IV)(C)(1)(c) of this HOPE VI
section of the SuperNOFA were addressed at the resident training
session.
(b) The training session may take place on the same day as one of
the public meetings as provided by Section IV(C)(2), but it must be a
separate meeting, i.e., one session may not be considered both a
training session and a public meeting.
(4) Public Meetings. You must conduct at least three public
meetings, in accordance with the requirements of Section IV(C)(2),
above. To demonstrate that you have met each requirement, you must
include the following evidence for each meeting in your application:
(a) The notices announcing the meetings:
(i) Provide a copy of the notice for each meeting as it appeared in
a commercial newspaper or journal that serves both the public housing
project and the broader community.
(ii) HUD will use the dates of the notices to determine whether the
following requirements were met:
(A) No more than one public meeting that was held more than six
months before the publication of this SuperNOFA may be counted as one
of the three required public meetings;
(B) at least two of the public meetings must be held after the
publication of this SuperNOFA;
(C) at least one of the public meetings must be held after the plan
which will form the basis of the application was established.
(b) Provide a copy of the first page of the meeting sign-in sheets
for each meeting, and a certification at the bottom of the page stating
the total number of signatures collected.
(c) Provide a copy of the minutes of each meeting that constitutes
a summary (not a word-for-word transcription) of the discussion. (A
one-page summary of each meeting is suggested.) Each set of minutes
must include the notarized signature of the person who took the
minutes. Please note that all pages of the minutes will be counted
toward your total page limit for attachments, as provided in Section
IX(A)(2) of this HOPE VI section of the SuperNOFA.
(d) Provide a certification, as provided in the HOPE VI Application
Kit, that, during the course of the three meetings, all of the issues
listed in section (IV)(C)(2)(f) of the HOPE VI section of this
SuperNOFA were addressed (i.e., all issues need not be addressed at
each meeting).
(5) Submission of the documentation required for the resident
training session and the public meetings is a curable item and is not
rated. If you fail to submit all of the required documentation that you
have conducted the training session and all of the required meetings,
after being provided with the opportunity to correct any deficiencies
in accordance with Section VI(B) of this HOPE VI section of the
SuperNOFA, below, your application will not be eligible for funding.
You may not conduct a required training session or public meeting after
the application deadline date in order to cure a deficiency identified
by HUD.
(6) Location. In accordance with Section II(A)(5)(b) and (c) of
this HOPE VI section of the SuperNOFA, above:
(a) if your application requests funds for more than one project,
those projects must be immediately adjacent to one another or within a
quarter-mile of each other. If you include more than one project in a
single application, you must provide a map that clearly indicates that
the projects are within a quarter-mile of each other.
(b) If your application requests funds for a scattered site public
housing project, regardless of whether the scattered sites are under
multiple project numbers, all of the properties must fall within a one
square mile area, except that you may identify a larger site if you can
show that all of the targeted scattered site units are located within
the hard edges (e.g., major highways, railroad tracks, lakeshore, etc.)
of a neighborhood.
(C) Demolition Grant Threshold Criteria. Each required element of a
HOPE VI Demolition grant application is a threshold requirement. Your
application will not be eligible for funding unless each requirement
listed in Section IX(B) of this HOPE VI section of the SuperNOFA,
below, is included in your application. HUD will give you the
opportunity to submit any missing information up to the application
deadline date, as provided in Section VII(B) of this HOPE VI section of
the SuperNOFA, below.
VI. Revitalization Application Selection Process
(A) Revitalization Grant Application Evaluation. (1) HUD's
selection process is designed to ensure that HOPE VI Revitalization
grants are awarded to eligible PHAs with the most meritorious
applications and serious need.
(2) In accordance with Section III(E)(4) of the General Section of
this SuperNOFA, in the event that HUD commits an error that, when
corrected, would result in the selection of an otherwise eligible
applicant, HUD may select that application for funding when sufficient
funds become available.
(3) Although Section III(B) of the General Section of this
SuperNOFA states that only applications that meet all threshold
requirements are eligible to be rated, HUD will rate all HOPE VI
Revitalization applications submitted by Public Housing Authorities,
regardless of whether the applicants are eventually deemed to be
eligible applicants, in accordance with Section III(B) of this HOPE VI
section of the SuperNOFA, or whether the applications meet the
threshold requirements of Sections V(A) and (B) of this HOPE VI section
of the SuperNOFA. This will be done:
(a) To provide applicants with the most complete evaluations of
their applications as possible;
(b) To provide applicants with technical assistance for any future
applications; and (c) Because HUD will conduct eligibility review,
threshold
[[Page 11929]]
review, completeness review, and rating activities concurrently, and
determinations of threshold eligibility are often not finalized before
rating begins.
Regardless of score, however, HUD will not select an application
for funding that is submitted by an ineligible applicant or that does
not meet all of the threshold requirements of Sections V(A) and (B)
above.
(B) Threshold and Completeness Review. HUD will screen each
application to determine if it is complete and meets the threshold
criteria in Sections V(A) and (B), above. In accordance with Section V
of the General Section of this SuperNOFA, after the application
deadline HUD may not consider any unsolicited information that you may
want to provide. However, after your application has been screened, HUD
may contact you to clarify an item in your application or to give you
an opportunity to correct a technical deficiency. HUD may not seek
clarification of items or responses that improve the substantive
quality of your response to any rating factor. Examples of curable
technical deficiencies include your failure to include a required
certification or a missing signature. If HUD identifies a technical
deficiency, it will notify you by fax of the clarification or
deficiency. You must submit information to cure the deficiency to HUD
within 14 calendar days from the date of HUD notification. If the
deficiency is not corrected within this time period, HUD will reject
your application as incomplete, and it will not be eligible for
funding. Note, however, that in accordance with Section VI(A)(3),
above, of this HOPE VI section of the SuperNOFA, HUD has committed to
rate each application, regardless of its eligibility.
(C) Preliminary Rating and Ranking. (1) Rating. HUD will
preliminarily review and rate each eligible application on the basis of
the rating factors described in Section VI(G) of this HOPE VI section
of the SuperNOFA, below, and assign a score to each application.
(2) Ranking. After preliminary review, applications will be ranked
in score order. Applications will be deemed ``competitive'' if they
have a preliminary score above a base score that encompasses all
applications that represent approximately twice the amount of funds
available.
(D) Final Panel Review. A Final Review Panel will:
(1) Assess each competitive application;
(2) Assign the final scores; and
(3) Recommend for funding the most highly-rated eligible
applications, up to the amount of available funding, in accordance with
the allocation of funds described in section II(A)(1) of this HOPE VI
section of the SuperNOFA.
(4) HUD reserves the right to make adjustments to funding in
accordance with Section III(E) of the General Section of this
SuperNOFA.
(5) In accordance with the FY 2001 HOPE VI appropriation (Title II
of Pub. Law 106-377), HUD may not use HOPE VI funds to grant
competitive advantage in awards to settle litigation or pay judgments.
(E) Tie Scores. If two or more applications within any of the
funding categories listed in section II(A)(1) above have the same score
and there are insufficient funds to select all of them, HUD will select
for funding the application(s) with the highest score for Rating Factor
3, Soundness of Approach. If a tie still remains, HUD will select for
funding the application(s) with the highest score for the Rating Factor
2, Need. HUD will select further tied applications on the basis of
their scores in Capacity, Leveraging Resources, and Comprehensiveness
and Coordination rating factors, in that order.
(F) Transfer to Demolition Grants. If funds remain after all
eligible HOPE VI Revitalization grant applications are funded, or if
the amount remaining is inadequate to feasibly fund the next eligible
Revitalization application, HUD reserves the right to:
(1) reallocate unused funds to fund or supplement the next eligible
HOPE VI Demolition grant application(s), in Priority and Ordinal order,
and/or
(2) carry over unused funds to the next fiscal year.
(G) Revitalization Application Rating Factors. The following are
the factors HUD will use to rate and rank your HOPE VI Revitalization
application and the maximum points for each factor. The maximum number
of points for each Revitalization application is 102, which includes
two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as
described in Section III(C)(1) of the General Section of this
SuperNOFA.
Rating Factor 1: Capacity (20 Points)
This factor measures the capability and record of you and the
members of your Team to carry out the revitalization activities
proposed in your application. The term ``your Team'' includes the HOPE
VI Coordinator and PHA staff, developers, program managers, property
managers, subcontractors, consultants, and any other public and private
entities identified and/or proposed to carry out program activities.
You and your Team will be rated on your capacity to manage large-scale
redevelopment or modernization projects, manage effective community and
supportive service programs, and manage private and/or public housing.
For each major aspect of the revitalization effort (physical
redevelopment, CSS activities, and property management), HUD will
evaluate the extent to which you have (or will have) the capacity to
carry out the work yourself and/or select and manage appropriate
members of your Team. HUD will award the most points to applications
that demonstrate the highest degree of capacity to implement activities
in a timely manner upon grant award, whether the capacity is within the
PHA or by members of your Team with overall management by the PHA.
HUD does not require you to select a developer and/or program
manager, if any, prior to submission of your application, although you
may choose to do so. Rather, HUD will evaluate your current capacity to
implement large scale revitalization; and/or your ability to identify
needs in your current staffing and fill such gaps internally or
externally in a timely manner in order to successfully implement your
proposed program; and/or your proposed method and criteria for securing
a program manager and/or development partner to implement your plan;
and your current or planned capacity to manage such entity(ies). If you
are selected for funding, HUD may require you to use an outside entity
as directed by HUD to carry out the revitalization activities.
(1) Physical Redevelopment Capacity and Experience: 7 Points.
(a) You will receive 5 to 7 points if:
(i) Your development team, including the developer, program manager
(if any), financial consultant (if any) attorneys, etc., is in place
and you have identified staff capacity needs which you are prepared to
fill promptly upon award. You must demonstrate, using specific data or
other documentation, where applicable, that your Team has extensive
knowledge and recent, successful experience and capacity in planning,
implementing, and managing previous large scale revitalization
activities, including physical development, financing, leveraging, and
partnership activities. You must document the experience of each
relevant member of your Team. If tax credits are proposed, you must
document the tax credit experience of each relevant member of your
Team.
[[Page 11930]]
(ii) If you have not yet procured member(s) of your Team to plan,
implement, and manage the revitalization activities, including physical
development, financing, leveraging, and partnership activities, you
have a feasible plan for securing such an entity in a timely manner and
your description of what you will include in the Request For Proposal
(RFP) or Request for Qualifications (RFQ), as appropriate, to secure
such team members is well articulated and will result in the selection
of a highly capable Team.
(iii) If you were awarded a HOPE VI grant(s) previously, you have
demonstrated that the progress of activities is on schedule and you
have the capacity to manage an additional HOPE VI revitalization
project. HUD will evaluate the current status of development, and your
explanation of any delays in implementation of your HOPE VI grant(s),
including planning or construction delays. HUD will use information on
file to verify any information you provide regarding current HOPE VI
grant status.
(iv) You have demonstrated that implementation of your plan can
begin immediately after grant award.
(v) You do not have any outstanding capital program audit findings.
(b) You will receive 1 to 4 points if you describe and demonstrate
that your Team has some knowledge, experience, and capacity to plan,
implement, and manage large scale revitalization, or your method and
criteria for selecting members of your team is good. Your current HOPE
VI activity is mostly on schedule, and you have the ability to begin
implementing your plan with minor adjustments and additional planning
after grant award.
(c) You will receive 0 points if:
(i) you cannot describe and demonstrate that you can procure a
qualified development team;
(ii) your current HOPE VI grant is behind schedule;
(iii) you do not demonstrate your ability to implement your plan
quickly upon grant award; or
(iv) there is not enough information in your application to enable
HUD to rate this factor.
(2) Community and Supportive Services (CSS) Capacity and
Experience: 5 Points.
(a) You will receive 4 to 5 points if you demonstrate, using
specific data or other documentation, where applicable, that:
(i) You have recent, successful experience in planning,
implementing, and managing the types of CSS activities proposed in your
application;
(ii) You have procured a member(s) of your Team who has the
qualifications and experience to manage and coordinate the activities
in your CSS Workplan, and/or you have a plan for promptly hiring staff
or procuring a Team member to do so;
(iii) You have strong relationships and commitments from members of
your team which will enable you to carry out the activities in your CSS
Workplan. Your Team members represent a wide variety of organizations,
including TANF and Workforce Development Agencies, that have excellent
experience providing the kinds of activities proposed.
(b) You will receive 2 to 3 points if you have demonstrated and
documented limited experience and capacity on the part of your Team in
the above elements (paragraphs (a)(i) through (a)(iii) above).
(c) You will receive 1 point if you have demonstrated minimal
experience and capacity on the part of your Team in the above elements
(paragraphs (a)(i) through (a)(iii) above).
(d) You will receive 0 points if:
(i) you demonstrate no experience or capacity on the part of your
Team in the above elements, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(3) Property Management Capacity and Experience: 4 Points. Property
management activities may be the responsibility of the PHA, or a member
of the Team. You may also procure a separate entity to carry out
property management activities.
(a) You will receive 3 to 4 points if you demonstrate that you and/
or the property management member of your Team currently has excellent
knowledge and recent, successful experience in property management of
market rate, affordable and/or public housing. If you will procure
outside property management expertise, you have demonstrated
outstanding capacity to secure a Team member with excellent experience
by thoroughly describing the qualifications you will include in the RFP
to procure such services. In demonstrating your Team's current property
management experience or your capacity to procure a team member with
excellent experience, you must address the following elements:
(i) Property maintenance
(ii) Rent collection
(iii) MTCS reporting
(iv) Site-based management experience
(v) Tenant grievances
(vi) Evictions
(vii) Occupancy rate
(viii) Unit turnaround
(ix) Preventive maintenance
(x) Work order completion
(xi) Project-based budgeting
(b) You will receive 1 to 2 points if you demonstrate that you or
the management member of your Team currently have moderate management
capacity with respect to the above elements. If you will seek outside
property management expertise, the qualifications you describe in the
RFP to procure such services are likely to result in the procurement of
an entity with moderate management capacity with respect to the above
elements.
(c) You will receive 0 points if:
(i) you demonstrate that you or the management member of your Team
currently has little management capacity with respect to the above
elements, or
(ii) the qualifications you describe to procure a management team
are unlikely to result in the procurement of an entity with moderate
management capacity with respect to the above elements, or
(iii) there is not enough information in your application to enable
HUD to rate this factor.
(4) Diversity of Team: 1 Point. You will receive 1 point if you
clearly articulate an achievable plan for including minority(ies),
women, and/or individuals with disabilities on your Team who will be
involved in planning, development, and management of the HOPE VI
revitalization effort. HUD encourages cost-effective joint ventures to
provide opportunities for such diverse firms, individuals, and/or
employees. HUD has entered into a Cooperative Agreement with the
National Organization of African-Americans in Housing to reach out and
identify minority professionals (developers, program managers, lenders,
accountants, attorneys, etc.) who are interested in participating in
the HOPE VI Program. More information about NOAAH can be found on their
website (www.noaah.org).
(5) Obligation of Capital Funds: 3 Points. HUD will evaluate the
extent to which you have obligated Capital Fund amounts (including the
Comprehensive Improvement Assistance Program (CIAP) or Comprehensive
Grant Program (CGP) in a timely manner.
(a) You will receive 3 points if you have obligated at least 90
percent of your FY 1997-1999 Capital Fund amounts by the quarter ending
before the Revitalization grant application deadline date. HUD will use
the LOCCS disbursement system as of the quarter ending before the grant
application deadline date to verify your obligation rate.
[[Page 11931]]
(b) You will receive 2 points if you have obligated between 70 and
89 percent of your 1997-1999 Capital Fund amounts.
(c) You will receive 1 point if you have obligated between 50 and
69 percent of your 1997-1999 Capital Grant amounts.
(d) You will receive 0 points if:
(i) you have obligated less than 50 percent of your 1997-1999
Capital Grant amounts, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
Rating Factor 2: Need (20 Points)
This factor addresses the extent of the need for the revitalization
program; the potential impact of the proposed revitalization on the
surrounding neighborhood, the need for funding under the HOPE VI
program, the identification of need in the community, and the need for
affordable housing in the community.
(1) Need for Revitalization: 7 Points. All applicants must certify
that the public housing targeted for revitalization is severely
distressed, in accordance with Section V(A)(2) of this HOPE VI section
of the SuperNOFA, above. For this rating factor, HUD will evaluate the
extent of the severe distress of the targeted units and the urgency of
addressing the severe distress. HUD will evaluate your description and
documentation of the severity of the physical distress in terms of the
deficiencies listed below. If the targeted units have already been
demolished, HUD will evaluate your description of the condition of the
site before demolition.
(a) You will receive 6 or 7 points if you demonstrate the need for
revitalization due to conditions which present an immediate threat to
the health or safety of the residents, as indicated by the following
criteria:
(i) There are major structural and system deficiencies in its
infrastructure, roofs, electrical, plumbing, and mechanical systems,
lead based paint, settlement, and other deficiencies in Housing Quality
Standards;
(ii) There are major site deficiencies, including poor soil
conditions, inadequate drainage, deteriorated laterals and sewers, and
inappropriate topography;
(iii) There are major design deficiencies, including
inappropriately high population density, room, and/or unit size and
configurations; isolation; indefensible space; inaccessibility for
persons with disabilities with regard to individual units, entrance
ways, and/or common areas; and
(iv) There are major building and/or site conditions, such as
extreme levels of lead-based paint and/or asbestos, that make the site
or a portion of the site and its housing structures unsuitable for
residential use.
(b) You will receive 3 to 5 points if you demonstrate the need for
revitalization with regard to criteria listed above in paragraph (a),
but conditions do not present an immediate threat to the health or
safety of the residents.
(c) You will receive 0 points if there is not enough information in
your application to enable HUD to rate this factor.
(2) Impact on Neighborhood: 7 Points. HUD will evaluate the extent
to which the severely distressed public housing is a significant
contributing factor to the physical decline of, and disinvestment by
public and private entities in the surrounding neighborhood. HUD will
also evaluate the extent to which the proposed revitalization through
HOPE VI, including retail, office, and other economic development, as
appropriate, will enhance the neighborhood in which the project is
located and enhance economic opportunities for residents. In making
this determination, HUD will evaluate your narrative, crime statistics,
photographs or renderings, socio-economic data, trends in property
values, evidence of property deterioration and abandonment, evidence of
underutilization of surrounding properties, and other indications of
neighborhood distress and/or disinvestment that you provide in your
application to demonstrate your case.
(a) You will receive 4 to 6 points if you demonstrate that
revitalization of the severely distressed project with HOPE VI funds
will significantly improve the overall health of the neighborhood and
spur outside investment into the surrounding community.
(b) You will receive 1 to 3 points if you demonstrate that
revitalization of the severely distressed project with HOPE VI funds
will improve the overall health of the neighborhood and community
immediately surrounding the revitalized site, but will have only
limited likelihood of spurring significant neighborhood revitalization
activities or slowing the rate of decline in the greater neighborhood
and community.
(c) You will receive 0 points if you:
(i) demonstrate that revitalization of the severely distressed
project will have only a minor impact on the surrounding neighborhood
and community; or,
(ii) based on the data submitted, HUD determines that the proposed
project and/or the surrounding neighborhood is so severely deteriorated
that even if the public housing site is revitalized, it will neither
stop the decline nor have any impact on the surrounding neighborhood
and community; or
(iii) there is not enough information in your application to enable
HUD to rate this factor.
(3) Need for Funding: 3 Points. HUD will evaluate the extent to
which you could undertake the proposed revitalization activities
without a HOPE VI grant. HUD will use data from the latest quarterly
obligation report available at the time of the grant application
deadline date to confirm the amount of unobligated FY 1998-2000 Capital
Grant (including CIAP and CGP) funds currently available that could be
used to carry out the proposed revitalization activities.
(a) You will receive 3 points if your unobligated Capital Funds
balance is up to 25 percent of the amount of HOPE VI funds requested.
(b) You will receive 2 points if your unobligated balance is 26-50
percent of the amount of HOPE VI funds requested.
(c) You will receive 1 point if your unobligated balance is 51-75
percent of the amount of HOPE VI funds requested.
(d) You will receive 0 points if:
(i) your unobligated balance is 76 to 100 percent or greater than
the amount of HOPE VI funds requested, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(4) Need for Affordable Housing in the Community: 3 Points. HUD
will evaluate the extent to which you have demonstrated that there is a
need for affordable housing in the community, and there is an
inadequate supply of other affordable housing available to accommodate
families receiving tenant-based assistance under Section 8.
(a) You will receive 2 to 3 points if you have:
(i) Documented the need for affordable housing in the community
with statistics and analyses contained in a data source(s) that is
sound and reliable, including information on market rental costs as
compared to Section 8 fair market rents (FMRs); and
(ii) Provided a thorough analysis that demonstrates that the supply
of other affordable housing is inadequate to accommodate families that
would be displaced if the targeted severely distressed project was
demolished and not replaced. Your analysis must be documented by a
comparison of the number of Section 8-eligible rental apartment
listings in a newspaper of
[[Page 11932]]
general circulation in the community over the most recent complete
month prior to the Revitalization grant application deadline date
compared to the number of units needed if the site were to be
demolished and residents relocated within the community.
(b) You will receive 1 point if your analysis is less than thorough
but nevertheless demonstrates a general need for affordable housing in
the community.
(c) You will receive 0 points if:
(i) your analysis fails to show a need for affordable housing in
the community, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
Rating Factor 3: Soundness of Approach (40 Points)
HUD is seeking Revitalization Plans that are innovative, locally
appropriate, and address the unique needs of residents, the community,
and the city as a whole. This rating factor evaluates the quality of
the main components of your Revitalization Plan, including the proposed
design, feasibility of activities, efforts to lessen concentration,
relocation plan, CSS Workplan, efforts to reach out to residents and
members of the community, proposed management principles and policies,
plans to evaluate your HOPE VI activities, and your efforts to
affirmatively further fair housing.
(1) Overall Quality of Plan: 5 Points. HUD will evaluate your
entire application to rate this factor.
(a) You will receive up to 5 points if you demonstrate that all
aspects of your plan, including your physical, social, and economic
approach, are the most appropriate possible given your local
conditions, constraints, and opportunities, i.e. your application
demonstrates excellence in each of the following elements:
(i) Design and planning;
(ii) Cost effectiveness of proposed revitalization activities;
(iii) Appropriateness in the context of the immediate neighborhood
and the broader community;
(iv) Integration of physical and social aspects of your strategy;
(v) Appropriateness in the context of local housing markets. You
must demonstrate that the income mix is as great as possible given
local conditions. Typically, HUD has found that a mix of one-third
public housing, one-third tax credit or other subsidized housing, and
one-third market rate rental or homeownership housing is a good
balance. However, each situation is unique and should be treated as
such. For example, in a situation where the surrounding community is
middle or high income, it might be appropriate to have a greater number
of units of public and/or subsidized housing to assure housing
opportunities for low-income people. If so, indicate that the on-site
income mix is more heavily weighted to low-income residents, and that,
combined with the higher incomes of off-site residents, the income mix
is appropriate. If you cannot achieve development of housing that is
one-third public housing, one-third tax credit or other subsidized
housing, and one-third market rate or homeownership housing, explain
why the alternate mix of units you propose is appropriate in the
context of your local housing market.
(vi) The likelihood that a HOPE VI grant will result in a
revitalized site that will enhance the neighborhood in which the
project is located and enhance economic opportunities for residents.
(b) You will receive up to 3 points if your plan has serious flaws
in one of the above elements.
(c) You will receive 0 points if:
(i) your plan has flaws in more than one of the above elements, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(2) Design: 3 Points. HUD is seeking excellence in design. We urge
you to carefully select your architects and/or planners, and to enlist
local affiliates of national architectural and planning organizations
such as the American Institute of Architects, the American Society of
Landscape Architects, the American Planning Association, the Congress
for the New Urbanism, and/or the departments of architecture at a local
college or university to assist you in assessing qualifications of
design professionals and/or participating on a selection panel that
results in the procurement of excellent design services. HUD encourages
you to select a design team(s) that is committed to a participatory
design process through charettes, whereby residents, including young
people and seniors, the broader community, and other stakeholders such
as disability advocates, are actively involved in designing the new
community.
Your proposed site plan, new units, and other buildings must be
designed to be compatible with and enrich the surrounding neighborhood
and promote mixed-income, mixed-use communities. Local architecture and
design elements and amenities should be incorporated into the new or
rehabilitated homes so that the revitalized sites and structures will
blend into the broader community and appeal to the market segments for
which they are intended. Housing, community facilities, and economic
development space must be well integrated. You must select members of
your Team who have the ability to meet these requirements, and/or
demonstrate that you have the capacity to secure such Team members.
HUD encourages you to propose enhancements to the natural
environment such as tree and shrub planting to address natural resource
issues such as erosion, stormwater management, and water quality that
will result in physical improvements to the site; convert public open
space now devoid of green vegetation to a natural, inviting, and more
livable environment; encourage bike paths and other environmental and
recreational enhancements; and plan for the sustainability of such
resources after the revitalization activities are completed. Through an
MOU between the Department of Agriculture and HUD, technical assistance
to develop a natural resource stewardship program is available to
public housing authorities. See Section VI(C) of the General Section of
the SuperNOFA for more information on Urban Forestry. Further
information can be found on the Forest Service website (www.fs.fed/us/
research/rvur/urban/urbanforestry/urbanforest.htm).
(a) You will receive 3 points if your proposed site plan, new
units, and buildings demonstrate that:
(i) Your proposed plan incorporates design elements and amenities
into the revitalized homes that will enable them to blend into and
enrich the neighborhood and appeal to intended market segments;
(ii) Your proposed housing, community facilities, and economic
development space are thoroughly integrated into the community; and
(iii) Your plan proposes extensive and appropriate enhancements of
the natural environment.
(b) You will receive 2 points if your proposed site plan, new
units, and buildings demonstrate design that adequately addresses the
elements above.
(c) You will receive 1 point if your proposed design addresses the
above elements in only a perfunctory manner.
(d) You will receive 0 points if:
(i) your proposed design does not address the above elements, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(3) Feasibility of Plan: 4 Points. In awarding points under this
rating factor, HUD will consider the following:
[[Page 11933]]
(a) Income and Unit Mix. You will receive 1 point if you
demonstrate that the range of incomes to be served in the revitalized
community and the mix of unit types is as great as possible given the
location and other local market and community factors.
(b) Market. You will receive 1 point if you demonstrate that there
is a market for the revitalized and/or replacement units of the type,
number, and size proposed in the location you have chosen.
(i) Your demonstration of the market for non-public housing units
must be based on a preliminary market assessment letter prepared by an
independent, third party, credentialed market resource firm or
professional.
(ii) Your demonstration of the need for public housing units will
be based on the number and percentage of existing families on site that
are projected to return and the number of families on your public
housing and Section 8 waiting list(s).
(c) Hard and Soft Development Costs. You will receive 1 point if:
(i) Your projected hard development costs are realistic, developed
through the use of technically competent methodologies, including cost
estimating services, and are comparable to industry standards for the
kind of construction to be performed in the proposed geographic area;
(ii) Your cost estimates represent an economically viable
preliminary plan for designing, planning and carrying out your proposed
activities in accordance with local costs of labor, materials, and
services; and
(iii) Your projected soft costs (developer's fees, PHA
administration costs, legal fees, program manager's fees, consultants'
fees, etc.) are justified, comparable to industry standards, and you
have demonstrated how you will control such costs. HUD is particularly
concerned that soft costs be minimized and will review carefully the
proposed soft cost structure.
(d) Coherence and Consistency. You will receive 1 point if the
information and strategies described in your application are coherent
and internally consistent, particularly the data provided for types and
numbers of units, budgets and other financial estimates, and other
numerical information. It is critical that you carefully review all
numbers for unit mix, costs, etc. to make sure that all numbers are
consistent throughout the application. HUD will make this determination
based on your entire application.
(4) Lessen Concentration: 3 Points. This factor addresses how the
activities you propose are designed to lessen concentration of low-
income households, create opportunities for desegregation and
accessibility, and offer viable housing choices to displaced residents.
In awarding points under this rating factor, HUD will consider the
following:
(a) On-site housing. You will receive 1 point if your proposed unit
mix (i.e., rental vs. homeownership, public housing, market, and
subsidized units) will significantly reduce the isolation and/or
concentration of low-income residents and/or significantly achieve a
mixed-income, well functioning community on the revitalized site.
(b) Off-site housing. Although not required, the development of
off-site housing is desirable to lessen the concentration of low-income
residents on site, while maximizing the overall number of replacement
units. You will receive 1 point if you intend to develop off-site
housing that will lessen the concentration of low-income residents on-
site and create opportunities for desegregated, mixed-income
communities by locating such off-site housing in neighborhoods with low
levels of poverty and/or low concentrations of minorities. You are
encouraged to maximize off-site hard units as replacement housing and
to locate such units such that they do not cause an over-concentration
of low-income housing. You do not have to identify the precise location
of off-site units in your application to receive full points for this
subfactor, but you must identify the types of neighborhoods where such
housing will be planned and demonstrate the feasibility of such off-
site development (i.e., land is available at an economically feasible
price, community acceptance is likely, etc.).
(c) Access to Services. You will receive 1 point if, for both on-
site and any off-site units, your overall plan will result in increased
access to municipal services, jobs, mentoring opportunities,
transportation, and educational facilities; i.e., the physical plan and
self-sufficiency strategy are well integrated and strong linkages will
be established with the appropriate Federal and state and local
agencies, non-profits, and the private sector to achieve such access.
(5) Relocation and Section 8: 5 Points. HUD encourages one-for-one
replacement of demolished units, using a combination of hard units and
Section 8 assistance. In order to receive any points for this rating
factor, you must propose to use Section 8 assistance as a means of
temporary and/or permanent relocation of families currently living in
the targeted units so that families will have the full range of housing
options available to them. To receive points, you must go beyond the
requirements of the Uniform Relocation Act and propose a comprehensive,
results-based HOPE VI Relocation Plan in which residents are actively
involved. Your plan must conform with the requirements of the HOPE VI
relocation guidance as provided by HUD. In awarding points under this
rating factor, HUD will consider the following:
(a) Relocation Support. You will receive up to 2 points if you
demonstrate to HUD's satisfaction your team's plan and capacity to
effectively implement each of the following elements of relocation
support:
(i) Provide counseling to residents who choose Section 8 assistance
that will help them to fully understand the full range of housing
opportunities available to them in neighborhoods throughout the
jurisdiction and to find housing in non-poverty areas;
(ii) Conduct programs designed to prepare residents for the
transition to private rental housing, including one-on-one move
counseling and life skills training, so that they may sustain their new
living arrangement for the foreseeable future; and
(iii) If necessary, propose to use HOPE VI or other funds to modify
Section 8 relocation units to make them accessible for residents with
disabilities.
(b) Community Outreach. You will receive 1 point if you demonstrate
that you have an effective plan to involve faith-based, non-profit and/
or other organizations and/or individuals in the community to which
relocatees choose to move, in order to ease the transition and minimize
the impact on the neighborhood. You must also describe an effective
plan for working with surrounding jurisdictions to assure a smooth
transition if residents choose to move from your jurisdiction to the
surrounding area. HUD will view favorably innovative programs such as
community mentors, support groups, and the like.
(c) Self-sufficiency. You will receive 1 point if you demonstrate
that your Team has both the capacity and an effective plan to provide
results-based community and supportive service program support to
Section 8 relocatees to achieve and maintain their self-sufficiency.
(d) Tracking. You will receive 1 point if you demonstrate that your
Team has both the capacity and an effective plan for implementing a
tracking system that will enable you and/or your CSS Team members to
identify and track relocatees from the site to be revitalized and make
[[Page 11934]]
regular follow-up services available to families receiving Section 8
assistance.
(6) Community and Supportive Services: 4 Points. This factor
evaluates the quality of your proposed CSS Workplan as described in
your application. It is important that you review Section IV(C)(3)(c)
of this HOPE VI section of the SuperNOFA for a detailed description of
the requirements of a CSS Workplan, and Section IV(C)(3)(d) for a list
of possible CSS activities. You are encouraged to go beyond these lists
and propose CSS activities that break new ground by responding to
unique needs in your community and/or which may serve as a national
model for self-sufficiency and educational achievement.
(a) You will receive 4 points if:
(i) You propose a high-quality, results-oriented CSS Workplan that
includes strong components of the basic elements of education, job
training, and services that will enable all affected residents to
transform their lives;
(ii) The CSS Workplan is well coordinated with strong, experienced
service providers;
(iii) The CSS Workplan was developed using an effective needs
assessment; and
(iv) Mechanisms are in place to effectively measure the goals of
the CSS Component and evaluate its success.
(b) You will receive 2 to 3 points if your CSS Workplan has a flaw
in one of the elements listed in paragraphs (i) through (iv) above.
(c) You will receive 1 point if your CSS Workplan has a flaw in
more than one of the elements listed in (a)(i) through (iv) above.
(d) You will receive 0 points if:
(i) you merely repeat information from the NOFA, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(7) Apprenticeship Program: 2 Points. As described Section VI(I) of
the General Section, Bridging the Gap is a program in which HUD
encourages you to assist public housing residents in obtaining
construction apprenticeships. This will involve working with the local
unions to provide entry level apprenticeships in construction,
construction-related, and maintenance activities.
(a) You will receive 2 points if you propose to implement a program
that offers apprenticeships to residents or relocated residents of the
targeted development. You must identify the union(s) you will work with
and the number and types of jobs for which apprenticeships can be
obtained.
(b) You will receive 0 points if:
(i) your program does not propose to assist residents in obtaining
construction, construction-related, or maintenance-related
apprenticeships, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(8) Resident and Community Outreach and Involvement: 4 Points. In
addition to the Threshold requirement for a resident training session
and three public meetings provided in Section V(B)(3) and (4) of this
HOPE VI section of the SuperNOFA, above, this rating subfactor
evaluates the extent of involvement of residents and the broader
community in the planning, proposed implementation, and management of
your Revitalization Plan. HUD will evaluate the nature, extent, and
quality of the resident and community outreach and involvement you have
achieved by the time your application is submitted, as well as your
plans for continued and/or additional outreach and involvement. HUD
will evaluate your efforts to include affected residents and members of
the surrounding community in the planning, implementation, and
management of your proposed revitalization activities. In awarding
points under this factor, HUD will consider the following:
(a) Collaboration and Inclusiveness. You will receive 1 point if
you demonstrate that you have:
(i) communicated regularly and significantly with affected
residents and members of the surrounding community about your
application;
(ii) Provided affected residents with substantive opportunities to
participate in the development of the Revitalization Plan, including
seniors and young people aged 16 to 21;
(iii) Included other interested parties, especially members of the
surrounding community, in the development of your plans and
application;
(iv) Developed specific plans for continued involvement and
participation of residents and the broader community in the planning
and implementation of revitalization activities if your application is
successful; and
(v) consulted with any duly elected resident organization (resident
council or resident management corporation) in the development of your
Revitalization Plan.
(b) Logistics. You will receive 1 point if you demonstrate that you
have:
(i) Scheduled training session(s) and public meetings with affected
residents and other interested parties during the development of your
application at frequent and convenient times, over and above the
requirements of Section IV(C)(1) and (2) of this HOPE VI section of the
SuperNOFA, above;
(ii) Announced meetings in ways that are in addition to the
requirements of Section IV(C)(1)(d) and (2)(b), above, designed to
generate the most participation. Methods of announcing upcoming
meetings include, but are not limited to:
(A) Hand distributing flyers to residences and in locations likely
to attract notice; and
(B) Posting meeting information in adequate time to allow residents
and other interested parties to plan to attend.
(iii) Provided services needed to maximize participation, including
day care, translators, sign language interpreters, and transportation
to and from the meetings. If such services are not needed, explain why
they are not.
(iv) Ensured that all meetings are held in facilities that are
accessible to persons with disabilities.
(c) Communication. You will receive 1 point if you demonstrate that
you have communicated effectively with affected residents and members
of the surrounding community by:
(i) Providing reasonable training and technical assistance on the
HOPE VI development process and general principles of development to
affected residents, in order to enable them to participate meaningfully
in the development of your application, and developing plans to provide
further training and technical assistance if your application is
successful;
(ii) Providing information to and receiving input from affected
residents and other interested parties about your planned
revitalization;
(iii) Incorporating input and recommendations of interested
parties, especially affected residents, to the extent possible, into
your application;
(iv) Generating support for your application among interested
parties;
(v) Providing status reports on the development of your application
to residents; and
(vi) Providing that appropriate HUD communications are made
available to affected residents and the broader community (i.e., a copy
of the NOFA, notification of any HUD video conferences regarding the
NOFA, computer access to the HUD website, etc.)
(d) Dissention. You will receive 1 point if you have acknowledged
and attempted to address any dissenting viewpoints among affected
residents and other interested parties, as expressed by letters of
dissent.
[[Page 11935]]
(i) If there has been no opposition to your plan, you will
automatically earn this point.
(ii) Where there is resident or community opposition to the plan,
HUD will evaluate your analysis of the reasons for and extent of the
opposition, and your current and proposed plans for dealing with the
opposition.
(iii) In order to give you the opportunity to respond to any
letters of dissent, HUD will only consider copies of letters of dissent
that are received by HUD at least ten days before the Revitalization
grant application deadline date. To ensure that you have received each
letter of dissent that is sent to HUD, letters of dissent must be sent
to you by return receipt, and must include a copy of the return receipt
acknowledgement demonstrating that you have received the letter. The
sole purpose of this provision is to allow HUD to evaluate your
response to the dissent expressed in such letters, and is for
application rating purposes only; HUD will not respond directly to
dissent letters. The ten day deadline is also for application rating
purposes only, and does not preclude residents, members of the
community, or any other interested party from registering dissenting
opinions with you after the deadline has passed.
(iv) You will not earn this point if HUD receives a properly
documented copy of a letter of dissent that has been sent to you and
you have not acknowledged and attempted to address the dissenting
viewpoints in your application.
(9) Operation and Management Principles and Policies: 3 Points. Any
HOPE VI-funded activities at public housing projects are subject to
statutory requirements applicable to public housing projects under the
1937 Act, other statutes, and the Annual Contributions Contract (ACC).
Within such restrictions, HUD seeks innovative solutions to the long-
standing problems of severely distressed public housing projects. You
may request, for the revitalized development, a waiver of HUD
regulations (that are not statutory requirements) governing rents,
income eligibility, or other areas of public housing management that
will permit you to undertake measures that enhance the long-term
viability of a development revitalized under this program. HUD will
assess each request to determine whether good cause is established to
grant the waiver.
(a) You will receive 3 points if you demonstrate that your Team has
an effective plan to carry out each of the following 10 elements of the
``Self-Sufficiency and Economic Diversity'' and ``Safety and Security''
categories listed below. You must adequately address every element in
order to earn full points for this factor.
(b) You will receive 2 points if you demonstrate that your Team has
an effective plan to carry out at least 7 of the 10 elements listed
below, which must include elements 1--3 of the ``Self-Sufficiency and
Economic Diversity'' category.
(c) You will receive 1 point if you demonstrate that your Team has
an effective plan to carry out at least 5 of the 10 elements.
(d) You will receive 0 points if you demonstrate that:
(i) Your Team has an effective plan to carry out fewer than 5
elements; or
(ii) The operation and management principles you propose to
implement at the revitalization site, regardless of the number of
elements you propose to implement, are not likely to result in improved
management; or
(iii) There is not enough information in your application to enable
HUD to rate this factor.
Self-Sufficiency and Economic Diversity. You must propose operation
and management principles and policies to be applied to on- and/or off-
site public housing that will encourage residents to move in, move up,
and move on. Such principles and policies must:
1. Reward work and promote family stability by promoting positive
incentives such as income disregards and ceiling rents;
2. Promote economically and demographically diverse living
patterns, e.g., inclusion of persons of different races/ethnic groups,
families with or without children, persons with disabilities and able-
bodied persons, and the elderly, by:
--Instituting a system of local preferences adopted in response to
local housing needs and priorities, e.g., preferences for victims of
domestic violence, residency preferences, disaster victims;
--Aggressively pursuing affirmative marketing which attracts
individuals with a broad spectrum of incomes and attracts all segments
of the eligible population to the project on a nondiscriminatory basis;
and
--Reaching out to persons with disabilities;
3. Encourage self-sufficiency by including lease requirements that
promote involvement in the resident association, performance of
community service, participation in self-sufficiency activities, and
transition from public housing;
4. Complement self-sufficiency activities by creating a revitalized
development occupied by residents with a range of incomes;
5. Create strong, stable, well-run developments by implementing
site-based waiting lists for the redeveloped public housing and/or
following project-based management principles.
Safety and Security. You must demonstrate that your proposed
operation and management principles and policies will provide greater
safety and security for residents and the community. Such principles
and policies must include the following activities:
6. Institute strict applicant screening requirements such as credit
checks, references, home visits, and criminal records checks;
7. Strictly enforce lease and eviction provisions;
8. Enhance on-going efforts to eliminate drugs and crime from
neighborhoods through collaborative efforts with local law enforcement
agencies, the local United States Attorney, and Federal, state, and
local crime prevention programs, and implement program policy efforts
such as ``One Strike and You're Out,'' the ``Officer Next Door''
initiative, the Department of Justice's ``Weed and Seed'' Program task
force (if the targeted project is located in a designated Weed and Seed
area); HUD's ``Operation Safe Home'' Program; and/or HUD's Drug
Elimination Programs;
9. Improve the safety and security of residents through the
implementation of defensible space principles, anti-crime measures, and
the installation of physical security systems such as surveillance
equipment, control engineering systems, etc.;
10. Improve the safety of children by promoting the principles of
Healthy Homes. Healthy Homes activities are described in Section VI(F)
of the General Section of this SuperNOFA, the Glossary in the HOPE VI
Application Kit, and on HUD's Healthy Homes website (www.hud.gov/consumer/hhchild.cfm).
(10) Affirmatively Furthering Fair Housing: 5 Points. You must
affirmatively further fair housing through the physical design of the
revitalized units, the location of new units, marketing of housing that
will encourage diversity, and tenant selection and assignment
strategies that promote fair housing choice. You are strongly
encouraged to work with local advocacy groups that represent
individuals with disabilities, the elderly, and other special needs
populations to further these goals.
[[Page 11936]]
Definitions of accessibility and adaptability can be found in the
Glossary, which is located in the HOPE VI Application Kit and on the
HOPE VI website (www.hud.gov/hopevi).
In awarding points under this rating factor, HUD will consider the
following:
(a) Accessibility: 2 points. The design of your proposed site plan,
non-residential structures and facilities, and new construction and/or
rehabilitation of housing must conform to the civil rights statutes and
regulations required in Section II(B) of the General Section of this
SuperNOFA. Information on accessibility can be found on HUD's Fair
Housing Home Page (www.hud.gov/groups/fairhousing.cfm). Over and above
these accessibility requirements:
(i) You will receive 2 points if you clearly describe your plans to
implement all of the following suggested accessibility priorities:
(A) Make at least 5 percent of the total dwelling units (or one
unit per building where applicable) accessible to individuals with
mobility impairments and 2 percent of the dwelling units (or one unit
per building, where applicable) accessible to individuals who have
visual or hearing impairments;
(B) Provide one-bedroom accessible rental units for single
individuals with disabilities;
(C) Provide for accessibility modifications, where necessary, to
Section 8 units of residents who relocate from the targeted project due
to revitalization activities;
(D) Where playgrounds are planned, propose ways to make them
accessible to children with disabilities, over and above statutory and
regulatory requirements;
(E) Where possible, design units with accessible front entrances.
(ii) You will receive 1 point if you do not propose to implement
all of the accessibility priorities above but you provide an adequate
explanation as to why you cannot implement all of the priorities;
(iii) You will receive 0 points if:
(A) you do not propose to implement all of the accessibility
priorities and you do not describe in detail why you cannot implement
one or more of the priorities, or
(B) there is not enough information in your application to enable
HUD to rate this factor.
(b) Adaptability and Visitability. You will receive 1 point if your
physical plan meets the:
(i) adaptability standards adopted by HUD at 24 CFR 8.3 that apply
to those units not otherwise covered by the accessibility requirements.
The elements of adaptability are included in the HOPE VI Application
Kit Glossary; and
(ii) the visitability standards adopted by HUD that apply to units
not otherwise covered by the accessibility requirements. The elements
of visitability are described in the HOPE VI Application Kit Glossary.
(c) Affirmative Marketing and Outreach. You will receive 2 points
if your program activities are targeted to a broad range of eligible
residents, including the elderly, persons with disabilities, etc. In
addition, HUD will evaluate your efforts to increase community
awareness of the need for and benefits from diversity, in a culturally
sensitive manner, through education and outreach, as applicable. Your
marketing and outreach activities must be targeted to all segments of
the population on a nondiscriminatory basis, promote housing choice and
opportunity throughout your jurisdiction, and contribute to the
deconcentration of minority and low-income neighborhoods.
HUD will evaluate your description of the specific steps you will
take to:
(i) Examine your own programs or proposed programs, including an
identification of any impediments to fair housing (identified in your
jurisdiction's Analysis of Impediments to Fair Housing Choice) and
develop a plan to:
(A) address those impediments in a reasonable fashion in view of
the resources available;
(B) work with local jurisdictions to implement any of the
jurisdictions initiatives to affirmatively further fair housing; and
(C) maintain records reflecting this analysis and actions.
(ii) Remedy discrimination in housing; and
(iii) Promote fair housing rights and fair housing choice.
(11) Evaluation: 2 Points. In order to earn points under this
rating factor, you must propose to work with local university(ies),
other institutions of learning, foundations, and/or others to evaluate
the performance and impact of your proposed HOPE VI Revitalization
Plan. Where possible, HUD encourages you to form partnerships with
Historically Black Colleges and Universities (HBCUs); Hispanic-Serving
Institutions (HBIs); Community Outreach Partnership Centers (COPCs);
the Alaskan Native/Native Hawaiian Institution Assisting Communities
Program (as appropriate); and others in HUD's University Partnerships
Program.
You will receive up to 2 points if you provide a letter(s) from an
institution(s) of higher learning that provides a commitment to work
with you to evaluate your program and describes its proposed approach
to carry out the evaluation. The award of points will depend on the
level of commitment and involvement, the degree to which you and the
local institution of higher learning will cooperate, and the quality of
the proposed approach. If you are selected for funding, HUD will work
with you and your partners on the basic methodology to be used, but you
may augment this methodology to study additional activity. The letter
must address the following areas for evaluation:
(a) The impact of your HOPE VI effort on the lives of the
residents;
(b) The nature and extent of economic development generated in the
community;
(c) The effect of the revitalization effort on surrounding
communities, including spillover revitalization activities, property
values, etc.; and
(d) Your success at integrating the physical and social aspects of
your strategy and achieving the goals stated in your application.
Rating Factor 4: Leveraging Resources (10 Points)
Match vs. Leverage. There is an important difference between the
terms match and leverage. In accordance with Section IV(D)(3) of this
HOPE VI section of the SuperNOFA, all HOPE VI Revitalization grant
funds are subject to a matching requirement. By signing the HOPE VI
Revitalization Grant Applicant Certifications (Appendix A to this HOPE
VI section of the SuperNOFA), you will certify that, if selected for
funding, you will provide matching funds which, combined with HOPE VI
funds, will enable you to carry out revitalization activities,
including CSS activities. If selected for funding, you will be required
to show evidence of matching resources through your quarterly reports
as your project proceeds. Evidence of match is not required up front in
your application.
Leverage, on the other hand, consists of firm commitments of funds
and other resources that you can demonstrate now, at the application
stage. HUD will rate your application based on the amount of funds and
other resources that will be leveraged by the HOPE VI Grant as a
percentage of the amount of HOPE VI funds requested.
In your application, you will enter basic information about each
source of leverage on the Leveraged Resources Summary Forms: name of
the organization providing the resource, the dollar value of the
resource, and its proposed use. For each source of
[[Page 11937]]
leverage you list, you must provide a commitment document, such as a
letter, memorandum of understanding, agreement to participate, city
council resolution, or other evidence of the resource to be committed.
Any conditions attached to the commitment of the resource must be
stated in the document. Each commitment document must include the
dollar value of the commitment, and that dollar value must be
consistent with the amount entered on the Leveraged Resources Summary
Forms. On the Forms you will also enter the page number of your
application where the commitment document is located. Endorsements or
general letters of support from organizations or vendors alone will not
count as leverage and should not be included in the application or on
the Leveraged Resources Summary Forms. The commitment document must be
signed by an official of the organization legally authorized to make
commitments on behalf of the organization. Commitment documents will
not count in the 100 page limit for Attachments.
HUD recognizes that in some cases, firm commitments cannot be made
at the application stage. In such a case, if the entity describes why
the firm commitment cannot be made at the current time but affirms that
your PHA and your HOPE VI Revitalization Plan meet the eligibility
criteria for receiving the resource, HUD will consider the amount
adequately documented. This is particularly important with regard to
Low Income Housing Tax Credits, where forward commitments are typically
not possible.
For each commitment document, HUD will evaluate the strength of
commitment and add the amounts that are acceptably documented. HUD will
then calculate the ratio of the amount of HUD funds requested to the
amount of leveraged funds that HUD deems acceptably documented.
(1) Physical Development Resources: 6 Points. HUD seeks to fund
mixed-finance developments that use HOPE VI funds to leverage the
maximum amount of other physical development funds, particularly from
private sources, that will result in revitalized public housing, other
types of assisted and market rate housing, and private retail and
economic development.
(a) Types of Physical Development Resources. Physical development
resources that may be counted as leverage include, but are not limited
to:
(i) Mortgage secured loans and other debt. Where there is both a
construction loan and a permanent take-out loan, include only the take-
out loan.
(ii) Insured loans.
(iii) Donations and contributions.
(iv) Housing trust funds.
(v) Homeowner loans.
(vi) Funds committed to build private sector housing in direct
connection with the HOPE VI Revitalization Plan.
(vii) Funds committed for the physical development costs of
schools, libraries, economic development and/or commercial facilities
that would not otherwise be planned if not for the proposed HOPE VI
Revitalization Plan.
(viii) Low Income Housing Tax Credits. If you propose to use tax
credits as a part of your financing, you must include in your
application a letter from your State or local Housing Finance Agency
that provides information from the allocation plan regarding the total
amount and type (4 percent vs. 9 percent) of tax credits available, any
setasides available for PHAs, any per-project funding limits, the
schedule of funding rounds, verification that your project meets
eligibility criteria, phasing, and other pertinent information that
will enhance your project's likelihood to receive the desired tax
credits. If your application includes a letter from a Housing Finance
Agency which addresses these issues, the tax credits will be considered
documented and you may count their dollar value in your development
resources leverage ratio. If your application does not include such a
letter, the amount of tax credit dollars you propose will not be
counted as leverage.
(b) Sources of Physical Development Resources. You must actively
enlist other stakeholders who are vested in and can provide significant
financial assistance to your revitalization effort. Sources of
development resources that can be used for leveraging may include:
(i) Public, private, and non-profit entities.
(ii) State and local Housing Finance Agencies.
(iii) Local governments.
(iv) The city's housing and/or redevelopment agency or other
comparable agency. HUD will consider this to be a separate entity with
which you are partnering if your PHA is also a redevelopment agency or
otherwise has citywide responsibilities.
(A) You are strongly urged to seek a pledge of Community
Development Block Grant (CDBG) funds or other local funds from your
city, county or state for improvements to public infrastructure such as
streets, water mains, etc. related to the revitalization effort.
Information on CDBG can be found on the HUD Home Page (www.hud.gov/cpd/cpd/cpdprog.html);
(B) The city, county or state may provide HOME funds to be used in
conjunction with HOPE VI funds, but HOME funds may not be used in
conjunction with Public Housing Capital Funds under section 9(d) of the
1937 Act. Information about the HOME Program can be found on HUD's HOME
website (www.hud.gov/cpd/home/homeweb.html).
(v) Foundations.
(vi) Financial institutions, banks or insurers.
(vii) Other private funders.
(d) Other HUD Public Housing Funds. Although you may commit other
Federal public housing funds such as Capital Funds under section 9(d)
of the 1937 Act to meet your match requirement if you are selected for
funding, your commitment of these types of funds will not count towards
your leverage ratio for the purposes of rating your application.
(e) Anticipatory Resources. In many cases, PHAs, cities, or other
entities may have carried out revitalization activities in previous
years in anticipation of your receipt of a HOPE VI Revitalization
grant. Expenditures that were made in anticipation of your receiving
HOPE VI funding in previous years, even though you were unsuccessful in
receiving a HOPE VI Revitalization grant, will count toward leverage in
the FY 2001 funding competition, provided they meet the criteria
described in this rating factor.
(f) Rating.
(i) You will receive 6 points if the ratio of the amount of HOPE VI
funds requested for physical development activities to the dollar value
of documented, committed development resources leveraged from other
sources is 1:4 or higher.
(ii) You will receive 5 points if the ratio is between 1:3 and 1:4.
(iii) You will receive 4 points if the ratio is between 1:2.5 and
1:3.
(iv) You will receive 3 points if the ratio is between 1:2 and
1:2.5.
(v) You will receive 2 points if the ratio is between 1:1 and 1:2.
(vi) You will receive 1 point if the ratio is 1:1.
(vii) You will receive 0 points if:
(A) the ratio is less than 1:1, or
(B) there is not enough information in your application to enable
HUD to rate this factor.
(2) Collateral Investment: 1 Point. Collateral Investments include
physical redevelopment activities underway or projected to be completed
before October 2006, such as schools, libraries, subway or light rail
stations, or improved roads, which will enhance the new HOPE VI
community but will occur whether or not the site is revitalized.
[[Page 11938]]
Economic or other kinds of development activities that would have
occurred with or without the anticipation of HOPE VI-funded
revitalization of the site will count as leverage for this factor only.
(a) You will receive 1 point if the ratio of the amount of the
total HOPE VI grant requested to the dollar value of documented
collateral investments is 1:2 or higher.
(b) You will receive 0 points if:
(i) the ratio of the HOPE VI request to the collateral investment
amount is less than 1:2, or
(ii) there is not enough information in your application to enable
HUD to rate this factor.
(3) Community and Supportive Services Resources: 3 Points. In order
to achieve quantifiable self-sufficiency results, you must form
partnerships with organizations that are skilled in the delivery of
services to residents of public housing and that can provide
commitments of resources to support those services. Leveraging scarce
HOPE VI CSS funds with other funds and services is critical to the
sustainability of CSS activities so that they will continue after the
HOPE VI funds have been expended.
(a) Types of resources. Resources for CSS activities may include
financial contributions from Federal, State, or local governments or
from private entities. Resources may also include the dollar value of
in-kind contributions such as materials, a building, a lease on a
building, other infrastructure, time and services contributed by
volunteers, staff salaries and benefits, and supplies related to the
provision of CSS activities that will contribute to the successful
transformation of the lives of residents.
(b) Sources of resources.
(i) See Section IV(C)(3)(e) of this HOPE VI section of the
SuperNOFA for a list of the kinds of organizations, agencies, and other
possible resource providers that can provide you with resources for
your CSS activities.
(ii) In accordance with Section IV(C)(3)(b) of this HOPE VI section
of the SuperNOFA, you may enter into subgrantee agreements with
nonprofit organizations to provide CSS activities. HUD encourages you
to select subgrantees that can bring in-kind resources to the project.
(c) Rating. The number of points you receive will depend on the
ratio of the amount of HOPE VI dollars requested for CSS activities to
the dollar value of the resources committed from other sources for CSS
programs. A letter of general commitment without a dollar figure of
committed resources included will not be counted as a resource for this
rating factor. Include only funds that will be newly-generated for HOPE
VI CSS activities. HUD will not count as leverage any funds that have
been provided routinely, such as TANF payments or funds that support
ongoing CSS-type activities.
(i) You will receive 3 points if the ratio of the amount of HOPE VI
funds requested for CSS activities to the dollar value of documented,
committed CSS resources leveraged from other sources is 1:4 or higher.
If no HOPE VI funds are requested for CSS activities because all CSS
funds will come from outside sources, all adequately-documented funds
from such outside sources will be counted and you will receive 3
points.
(ii) You will receive 2 points if the ratio is between 1:3 and 1:4.
(ii) You will receive 1 point if the ratio is between 1:2 and 1:3.
(iii) You will receive 0 points if:
(A) the ratio is less than or equal to 1:2, or
(B) there is not enough information in your application to enable
HUD to rate this factor.
Rating Factor 5: Coordination and Community Planning (10 Points)
This factor evaluates your actions to address the need for
revitalized public housing in a holistic and comprehensive manner by
coordinating the revitalization of public housing with the overall
plans for revitalization and related activities in the broader
community. It also evaluates your participation in or commitment to
participate in the community's Consolidated Planning process.
(1) Coordination of Revitalization Activities: 5 Points.
(a) This factor evaluates the actions you have taken to coordinate
with other agencies--not to provide services, but to ensure that your
activities are consistent with other revitalization, development,
economic development, transportation, and other similar activities in
the neighborhood, the surrounding community, and the city or county at
large. Public housing revitalization must not happen in a vacuum, and
it is critical that all parties work together to share information and
coordinate ongoing and planned activities in order that those plans
complement and reinforce each other activities.
(b) HUD will evaluate the specific steps you have taken to:
(i) coordinate your proposed activities with related activities of
other agencies, groups, or organizations outside the scope of those
covered by the Consolidated Plan;
(ii) develop comprehensive solutions that best complement, support,
and coordinate other revitalization and related activities, such as
plans for changes in transportation, infrastructure, land use, and
other issues that may affect the planned public housing revitalization;
and
(iii) share information about solutions and outcomes with relevant
agencies through meetings, information networks, planning processes or
other mechanisms.
(c) Rating. (i) You will receive 3 to 5 points if you provide
letters, memoranda of agreement, or other documentation from
organizations and agencies that describe your relationships and
substantiate the actions you have taken to coordinate with a variety of
relevant groups.
(ii) You will receive 1 to 2 points if you provide documentation
that you have taken some actions to coordinate your proposed activities
with relevant groups, but your overall effort does not include a
variety of different kinds of groups and/or you do not show strong
evidence of active coordination.
(iii) You will receive 0 points if:
(A) your actions to coordinate with relevant groups are not
comprehensive; and/or
(B) your relationships are not strong or well documented; or
(C) there is not enough information in your application to enable
HUD to rate this factor.
(2) Participation in Consolidated Plan/AI Process: 5 Points.
This factor evaluates your efforts to participate in your
jurisdiction's Consolidated Planning process, whether the need for the
revitalization of severely distressed public housing is identified in
the Consolidated Plan, and whether severely distressed public housing
is identified as an impediment to fair housing choice in your
jurisdiction's Analysis of Impediments to Fair Housing Choice (AI).
Information on the Consolidated Plan can be found on the HUD Home Page
(www.hud.gov/cpd/conplan.html). (A Certification of Consistency with
the Consolidated Plan, as provided in the HOPE VI Application Kit, is a
required element of each HOPE VI Revitalization application.)
(a) You will receive 3 to 5 points if:
(i) you have cited language from your jurisdiction's Consolidated
Plan that identifies revitalization of severely distressed public
housing as an urgent need in the community, and indicates that your
HOPE VI Revitalization Plan is tied to other revitalization planned in
the broader community and in the jurisdiction as a whole; that they are
consistent with plans or organizing efforts in the immediate,
surrounding neighborhood; and you have cited
[[Page 11939]]
language from your jurisdiction's AI that identifies severely
distressed public housing as an impediment to fair housing choice; or
(ii) the Consolidated Plan and AI are applicable to your
jurisdiction, but they do not identify severely distressed public
housing as an urgent need or an impediment to fair housing choice; you
have explained in detail why severe distress of public housing is not
identified; described your efforts to alert the jurisdiction to the
need for public housing revitalization as a priority; have begun work
with the jurisdiction to amend the Consolidated Plan and AI to include
revitalization of severely distressed public housing as an urgent need;
and you have coordinated with other revitalization efforts in the
community; or
(iii) if the Consolidated Plan and AI are not applicable to your
community, you have demonstrated that you have participated in other
community-wide planning efforts; used other sound and reliable data
sources to show that the community has identified the need for
revitalization of severely distressed public housing and the urgency in
meeting the need; and submitted a letter from the Mayor or other Chief
Executive Officer of the jurisdiction and a letter from the City
Council or other elected legislative body confirming the need to
revitalize severely distressed public housing, the urgency of meeting
the need, and the jurisdiction's commitment to addressing this need.
(b) You will receive 1 to 2 points if you have demonstrated that
you have participated in the Consolidated Planning process, but the
Consolidated Plan does not address the revitalization of severely
distressed public housing.
(c) You will receive 0 points if:
(i) your community's Consolidated Plan and AI do not identify the
revitalization of severely distressed public housing as a need or as an
impediment to fair housing choice, and you have not provided an
adequate explanation of why they do not;
(ii) the Consolidated Plan and AI are not applicable to your
community, and you have not thoroughly documented your level and
urgency of need through other sound and reliable sources; or
(iii) there is not enough information in your application to enable
HUD to rate this factor.
Empowerment Zone/Enterprise Community Bonus (2 Points)
You will receive up to 2 bonus points if you propose to revitalize
severely distressed public housing that is located in a Federally-
designated Empowerment Zone (EZ), Enterprise Community (EC), rural EC,
or Urban Enhanced Enterprise Community (also referred to as EC). To be
eligible for the bonus points, activities must serve EZ/EC residents
and the application must include a certification that activities are
consistent with the strategic plan for the EZ or EC. A listing of
eligible EZs and ECs is attached to the General Section of the
SuperNOFA as Appendix A-2, and also can be found on HUD's EZ/EC Website
(www.hud.gov/cpd/ezec/ezbyec.html). To determine whether your site is
within an EZ or EC, use the EZ/EC Locator (www.hud.gov/ezec/locator).
Note that if the public housing project is located in a similar
economic development area designated by your state or city, but is not
located in a Federally-designated EZ or EC, your application will not
be eligible for these bonus points.
VII. HOPE VI Demolition Grant Application Selection Process
(A) HOPE VI Demolition Grant Funding Categories. HUD will select
HOPE VI Demolition grant applications on a first-come, first-served
basis, by an application's Priority Group and Ordinal. HOPE VI
Demolition grant applications are not rated.
(1) Priority Groups. You must identify each HOPE VI Demolition
grant application by its appropriate Priority Group, as described
below. Each application must target units of a single Priority Group;
e.g., do not include Priority Group 1 units in the same application as
Priority Group 2 units.
(a) Priority Group 1: Priority Group 1 applications target units
included in an approved Section 202 Mandatory Conversion Plan. The
Section 202 Conversion Plan must be approved by HUD on or before the
HOPE VI Demolition grant application deadline date under this HOPE VI
section of the SuperNOFA.
(b) Priority Group 2.
(i) Priority Group 2 applications:
(A) target units included in a Section 202 Mandatory Conversion
Plan that you have submitted to HUD on or before the HOPE VI Demolition
grant application deadline date, or
(B) target units that, in HUD's sole determination under section
537(c) of the Public Housing Reform Act of 1998, are subject to the
removal requirements of 24 CFR part 971 and can be expected to be
demolished in accordance with the time schedule required by Section
IV(F)(1) of this HOPE VI section of the SuperNOFA, above.
(ii) If you submit a HOPE VI Demolition grant application for units
that are targeted in a Section 202 Mandatory Conversion Plan that was
submitted under 24 CFR part 971 but not yet approved (Priority Group
2), and HUD subsequently approves the Conversion Plan before the HOPE
VI Demolition grant application deadline date, you may revise your
application and it will be reclassified as Priority Group 1. HUD will
change the original Ordinal to the Ordinal corresponding to the date
that the revision was received.
(iii) If you submit a Section 202 Mandatory Conversion Plan but HUD
determines that the targeted project does not qualify for conversion
under 24 CFR part 971, your HOPE VI Demolition grant application will
not be eligible for funding. If you intend to submit a Priority 1 or 2
application, discuss the project with your Field Office to ensure that
it qualifies under the standards of 24 CFR part 971.
(c) Priority Group 3. Priority Group 3 applications target units
that were included in a HUD-approved application for demolition that
was developed in accordance with section 18 of the 1937 Act, as amended
(``Section 18 demolition application'').
(i) Your Section 18 demolition application must be approved by HUD
on or before the HOPE VI Demolition grant application deadline. You are
advised that in order to allow for sufficient time for a new Section 18
demolition application to be processed, you should submit your Section
18 demolition application to HUD's Special Application Center (SAC) no
later than March 30, 2001. If your Section 18 demolition application
does not meet the statutory requirements of Section 18, including the
requirement for HUD Field Office approval of the Interim or PHA Plan as
required by 24 CFR part 903, HUD will not approve the Section 18
demolition application and your HOPE VI Demolition grant application
will not be eligible for funding.
(ii) If you have submitted a Section 18 demolition application to
the SAC but it has not yet been approved by HUD when you submit your
HOPE VI Demolition grant application, your HOPE VI application will not
be considered complete and you will not receive an Ordinal unless and
until your Section 18 demolition application is approved on or before
the HOPE VI Demolition Grant Application deadline.
(iii) If your Section 18 demolition application is approved by HUD
on July 9 or 10, 2001 only, you are not required to submit your
approval letter to HUD, and HUD will deem the approval letter to have
been submitted in the application. In such a case, if your application
is otherwise complete, your Ordinal will be the date that HUD
[[Page 11940]]
approves your Section 18 demolition application.
(iv) If HUD has previously approved your Section 18 demolition
application but HUD later rescinded the approval, your Section 18
demolition application will not be considered approved by HUD and your
HOPE VI Demolition grant application will not be eligible for funding.
(d) Priority Group 4:
(i) Priority Group 4 applications target units that:
(A) were targeted for demolition in a previously-approved HOPE VI
Revitalization application and the demolition that has not yet been
carried out; or
(B) were not originally targeted for demolition in a previously-
approved HOPE VI Revitalization application but are located in the same
project and at the same site that will be revitalized using an existing
Revitalization grant, and have not yet been demolished.
(ii) The requested HOPE VI Demolition grant funds, in combination
with the existing HOPE VI Revitalization grant funds, may not exceed
the TDC/Housing Cost Cap (HCC) limit in effect at the time the HOPE VI
Revitalization Grant was approved by HUD.
(A) If the Revitalization grant is below TDC/HCC, any dollars freed
up as a result of the proposed additional demolition grant funds may be
used for any construction costs, up to the project's TDC/HCC limit.
(B) If the Revitalization grant is below or at TDC/HCC, the dollars
freed up from the proposed additional demolition grant funds may be
used for the demolition of additional units or for Community Renewal
costs such as Extraordinary Site Costs that fall outside of HCC.
(iii) If a Priority Group 4 HOPE VI Demolition application is
selected for funding, HUD will approve the planned demolition:
(A) in its approval of your Supplemental Submissions for the
Revitalization grant;
(B) by amending its approval of your Supplemental Submissions, if
they have already been approved by HUD; or
(C) by approving a Section 18 demolition application, if you choose
to submit one.
(iv) HUD reserves the right to rescind a Priority Group 4
Demolition grant if it determines that the targeted units cannot be
approved under section (d)(iii) above.
(2) Ordinals. Upon receipt, HUD will assign each HOPE VI Demolition
grant application an Ordinal (i.e., ranking number) that reflects the
date HUD Headquarters received the application. Ordinals correspond to
business days, starting with the date HUD receives the first Demolition
grant application and ending on the HOPE VI Demolition grant
application deadline date, as specified in Section I of this HOPE VI
section of the SuperNOFA, above. HUD will consider all applications
received on the same date as received at the same time on that date,
and those applications will all be assigned the same Ordinal.
(B) Demolition Screening. (1) HUD will screen the application to
ensure that it:
(a) Meets each HOPE VI threshold criterion listed in Sections V(A)
and V(C) of this HOPE VI section of the SuperNOFA, above; and
(b) Includes each application submission requirement listed in
Section IX(B) of this HOPE VI section of the SuperNOFA, below.
(2) If HUD determines that an application is not eligible for
funding (e.g., the applicant is not a PHA, the units have already been
demolished, etc.), HUD will not consider the application further and
will immediately notify the applicant that the application has been
rejected.
(3) If HUD determines that an application is eligible but
incomplete, within approximately two days of receipt of the
application, HUD will contact you in writing by fax (followed up with a
hard copy by mail) to request the missing information. If HUD finds
your application and other applications received on the same day to be
incomplete, HUD will notify all such applicants of their missing items
on the same day. Since HOPE VI Demolition grant applications are not
rated, you may submit information to complete your application at any
time before the HOPE VI Demolition grant application deadline date.
However, if your application is received on the deadline date and it is
missing a required submission, you will have no opportunity to submit
any missing item after the deadline date and your HOPE VI Demolition
grant application will be ineligible for funding.
Please Note: This provision means that the nearer to the
deadline date you submit your application, the less time you will
have to correct any deficiencies, and if hud receives your
application ON the deadline date and there is a deficiency, that
application will NOT be eligible for funding. You are advised to
submit your application as soon as possible, in the event that hud
identifies a deficiency that you need to correct.
(4) If HUD determines that the information you submit in response
to a notification of deficiency is correct and completes the
application, HUD will change the application's Ordinal to the Ordinal
corresponding to the date that HUD received the information.
(5) If HUD determines that the information submitted does not make
the application complete, HUD will notify you of the remaining
deficiency. You will have the opportunity to submit information in
response to notifications of deficiency up until the HOPE VI Demolition
grant application deadline date.
(6) If you do not submit the requested information by the HOPE VI
Demolition grant deadline date, your application will be ineligible for
funding.
(C) Funding. HUD will award HOPE VI Demolition grants in the
following order, based on fund availability.
(1) HUD will fund Priority Group 1 applications by Ordinal.
(2) If funds remain after HUD has funded all eligible Priority
Group 1 applications, HUD will fund Priority Group 2 applications by
Ordinal.
(3) If funds remain after HUD has funded all eligible Priority
Group 2 applications, HUD will fund Priority Group 3 applications by
Ordinal.
(4) If funds remain after HUD has funded all eligible Priority
Group 3 applications, HUD will fund Priority Group 4 applications by
Ordinal.
(5) At any stage, if there is more than one application with next
Ordinal to be funded and there are insufficient funds to fund all of
them, HUD will conduct a lottery among those applications to determine
which application(s) will be funded.
(6) HUD reserves the right to partially fund the next eligible
application if insufficient funds remain to fund the entire amount
requested, and HUD determines that the funds available are adequate to
carry out some significant demolition activities.
(7) If funds remain after all eligible HOPE VI Demolition grant
applications have been funded or if the amount remaining is inadequate
to feasibly fund the next eligible Demolition grant application, HUD
reserves the right to:
(a) reallocate unused funds to fund or supplement the next eligible
HOPE VI Revitalization application(s), in rank order, or
(b) carry over unused funds to the next fiscal year.
VIII. Grant Award Procedures
(A) Revitalization Grants.
(1) Notification of Funding Decisions. The HUD Reform Act prohibits
HUD from notifying you as to whether or not you have been selected to
receive a Revitalization grant until it has announced all HOPE VI
Revitalization
[[Page 11941]]
grant recipients. If your Revitalization application has been found to
be ineligible or if it did not receive enough points to be funded, you
will not be notified until the successful applicants have been
notified. HUD will provide written notification to all HOPE VI
applicants, whether or not they have been selected for funding.
(2) Environmental Review. HUD notification that you have been
selected to receive a HOPE VI grant constitutes only preliminary
approval. Grant funds may not be released until the responsible entity
completes an environmental review and you submit and obtain HUD
approval of a request for release of funds and the responsible entity's
environmental certification in accordance with 24 CFR part 58 and
Section IV(B)(6) of this HOPE VI section of the SuperNOFA, above (or
HUD has completed an environmental review under 24 CFR Part 50 where
HUD has determined to do the environmental review).
(3) Revitalization Grant Agreement. When you are selected to
receive a Revitalization grant, HUD will send you a HOPE VI
Revitalization Grant Agreement, which constitutes the contract between
you and HUD to carry out and fund public housing revitalization
activities. Both you and HUD will sign the cover sheet of the Grant
Agreement. It is effective on the date of HUD's signature. The Grant
Agreement sets forth:
(a) The amount of the grant;
(b) The HOPE VI Requirements;
(c) Revitalization Plan components;
(d) Revitalization activities and requirements;
(e) Changes to the Revitalization Plan;
(f) Replacement unit and waiver information;
(g) Budget requirements;
(h) Drawdown procedures;
(i) Matching fund requirements;
(j) Finance and accounting procedures;
(k) Recordkeeping requirements;
(l) Requirements for subgrantees, contractors, and subcontractors;
(m) Resident and community involvement requirements;
(n) Environmental review procedures;
(o) Fair Housing certifications;
(p) Building standards and design components;
(q) Labor standards;
(r) Conflict of interest provisions;
(s) Reporting requirements;
(t) Technical assistance procedures
(u) Default provisions; and
(v) Grant closeout procedures.
(B) Demolition Grants. (1) Notification of Funding Decisions.
Because the HOPE VI Demolition grants are awarded on a first-come,
first-served basis, HUD reserves the right either to award funds to
Priority 1 applications as soon as they are determined to be eligible
for funding, or announce all awards after the HOPE VI Demolition grant
application deadline date has passed. HUD will notify ineligible
applicants of their ineligibility immediately after that determination
has been made. HUD will provide written notification to all HOPE VI
applicants, whether or not they have been selected for funding.
(2) Environmental Review. HUD notification that you have been
selected to receive a HOPE VI Demolition grant constitutes only
preliminary approval. Grant funds may not be released until the
responsible entity completes an environmental review and you submit and
obtain HUD approval of a request for release of funds and the
responsible entity's environmental certification in accordance with 24
CFR part 58 and Section IV(B)(6) of this HOPE VI section of the
SuperNOFA, above.
(3) Demolition Grant Agreement. If you are selected to receive a
Demolition grant, HUD will send you a HOPE VI Demolition Grant
Agreement. Both you and HUD will sign the Cover Sheet of the Grant
Agreement, and it is effective on the date of HUD's signature. The
Grant Agreement sets forth:
(a) The amount of the grant;
(b) The HOPE VI Demolition Requirements;
(c) Demolition Plan components;
(d) Relocation requirements;
(e) Program schedule;
(f) Finance and Accounting procedures;
(g) Drawdown procedures;
(h) Recordkeeping requirements;
(i) Requirements for subgrantees, contractors, and subcontractors;
(j) Environmental review procedures;
(k) Fair Housing Certifications;
(l) Labor standards;
(m) Conflict of interest provisions;
(n) Reporting requirements;
(o) Technical assistance procedures;
(p) Default provisions; and
(q) Grant closeout procedures.
IX. Application Submission Requirements
(A) Revitalization Application Requirements.
(1) Application Kit. The HOPE VI Application Kit provides explicit,
specific instructions as to the format of a HOPE VI Revitalization
application. Your application must conform to the requirements of this
HOPE VI section of the SuperNOFA and follow the format described in the
Kit. If you fail to adhere to the requirements of this NOFA, as
detailed in the Kit, and omit critical requirements, your application
may lose points. In addition to the narrative exhibits that respond to
the rating criteria in this HOPE VI section of this SuperNOFA, your
application will also include attachments that provide HUD with
detailed information about your proposed revitalization, including
forms and other documentation. Please note that resumes and videos are
specifically excluded and will not be considered.
(2) Application Page Limits. (a) Each Revitalization application
must contain no more than 75 pages of narrative exhibits. Any pages
after the first 75 pages of narrative exhibits will not be reviewed.
Although submitting pages in excess of the page limitations will not
disqualify an application, HUD will not consider the information on any
excess pages, which may result in a lower score or failure of a
threshold (this page limit does not include additional pages requested
by HUD as a result of technical deficiency corrections). No more than
one page of text may be placed on one sheet of paper; i.e., you may not
shrink pages to get two or more on a page.
(b) Revitalization applications are also limited to 100 pages of
attachments. The documents listed below constitute the only exceptions
and are not counted in the 100 page limit:
(i) Application Data Sheets;
(ii) Commitments of resources;
(iii) Section 8 application;
(iv) List of current residents, after the first page; and
(v) Certifications located after the Attachments.
(3) Narrative Exhibits. The following is a summary of the
narratives required in a HOPE VI Revitalization application:
(a) An Executive Summary.
(b) Narrative responses to the rating factors described in Section
VI(G) of this HOPE VI program section of the SuperNOFA. Be SURE to
address each and every item in the rating factors in the most clear,
concise, and complete manner possible given the page limitations.
(c) A narrative demonstrating the appropriateness of your proposal
in the context of the local housing market relative to other
alternatives.
(d) A description of your planned predevelopment activities: hazard
reduction, demolition, disposition, acquisition, and site improvements.
(e) A description of your planned physical revitalization
activities: rehabilitation, new construction, homeownership assistance,
development of community and/or economic development activities, and
extraordinary site work.
[[Page 11942]]
(f) If applicable, a description of your plans to establish an
Endowment Trust to continue CSS activities beyond the life of the HOPE
VI grant.
(g) If applicable, a listing of all prior HUD public housing grant
assistance received for the revitalization of the targeted project that
are related to the proposed activities.
(4) Attachments. The following is a summary of the attachments that
will be required in a HOPE VI Revitalization application:
(a) Contextual map that identifies the location of the current site
in the neighborhood, City, and region;
(b) Organizational Chart;
(c) Revitalization Schedule;
(d) A listing of and commitment letters from Team members, as
applicable;
(e) Photographs of the housing units and site;
(f) A Section 8 application, if Section 8 assistance will be needed
for FY 2002;
(g) Conceptual revitalized site plan, interior unit design
illustrations, and building elevations;
(h) Application Data Forms;
(i) Leveraged Resources Summary;
(j) Basic elements of the HOPE VI Relocation Plan, in conformance
with guidance provided by HUD, including a list of each resident in
occupancy at the time the application is submitted;
(k) Training Meeting and Public meeting certifications and
documentation;
(l) Preliminary market assessment letter;
(m) Letters and other documents that commit resources to be used
for HOPE VI activities;
(n) Grant Limitations and TDC Worksheet;
(o) MTCS Certification;
(p) Extraordinary Site Costs Certification;
(q) Severe Physical Distress Certification;
(r) Other documentation that responds to specific rating factors,
including letters of commitment to participate as partners, perform an
evaluation of the program, etc.
(5) HOPE VI Revitalization Application Forms. The following HOPE VI
forms are included in the HOPE VI Application Kit. Electronic versions
also can be obtained from HUDCLIPS (www.hudclips.org) and the HOPE VI
website (www.hud.gov/hopevi).
(a) HOPE VI Revitalization Application Data Form (HUD-52860-A);
(b) HOPE VI Budget (HUD-52825-A, Parts I and II);
(c) Section 8 Application (HUD-52515);
(d) HOPE VI Revitalization Grant Applicant Certifications (HUD-
52820-A). See Appendix A of this HOPE VI section of the SuperNOFA for
the text of these certifications.
(6) General Section Certification Forms. The following forms are
appended to the General Section of the SuperNOFA and are also included
in the HOPE VI Application Kit. Electronic versions of these forms also
can be obtained from HUDCLIPS (www.hudclips.org).
(a) Application for Federal Assistance (SF-424)
(b) Assurances--Construction Programs (SF-424D)
(c) Certification for a Drug-Free Workplace (HUD-50070)
(d) Certification of Payments to Influence Federal Transactions
(HUD-50071)
(e) Disclosure of Lobbying Activities (SF-LLL) (if applicable)
(f) Recipient Disclosure/Update Report (HUD-2880)
(g) Certification Regarding Debarment and Suspension (HUD-2992)
(h) Certification of Consistency with the EZ/EC Strategic Plan
(HUD-2990)
(i) Certification of Consistency with the Consolidated Plan (HUD-
2991)
(j) Acknowledgment of Application Receipt (HUD-2993)
(B) Demolition Application Requirements.
(1) Application Kit. The HOPE VI Application Kit provides specific
instructions as to the format of a HOPE VI Demolition application. Your
application must conform to the requirements of this HOPE VI section of
the SuperNOFA and follow the format described in the kit.
(2) Application Information. The following is a summary of the
information required in a HOPE VI Demolition application. Items (f)
(HOPE VI Budget form) and (i) (Section 8 application) are available
from HUDCLIPS (www.hudclips.org).
(a) Applicant, site, and unit information;
(b) Priority Group and Documentation of eligibility;
(c) Narrative of proposed activities, including:
(i) the number of original dwelling units and buildings in the
project, the number of any units previously demolished or disposed of,
and the number of units proposed for demolition;
(ii) any non-dwelling facilities to be demolished and the
relationship between the non-dwelling facilities and the dwelling units
to be demolished, in terms of proximity and use;
(iii) conditions that require extraordinary site costs, such as
parking lots, streets, underground utilities, community buildings,
etc.;
(iv) extent of any proposed hazard abatement activities, including
the level of asbestos or any other contaminant present, if available;
(v) proposed site restoration and any subsequent site improvements
to benefit the remaining portion of the development or to make the site
more saleable;
(vi) if you propose activities other than filling in the site and
establishing a lawn, a description of the non-HOPE VI funds to be used
to carry out those activities;
(vii) a HOPE VI Demolition Relocation Plan, including a list of
each resident in occupancy at the time the application is submitted;
(viii) a demonstration of the appropriateness of the proposal in
the context of the local housing market relative to other alternatives;
and
(ix) potential sources of matching funds for services to
relocatees.
(d) Program Schedule;
(e) Grant Limitations Worksheet, which itemizes all funds requested
for:
(i) demolition of severely distressed public housing units;
(ii) extraordinary site costs, as applicable;
(iii) demolition of nondwelling structures, as applicable;
(iv) relocation assistance to residents of occupied units; and
(v) community and supportive service activities to displaced
residents.
(f) Program budget (HUD-52825-A, parts I and II);
(g) MTCS Certification;
(h) Extraordinary Site Costs Certification, as applicable,
completed by an engineer or architect, verifying and justifying any
extraordinary site costs requested;
(i) Non-Dwelling Structure Costs Certification, as applicable,
completed by an engineer or architect, verifying and justifying the
costs to demolish non-dwelling structures;
(j) A Section 8 application (HUD-52515) for Section 8 relocation
assistance needed during FY 2002.
(3) HOPE VI Demolition Grant Applicant Certifications (HUD-52820-
B). See Appendix B of this HOPE VI section of the SuperNOFA for the
text of these certifications.
(4) General Section Certification Forms. The following forms are
appended to the General Section of the SuperNOFA and are also included
in the HOPE VI Application Kit. Electronic versions of these forms also
can be obtained from HUDCLIPS (www.hudclips.org).
(a) Application for Federal Assistance (SF-424)
(b) Assurances--Construction Programs (SF-424D)
[[Page 11943]]
(c) Certification for a Drug-Free Workplace (HUD-50070)
(d) Certification of Payments to Influence Federal Transactions
(HUD-50071)
(e) Disclosure of Lobbying Activities (SF-LLL)
(f) Recipient Disclosure/Update Report (HUD-2880)
(g) Certification Regarding Debarment and Suspension (HUD-2992)
X. Authority
(A) The funding authority for HOPE VI Revitalization and Demolition
grants under this HOPE VI section of the SuperNOFA is provided by the
FY 2001 HUD Appropriations Act under the heading ``Revitalization of
Severely Distressed Public Housing (HOPE VI).''
(B) The program authority for the HOPE VI Program is section 24 of
the U.S. Housing Act of 1937 (42 U.S.C. 1437v), as added by section 535
of the Quality Housing and Work Responsibility Act of 1998 (Pub. L.
105-276, 112 Stat. 2461, approved October 21, 1998).
Appendix A--HOPE VI Revitalization Grant Applicant Certifications
Acting on behalf of the Board of Commissioners of the Housing
Authority listed below, as its Chairman, I approve the submission of
the HOPE VI Revitalization application of which this document is a
part and make the following certifications to and agreements with
the Department of Housing and Urban Development (HUD) in connection
with the application and implementation thereof:
Applicant Certifications
1. The public housing project or building in a project targeted
in this HOPE VI Revitalization grant application meets the
definition of severe distress in accordance with Section 24(j)(2) of
the U.S. Housing Act of 1937 (``the Act'').
2. The PHA has not received assistance from the Federal
government, State, or unit of local government, or any agency or
instrumentality, for the specific activities for which funding is
requested in the HOPE VI Revitalization application.
3. The PHA does not have any litigation pending which would
preclude timely startup of activities.
4. The PHA is in full compliance with any desegregation or other
court order related to Fair Housing (e.g., Title VI of the Civil
Rights Act of 1964, the Fair Housing Act, and Section 504 of the
Rehabilitation Act of 1973) that affects the PHA's public housing
program and that is in effect on the date of application submission.
5. PHA has returned any excess advances received during
development or modernization, or amounts determined by HUD to
constitute excess financing based on a HUD-approved Actual
Development Cost Certificate (ADCC) or Actual Modernization Cost
Certificate (AMCC), or that HUD has approved a pay-back plan.
6. There are no environmental factors, such as sewer
moratoriums, precluding development in the requested locality.
7. The application is consistent with Environmental Justice
Executive Order 12898, in that the proposed public housing will be
developed only in environmentally sound and desirable locations and
will avoid disproportionately high and adverse environmental effects
on minority and low-income communities.
8. In accordance with the Flood Disaster Protection Act of 1973
(42 U.S.C. 4001-4128), the property targeted for acquisition or
construction (including rehabilitation) is not located in an area
identified by the Federal Emergency Management Agency (FEMA) as
having special flood hazards, unless:
(a) The community in which the area is situated is participating
in the National Flood Insurance program (see 44 CFR parts 59 through
79), or less than one year has passed since FEMA notification
regarding such hazards; and
(b) Where the community is participating in the National Flood
Insurance Program, flood insurance is obtained as a condition of
execution of a Grant Agreement and approval of any subsequent
demolition or disposition application.
9. The application does not target properties in the Coastal
Barrier Resources System, in accordance with the Coastal Barrier
Resources Act (16 U.S.C. 3501).
Grantee Certifications
If selected for HOPE VI Revitalization funding:
10. The PHA will comply with all policies, procedures, and
requirements prescribed by HUD for the HOPE VI Program, including
the implementation of HOPE VI revitalization activities, in a
timely, efficient, and economical manner.
11. The PHA will not receive assistance from the Federal
government, State, or unit of local government, or any agency or
instrumentality, for the specific activities funded by the HOPE VI
Revitalization grant. The PHA has established controls to ensure
that any activity funded by the HOPE VI Revitalization grant is not
also funded by any other HUD program, thereby preventing duplicate
funding of any activity.
12. The PHA will not provide to any development more assistance
under the HOPE VI Revitalization grant than is necessary to provide
affordable housing after taking into account other governmental
assistance provided.
13. The PHA will supplement the aggregate amount of the HOPE VI
Revitalization grant with funds from sources other than HOPE VI in
an amount not less than 5 percent of the amount of HOPE VI grant.
14. In addition to supplemental amounts provided in accordance
with Certification 13 above, if the PHA uses more than 5 percent of
the HOPE VI grant for the community and supportive services
component, it will provide supplemental funds from sources other
than HOPE VI, dollar for dollar, for the amount over 5 percent of
the grant used for the community and supportive services component.
15. Disposition activity under the grant will be conducted in
accordance with Section 18 of the Act.
16. The PHA will carry out acquisition of land, or acquisition
of off-site units with or without rehabilitation to be used as
public housing, in accordance with 24 CFR part 941, or successor
part.
17. The PHA will carry out major rehabilitation and other
physical improvements of housing and non-dwelling facilities in
accordance with 24 CFR 968.11 2(b), (d), (e), and (g)-(o), 24 CFR
968.130, and 24 CFR 968.135(b) and (d) or successor part.
18. The PHA will carry out construction of public housing
replacement housing, both on-site and off-site, and community
facilities, in accordance with 24 CFR part 941 or successor part,
including mixed-finance development in accordance with subpart F.
19. The PHA will carry out replacement homeownership activities
in general conformance with the requirements of section 24(d)(1)(J)
or section 32 of the 1937 Act and the income limitations of the Act.
20. The PHA will administer and operate rental units in
accordance with all existing public housing rules and regulations,
as those requirements now exist or as they may be amended from time
to time.
21. The PHA will comply with the requirements of the Fair
Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24
CFR part 100); Executive Order 11063 (Equal Opportunity in Housing)
and regulations pursuant thereto (24 CFR part 107); the fair housing
poster regulations (24 CFR part 110) and advertising guidelines (24
CFR part 109); and Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d) and regulations pursuant thereto (24 CFR part 1).
22. The PHA will address the elimination of impediments to fair
housing choice relating to its public housing and particularly to
the revitalization of distressed public housing that were identified
in the jurisdiction's Analysis of Impediments to Fair Housing
Choice, remedy discrimination in housing, and promote fair housing
rights and fair housing choice.
23. The PHA will comply with the prohibitions against
discrimination on the basis of age pursuant to the Age
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations
issued pursuant thereto (24 CFR part 146); the prohibitions against
discrimination against, and reasonable modification and
accommodation and accessibility requirements for, handicapped
individuals under Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8);
the Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and
regulations issued pursuant thereto (28 CFR Part 36); and the
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and
regulations issued pursuant thereto (24 CFR Part 40).
24. The PHA has adopted the goal of awarding a specified
percentage of the dollar value of the total of the HOPE VI contracts
to be awarded during subsequent fiscal years to minority business
enterprises and will take appropriate affirmative action to assist
resident-controlled and women's business enterprises in accordance
with the
[[Page 11944]]
requirements of Executive Orders 11246, 11625, 12432, and 12138.
25. The PHA will comply with the requirements of Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Employment Opportunities for Lower Income Persons in Connection
with Assisted Projects) and its implementing regulation at 24 CFR
part 135, including the reporting requirements of subpart E.
26. The PHA will comply with Davis-Bacon or HUD-determined
prevailing wage rate requirements to the extent required under
Section 12 of the U.S. Housing Act of 1937.
27. As applicable, the PHA will comply with the relocation
assistance and real property acquisition requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970 and government-wide implementing regulations at 49 CFR part 24;
relocation regulations at 24 CFR 968.108 or successor regulation
(rehabilitation, temporary relocation); 24 CFR 941.207 or successor
regulation (acquisition); and 24 CFR Section 18 of the 1937 Act as
amended (disposition).
28. The PHA will comply with the HOPE VI requirements for
reporting and access to records as required in the HOPE VI
Revitalization Grant Agreement.
29. The PHA will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. 4821, et seq.) and is subject to 24 CFR
part 35 and 24 CFR 965.701, as they may be amended from time to
time, and Section 968.110(k) or successor regulation.
30. The PHA will comply with the policies, guidelines, and
requirements of OMB Circular A-87 (Cost Principles Applicable to
Grants, Contracts, and Other Agreements with State and Local
Governments).
31. The PHA will comply with 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State, Local
and Federally Recognized Indian Tribal Governments), as modified by
24 CFR 941 or successor part, subpart F, relating to the procurement
of partners in mixed finance developments, except when inconsistent
with the provisions of the 2001 Appropriations Act or other
applicable Federal statutes. Requests for Proposals (RFPs) and
Requests for Qualifications (RFQs) will reflect pertinent language
from the program section of FY 2001 HOPE VI NOFA; e.g., seeking
diversity, accessibility, fair housing requirements, etc.
32. The PHA will keep records in accordance with 24 CFR 85.20
that facilitate an effective audit to determine compliance with
program requirements, and comply with the audit requirements of 24
CFR 85.26.
33. The PHA will start construction within 12 months from the
date of HUD's approval of the Revitalization Plan's Supplemental
Submissions. In no event may this time period exceed 18 months from
the date the Grant Agreement is executed.
34. The PHA will complete construction within 48 months from the
date of HUD's approval of the Revitalization Plan's Supplemental
Submissions. In no event may the time period for completion exceed
54 months from the date the Grant Agreement is executed.
35. All activities that include construction, rehabilitation,
lead-based paint removal, and related activities will meet or exceed
local building codes. New construction will comply with the latest
HUD-adopted Model Energy Code issued by the Council of American
Building Officials.
Appendix B--HOPE VI Demolition Grant Applicant Certifications
Acting on behalf of the Board of Commissioners of the Public
Housing Authority (PHA) listed below, as its Chairman, I approve the
submission of the HOPE VI Demolition funding application of which
this document is a part and make the following certifications to and
agreements with the Department of Housing and Urban Development
(HUD) in connection with the application and implementation thereof:
Applicant Certifications
1. The public housing project or building in a project targeted
in this HOPE VI Demolition grant application meets the definition of
severe distress in accordance with Section 24(j)(2) of the U.S.
Housing Act of 1937 (``the Act'').
2. The PHA has not received assistance from the Federal
government, State, or unit of local government, or any agency or
instrumentality, for the specific demolition activities for which
funding is requested in the HOPE VI Demolition grant application.
3. The PHA is in full compliance with any desegregation or other
court order related to Fair Housing (e.g., Title VI of the Civil
Rights Act of 1964, the Fair Housing Act, and Section 504 of the
Rehabilitation Act of 1973) that affects the PHA's public housing
program and that is in effect on the date of application submission.
4. The PHA does not have any litigation pending which would
preclude timely startup of activities.
5. PHA has returned any excess advances received during
development or modernization, or amounts determined by HUD to
constitute excess financing based on a HUD-approved Actual
Development Cost Certificate (ADCC) or Actual Modernization Cost
Certificate (AMCC), or that HUD has approved a pay-back plan.
Grantee Certifications
If selected for HOPE VI Demolition grant funding:
6. The PHA will comply with all policies, procedures, and
requirements prescribed by HUD for the HOPE VI Program, including
the implementation of HOPE VI Demolition grant activities, in a
timely, efficient, and economical manner.
7. The PHA will start construction within six months from the
date of Grant Agreement execution, and complete the demolition
within two years from the date of Grant Agreement execution.
8. The PHA will not receive assistance from the Federal
government, State, or unit of local government, or any agency or
instrumentality, for the specific activities funded by the HOPE VI
Demolition grant. The PHA has established controls to ensure that
any activity funded by the HOPE VI Demolition grant is not also
funded by any other HUD program, thereby preventing duplicate
funding of any activity.
9. The PHA will not provide to any development more assistance
under the HOPE VI Demolition grant than is necessary to perform
demolition activities after taking into account other governmental
assistance provided.
10. The PHA will comply with the requirements of the Fair
Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24
CFR part 100); Executive Order 11063 (Equal Opportunity in Housing)
and regulations pursuant thereto (24 CFR part 107); the fair housing
poster regulations (24 CFR part 110) and advertising guidelines (24
CFR part 109); and Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d) and regulations pursuant thereto (24 CFR part 1).
11. The PHA will comply with the prohibitions against
discrimination on the basis of age pursuant to the Age
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations
issued pursuant thereto (24 CFR part 146); the prohibitions against
discrimination against, and reasonable modification and
accommodation and accessibility requirements for, handicapped
individuals under Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8);
the Americans with Disabilities Act (42 U.S.C. 12101 et seq.) and
regulations issued pursuant thereto (28 CFR Part 36); and the
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and
regulations issued pursuant thereto (24 CFR Part 40).
12. The PHA will address the elimination of impediments to fair
housing choice that were identified in the jurisdiction's Analysis
of Impediments to Fair Housing Choice, remedy discrimination in
housing, and promote fair housing rights and fair housing choice.
13. The PHA has adopted the goal of awarding a specified
percentage of the dollar value of the total of the HOPE VI contracts
to be awarded during subsequent fiscal years to minority business
enterprises and will take appropriate affirmative action to assist
resident-controlled and women's business enterprises in accordance
with the requirements of Executive Orders 11246, 11625, 12432, and
12138.
14. The PHA will comply with the requirements of Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Employment Opportunities for Lower Income Persons in Connection
with Assisted Projects) and its implementing regulation at 24 CFR
part 135, including the reporting requirements of Subpart E.
15. The PHA will comply with HUD-determined prevailing wage rate
requirements to the extent required under Section 12 of the Act.
16. As applicable, the PHA will comply with the relocation
assistance and real property acquisition requirements of Section 18
of the Act, as amended (demolition approved by a Section 18
demolition application); and/or the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 and government-
wide implementing regulations at 49 CFR part 24 (demolition pursuant
to a Section 18
[[Page 11945]]
demolition application and demolition approved pursuant to a Section
202 Mandatory Conversion Plan).
17. The PHA will comply with the HOPE VI requirements for
reporting and access to records as required in the HOPE VI
Demolition Grant Agreement.
18. The PHA will keep records in accordance with 24 CFR 85.20
that facilitate an effective audit to determine compliance with
program requirements, and comply with the audit requirements of 24
CFR 85.26.
19. The PHA will comply with the policies, guidelines, and
requirements of OMB Circular A-87 (Cost Principles for State, Local
and Indian Tribal Governments) and 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State, Local
and Federally Recognized Indian Tribal Governments).
BILLING CODE 4210-32-P
[[Page 11946]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11947]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.142
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11948]]
[[Page 11949]]
FUNDING AVAILABILITY FOR PUBLIC AND INDIAN HOUSING DRUG ELIMINATION
TECHNICAL ASSISTANCE PROGRAM (DETAP)
Program Overview
Purpose of the Program. The purpose of the Public and Indian
Housing Drug Elimination Technical Assistance Program (DETAP) is to
provide no more than thirty (30) billable days of technical assistance
(TA) consultant services to assist public housing agencies (PHAs),
Indian tribes and Tribally Designated Housing Entities (TDHEs),
Resident Management Corporations (RMCs), incorporated Resident Councils
(RCs), and Resident Organizations (ROs) to improve the management and
effectiveness of the Public Housing Drug Elimination Program. The TA
services may be conducted over a period of not more than 90 days.
Available Funds. Approximately $900,000.
Eligible Applicants. Public Housing Authorities (PHAs), Indian
tribes and Tribally Designated Housing Entities (TDHEs); incorporated
Resident Management Corporations (RMCs), incorporated Resident Councils
(RCs), and Resident Organizations (ROs).
Application Deadline. July 27, 2001.
Match. None.
Additional Information
If you are interested in applying for Public Housing Drug
Elimination Technical Assistance funding, please review carefully the
General Section of this SuperNOFA and the following additional
information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
one copy) is due on or before 12:00 midnight, Eastern time, on July 27,
2001 at the address shown below. The only exception to this deadline is
for HUD-Initiated Public Housing Drug Elimination Technical Assistance,
for which there is no application deadline.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mail applications,
express mail, overnight delivery, or hand-carried).
Address for Submitting Applications. Your application consists of
one original signed application and two copies. Submit one original
application and one copy to the Community Safety and Conservation
Division (CSCD), Room 4206 at the HUD Headquarters Building located at
451 Seventh Street, SW, Washington, DC, 20410.
Submit the second copy of your application to the appropriate HUD
Field Office or HUB with delegated public housing responsibilities for
your organization. See Appendix A for a list of HUD offices with
delegated responsibilities. You may also call the SuperNOFA Information
Center at 1-800-HUD-8929 if you have a question regarding where you
should submit your application (persons with hearing or speech
impairments may call the Center's TTY number at 1-800-HUD-2209).
You must submit with your application(s) to CSCD, a Confirmation
Form documenting that the appropriate HUD Field Office or Hub (AONAP)
received your TA application (this form is a threshold requirement).
Tribes/TDHEs should submit a second copy of the DETAP application to
the appropriate Area Office of Native American Programs (AONAP).
HUD will review and accept DETAP applications on a first come first
serve basis until July 27, 2001 or until funds available under this
program are expended.
For Application Kits. For an application kit and any supplemental
information, 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-HUD-2209. When requesting an application kit,
please refer to the Public Housing Drug Elimination Technical
Assistance Program, and provide your name, address (including zip code)
and telephone number (including area code). An application kit is also
available on the Internet through the HUD web site at http://www.hud.gov/pih/programs/ph/de/cscd.html.
For Further Information and Technical Assistance. You may contact
the local HUD Field Office or Hub (AONAP) where you will be submitting
your application or you may call the Drug Information Strategy
Clearinghouse (DISC) at 1-800-955-2232. For further information on how
to initiate an application for technical assistance, please contact
Bertha Jones of the Community Safety and Conservation Division on (202)
708-1197, extension 4237. If you are a tribe/TDHE submitting an
application and need technical assistance, please contact Tracy Outlaw
of the Denver National Program Office at (303) 675-1600 or your local
AONAP.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
For FY 2001 approximately $900,000 (with an amount adjusted for
carryover when actual carryover is known) is available for Public
Housing Drug Elimination Technical Assistance.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. (1) The purpose of this program is to
provide not more than thirty (30) billable days of technical assistance
(TA) consultant services to assist public housing agencies (PHAs),
Indian tribes and Tribally Designated Housing Entities (TDHEs),
Resident Management Corporations (RMCs), incorporated Resident Councils
(RCs) and Resident Organizations (ROs) to improve the administration
and effectiveness of the Public Housing Drug Elimination Program
(PHDEP) grants. The TA services may be conducted over a period not to
exceed 90 days. Housing Authorities, tribes and TDHEs are encouraged to
use this program as a tool to evaluate, monitor and administer the
Public Housing Drug Elimination Program grants.
(2) HUD may also initiate TA under this program to identify areas
of high risk among HAs and to improve administration of PHDEP grants
nationally. HUD initiated TA requires an application and accompanying
standard forms found in Appendix B of this program NOFA with a letter
of support from the HUD Field Office (AONAP). HUD initiated TA is also
short-term assistance.
(3) The program will fund the use of consultants having
demonstrated knowledge of or specialized experience in providing the
following services:
(a) Crisis Intervention/Mediation;
(b) Defensible Space/Crime Prevention through Environmental Design;
(c) Guidance on the development of Five-year PHA Plans;
(d) Assistance in the development or evaluation of PHDEP
performance indicators for each PHDEP activity;
(e) Tools and techniques for gathering crime statistics; crime
mapping techniques;
(f) Technology Assessments: Determination of how computer software
and hardware may be used to improve grant administration (e.g.
establishment of a crime statistics database);
[[Page 11950]]
(g) Training on Best Practices (e.g. Peacemakers/Building Tolerance
and Youth Violence Prevention, Wellness Training, Development and
Implementation of Kobans, Development of Gun-Buyback programs);
(h) Establishment of Partnerships with Law enforcement agencies;
(i) Drafting memoranda of understanding with partners;
(j) Translation of the strategic plan components into measurable
and attainable goals for the PHDEP Semi-Annual Performance Reporting
System;
(k) Plan versus Performance Assessments;
(l) Internet-based computer training as it specifically relates to
the administration of the PHDEP.
(B) Eligible Applicants. PHAs, Indian tribes and TDHEs, RCs, ROs in
the case of Indian tribes and TDHEs, and RMCs that meet all of the
applicable threshold requirements found in Section II(B) of the General
Section of the SuperNofa, are eligible to receive short-term technical
assistance services under DETAP. Specific eligibility requirements are:
(1) If you are an RC or RO, you must be an incorporated nonprofit
organization or association that meets all seven of the following
requirements:
(a) You must be representative of the residents you purport to
represent.
(b) You may represent residents in more than one development or in
all of the developments of a PHA but only the Former 1937 Housing Act
Units for Indian tribes or TDHEs, but you must fairly represent
residents from each development that you represent.
(c) You must adopt written procedures providing for the election of
specific officers on a regular basis, but at least once every 3 years.
(d) You must have a democratically elected governing board. The
voting membership of your board must consist of residents of the
development or developments that you represent.
(e) You must be supported in your application by a PHA or an Indian
tribe or TDHE.
(f) You must provide evidence of incorporation.
(g) You must provide evidence of adopted written procedures for
electing officers.
(2) If you are an RMC, you must be an entity that proposes to enter
into, or that enters into, a management contract with a PHA under 24
CFR part 964, or a management contract with an Indian tribe or TDHE.
You must have all seven of the following characteristics:
(a) You must be a nonprofit organization incorporated under the
laws of the State or Indian tribe where you are located.
(b) You may be established by more than one RO or RC, so long as
each: approves the establishment of your corporation; and has
representation on the Board of Directors of your corporation.
(c) You must have an elected Board of Directors.
(d) Your by-laws must require the Board of Directors to include
representatives of each RO or RC involved in establishing the
corporation.
(e) Your voting members must be residents of the development or
developments you manage.
(f) You must be approved by the RC. If there is no organized
resident organization, a majority of the households of the development
must approve the establishment of your organization to determine the
feasibility of establishing a corporation to manage the development.
(g) You may serve as either an RMC or RC, so long as your
corporation meets the requirements of 24 CFR part 964 for a RC. (In the
case of a RMC for an Indian tribe or TDHE, you may serve as both the
RMC and the RO, so long as your corporation meets the requirements of
this program for a RO.)
(3) You can only submit one application per award period. A PHA and
its eligible resident groups, and an Indian tribe and its TDHE may
apply during the same award period as long as there is no conflict or
overlap in your proposed activities. You are eligible to apply to
receive technical assistance even if you are already receiving
technical assistance under this program, as long as your request
creates no scheduling conflict with other DETAP requests. If HUD
initiates TA with your organization, you may not receive more than one
type of technical assistance concurrently unless HUD, in consultation
with your organization, determines that the TA will not negatively
affect the quality of the DETAP.
(4) You are eligible to apply to receive technical assistance
whether or not you are already receiving drug elimination funds under
the Public and Indian Housing Drug Elimination Program.
(5) You must comply with the laws, regulations, and Executive
Orders applicable to the Drug Elimination TA Program, including
applicable civil rights laws.
(C) Eligible Activities.
(1) Eligible activities under this funding. Funding is limited to
technical assistance for carrying out activities authorized under
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), and section 161 of the Housing and Community Development Act of
1992 (Pub.L. 102-550, approved October 28, 1992). The following
circumstances are eligible for HUD-Initiated Technical Assistance under
the Public and Indian Housing Drug Elimination Technical Assistance
Program. HUD-Initiated technical assistance may be requested by HUD
staff for one or more of the following circumstances:
(a) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that are unable to document their drug and/or crime problems through
crime statistics;
(b) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
that do not have the expertise to develop effective drug and crime
prevention programs;
(c) Housing authorities that need assistance in using the PHDEP
Semi-Annual Performance Reporting System to evaluate their program.
(d) Housing Authorities that need assistance in developing
performance indicators; Housing authorities, Indian tribes, TDHEs, RCs,
ROs, and RMCs that need assistance in developing evaluation mechanisms
for drug elimination programs and strategies.
(e) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs
with special circumstances whose needs fit under the scope of this
program section of the SuperNOFA.
(2) Ineligible Activities. Funding is not permitted for:
(a) Any type of monetary compensation for residents.
(b) Any activity that is funded under any other HUD program,
including TA and training for the incorporation of RCs or RMCs, and
other management activities;
(c) Any type of resident or PHA staff member training and technical
assistance that does not relate to crime, drug reduction/elimination,
risk management or technical assistance to improve the overall
administration and management of PHDEP grants and performance goals;
(d) Salary or fees to your staff, or your former staff within a
year of their employment;
(e) Underwriting conferences;
(f) Grant Writing Training and Funding Research/Development;
(g) Graffiti Removal/Prevention;
(h) Resident Patrols;
(i) Peer Support;
(j) Alternative Programs;
(k) Leadership Training for Resident Organizations;
(l) Conference speakers;
[[Page 11951]]
(m) Program implementation, proposal writing, financial support for
existing programs, or efforts requiring more than 30 billable days of
technical assistance over a 90 day period or assistance that will
require more than 90 days to complete; the purchase of hardware or
equipment, or any activities deemed ineligible in the Drug Elimination
Program, excluding consultant's fees.
IV. Program Requirements
Except as stated below in this section, you must meet the
requirements listed in Section II of the General Section of this
SuperNOFA. You must also meet these additional requirements:
(A) Individual Award Amounts. You may not submit an application for
more than $15,000.
(1) Applications for short-term technical assistance may be funded
up to $15,000, with HUD providing payment directly to your authorized
consultant for the consultant's fee, travel, room and board, and other
approved costs at the government rate approved by HUD.
(2) Technical assistance initiated by HUD may be for any amount up
to $25,000 when HUD staff determine that more than 30 billable days of
technical assistance over a 90-day period is justified.
(B) Receipt of More than One Application. If HUD receives more than
one application from a HA, or a group of RCs, ROs, or RMCs, or an
Indian tribe and a TDHE, in proximity to one another, HUD and its agent
may exercise discretion to consider any two or more applications as
one, recommending one or more consultants and executing contracts for
any combination of applications.
(C) Affirmatively Furthering Fair Housing. Section II(D) of the
General Section does not apply to this NOFA because its purpose is to
address specific and targeted problems faced by Public Housing
Authorities, Indian tribes, Tribally Designated Housing Entities,
Resident Management Corporations, Resident Councils, or Resident
Organizations in their management of the Public Housing Drug
Elimination Program and to assist the applicants in the improvement of
the effectiveness of that program.
(D) Eligible Consultants. HUD is seeking individuals or entities
who have experience working with public or Tribal housing or other low-
income populations to provide short-term technical assistance under
this DETAP section of the SuperNOFA. Consultants who have previously
been deemed eligible and are part of HUD's TA Consultant Database need
not reapply, but must update their file with more recent experience and
rate justification on an annual basis. HUD reserves the right to
consider a consultant name inactive in the database if the consultant
has not provided updated information for the database within the last
two years. The updated skills should list strengths in priority order.
(1) To qualify as an eligible consultant, you should have
demonstrated knowledge and specialized experience in one or more of the
following general areas:
(a) PHA/Indian tribe or TDHE-related experience with:
(i) Agency organization and management;
(ii) Facility operations;
(iii) Strategic plan development, and
(iv) Prevention and intervention programs;
(b) Experience as an independent consultant, or as a consultant
working with a firm with related experience and understanding of on-
site work requirements, contractual, reporting and billing
requirements;
(c) Crisis Intervention/Mediation;
(d) Defensible Space/Crime Prevention through Environmental Design
Guidance on the development of Five-year PHA Plans;
(e) Assistance in the development or evaluation of PHDEP
performance indicators for each PHDEP activity;
(f) Tools and techniques for gathering crime statistics; Crime
mapping;
(g) Technology Assessments: Determination of how computer software
and hardware may be used to improve grant administration (e.g.
establishment of a crime statistics database; Training on Best
Practices (e.g. Peacemakers/Building Tolerance and Youth Violence
Prevention, Wellness Training, Development and Implementation of
Kobans, Development of Gun-Buyback programs);
(h) Establishment of Partnerships with Law enforcement
partnerships;
(i) Drafting memoranda of understanding with partners;
(j) Translation of the strategic plan components into measurable
and attainable goals for the PHDEP Semi-Annual Performance Reporting
System;
(k) Plan versus Performance Assessments;
(l) Internet-based computer training as it specifically relates to
the administration of the PHDEP.
(2) Additional requirements for consultants include the following:
(a) In addition to the conflict of interest requirements in 24 CFR
part 85, no person who is an employee, agent, officer, or appointed
official of an eligible applicant may be funded as a consultant to that
organization by this Drug Elimination Technical Assistance Program.
(b) If you are a consultant who wishes to provide drug elimination
technical assistance services through this program, you must not have
had any involvement in the preparation or submission of any DETAP
proposal. Your involvement will be considered a conflict of interest,
making you ineligible for providing consulting services to the eligible
applicant and will disqualify you from future consideration. This
prohibition shall also be invoked for preparing and distributing
prepared generic or sample applications to entities eligible to apply
for funding under this program. If HUD determines that any application
submitted by a PHA, Indian tribe or TDHE, RC, RO or RMC duplicates a
sufficient amount of any prepared sample to raise issues of possible
conflict of interest, and HUD determines you provided and distributed
the sample, you will be disqualified from receiving HUD funds.
(c) Consultants accepted into the DETAP are prohibited from
soliciting their services to eligible applicants.
(d) HUD-registered consultants are eligible to receive funds to be
reimbursed for up to $15,000 for conducting short-term technical
assistance. HUD or its agent will carefully review the approved
Statement of Work to ensure that resources allocated are appropriate
and reasonable for the work to be performed (e.g. resources devoted to
pre-on site preparation and on-site work). Long-term results are
expected from each job. After your work is completed, evaluations from
recipients of the technical assistance services will be submitted to
HUD on your work performance. The evaluations will be carefully
reviewed to make sure the recipients of TA are satisfied with your
services. If your performance receives a satisfactory rating, you will
be reimbursed by HUD. If the housing authority is not satisfied with
the report that is provided by the consultant, HUD will require the
consultant to correct the report or address and/or resolve any issues
raised by the housing authority without additional costs. If these
issues can not be resolved, HUD will not be under obligation to
reimburse the consultant for any incurred costs except for
transportation and per diem costs. In extreme cases of technical
assistance needs, staff members of HUD Headquarters and field offices
may recommend specialized technical
[[Page 11952]]
assistance for which you can receive up to $25,000 in funds.
You may not be the lead consultant on any more than two active
contracts or purchase orders at one time nor be involved with more than
one company at a time that has active technical assistance contracts.
You may not have any more than four contracts or purchase orders and
enter into a purchase order agreement as a lead consultant within the
calendar year. The lead consultant may enter into a collaborative
agreement with other TA consultants listed in the database. In the case
of collaborative agreements, only one purchase order will be issued to
the lead consultant. The Department will have no obligation to
reimburse or issue a separate purchase order agreement with
collaborating consultants. Reimbursement to collaborating consultants
will be the responsibility of the lead consultant. If you are working
as a member of a multi-person firm, the key individual for the specific
contract must be listed on each contract as the point of contact. The
point of contact must be on-site more hours than any other contracted
staff billing to the purchase order, and that individual may have no
more than two purchase orders active at the same time. Consulting firms
may bill the authorized daily rate only once per 24-hour period.
Consultants shall not bill more than once for a single day's work; for
example, if a firm consists of three consultants and the certified
daily rate is $470, they may not bill HUD $1,410 per day for their
services. Each individual consultant may not bill at his or her daily
rate. The aggregate number of hours billed by one or all consultants on
project must not exceed 8 hours per day.
(E) Ineligible Consultants. Consultants and/or companies currently
debarred or suspended by HUD are not eligible to perform services under
this program. Also, consultants that are not in the official Consultant
database are considered ineligible for this program.
(F) Application Process for Consultants. (1) If you are an
individual or entity interested in being listed in the DETAP Consultant
Database, you must prepare your application and send it to the address
specified in the application kit. Before you can be entered into the
Consultant Database, you must submit an application that includes the
following information:
(a) The Consultant Resource Inventory Questionnaire, including at
least three written references, all related to the general areas listed
in this DETAP section of the SuperNOFA. One or two of the written
references must relate to work for a PHA, Indian tribe or TDHE, RC, RO
or RMC;
(b) A resume;
(c) Documented evidence (e.g., w-2 Wage Statement, payment
statement etc.) of the standard daily fee previously paid to you for
technical assistance services similar to eligible activities under this
DETAP. In light of the recent drastic reduction in Drug Elimination
Technical Assistance funding, the standard daily fee will not exceed
the Equivalent Rate for Level IV of the Executive Schedule.
(2) HUD will determine your specific fee based upon the evidence
you submitted under this DETAP.
(3) If you are an employee of a housing agency (HA), Indian tribe,
or TDHE, you may not serve as a consultant to your employer. If you
serve as a consultant to other than your employer, you must be on
annual leave to receive the consultant fee.
(i) Applicants are prohibited from selecting consultants by name
from HUD's consultant database.
(ii) Consultants will be recommended to an organization seeking TA,
based on factors including capacity to perform the technical
assistance, their strengths identified in the consultant skill codes in
the database, previous experience in the specified areas of technical
assistance, previous performance evaluation for performing technical
assistance, reasonableness of the fee, and geographic proximity to the
site where TA will be provided. If no consultants in the database are
within the geographical proximity, consultants will be selected from
the closest region to the site where TA will be provided. The technical
assistance to be provided will be based upon an assessment of a maximum
of three priority areas of concern to the applicant. All of the skills
that the consultants possess are not eligible for providing technical
assistance under DETAP. If the priority areas of concern are not
identified in the application, the applicant will be contacted by HUD
or its agent to identify a maximum of three priority areas of concern
to target the technical assistance.
V. Application Selection Process
(A) General. HUD will review applications on a first-come, first-
served basis, until funds under this DETAP section of the SuperNOFA are
no longer available. Eligible applications will be funded in the order
in which negotiations for a statement of work are completed. HUD-
Initiated applications will be received throughout the year with no
deadline or until funds are expended.
(B) Threshold Submission Requirements for Funding Consideration. In
addition to required forms, certifications and assurances, found in the
General Section of the SuperNOFA, the following requirements must be
included in your application to be considered and approved for funding:
If you are requesting TA services, you must meet the following
requirements:
(1) The applicant must answer the following questions: Note: You
cannot request technical assistance under DETAP by answering ``to
conduct a needs assessment or survey.'' You must be able to discuss
what prevents you from identifying, describing, and/or measuring the
problems for which you are requesting technical assistance. You must
list your needs for TA in order of priority:
(a) Describe in detail the problem, issue or weakness that hinders
the proper administration or effectiveness of PHDEP.
(b) Identify what technical assistance you would like to receive.
(c) Explain how the technical assistance sought will improve the
administration of the grant or the effectiveness of the PHDEP grant
program.
(d) Describe how the technical assistance will be used in assisting
you in strategic planning. You may wish to address any or all of the
following:
(i) Establishment of a framework for annual program evaluation of
PHDEP activities;
(ii) Scheduling data collection for evaluation;
(iii) Identification of appropriate performance indicators,
interpretation of results of data collection;
(iv) Improving data collection and data elements;
(v) Guidance on the development of your 5-year plan;
(vi) Preparation assistance meeting your PHDEP semiannual
performance reporting requirements; or
(vii) Crime mapping and identification of appropriate hardware and
software.
(e) Specify what outcome you expect to achieve and how it will
benefit PHDEP over the next five years.
(f) How will the proposed assistance allow you to develop an anti-
drug, anti-crime strategy; or how will the proposed assistance fit into
your current strategy?
(g) The application must include the form, ``HUD Field Office/AONAP
Confirmation Form.''
(h) If your application does not meet the requirements described
above it will not be considered for funding.
(C) Application Awards. (1) If your application is deemed eligible
for
[[Page 11953]]
funding and sufficient funds are available, you will be contacted by
HUD or its agent to confirm the work requirements. Only one application
will be accepted from a HA, Indian tribe or TDHE; or group of RCs, ROs
or RMCs in proximity to one another. HUD may exercise its discretion to
consider any two or more applications as one, assuming that the
applications are received at the same time, or before approval by the
Chief Financial Officer and the Office of Procurement and Contracts,
executing the contract, and providing notification to the consultant to
proceed to work. If two or more applications from HAs or resident
groups are combined, the consultant to provide the combined technical
assistance should have the capability to administer both or all types
of technical assistance being requested by each applicant.
(3) Once your application for TA has been reviewed and found
acceptable by HUD, the TA Consultant Database will be searched for
consultants who have:
(a) A principal place of business or residence located within the
same geographic area as the applicant. For purposes of this program
section of the SuperNOFA, the term ``geographic area'' refers to, in
order of priority: city, state, region, and country;
(b) The requisite knowledge, skills, and abilities to respond to
the request; and
(c) The most reasonable (least expensive) fees.
(4) HUD will then forward to you a list of suggested consultants
from the consultant database. From this list, you must select a
consultant to provide your requested TA.
(5)(a) From the list provided by HUD, you must contact and
interview a minimum of three TA consultants. HUD may request
confirmation from each contacted consultant that they were contacted.
To obtain the three consultants, you must continue to call as many
consultants as necessary from the list to complete the three
interviews. If HUD determines that any consultant was not contacted,
HUD (Headquarters) may consider your selection by the applicant void.
(b) After contacting each consultant, you must send a written
justification for your recommended selection in order preference. If
any are unacceptable, you must also indicate the consultant and the
reasons you find them unacceptable.
(c) If you find that all referred consultants lack the requisite
expertise, you must provide written detailed documentation justifying
this decision. If HUD determines that your justification is adequate,
you will be provided with a second list of potential consultants.
(d) If you do not provide HUD the written justification of
consultant choice within 30 calendar days, HUD reserves the right to
cancel your TA request.
(6)(a) HUD or its agent will work with your selected consultant and
you to develop a ``statement of work.'' The statement of work should
include:
(i) A time line and estimated budget;
(ii) A discussion of the kind of technical assistance and skills
needed to address the problem, and how the technical assistance
requested will address these needs; and
(iii) A description of the current crime and drug elimination
strategy, and how the requested technical assistance will assist in
improving the management and oversight of the PHDEP Grant Program.
(b)(i) When HUD has completed the authorization to begin work, your
selected consultant will be contacted to start work. Your consultant
must receive written authorization from HUD or its authorized agent
before beginning to provide technical assistance. The requesting
organization and the relevant Field Office or Area Office of Office of
Native American Programs will also be notified that authorization to
begin work has been given.
(ii) Work begun before the authorized date will be considered
unauthorized and will not be compensated by HUD.
(iii) Consultants will only be reimbursed for a maximum of 30 days
of work, which must be completed in fewer than 90 days from the date of
the approved statement of work. The exception to this will be for HUD-
Initiated technical assistance.
VI. Application Submission Requirements
(A) General. In addition to the program requirements listed in the
General Section of this SuperNOFA, each DETAP application must include
both the descriptive letter and certification statement to be eligible
for funding.
(B) Forms, Certifications and Assurances. Your application must
contain the items listed in this Section VI(B). These items include the
standard forms, certifications, and assurances listed in Section II(G)
of the General Section of the SuperNOFA that are applicable to this
funding (collectively, referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives, letters), referred to as the ``non-
standard forms'' can be found as Appendix B to this program section of
the SuperNOFA. The items are as follows:
(1) Applications must be signed and certified by both the Executive
Director or Tribal Council or authorized TDHE official and a resident
leader.
(2) The certification must indicate that:
(a) A copy of the application was sent to the local HUD Field
Office, Public Housing Directors, or Administrator, Office of Native
American Programs;
(b) The application was reviewed by both the housing authority
Executive Director or Tribal Council or authorized TDHE official, and a
resident leader of your organization; and
(c) Any technical assistance received will be used in compliance
with all requirements in the SuperNOFA.
(3) The application must contain a four page (or fewer) application
letter responding to each of the requirements listed in Section V(B) of
the DETAP section of the SuperNOFA.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9), the assistance provided
under this program relates only to the provision of technical
assistance and therefore is categorically excluded from the
requirements of the National Environmental Policy Act and is not
subject to environmental review under the related laws and authorities.
This determination is based on the ineligibility of real property
acquisition, construction, rehabilitation, conversion, leasing, or
repair for HUD assistance under this program.
IX. Authority
The FY 2001 HUD Appropriations Act under the heading, ``Drug
Elimination Grants for Low-Income Housing.''
Appendix A--Hud's Public Housing Area Offices
New England Region
Boston
Donna Ayala, Office of Public Housing, DHUD--Massachusetts State
Office, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway Street,
Room 553, Boston, MA 02222-1092, (617) 565-5197 fax (617) 565-5257
Hartford
Raymond Jordan, Office of Public Housing, DHUD--Connecticut State
Office, 19th Floor, One Corporate Center, Hartford, CT 06103-3220,
(860) 240-4800 or (860) 240-4850
[[Page 11954]]
Manchester
Robin Gagnon, Office of Public Housing, DHUD--New Hampshire State
Office, Norris Cotton Federal Building, 275 Chestnut Street,
Manchester, NH 03101-2487, (603) 666-7674 or fax (603) 666-7714
Providence
Marlene Piekarsky, Office of Public Housing, DHUD--Rhode Island
State Office, 10 Weybosset Street, 6th Floor, Providence, RI 02903-
3234, (401) 528-5366 or (401) 528-5370
New York/New Jersey Region
New York
Mirza Del Rosario, Office of Public Housing, DHUD--New York State
Office, 26 Federal Plaza, Suite 32-116, New York, New York 10278-
0068, (212) 264-8931 fax (212) 264-9834
Buffalo
Joan Dpilman, Office of Public Housing, DHUD--Buffalo State Office,
Lafayette Court, 465 Main Street, Fifth Floor, Buffalo, New York
14203-5755, (716) 551-5755 ext. 5050 fax (716) 551-4789
New Jersey
Carmen Valenti, Office of Public Housing, DHUD--New Jersey State
Office, One Newark Center, 13th Floor, Newark, NJ 07102-5260, (973)
622-7900 ext. 3600 fax (973) 645-6239
Mid-Atlantic Region
Philadelphia
Malinda Roberts, Office of Public Housing, DHUD--Pennsylvania State
Office, The Wanamaker Building, 100 Penn Square East, Philadelphia,
PA 19107-3390, (215) 656-0576 or 0579, ext. 3308 fax (215) 656-3433
Baltimore
Dana Johnson, Office of Public Housing, DHUD--Maryland State Office,
City Crescent Building, 10 South Howard Street, 5th Floor,
Baltimore, Maryland 21201-2505, (410) 962-2520 ext. 3102 fax (410)
962-0668
West Virginia
Henry Miller, Office of Public Housing, DHUD--West Virginia State
Office, Kanawha Valley Building, 405 Capitol Street, Suite 708,
Charleston, WV 25301-1795, (304) 347-7057 fax (304) 347-7045
Pittsburgh
Office of Public Housing, DHUD--Pittsburgh Area Office, 339 Sixth
Avenue, 6th Floor, Pittsburgh, PA 15222-2515, (412) 644-6571 fax
(412) 644-6499
Virginia
Pat Anderson, Office of Public Housing, DHUD--Virginia State Office,
The 3600 Centre, 3600 West Broad Street, P.O. Box 90331, Richmond,
VA 23230-0331, (804) 278-4500 ext. 3217 fax (804) 278-4603
District of Columbia
Lee Palman, Office of Public Housing, DHUD--District of Columbia
Office, 820 First Street, NE., Suite 450, Washington, DC 20002-4205,
(202) 275-7965 ext 3175 fax (202) 275-0779
Southeast Region
Atlanta
Boyce Norris, Office of Public Housing, DHUD--Georgia State Office,
Richard B. Russell Federal Building, 40 Marietta Street, Atlanta, GA
30303, (404) 331-4766 fax (404) 730-2365
Alabama
Debra Pippen, Office of Public Housing, DHUD--Alabama State Office,
Beacon Ridge Tower, 600 Beacon Parkway West, #300, Birmingham, AL
35209-4144, (205) 290-7601 ext 1101 fax (205) 290-7593
Columbia
Larry Knightner, Office of Public Housing, DHUD--South Carolina
State Office, Strom Thurmond Federal Building, 1835 Assembly Street,
Columbia, SC 29201-2480, (803) 765-5831 or (806) 765-5515
Greensboro
Ledford Austin, Office of Public Housing, DHUD--North Carolina State
Office, Koger Building, 2306 West Meadowview Road, Greensboro, NC
27407-3707, (336) 547-4038 fax (336) 547-4015
Mississippi
George Smith, Office of Public Housing, DHUD--Mississippi State
Office, Doctor A. H. McCoy Federal Building, 100 West Capitol
Street, Room 910, Jackson, MS 39269-1016, (601) 965-4761 fax (601)
965-4773
Miami
Karen Cato-Turner, Office of Public Housing, DHUD--Florida State
Office, 909 SE First Avenue, Suite 500, Miami, FL 33131, (305) 536-
4443 fax (305) 536-5663
Jacksonville
John Niesz, Office of Public Housing, DHUD--Jacksonville Area
Office, Southern Bell Tower, 301 West Bay Street, Suite 2200,
Jacksonville, FL 32202-5121, (904) 232-1777 ext. 2142 fax (904) 232-
3759
Kentucky
Arthur Wasson, Office of Public Housing, DHUD--Kentucky State
Office, 601 West Broadway, Post Office Box 1044, Louisville, KY
40201-1044, (502) 582-6163 ext. 370 fax (502) 582-6558
Knoxville, TN
Shelley Day, Office of Public Housing, DHUD--Knoxville Area Office,
John J. Duncan Federal Building, 710 Locust Street, Third Floor,
Knoxville, TN 37902-2526, (423) 545-4402 ext. 4 fax (423) 545-4569
Nashville, TN
Michael Farley, Office of Public Housing, DHUD--Tennessee State
Office, 235 Cumberland Bend Drive, Suite 200, Nashville, TN 37228-
1803, (615) 736-5063 ext. 6132 fax (615) 736-2886
San Juan, PR
Hildamar Ortiz, Office of Public Housing, DHUD--Caribbean Office,
Administracion de Terrenos Building, 171 Carlos E. Chardon Avenue,
Suite 301, San Juan, PR 00918-0903, (787) 766-5400 ext. 2031 fax
(787) 766-6504
Mid-West Region
Chicago
Office of Public Housing, DHUD--Illinois State Office, Ralph H.
Metcalfe Federal Building, 77 West Jackson Boulevard, Chicago, IL
60604-3507, (312) 353-1915 or (312) 353-6236 ext. 2302 fax (312)
353-0121
Cincinnati
Larry Dempsey, Office of Public Housing, DHUD--Cincinnati Area
Office, 525 Vine Street, Suite 700, Cincinnati, OH 45202-3188, (513)
684-2654 fax (513) 684-6224
Cleveland
Tom Marshall, Office of Public Housing, DHUD--Cleveland Area Office,
Renaissance Building, 1350 Euclid Avenue, Suite 500, Cleveland, OH
44115-1815, (216) 522-2700 fax (216) 522-2975
Columbus
David Kellner, Office of Public Housing, DHUD--Ohio State Office,
200 North High Street, Columbus, OH 43215-2499, (614) 469-5787, ext.
8224 or (614) 469-2949 fax (614) 469-2432
Detroit
Joann Adams, Office of Public Housing, DHUD--Michigan State Office,
Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit,
MI 48226-2592, (313) 226-6880, ext. 8111 fax (313) 226-5611
Grand Rapids
Joann Adams, Office of Public Housing, DHUD--Grand Rapids Area
Office, 50 Louis Street, NW, 3rd Floor, Grand Rapids, Michigan
49503, (616) 456-2100 fax (616) 456-2187
Indianapolis
Forrest Jones, Office of Public Housing, DHUD--Indiana State Office,
151 North Delaware Street, Suite 1200, Indianapolis, IN 46204-2556,
(317) 226-6557 fax (317) 226-5594
Milwaukee
John Finger, Office of Public Housing, DHUD--Wisconsin State Office,
Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue, Suite 600,
Milwaukee, WI 53203-2289, (414) 297-3214 ext. 8200 fax (414) 297-
1180
Minneapolis
Diane Cmiel, Office of Public Housing, DHUD--Minnesota State Office,
220 South Second Street, Minneapolis, Minnesota 55401-2195, (612)
370-3135 fax (612) 370-3003
Southwest Region
Fort Worth
Roman Palamores, Office of Public Housing, DHUD--Texas State Office,
1600 Throckmorton, Post Office Box 2905, Fort Worth, TX 76113-2905,
(817) 978-5700, ext. 3332 fax (817) 978-9289
[[Page 11955]]
Albuquerque
Carmella Herrera, Office of Public Housing, DHUD--New Mexico State
Office, 625 Silver Avenue, S.W., Suite 100, Albuquerque, N.M. 87102-
3185, (505) 346-7355 fax (505) 346-6604
Houston
Debbie Alexander, Office of Public Housing, DHUD--Houston Area
Office, Norfolk Tower, 2211 Norfolk, Suite 200, Houston, TX 77098-
4096, (713) 313-2274 (alt. 2280) fax (713) 313-2319
Little Rock
Janie Allen, Office of Public Housing, DHUD--Arkansas State Office,
TCBY Tower, 425 West Capitol Avenue, Suite 900, Little Rock, AR
72201-3488, 324-5933 fax (501) 324-5900
New Orleans
Jed Drozdowski, Office of Public Housing, DHUD--Louisiana State
Office, 501 Magazine Street, Ninth Floor, New Orleans, LA 70130,
(504) 589-7235 fax (504) 589-6619
Oklahoma City
Office of Public Housing, DHUD--Oklahoma State Office, 500 West Main
Street, Oklahoma City, OK 73102, (405) 553-7454 fax (405) 553-7588
San Antonio
Diana Armstrong, Office of Public Housing, DHUD--San Antonio Area
Office, Washington Square, 800 Dolorasa Street, San Antonio, TX
78207-4563, (210) 475-6865 fax (210 472-6816
Great Plains Region
Kansas City
Andrew Boeddeker, Office of Public Housing, DHUD-Kansas/Missouri
State Office, Gateway Tower II, 400 State Avenue, Kansas City, KS
66101-2406, (913) 551-5582 or (913) 551-6916 fax (913) 551-5416
Des Moines
Kathy Winter, Office of Public Housing, DHUD--Iowa State Office,
Federal Building, 210 Walnut Street, Room 29, Des Moines, IA 50309-
2155, (515) 284-4315 fax (515) 284-4895
Omaha
Charlie Hill, Office of Public Housing, DHUD--Nebraska State Office,
Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 68154-
3955, (402) 492-3137 fax (402) 492-3163
St. Louis
Patricia Straussner, Office of Public Housing, DHUD--St. Louis Area
Office, Robert A. Young Federal Building, 1222 Spruce Street, St.
Louis, MO 63103-2836, (314) 539-6505 fax (314) 539-6508
Rocky Mountain Region
Denver
John DiBella, Office of Public Housing, DHUD--Colorado State Office,
First Interstate Tower North, 633--17th Street, 12th Floor, Denver,
CO 80202-3607, (405) 672-5380 fax (405) 672-5065
Pacific Hawaii Region
San Francisco
Joyce Lee, Office of Public Housing, DHUD--California State Office,
Phillip Burton Federal Building/Courthouse, 450 Golden Gate Avenue,
9th Floor, San Francisco, CA 94102-3448, (415) 436-8375 fax (415)
436-6440
Phoenix
(Denver Office handles resident initiatives), Office of Public
Housing, DHUD--Arizona State Office, Two Arizona Center, 400 North
5th Street, Suite 1600, Phoenix, AZ 85004-2361, (602) 379-3045 fax
(602) 379-3985
Los Angeles
Bob Cook, Office of Public Housing, DHUD--Los Angeles Area Office,
AT&T Center, 611 West 6th Street, Suite 800, Los Angeles, CA 90017-
3127, (213) 894-8000 ext 3500 fax (213) 894-8096
Sacramento
Bill Armstead, Office of Public Housing, DHUD--Sacramento Area
Office, 925 ``L'' Street, Sacramento, CA 95814, (916) 498-5220 ext.
421 fax (916) 498-5247
NW/Alaska Region
Seattle
Lynn Martin, Office of Public Housing, DHUD--Washington State
Office, Seattle Federal Office Building, 909 1st Avenue, Suite 360,
Seattle, WA 98104-1000, (206) 220-5290 Ext 3694 fax (206) 220-5133
Portland
Elizabeth Santone, Office of Public Housing, DHUD--Oregon State
Office, 400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-
1596, (503) 326-2619 fax (503) 326-2568
Area Offices of Native American Programs
------------------------------------------------------------------------
Send your
application to
If you are applying from this geographic location ``ONAP
* * * Administrator'' of
this Area ONAP
------------------------------------------------------------------------
All States east of the Mississippi River, Plus Eastern/Woodlands
Iowa and Minnesota. Office of Native
American Programs,
Grants Management
Division, 77 West
Jackson Blvd., Room
2400, Chicago, IL
60604-3507,
Telephone: (312)
886-4532, Ext.
2815.
Louisiana, Kansas, Oklahoma, and Texas, except Southern Plains
West Texas. Office of Native
American Programs,
Grants Management
Division, 500 W.
Main Street, Suite
400, Oklahoma City,
OK 73102-3202,
Telephone: (405)
553-7525.
Colorado, Montana, Nebraska, North Dakota, South Northern Plains
Dakota, Utah, and Wyoming. Office of Native
American Programs,
Grants Management
Division, First
Wells Fargo Tower
North, 633 17th
Street, Denver, CO
80202-3607,
Telephone: (303)
672-5465.
Arizona, California, and Nevada................... Southwest Office of
Native American
Programs, Grants
Management
Division, Two
Arizona Center, 400
N. Fifth Street,
Suite 1650,
Phoenix, AZ 85004-
2361, Telephone:
(602) 379-3865.
New Mexico and West Texas......................... Southwest Office of
Native American
Programs, Grants
Management
Division,
Albuquerque Plaza,
201 3rd Street
N.W., Suite 1830,
Albuquerque, NM
87102-3368,
Telephone: (505)
346-6923
Idaho, Oregon, Washington......................... Northwest Office of
Native American
Programs, Grants
Management
Division, Federal
Office Building,
909 First Avenue,
Suite 300, Seattle,
WA 98104-1000,
Telephone: (206)
220-5271.
Alaska............................................ Alaska Office of
Native American
Programs, Grants
Management
Division, 949 E.
36th Avenue, Suite
401, Anchorage, AK
99508-4399, (907)
271-4603.
------------------------------------------------------------------------
APPENDIX B
The non-standard forms, which follow, are required for your
DETAP application.
BILLING CODE 4210-32-P
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[GRAPHIC] [TIFF OMITTED] TN26FE01.144
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[GRAPHIC] [TIFF OMITTED] TN26FE01.146
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11961]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.147
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 11962]]
[[Page 11963]]
FUNDING AVAILABILITY FOR THE INDIAN HOUSING DRUG ELIMINATION
PROGRAM
Program Overview
Purpose of the Program: The purpose of the Indian Housing Drug
Elimination Program (IHDEP) is to provide grants to eliminate drugs and
drug-related crime in American Indian and Alaskan Native communities.
Available Funds: Approximately $12,000,000 million is being made
available for Indian Housing Drug Elimination Program (IHDEP) grants.
Eligible Applicants: Indian tribes who are eligible to be
recipients of assistance under the Native American Housing Assistance
and Self-Determination Act of 1996 (NAHASDA recipients) which means an
Indian tribe or the entity for one or more Indian tribes that is
authorized to receive grant amounts under NAHASDA on behalf of the
tribe or tribes.
Application Deadline: April 24, 2001.
Match: None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Submission Address, Application Kits,
Further Information, and Technical Assistance
Application Due Date: Your completed application (one original and
two copies) is due on or before April 24, 2001.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Address For Submitting Applications. Please Note: We are
instituting a new submission policy. Please submit an original and one
identical copy to the Indian Housing Drug Elimination Information &
Resource Center (IHDE-IRC), P.O. Box 14970, Silver Spring, MD 20911.
You must also send one identical copy of your IHDEP application by the
application due date to the local Area Office of Native American
Programs (AONAP) Attention: HUD Administrator, Area Office of Native
American Programs (AONAP). A list of local offices is provided below.
The timely submission of your application will be based on the date and
time it is submitted to the AONAP listed below, not the date and time
it is received at the Indian Housing Drug Elimination Information &
Resource Center. Again, please see the General Section of the SuperNOFA
for specific procedures on the application due date.
------------------------------------------------------------------------
Send your
If you are applying from this geographic location application to this
then * * * AONAP
------------------------------------------------------------------------
All states East of the Mississippi River, Plus Eastern/Woodlands
Iowa and Minnesota. Office of Native
American Programs,
Grants Management
Division, 77 West
Jackson Blvd., Room
2400, Chicago, IL
60604-3507,
Telephone: (312)
886-4532, Ext.
2815.
Louisiana, Kansas, Oklahoma, and Texas, except Southern Plains
West Texas. Office of Native
American Programs,
Grants Management
Division, 500 W.
Main Street, Suite
400, Oklahoma City,
OK 73102-3202,
Telephone: (405)
553-7525.
Colorado, Montana, Nebraska, North Dakota, South Northern Plains
Dakota, Utah, and Wyoming. Office of Native
American Programs,
Grants Management
Division, Wells
Fargo Tower North,
633 17th Street,
Denver, CO 80202-
3607, Telephone:
(303) 672-5465.
Arizona, California, and Nevada................... Southwest Office of
Native American
Programs, Grants
Management
Division, Two
Arizona Center, 400
N. Fifth Street,
Suite 1650,
Phoenix, AZ 85004-
2361, Telephone:
(602) 379-3865.
New Mexico and West Texas......................... Southwest Office of
Native American
Programs, Grants
Management
Division,
Albuquerque Plaza,
201 3rd Street
N.W., Suite 1830,
Albuquerque, NM
87102-3368,
Telephone: (505)
346-6923.
Idaho, Oregon, Washington......................... Northwest Office of
Native American
Programs, Grants
Management
Division, Federal
Office Building,
909 First Avenue,
Suite 300, Seattle,
WA 98104-1000,
Telephone: (206)
220-5271.
Alaska............................................ Alaska Office of
Native American
Programs, Grants
Management
Division, 949 E.
36th Avenue, Suite
401, Anchorage, AK
99508-4399, (907)
271-4603.
------------------------------------------------------------------------
In order to expedite the review of your application and to ensure
that your application is given a thorough and complete review of all
responses to each of the components of the selection criteria, HUD
strongly requests that when you respond to each of the selection
criterion and sub-criterion that you separate each selection criterion
and sub-criterion with tabs. In order for your IHDEP application to be
rated, make sure the response for each criterion is beneath the
appropriate tab (heading). Keep the responses in the same order as the
NOFA. Limit your narrative explanations to 200 words or less and
provide the necessary data that supports the response. Include all
relevant material to a response under the same tab. Do not assume the
reviewer will search for the answer or information to support the
answer elsewhere in the application. Do not include documentation that
is not required by the selection criteria because irrelevant
information will be disregarded during the review of your application.
For Application Kits. To receive a copy of the IHDEP application
kit, please call the Indian Housing Drug Elimination Information &
Resource Center (IHDE-IRC) at 1-800-839-5561. 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 Indian Housing
Drug Elimination Program (IHDEP). Please provide your name, address,
including zip code, and telephone number (including area code). The
application kit contains information on all exhibits, forms, and
certifications required for IHDEP.
For Further Information and Technical Assistance. Please call the
AONAPs with jurisdiction over your tribe/tribally designated housing
entity (TDHE) or HUD's IHDE-IRC at1-800-839-5561 or Tracy C. Outlaw,
Denver Program Office of Native American Programs (ONAP), Department of
Housing and Urban Development, 1999 Broadway, Suite 3390, Denver, CO
80202, telephone 1-800-561-5913 or (303) 675-1600 (this is not a toll-
free number). 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. Also, please see ONAP's website at http://www.codetalk.fed.us.html where you will be able to download a copy of
the IHDEP NOFA and application kit from the Internet. Before the
application deadline, we will be available to provide you with general
guidance. We cannot, however, provide you with guidance on the actual
contents of your application.
[[Page 11964]]
If applicable, after the rating and ranking process has been
completed but before award, we will be available to assist you in
clarifying or confirming technical, curable deficiency information that
is required to address a pre-award requirement. If the pre-award
conditions as outlined in Section VIII of the NOFA are not met by the
applicant, we will award those grant amounts to another eligible
applicant in accordance with the provisions of Section V of this NOFA.
II. Amount Allocated
Approximately $12 million is being made available under this NOFA
from the FY 2001 HUD Appropriations Act (Pub.L. 106-377, approved
October 27, 2000).
III. Program Description; Eligible Applicants; Eligible/Ineligible
Activities
(A) Program Description. Funds are only available for Indian tribes
who are eligible to be recipients under NAHASDA to develop and finance
drug and drug-related crime elimination efforts in their affordable
housing 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 Indian housing communities.
(B) Eligible Applicants. Indian tribes who are eligible to be
recipients under NAHASDA. ``NAHASDA recipient'' means an Indian tribe
or the tribally designated housing entity (TDHE) for one or more Indian
tribes that is authorized to receive grant amounts under NAHASDA on
behalf of the tribe or tribes. ``Tribe'' means an Indian tribe, band,
nation or other organized group or community of Indians, including any
Alaska Native village or regional or village corporation as defined in
or established pursuant to the Alaska Native Claims Settlement Act,
that is recognized as eligible for the special programs and services
provided by the United States to Indians because of their status as
Indians pursuant to the Indian Self-Determination and Education
Assistance Act of 1975. 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. A tribe's application supersedes the
application of a TDHE applying on behalf of that tribe. Resident
Management Corporations (RMCs) and Resident Organizations (ROs) are
eligible for funding 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. In addition, an applicant must meet all the applicable
threshold requirements found in Section II(b) of the General Section of
the SuperNOFA.
(C) Eligible/Ineligible Activities. IHDEP grants may be used for
seven types of activities: (1) The employment of security personnel;
(2) reimbursement of local law enforcement agencies for additional
security and protective services; (3) physical improvements which are
specifically designed to enhance security; (4) the employment of one or
more individuals to (A) investigate drug-related crime on or about the
real property comprising any public or other federally assisted
affordable housing project; and (B) provide evidence relating to such
crime in any administrative or judicial proceeding; (5) the provision
of training, communications equipment, and other related equipment for
use by voluntary tenant patrols acting in cooperation with local law
enforcement officials; (6) programs designed to reduce use of drugs in
and around public or other federally assisted affordable housing
projects, including drug-abuse prevention, intervention, referral, and
treatment programs; and (7) where a tribe or TDHE receives a grant,
providing funding to nonprofit resident management corporations and
resident organizations to develop security and drug abuse prevention
programs involving site residents.
Following is a discussion by activity type of what can and cannot
be funded and specific requirements or items that need to be discussed
in your application if you are including that activity in your
application.
(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 IHDEP. 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 and the provisions found in section 504 of the
Rehabilitation Act of 1973 and other relevant Federal, state and local
statutes that apply.
(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 programs for youth
and adults, employment training facility, youth activities, and drug
abuse treatment activities. A justification of purchase versus lease
must be supported by your cost-benefit analysis.
(2) Programs to Reduce Drug Use (Prevention, Intervention,
Treatment, Structured Aftercare and Support Systems).
(a) Eligible activities may include:
(i) Drug 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) General Requirements and Strategies. HUD is looking for you to
structure your drug abuse prevention, intervention, treatment, and
aftercare program using a ``continuum of care'' approach. A ``continuum
of care'' approach includes not just treating the addiction or
dependency but also providing aftercare, mentoring, and support
services such as day care, family counseling, education, training,
employment development opportunities, and other activities.
You must develop a drug abuse/sobriety (remission)/treatment
(dependency) strategy to adequately plan your drug abuse prevention,
intervention, treatment, and structured aftercare efforts. In many
cases, you may want to include education, training, and employment
opportunities for residents. When undertaking these activities, you
should be leveraging your IHDEP resources with other Federal, state,
local and tribal resources. For example, your application may propose
providing space and other infrastructure for these efforts with other
tribal agencies providing staff and other resources at limited or no
cost. Your application should also discuss how your strategy
incorporates existing community resources and how they will be used in
your program. The strategy should also document how community resources
[[Page 11965]]
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 discuss cultural competencies associated
specifically with your Native American or Alaskan Native community.
Your activities should focus resources directly to tribal residents
and families.
For all activities involving education, training and employment,
you should demonstrate efforts to coordinate with Federal, Tribal,
state and local employment training and development services, including
``welfare to work'' efforts.
The current Diagnostic and Statistical Manual (DSM) of Mental
Disorders of the American Psychiatric Association dated July 2000,
contains information on drug abuse, dependency and structured
aftercare. For more information about this reference, contact: APPI,
1400 K. Street, NW, Suite 1100, Washington, DC 20005 or 1(800) 368-5777
or World Wide Web site at http://ww.appi.org.
(c) Activities must be in and around the affordable housing
development in your ``Indian area''. IHDEP funding is permitted for
programs that reduce/eliminate drug-related crime in affordable housing
developments in the ``Indian area''. ``Indian area'' is defined in 24
CFR 1000.10 of the NAHASDA regulations as the area in which an Indian
tribe operates affordable housing programs or the area in which a TDHE
is authorized by one or more Indian tribes to operate affordable
housing programs.
(d) Eligible costs. (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 application, you must include a description of why the expenses
are necessary. Under no circumstances are these vehicles to be used for
other than their intended purpose 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, including provisions for daycare
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.
(e) Prevention. Prevention programs must demonstrate that they will
provide directly, or otherwise make available, services designed to
distribute drug education information, to foster effective parenting
skills, and to provide referrals for treatment and other available
support services including daycare in the housing development or the
community for tribal residents and families.
Prevention programs should provide a comprehensive 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 tribal communities that lead to drug-related crime thereby
lowering the risk of drug usage. Many components of a comprehensive
approach, including refusal and restraint skills training programs or
drug, drug abuse/dependency and family counseling, and daycare may
already be available in the tribal community 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 below:
(i) Educational Opportunities. The causes and effects of illegal
drug abuse must be discussed in a culturally appropriate and structured
setting. As a grantee, you may use contractors or subgrantees (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
tribal housing residents.
(ii) Family and Other Support Services. ``Supportive services'' are
services that allow families to have access to prevention, educational
and employment opportunities. Supportive services may include: child
care, employment training, computer skills training, remedial
education, drug abuse counseling, help in getting a high school
equivalency certificate, and other services to reduce drug-related
crime.
(iii) Youth Services. Proposed youth prevention programs must
demonstrate that they have included groups composed of young people
ages 8 through 18. Your youth prevention activities should be
coordinated by adults but have tribal 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/camps,
youth entrepreneurship, negotiation and mediation/peacemaking, and
cross-cultural communication. These youth services provide an
alternative to drugs and drug-related criminal activity for 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, youth entrepreneurship,
negotiation and mediation/peacemaking, and cross-cultural communication
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 expenses:
(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) Funding for non-profit subgrantees that provide scheduled
organized sports competitions, cultural, educational, recreational or
other activities, including but not limited to: United National Indian
Tribal Youth, Inc. (UNITY), Wings of America, Native America Sports
Council, Boys and Girls Clubs of America, Girl Scouts of America, First
Tee Program, YMCAs, YWCAs, the Inner City Games, Association of
Midnight Basketball Leagues, and Big Brothers and Big Sisters of
America.
(4) Liability insurance costs for youth sports activities.
(iv) Economic and Educational Opportunities for Resident Adult and
Youth. Your proposed economic and educational activities must provide
residents opportunities for interaction
[[Page 11966]]
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.
You should discuss your economic and educational opportunities for
residents and youth activities in the context of ``welfare to work''
and related Federal, tribal, state and local government efforts for
employment training, education and employment opportunities related to
the goals of ``welfare to work.'' Establishing or referring adults and
youths to computer learning centers, employment service centers
(coordinated with Federal, tribal, state and local employment offices),
and micro-business centers are eligible activities. Funding is
permitted for the purchase or lease of house trailers if they are used
for the activities listed above and as specified in Section
III.C(1)(a)(ii) of this NOFA.
Limited educational scholarships are permitted under this section.
For the purpose of this IHDEP NOFA, educational scholarships will be
defined as merit-based financial assistance for high-school and college
students who have demonstrated a need for financial assistance and
academic excellence. No one individual award may exceed $500, and there
is a total maximum scholarship program cap of $10,000. Educational
scholarship IHDEP funds must be obligated and expended during the term
of your IHDEP grant which is (24) twenty-four months. You must
demonstrate in your plan a timetable, the strategy or method for
awarding scholarships to students, and, the financial/management
controls that will be used and projected outcomes.
In addition, section 3 of the Housing and Urban Development Act of
1968, 12 U.S.C. 1701u is applicable to many of the activities eligible
under this NOFA. Therefore, to the greatest extent feasible, training,
employment and other economic opportunities that you develop must be
directed to (1) low- and very low-income persons and (2) business
concerns which provide economic opportunities to low- and very low-
income persons. For more information about section 3, see Section II(E)
of the General Section of the SuperNOFA or HUD's section 3 implementing
regulations at 24 CFR Part 135.
(f) Intervention. The aim of intervention is to identify or detect
residents with substance abuse issues, assist them in modifying their
behavior, getting early treatment, and obtaining structured aftercare.
(g) Drug Abuse/Dependency Treatment.
(1) Treatment funded under this program should be ``in and around''
the premises of the affordable housing development(s) you proposed for
funding. In undertaking drug abuse/dependency treatment programs, you
must establish a confidentiality policy regarding medical and
disability related information.
(i) Funds awarded for drug abuse/dependency treatment must be
targeted towards developing and implementing, or expanding and
improving sobriety maintenance, drug-free maintenance support groups,
drug abuse counseling, referral treatment services, and short- or long-
range structured aftercare for residents.
(ii) Your proposed drug program must address the following goals
for residents:
(1) Increasing accessibility of treatment services;
(2) Decreasing drug-related crime ``in and around'' your affordable
housing 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).
(iii) You must discuss in your overall strategy the following
factors:
(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 drug
abuse/treatment agencies, HIV-related service agencies, and mental and
public health programs.
(iv) As applicable, you must demonstrate 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 drug dependency treatment
proposal.
(v) You must demonstrate that counselors (contractual or otherwise)
meet Federal, state, tribal, and local government licensing, bonding,
training, certification and continuing training re-certification
requirements.
(vi) You must get certification from the Single state Agency or
tribal agency with drug abuse and dependency programs coordination
responsibilities so that your proposed program is consistent with the
tribal plan; and that the service(s) meets all Federal, state, tribal
and local government medical licensing, training, bonding, and
certification requirements.
(vii) Funding is permitted for drug treatment of tribal residents
at local in-patient medical treatment programs and facilities. IHDEP
funding for structured in-patient drug treatment using IHDEP 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 proposal must demonstrate
how individuals who complete drug treatment will be provided employment
training, education and employment opportunities.
(viii) 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.
(ix) 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.
(3) Resident Management Corporations (RMCs) and Resident
Organizations (ROs) Programs. RMCs, and incorporated ROs, may be a
subcontractor to their tribe/TDHE, to develop security and drug abuse
prevention programs for residents. Such programs may include voluntary
tenant patrol activities, drug abuse education, intervention, and
referral programs, youth programs, and outreach efforts. The
elimination of drug-related crime within the tribal community must have
the active involvement and commitment of tribal residents and their
organizations.
To enhance the ability of tribes/TDHEs, to combat drug-related
crime within their developments, RMCs, and ROs may undertake program
management functions as subcontractors. Sub-contracts with the RMC/RO
must comply with the requirements of 24 CFR 85.36 and 37 and 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
[[Page 11967]]
requirements. Costs must not be incurred by the RMC or RO until a
written contract is executed.
(4) Employment of Security Personnel. You may employ security
personnel to provide services in and around your affordable housing
developments. Contracts for security personnel must be awarded on a
competitive basis. Security personnel 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. You are encouraged to
involve police officials residing in tribal housing to partake in IHDEP
security-related programs. The following specific requirements apply to
all employment of security personnel activities funded under IHDEP:
(a) Compliance. Security guard personnel must demonstrate
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 (the applicant), the
local law enforcement agency, and if relevant, the contract provider of
security personnel services, must enter into a law enforcement service
agreement with the local law enforcement agency. Your service agreement
must be submitted with your IHDEP application and include:
(i) The activities security guard personnel will perform; the scope
of authority; written policies, procedures, and practices that will
govern security personnel performance (i.e., a policy manual and how
security guard personnel will coordinate activities with your local law
enforcement agency);
(ii) The types of activities that your approved security guard
personnel are expressly prohibited from undertaking.
(c) Policy Manual. Security guard personnel services 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 you undertake this activity.
(d) Data Management. A daily activity and incident complaint form
approved by the tribe/TDHE 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 tribal police
departments 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. Management
Information Systems (MIS) (computers, software, and associated
equipment) are eligible costs that the tribe/TDHE may include in
support of collection and analysis activities.
(e) 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.
(5) Reimbursement of Local Law Enforcement Agencies for Additional
Security and Protective Services (Supplemental--Over and Above Local
Law Enforcement Baseline Services). Additional security and protective
services are permitted if services are over and above the local police
department's current level of baseline services. Tribes/TDHEs are
required to identify the level of local law enforcement services they
are required to received and the increased level of services to be
received in their local Cooperation Agreement. Local police department
baseline services are defined as ordinary and routine services,
including patrols, police officer responses to 911 communications and
other calls for service, and investigative follow-up of criminal
activity, provided to residents as a part of the overall deployment of
police resources by the local jurisdiction in which the tribe/TDHE is
located.
(a) If you are an applicant seeking funding for this activity, you
must describe the current level of local law enforcement agency
baseline services being provided to the affordable housing
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.
(b) Tribal police departments funded under this program that are
not employing a community policing concept but would like to establish
such a program for affordable housing developments must submit a plan
and timetable for the implementation of community policing. Community
policing has a variety of definitions; however, for the purposes of
this program, it is defined as a method of providing law enforcement
services that stresses a 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 scooter
patrols. It also includes activities where police officers operate out
of police mini-stations and other community based facilities in tribal
communities 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: reduce crime and fear of
crime; ensure the maintenance of order; provide referrals of residents,
victims and homeless persons to social services and government
agencies; ensure feedback of police actions to victims of crime; and
promote a law enforcement value system based on the needs and rights of
residents.
(6) 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 affordable housing
development(s) for which the application is submitted 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 tribe/TDHE 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 coordinate
their activities with local, state, tribal, and Federal law
[[Page 11968]]
enforcement agencies; and prohibited activities.
(ii) The activities the tribal investigators are expressly
prohibited from undertaking.
(c) Your investigator(s) may use IHDEP funds to purchase or lease
any law enforcement clothing or equipment, such as 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. Tribal-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.
(7) Voluntary Tenant Patrols. Members of tenant patrols must be
volunteers and must be residents of the affordable housing
development(s). Volunteers must have extensive background
investigations to ensure there are no outstanding warrants or arrest
records for past crimes, especially crimes against children. Voluntary
tenant patrols are expected to patrol in and around your affordable
housing development(s) proposed for assistance, and to report illegal
activities to appropriate local, state, tribal, and Federal law
enforcement agencies, as appropriate.
(a) Training equipment, including 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,
communications equipment 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 tribal development(s) identification and
markings.
(b) Tribes/TDHEs 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 eligible.
(c) Before expending grant funds for voluntary tenant patrol
activities, you, your local law enforcement agency, and the tenant
patrol 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 including the carrying or use of firearms,
weapons, nightsticks, clubs, handcuffs, or mace;
(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) That 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) IHDEP 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 tribe/TDHE personnel or
resident(s) to be hired to coordinate this activity is permitted.
Excessive staffing is not permitted.
(D) Ineligible Activities. IHDEP 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 eligible tribal
police department, voluntary tenant patrols and investigator activities
listed in this NOFA.
(5) Construction of facility space in a building or unit, and the
costs of retrofitting/modifying existing buildings owned by the tribe/
TDHE 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 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.
(8) Transfer of IHDEP grant funds to any Federal agency.
(9) Costs to establish resident associations, resident
organizations, and resident corporations.
(10) Indirect costs.
(11) The supplanting of existing positions/activities. For purposes
of the IHDEP, supplanting is defined as ``taking the place of or to
supersede''.
(12) Alcohol-exclusive activities and programs are not eligible for
funding under this NOFA, although activities and programs may address
situations of multiple abuse involving controlled substances and
alcohol.
(13) Physical improvements that involve demolishing any units in a
development or that would displace persons.
(14) Acquiring real property.
IV. Program Requirements
The following requirements apply to IHDEP funding:
(A) Grant Award Amounts. HUD is distributing grant funds for the
IHDEP under this NOFA on a national competition basis. The maximum
grant award amounts are computed for IHDEP on a sliding scale, using an
overall maximum cap, depending upon the number of tribe/TDHE units
eligible for funding. This figure (number of eligible units for
funding) will determine the grant amount that the tribe/TDHE is
eligible to receive if they meet the IHDEP criteria and score a minimum
of 70 out of 100 points.
(1) Amount per unit. (a) For tribes/TDHEs with 1-1,250 units: The
maximum grant award cap is $300 multiplied by the number of eligible
units. (b) For tribes/TDHEs with 1,251 or more units: The maximum grant
award cap is $260 multiplied by the
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number of eligible units; up to, but not to exceed, a maximum grant
award of $1.5 million dollars.
(2) Units counted. (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 Formula Current Assisted Stock under the
Indian Housing Block Grant Program for FY 2001.
(b) Eligible units are those units which are under management and
fully developed.
(c) Use the number of units counted as Formula Current Assisted
Stock for Fiscal Year 2001 as defined in 24 CFR 1000.316 and which is
included in the FY 2001 IHDEP application kit. Please verify your
Formula Current Assisted Stock figures with your local AONAP for
accuracy.
(d) Affordable housing units that are developed or assisted under
NAHASDA are not included in the unit count outlined above, however,
they are eligible to receive assistance under the IHDEP.
(e) If it is determined that the unit count listed in your
application is incorrect compared to the unit count listed in the
application kit and your application is eligible for funding, you will
be awarded the funding amount for which you are eligible based on the
FCAS list or the amount requested in your application, whichever is
less.
(B) Complying with Civil Rights Requirements. To protect and insure
the civil rights of occupants of HUD-sponsored housing and residents
around that housing, your proposed strategies should ensure that you do
not undertake crime-fighting and drug prevention activities that
violate civil rights and fair housing statutes. You may not use race,
color, sex, religion, national origin, disability or familial status to
profile persons as suspects or otherwise target them in conducting
these activities. You are encouraged to involve as many segments of
your intended population as possible in developing and implementing
your strategies.
(C) Confidentiality of Records Requirements. You must establish a
confidentiality policy regarding medical and disability-related
information for programs involving prevention, intervention, or drug
abuse/dependency treatment and aftercare.
(D) Term of Grant. Your grant funds must be expended within 24
months after HUD executes a Grant Agreement. The AONAP may grant a one-
time extension of 6 months at the end of the grant term in accordance
with the requirements of HUD Handbook 7490.1. However, if no extension
is requested and granted and the grants funds are not expended within
24 months after execution of the Grant Agreement, the funds will be
recaptured by the Department.
(E) Reports and Close-out. (1) In accordance with 24 CFR 761.35, if
funded, you are required to submit semi-annually an IHDEP Semi-Annual
Performance Report and the Semi-Annual Financial Status Report (SF-
269A) to the appropriate HUD AONAP. These IHDEP Semi-Annual Performance
Reports shall cover the periods ending June 30 and December 31, and
must be submitted to HUD by July 30 and January 31 of each year. The
grantee must also comply with additional reporting requirements to be
outlined in the near future which will include an annual survey of
residents and additional supporting documentation for the semi-annual
report including the close-out report.
(2) At grant completion, you must comply with the close-out
requirements described in Public Housing Notice PIH 98-60(HA), entitled
``Grant Close-out Procedures,'' and by the end of the grant term,
return unexpended grant funds to the Department, according to
applicable requirements.
(F) Federal Labor Standards. When grant funds are used to undertake
physical improvements to increase security, Federal Labor standards set
out in 24 CFR 761.40 apply.
V. Application Selection Process
(A) Rating and Ranking.
General. HUD will rate and rank applications based on the 5 rating
factors listed in Section V.(B) of this NOFA, below. HUD will select
and fund the highest ranking applications based on total score, and
will continue the process until all funds allocated to it have been
awarded or to the point where there are insufficient acceptable
applications to award funds. The maximum number of points for this
program is 100.
Tiebreakers. In the event of a tie, HUD will select the highest
ranking application that can be fully funded. In the event that two
eligible applications receive the same score, and both cannot be funded
because of insufficient funds, the applicant with the highest score in
rating factor two will be funded. If rating factor two is scored
identically, the scores in rating factors one and four will be compared
in that order, until one of the applications receives a higher score.
If both applications still score the same then the application which
requests the least funding will be selected in order to promote the
more efficient use of resources.
Pre-award requirements. If there are technical deficiencies in
successful applications, you must satisfactorily address these
deficiencies before we can make a grant award. Please see Section VIII.
Correction of Technical Deficiencies of this NOFA for a definition of
such a deficiency and a description of the process to address and
correct the deficiency. You must correct all technical deficiencies
within the time frame established by HUD. If they are not corrected, we
will not make the grant award and will reject your application.
(B) Factors For Award to Evaluate and Rank Applications. Your
application must address the five (5) factors, and sub-factors listed
below. If your application does not address each of the five factors
and sub-factors, it will not be scored and will be considered
ineligible for funding. The maximum number of points for this program
is 100. Your application must receive a score of at least 70 points to
be eligible for funding.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (30 Points)
This factor addresses the extent to which you have the capacity,
the proper organizational experience and resources to implement the
proposed activities in a timely and effective manner. The rating of the
``applicant'' or the ``applicant's organization and staff'' for
technical merit, unless otherwise specified, includes any
subcontractors, consultants, sub-recipients, and members of consortia
which are firmly committed to your project. Your application must
include descriptive evidence demonstrating that you possess managerial,
technical and/or administrative capability necessary to carry out the
proposed project. Your application must address who will administer the
project and how you plan to handle all aspects of executing the
project. Your application must describe the experience and expertise of
existing staff in the implementation of the specific activity for which
you are applying and what responsibilities they will have in project
implementation, as well as those aspects of project implementation that
will be contracted to outside entities. If any subcontractors,
consultants, sub-recipients and/or members of consortia are used, your
application must demonstrate that the entity is firmly committed to the
project. If applicable, past performance in administering previous
IHDEP grants will be taken into consideration. In
[[Page 11970]]
rating this factor, HUD will consider the following:
(15 points) The knowledge and experience of your staff and your
administrative capability to manage grants of this size and type. This
includes your administrative support and procurement entities, defined
organizational lines of authority, and demonstrated fiscal management
capacity.
(15 points) Past performance in administering Drug Elimination
grants during the last three (3) years. If you do not have any open
IHDEP grants, then you will receive 15 points under this sub-factor
unless there are unresolved findings and/or outstanding recommendations
from prior HUD reviews or audits undertaken by HUD, the Office of
Inspector General, the General Accounting Office or independent public
accountants. The extent of any findings or recommendations will then be
considered. If you have an open IHDEP grant from FY 1998 or a prior
year, you will receive 0 points for this sub-factor.
For tribes/TDHEs that had previously applied as IHAs under the Drug
Elimination Program, HUD will consider any open grants for which the
tribe/TDHE has the responsibility to administer.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor examines the extent to which there is a need for
funding the proposed program activities to address a documented problem
in your proposed target area (i.e., the degree of the severity of the
drug-related crime problem in the project proposed for funding). In
responding to this factor, you will be evaluated on: (1) The extent to
which a critical level of need for your proposed activities is
explained; and (2) the urgency of meeting the need in the target area.
You must include in your response a description of the extent and
nature of drug-related crime ``in or around'' the housing units or
developments proposed for funding.
Applicants will be evaluated on the following:
(1) (15 Points) Data Supporting the extent of Drug and Drug-related
Crime. You must identify and include supporting data indicating the
extent of drugs and drug-related crime problems in the developments
proposed for assistance under your program. HUD will consider the
extent and quality of the data provided. Examples of the data that
should be included in your application include:
(a) Surveys of residents and staff in your targeted developments
about drugs and drug-related crime or on-site reviews to determine
drug/crime activity;
(b) Government or scholarly studies or other research in the past
year that analyze drug-related crime activity in your targeted
developments.
(c) Annual vandalism cost at your targeted developments, to include
elevator vandalism (where appropriate) and other vandalism attributable
to drug-related crime as a ratio to total annual approved budget for
the targeted developments.
(d) Information from schools, health service providers, residents
and Federal, state, local, and tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime and the nature and frequency of these problems in
developments proposed for assistance. (These individuals may include
Federal, state, tribal, and local government law enforcement officials,
resident or community leaders, school officials, community medical
officials, drug abuse, treatment (dependency/remission) or counseling
professionals, or other social service providers).
(e) The school dropout rate and level of absenteeism for youth that
you can relate to drug-related crime as a percentage or ratio of the
rate outside the area.
(f) The number of lease terminations or evictions for drug-related
crime at the targeted developments; and
(g) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police departments and/or fire departments, emergency medical service
agencies and hospitals.
(h) The number of police calls for service from tribe/TDHE
developments that include resident initiated calls, officer-initiated
calls, domestic violence calls, drug distribution complaints, found
drug paraphernalia, gang activity, graffiti that reflects drugs or
gang-related activity, vandalism, drug arrests, and abandoned vehicles.
(2) (10 points) Objective Crime Data relevant to your target area.
To the extent that you can provide objective drug-related crime data
specific to the community or targeted development proposed for funding,
you will be awarded up to 10 points or up to a total of 5 points if
substantial information is provided as to why Objective Crime Data
could not be obtained. Objective Crime Data must include the most
current and specific local law enforcement crime statistics or Part I
Crime data and relevant Part II Crime data available from the FBI's
Uniform Crime Reporting Program (UCR) system. Part I Crimes include:
homicide; rape; robbery; aggravated assault; burglary; larceny; auto
theft; and arson. Part II drug-related crimes include: drug abuse
violations; simple assault; vandalism; and weapons violations. You may
also detail other crimes which you are proposing to be targeted as part
of your grant. In assessing this sub-factor, HUD will consider the
extent to which you provide specific statistical data (records, not
anecdotes) and the data's specificity to the targeted sites (e.g., data
specific to those targeted developments proposed for funding by crime
type versus tribal/TDHE-community or county-wide data by aggregated
crimes).
The objective crime data provided in your application will become a
``baseline'' tracking future changes in your crime rate.
If you did not provide objective crime data, please provide
information as to why objective crime data could not be obtained; the
efforts being made to obtain it; what efforts will be made during the
grant period to begin obtaining the data; and an explanation of how you
plan to measure how grant activities will result in reducing drug-
related crime in the targeted developments and what will be used as a
baseline.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (25
Points)
This factor examines the quality and effectiveness of your proposed
work plan. In rating this factor, HUD will consider the impact of your
activities on the drug and drug-related crime problems identified in
Factor 2, as appropriate, and the extent to which you identify
attainable goals, objectives, and performance measures to ensure that
tangible benefits can be attained by the community and by your target
population.
Your application must include a detailed narrative describing: each
proposed activity for your developments proposed for assistance; the
amount and extent of resources committed to each activity or service
proposed; measurable goals and objectives for all major program
activities that focus on outcome and results; and the process used to
collect the data needed to report progress made against these goals.
In evaluating this factor, HUD will consider the following:
(1) (5 points) The strength of your plan to address the drug-
related crime problem, and the problems associated with drug-related
crime in your developments proposed for funding, the resources
allocated, and how well the
[[Page 11971]]
proposed activities fit with the plan: The rationale for your proposed
activities and methods used including written, descriptive evidence
that proposed activities have been effective in similar circumstances
in controlling drug-related crime in your community.
(2) The extent to which you have:
(a) (5 points) Stated performance goals that will measure program
outcomes and designed your major activities to meet stated, measurable
goals and objectives for drug and drug-related crime reduction.
Outcomes include accomplishments, results, impact and the ultimate
effects of your program on the drug or crime problem in your target/
project area. The goals must be objective, quantifiable, and/or
qualitative and they must be stated in such a way that at the end of
the 24 month grant, one can determine if the activities were effective.
Specific crime reduction goals must be measurable. For example,
``eliminating or reducing crime and drug-related crime'' is not a
specific nor measurable goal, whereas a goal of ``reducing inhalant
sniffing etc. by 5% in development X by the end of the 24 month grant
period based on measurements against the baseline year crime selection
rate in the targeted development X as stated in the application'' is
specific and measurable.
(b) (5 points) Provided the actual baseline data which will
establish a starting point against which program outcomes will be
measured and stated expected results for all major grant activities
proposed in your application. For example: ``The total population in
community X is 1,400, we have 400 family units, 80% of the residents
are under 18 years of age, total drug arrests is 23, there is still a
lot of violence in our community and we want more programs to give
youth positive influences. We conducted a resident survey in 1999 and
100 residents responded. Approximately 75% of the residents had the
following concerns * * *''
(c) (5 points) Discussed what performance measurement system exists
for providing information to HUD semi-annually on progress made in
achieving the established outcome goals. For example: ``Unit of
measure: Number of youth participants with a 2.0 through a 2.9 grade-
point average (GPA). Community X met with residents to establish a
mentoring/tutoring program to assist youth. The following performance
indicators/outcomes measures was developed: 90% of participants
maintain a C average. The following types of records were maintained
during the course of the year: compilation of all GPAs for all
participants, semi-annual summary of GPAs for each participant based on
school report cards, monthly reports which included number of mentor/
tutor hours, number of participants for each session, and pre-post test
results for each participant.''
(3) (5 points) Provide evidence of existing youth programs and
activities in your community that reduce drug abuse among youth,
aftercare services for youth involved in the juvenile justice system,
social services for children with emotional and behavioral problems,
programs to reduce delinquency and gang participation, programs that
improve academic performance and reduce the dropout rate through the
use of mentors, drug and alcohol education activities, conflict
resolution and counseling sessions/programs that have been implemented.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community and
government resources that can be combined with HUD's program resources
to achieve program purposes.
In assessing this factor, HUD will consider the following:
(1) (5 points) Written evidence of firm commitment of funding,
staff, or in-kind resources, partnership agreements, and on-going or
planned cooperative efforts with law enforcement agencies, local,
state, tribal or national entities who have committed services through
a memoranda of understanding (MOU), or memorandum of agreements (MOA)
to participate. Such commitments must be signed by an official of the
organization legally able to make commitments for the organization.
This evidence of commitment must include organization name, resources,
and responsibilities of each participant to increase the effectiveness
of the proposed program activities. The signed, written agreement may
be contingent upon an applicant receiving a grant award. Commitments
can include interagency activities already undertaken, participation in
local, state, tribal or Federal anti-drug related crime efforts such
as: education, training and employment provision components of Welfare
Reform efforts which may include descriptions of tribal TANF plans and
participation in Native Employment Works (NEW) program, or any of the
following programs administered by the Department of Justice such as
Operation Weed and Seed, Community Oriented Policing Services Tribal
Resources Grant Program (COPS), Indian Tribal Courts, Drug-Free
Communities Support Program, Tribal Youth Program, Safe Start
Initiative, STOP Violence Against Indian Women Discretionary Grants and
Mental Health and Juvenile Justice Program.
(2) (5 points) Successful coordination of your law enforcement, or
other activities with local, state, Tribal or Federal law enforcement
agencies to foster meaningful collaborations and strengthen community
anti-drug coalition efforts to reduce drug abuse among youth and adults
and actions implemented to eradicate violent crime.
Letters from various agencies supporting the submission of your
IHDEP application do not constitute a letter for firm commitment. Firm
commitment must be demonstrated by these agencies with exact details of
the partnership between the applicant and the agency and/or provides a
commitment that specifically states the amount of funding, number of
staff committed and their roles and responsibilities and a description
of in-kind resources available for this project.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations and are working towards
addressing a need in a holistic and comprehensive manner through
linkages with other activities in your community. In evaluating this
factor, HUD will consider the extent to which you can demonstrate you
have:
(1) (5 points) Coordinated your proposed activities with those of
other groups or organizations prior to submission in order to best
complement, support and address the needs of your community as
identified in Rating Factor 2: Need/Extent of the Problem. Any firm
written agreements, MOUs/MOAs in place, or that will be in place after
award should be described and/or included.
(2) (2 points) Taken specific steps to become active in your
community's Indian Housing Block Grant process by providing written
evidence that you have addressed crime prevention and safety issues,
and that your proposed activities reflect the priorities, needs, goals
or objectives of crime prevention and safety in the Indian Housing Plan
(IHP). Written evidence could include a copy of your tribe's Crime
Prevention and Safety Plan that is included in your Indian Housing Plan
(IHP) or a written statement or letter from the tribal official stating
that the FY 2001 crime prevention and safety activities will be
implemented in coordination with activities outlined in the IHP.
[[Page 11972]]
(3) (1 point) Taken specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the IHP; and other Federal, state, tribal, or locally funded
activities, including those proposed, or on-going that will sustain a
comprehensive system to address the needs of your community.
(4) (1 point) Your application must describe what role residents in
your targeted developments, applicable community leaders and
organizations and law enforcement agencies have had in planning the
activities described in your application, what role they will have in
implementing such activities for the duration of your grant and how
services may be sustained beyond the grant term.
(5) (1 point) Your application must include a discussion and
written evidence (i.e. comments from residents, minutes from community
meetings) of the extent to which community representatives and tribal,
local, state and Federal Government officials, including law
enforcement agency officials were actively involved in the design and
implementation of your plan and will continue to be involved in
implementing such activities during and after the period of your IHDEP
funding.
VI. Application Submission Requirements
(A) You must submit the required IHDEP FY 2001 Application Kit that
contains all of the requisite forms in order to be considered for IHDEP
funding. Your application submitted to HUD must also include items
required under Section V. Application Selection Process, of this NOFA,
including the plan to address the problem of drug-related crime in the
developments proposed for funding. Please note that the address for
submitting applications has changed. Please see the Program Overview,
Section I., regarding the address for submitting applications.
(B) You must submit no more than one application per tribe or TDHE
on behalf of the tribe for the IHDEP. An application from a tribe will
supersede an application from a TDHE on behalf of that tribe. In
addition, joint applications that include more than one TDHE
representing the tribe are permitted only in those cases where they
have a single administration (such as a TDHE managing several tribes
under contract or TDHEs sharing a common executive director). In those
cases, a separate budget, plan and timetable, and unit count shall be
supplied in the application. In addition, you must respond to the
factors for award for each tribe/TDHE for which you are acting as
administrator and requesting funds, if your responses would be
different (e.g., the tribes are in different jurisdictions and,
therefore, the Indian Housing Plans, crime data, etc. would all be
different). The application kit includes the forms, certifications and
assurances required under this NOFA.
(C) To be considered eligible for review and scoring, each IHDEP
application must include the following items:
(1) An application cover letter.
(2) A summary of the proposed program activities in five (5)
sentences or less on the Congressional Notification Form.
(3) A list of the sub-grantees, if applicable. The list must
include the names of the sub-grantees, as well as the relative roles
and contributions of each sub-grantee in implementing the IHDEP grant
activities (Factor 1).
(4) An overall budget and timetable that includes separate budgets,
goals, and timetables for each activity, and addresses milestones
towards achieving each described goal. You must also describe the
contributions and implementation responsibilities of each partner for
each activity, goal, and milestone.
(5) A description of the number of staff, the titles, professional
qualifications, and respective roles of the staff assigned full or
part-time to grant implementation. (Factor 1)
(6) Lines of accountability (including an organization chart) for
implementing the grant activity, coordinating the partnership, and
assuring that the commitment made by you and your sub-grantees, if any,
will be met. (Rating Factor 1)
(7) A list of open IHDEP grants, the grant amount and amount
expended as of the date of this application.
(8) A narrative of the plan that will address the problem of drug-
related crime in the developments proposed for funding. (Rating Factor
3)
(9) Narrative responses to each of the five Rating Factors and
their sub-factors in this NOFA: (1) Capacity of the Applicant and
relevant organizational Experience, (2) Need/Extent of the Problem, (3)
Soundness of Approach, (4) Leveraging Resources and (5)
Comprehensiveness and Coordination.
(10) You must also include the following forms which are included
in the FY 2001 IHDEP Application Kit:
FY 2001 IHDEP Applicant Data Input Form,
Application Cover Letter,
Project Summary--Congressional Notification Information Sheet,
Implementation Schedule,
Standard Form--424, Application for Federal Assistance,
Form HUD 424--M, Federal Assistance Funding Matrix,
Standard Form--424A, Budget Information (non-construction programs),
Standard Form--424B, Assurances (non-construction programs),
FY 2001 IHDEP Summary Budget Information,
Form HUD-2880, Applicant/Recipient Disclosure/Update Report,
Form HUD-50070, Drug-Free Workplace Certification,
Form HUD-50071, Lobbying Certification,
SF-LLL Disclosure of Lobbying Activities Certification,
Form HUD-2992, Certification of Debarment and Suspension,
Certification of Consistency with the Indian Housing Plan, and
Certification of Resident Management Corporations, Resident
Organizations and Residents Acknowledgment of Application Receipt.
VII. Clarifying Information
After the application due date, HUD may not, consistent with its
regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you, however, to clarify an item in your application. You should note,
however, that HUD may not seek clarification of items or responses that
improve the substantive quality of your response to any selection
factors. HUD will make any requests for clarifying information in
writing and will specify the item, or items, that need clarification
and a time frame for response. Failure on your part to provide such
requested information will result in the rejection of the application.
VIII. Correction of Technical Deficiencies
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications. Additionally, please note that
as indicated under Section V.(A)(3), only successful applicants will be
required to address technical deficiencies and this must be done before
we make a grant award. If you do not provide the information necessary
to address the deficiency within the time allowed, we will not award
you the grant and will reject your application. The AONAP will notify
you in writing and will describe the technical deficiency, what
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must be done to correct it, and the date by which you must submit this
information. The AONAP will notify you by facsimile or by return
receipt requested. Your response must be submitted (postmarked) within
14 calendar days from the date of receipt of the HUD notification.
IX. Error and Appeals
Judgments made within the provisions of this NOFA and the program
regulations (24 CFR 761) are not subject to claims of error. You may
bring arithmetic errors in the rating and ranking of applications to
the attention of the AONAP Administrator within 30 days of being
informed of your score. If an arithmetic error was made in the
application review and rating process that, when corrected, would
result in the award of sufficient points to warrant the funding of an
otherwise approvable project, the AONAP may fund that project in the
next funding round without further competition.
X. Environmental Requirements
Certain eligible activities under this IHDEP NOFA are categorically
excluded from review under the National Environmental Policy Act of
1969 (42 U.S.C. 4321) and are not subject to review under related laws,
in accordance with 24 CFR 50.19(b)(4), (b)(12), or (b)(13). If the
IHDEP application proposes the use of grant funds to assist any non-
exempt activities, HUD will perform an environmental review to the
extent required by 24 CFR part 50, prior to grant award.
XI. Authority
Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988
(42 U.S.C. 11901 et seq.), as amended.
Appendix A--Required Forms and Certifications
The non-standard forms, which follow this checklist, are
required for your application (the standards form follow the General
Section).
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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[[Page 11987]]
FUNDING AVAILABILITY FOR THE NEW APPROACH ANTI-DRUG PROGRAM PROGRAM
OVERVIEW
Purpose of the Program. The purpose of the New Approach to Anti-
Drug Program is to provide funding to owners of certain housing
developments to: (1) augment security; (2) assist in the investigation
and prosecution of drug-related criminal activity in and around the
housing developments; and (3) provide for the development of capital
improvements directly relating to enhancing the security of the
developments. Through these grants, HUD is taking a comprehensive
neighborhood/community-based approach to crime prevention.
Available Funds. Approximately $20 million.
Eligible Applicants. Eligible applicants include: units of general
local government, public housing agencies (PHAs), Indian tribes or
Tribally Designated Housing Entities (TDHEs), and owners of assisted
housing developments. To be an eligible applicant, you must be (1) an
owner of an assisted housing development, as defined in this program
section of the SuperNOFA; (2) a unit of general local government that
operates an assisted housing development; or (3) PHA, TDHE, or an
Indian tribe that owns a development with project-based Section 8
assistance, as defined in the U.S. Housing Act of 1937, whose
development is included in the proposed plan and is located in the
``project area'' targeted to receive grant funds.
Application Deadline. June 19, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
two copies) is due on or before 6:00 pm, local time on June 19, 2001,
at your local HUD Field Office.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your completed
application on or before the application deadline at the local HUD
Field Office. Please address your application to the Director,
Multifamily Housing Hub, Program Center in your local HUD Field Office
or, in the case of the Native American population, to the local HUD
Administrator, Area Offices of Native American Programs (AONAPs), as
appropriate. See Appendix A to the Drug Elimination Grants for
Multifamily Low Income Housing program section of the SuperNOFA and
Appendix A to the General Section of the SuperNOFA for lists of local
HUD Field Offices.
For Application Kits. For an application kit and any supplemental
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. When requesting an application kit, please refer to the New
Approach Anti-Drug Program, and provide your name, address (including
zip code) and telephone number (including area code). Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. An application kit also will be available on the Internet
through the HUD web site at http://www.HUD.gov.
For Further Information and Technical Assistance. Your local HUD
Field Office staff will be able to answer your question(s) regarding
this program section of the SuperNOFA and/or your application kit. If
however, the Field staff is unable to answer your question(s), please
contact Alicia Anderson, Program Analysts, Office of Housing Assistance
and Grant Administration, U.S. Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 6146, Washington, DC 20410;
(202) 708-2866, extension 5787 or email [email protected]. If you
are hearing or speech impaired, you may access this number via TTY by
calling the Federal information Relay Services at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
(A) Available Funding. Approximately $20 million is available for
funding under the New Approach Anti-Drug Program, as provided in the FY
2001 HUD Appropriations Act.
The fair share allocation formula used for this program is based on
the number of project-based assisted housing units within each HUD
Multifamily Hub Office as a percentage of the total number of project-
based assisted housing units for the United States as a whole
(including Puerto Rico, the Virgin Island, and the Pacific Islands).
Based on the aforementioned formula, the following chart details
the New Approach to Anti-Drug Program grant funds fair share allocation
to each of the 18 Multifamily Hubs:
Fiscal Year 2001 Fair Share Allocations for the New Approach to Anti-
Drug Program
------------------------------------------------------------------------
Grant
HUB authority
------------------------------------------------------------------------
Boston.................................................. $1,426,069
Buffalo................................................. 378,535
New York *.............................................. 1,793,623
Philadelphia............................................ 1,886,327
Baltimore............................................... 1,047,633
Greensboro.............................................. 754,938
Atlanta................................................. 2,127,040
Jacksonville............................................ 1,343,238
Chicago................................................. 1,463,479
Columbus................................................ 978,706
Detroit................................................. 731,901
Minneapolis............................................. 750,821
Fort Worth **........................................... 1,648,418
Kansas City............................................. 1,076,022
Denver.................................................. 526,228
San Francisco........................................... 936,294
Los Angeles............................................. 629,490
Seattle................................................. 501,238
---------------
Total............................................... 20,000,000
------------------------------------------------------------------------
* This amount includes Grant Authority of $27,000 to fund the New York
Society for the Deaf.
** This amount includes Grant Authority of $51,032 to fund the Garden
City Apartments. Since funding for both applicants were reduced in
FY2000 due to HUD error, the applications will be funded from the
FY2001 allocation to the applicable Hub.
(B) Maximum Grant Award. The maximum grant award amount is limited
to $250,000 per application. The amount of funding requested must be
within this maximum grant award.
(C) Reduction of Requested Grant Amounts. You may be awarded an
amount less than requested if:
(1) HUD determines that some elements of the proposed action plan
are ineligible for funding;
(2) HUD determines the amount requested for an eligible activity
and/or any budget line item is not cost effective;
(3) Insufficient amounts remain under the allocation to fund the
full amount you requested, and HUD determines that partial funding is a
viable option; or
(4) HUD determines that a reduced grant would prevent duplicative
Federal funding.
[[Page 11988]]
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description
(1) Purpose. The purpose of these competitive grants is to assist
entities managing or operating Federally assisted multifamily housing
developments, Public and Indian housing developments (including those
Indian housing units formerly defined as public housing under section 3
of the U.S. Housing Act of 1937 and now counted as current assisted
stock under the Indian Housing Block Grant Program), or other
multifamily-housing developments for low-income families supported by
non-Federal governmental housing entities or similar housing
developments supported by nonprofit private sources, to augment
security (including personnel costs), in an effort to solve security
problems in the long-term; assist in the investigation and/or
prosecution of drug-related criminal activity in and around such
developments; and provide for capital improvements that comprehensively
enhance security at these developments.
Drug- and crime-fighting activities, if only directed to a single
assisted housing development, may have the unfortunate effect of simply
moving the problem to nearby housing and businesses. The long term
solution to the crime problems of assisted housing developments and
their surrounding neighborhoods rest in a comprehensive approach that
changes the conditions--and the culture that exists. HUD believes that
crime fighting efforts are most effective when partnering takes place
with law-enforcement agencies at various levels and with a full range
of community stakeholders (such as PHAs and TDHEs). Therefore, to
address crime in a comprehensive manner to receive funding, you must
take the following actions:
(a) Have a subgrantee or subrecipient relationship with the local
police department and the local district attorney or prosecutor's
office. If the local police department, local district attorney, or
prosecutor's office does not have the legal authority to accept program
funds or enter into a binding agreement with you, then you must provide
funds through the unit of general local government--city or county.
(b) Enter into partnerships with the owners of, and resident
organizations in, assisted housing developments that receive grant
funds from you. Multifamily housing developments that may lack the
ability to oversee grant functions may delegate this task to a public
housing authority or TDHE by making them a ``fiduciary agent'', by
signed agreement, which must be part of the application.
(c) Encourage other neighborhood based entities to participate in
your program of activities through partnership arrangements. Such
entities are community residents; neighborhood businesses; and non-
profit providers of support services, including faith-based
organizations and their affiliates.
(2) Implementation Principles. HUD has established the following
principles in implementing the New Approach Anti-Drug Program Grants:
(a) Comprehensive Approach. With these grants, HUD is taking a
comprehensive neighborhood/community-based approach to crime. The long
term solution to the crime problems of assisted housing developments
and their surrounding neighborhoods rests in changing the conditions--
and the culture that exists.
(b) Required Partnerships. You will be required to demonstrate that
partnerships have been formed with units of general local government,
the local police department, and the local district attorney or
prosecutor's office. You must also form partnerships with the following
entities, if they are to receive funding from you:
(i) Owners of assisted housing developments in the targeted
neighborhood, and
(ii) Resident organizations of these assisted housing developments.
(c) Encouraging Partnerships. HUD encourages the use of effective
working partnerships in new locations to leverage the many Federal
resources that are available to eliminate crime in and around public
and assisted housing developments through the Drug Elimination Grant,
Operation Safe Home, and Weed and Seed programs; and partnering with
the U.S. Attorney's Office, the Federal Bureau of Investigation, and
the Drug Enforcement Agency. HUD now wishes to encourage these
successful partnerships to address similar problems in and around
privately-owned, Federally assisted housing. In addition to providing
points for applications which have established these partnerships, HUD
requires that at least one project in each targeted neighborhood be
multifamily housing with either:
(i) A HUD-insured, held, or direct mortgage and Rental Assistance
Payments (RAP), Rent Supplement, or interest reduction payments, or
(ii) Section 8 project-based assistance with or without HUD
interest in the project mortgage.
This emphasis on HUD assisted privately-owned housing does not
negate the eligibility of other low-income housing developments
assisted by Federal, State, and local government, and not-for-profit
sources to apply for the New Approach Anti-Drug Program. By awarding
points for neighborhoods with high concentrations of assisted housing,
HUD is encouraging you to address the needs of multiple assisted
housing developments which may consist of a mix of ownership types and
subsidy sources.
(d) Complying with Civil Rights Requirements. With the very real
need to protect occupants of HUD-sponsored housing and the areas around
the housing, the civil rights of all citizens must be protected. Your
proposed strategies should be developed to ensure that crime-fighting
and drug prevention activities are not undertaken in such a manner that
civil rights or fair housing statutes are violated. Profiling on any
prohibited basis is not allowed. In addition, all segments of the
population should be represented in developing and implementing crime-
fighting strategies.
(e) Coordination with Other Law Enforcement Efforts. In addition to
working closely with residents and local governing bodies, it is
critically important that owners establish ongoing working
relationships with Federal, State, and local law enforcement agencies
in their efforts to address crime and violence in and around their
housing developments. HUD firmly believes that the war on crime and
violence in assisted housing can only be won through the concerted and
cooperative efforts of owners and law enforcement agencies working
together in cooperation with residents and local governing bodies. HUD
encourages owners to participate in Departmental and other Federal law
enforcement agencies' programs such as: Operation Safe Home, Operation
Weed and Seed through the Department of Justice and the Safe
Neighborhood Action Program (SNAP). The use of New Approach Anti-Drug
funds, however, must be part of a comprehensive approach. These funds
may indirectly support other Federal law enforcement activities
provided that use is consistent with the comprehensive approach.
(f) Safe Neighborhood Action Program (SNAP) Grants. (i) The New
Approach Anti-Drug Program was formerly known as the Safe Neighborhood
Action Program, announced June 12, 1994 by HUD, the National Assisted
Housing Management Association (NAHMA), and the U.S. Conference of
Mayors (USCM). The New Approach Anti-Drug Program was expanded from the
SNAP Program to include funds to augment
[[Page 11989]]
security; assist in the investigation and prosecution of drug related
criminal activity in and around the housing developments; and provide
for the development of capital improvements directly related to the
security of the developments. SNAP is an anti-crime and empowerment
strategies initiative in HUD assisted housing neighborhoods in 14 SNAP
cities. The major thrust of SNAP is the formation of local partnerships
in 14 targeted cities where ideas and resources from government, owners
and managers of assisted housing, residents, service providers, law
enforcement officials, and other community groups are used to meet to
work on innovative, neighborhood anti-crime strategies.
(ii) There is no funding associated with SNAP, which relies on
existing ideas and resources of the participants. Some common
initiatives from these SNAP teams have included the following:
community policing, crime watch programs, tenant selection policies,
leadership training, individual development or job skills training,
expansion of youth activities, police tip line or form, community
centers, anti-gang initiatives, police training for security officers,
environmental improvements, and a needs assessment survey to determine
community needs.
(iii) In addition, a HUD-sponsored initiative to increase the
presence of AmeriCorps' Volunteers in Service to America (VISTAs) in
assisted housing units has led to the placement of 25 VISTAs on 12 SNAP
teams. The AmeriCorps VISTA program, which incorporates a theme of
working within the community to find solutions to community needs, has
provided additional technical assistance to the SNAP teams.
(iv) The cities participating in the SNAP initiative include:
Atlanta, GA; Boston, Mass; Denver, CO; Houston, TX; Newark, NJ;
Philadelphia, PA; Baltimore, MD; Columbus, OH; Detroit, MI; Los
Angeles, CA; New Orleans, LA; Little Rock and North Little Rock, AR;
Richmond, VA; and Washington, DC.
(3) Definitions. Assisted Housing Development. For purposes of this
program, the term ``assisted housing development'' means five or more
dwelling units in a building or five or more adjoining, adjacent, or
scattered site (within a single neighborhood) dwelling units, having
common ownership and project identity. Some or all of the units must be
receiving a project-based subsidy from a unit of government at the
Federal, State, or local level, or from a private nonprofit entity.
This subsidy must be associated with a requirement and/or contractual
agreement that all or a portion of the units be occupied by households
with incomes at or below those of families at the low-income limit as
defined by the United States Housing Act of 1937.
Assisted Housing Unit. For purposes of this program, the term
``assisted housing unit'' means a unit within an assisted housing
development for which occupancy is restricted to households with
incomes at or below that of ``low-income families'' as defined by the
U.S. Housing Act of 1937, and rents are restricted to amounts that the
owner/operator entity determines to be affordable.
Augmented Services. For purposes of this program, augmented
services are activities which exceed current levels of services or
``baseline'' services provided by any other parties signing the
memorandum of understanding required for this program.
Drug-related crime. For purposes of this New Approach Anti-Drug
Program, the term ``drug-related crime'' means drug-related crime as
defined in 42 U.S.C. 11905(2) and Part I Crime and Part II Crime as
defined by the Uniform Crime Reporting System.
Eligible project area. For purposes of the New Approach Anti-Drug
Program, the term ``neighborhood'' means a geographic area within a
jurisdiction of a unit of general local government designated in
comprehensive plans, ordinances, or other local documents as a
neighborhood, village, or similar geographical designation. If,
however, the unit of general local government has a population of less
than 25,000 persons, then ``neighborhood'' means the entire
jurisdiction of the unit of general local government. A project area
must include at least one assisted housing development under:
(i) Section 221(d)(3), section 221(d)(4), or section 236 of the
National Housing Act (12 U.S.C. 1715l, 1715z-1), provided that such
development has been provided a Below Market Interest Rate mortgage,
interest reduction payments, or project-based assistance under Rent
Supplement, Rental Assistance Payments (RAP) or Section 8 programs. An
FHA-insured project that has no project-based subsidy does not qualify
as an assisted housing unit for eligibility even if it houses tenants
receiving tenant-based assistance, such as Section 8 rental vouchers or
certificates.
(ii) Section 101 of the Housing and Urban Development Act of 1965
(12 U.S.C. 1701s); or
(iii) Section 8 of the United States Housing Act of 1937 (42 U.S.C.
1437f). This includes housing with project-based Section 8 assistance,
whether or not the mortgage was insured by HUD-FHA. This does not
include projects which receive only Section 8 tenant-based assistance
(i.e., certificates or vouchers).
Project-based Subsidies. For purposes of this program, the term
``project-based subsidies'' means financial assistance that is
initially designated and assigned by the funding source specifically
for the project rather than to eligible assisted resident households
who might also benefit from these subsidies, and provided on a one time
up-front or on a periodic basis to the project or its owner to write
down, subsidize, or waive project development costs, costs of
financing, project operating costs (which include but are not limited
to the following types of expenses: utilities, taxes, fees, maintenance
and debt service payments), owner taxes, unit rent levels, or tenant
rent payments.
(B) Eligible Applicants
(1) General. (a) Eligible applicants are as follows:
(i) The owner of an assisted housing development. See definition in
Section III (A)(3) of this program section of the SuperNOFA. If you are
a unit of general local government you do not need to be the owner, but
must be the operator of such housing (A TDHE is not a unit of general
local government.);
(ii) The owner of an assisted housing development that is assisted
by a non-Federal governmental entity or similar housing development
supported by nonprofit sources. If you are a unit of general local
government, you do not need to be the owner, but must be the operator
of such housing;
(iii) PHAs, TDHEs, and Indian tribes are eligible applicants if
they own a development with project-based Section 8 assistance, as
defined in the U.S. Housing Act of 1937, and that development is
included in the proposed plan and is located in the ``project area''
targeted to receive grant funds. If you do not own such an assisted
housing development, you may still participate in the New Approach
Anti-Drug Program as a subgrantee or subrecipient of an eligible
applicant; or
(b) The development that makes you eligible must be in the
neighborhood to be assisted; and You may not have any outstanding
findings of civil rights violations. (See Section II(B) of the General
Section of this SuperNOFA.)
If your eligibility status changes during the course of the grant
term, thus making you ineligible to receive this grant, HUD reserves
the right to terminate your grant.
[[Page 11990]]
(2) Lead Applicant. Two or more eligible applicants may file a
joint application. If filing jointly, you must designate one entity to
be the lead applicant. The lead applicant will be the grantee if HUD
funds your application.
(3) Memorandum of Understanding. You must include with your
application a Memorandum of Understanding (MOU) that you have entered
into with each required party. (See Section III(B) of this program
section of the SuperNOFA). A draft MOU may be acceptable provided a
detailed explanation of why a fully ratified MOU is not being presented
in your application. You must indicate that the draft MOU is contingent
upon HUD funding the grant. In addition, written commitment from the
proposed MOU partners must be included in your grant application. If a
draft MOU is submitted in the grant application, the finalized MOU must
be submitted to the local HUD Field Office within 15 calendar days
after HUD's announcement of the award. The finalized MOU must be
exactly the same as the draft MOU included in your application.
(4) Required Parties to the MOU. In order to receive full points in
the applicable Rating Factor for a New Approach Anti-Drug grant:
(a) You MUST sign a MOU that provides funds through a subgrantee or
subrecipient relationship with the following two entities:
(i) The local police department; and
(ii) The local prosecutor's office (district attorney).
(b) The two parties signing the MOU must have the legal authority
to enter into a binding agreement with you. These two entities must
have jurisdiction in your project area.
(5) Content of MOU. This MOU must commit these entities to actively
support the grant project in partnership with you. The MOU must also
describe:
(a) The level of current services (baseline) being provided by
these entities;
(b) The level of services above this baseline which the entities
are committed to providing in support of your grant;
(c) The amount of time to be devoted to the activities by each
party;
(d) The skills each party brings to assist in implementation of
your specific action plan activities.
Your MOU will be taken into account in reviewing and rating your
application, so you should strive to be as specific as possible in your
MOU document.
(6) Partnerships are encouraged. We encourage you to partner with
other appropriate neighborhood and community stakeholders, including:
neighborhood businesses and business associations; nonprofit service
providers; neighborhood resident associations; and faith communities or
religious institutions. You are encouraged to enter into MOUs with
these entities; however, an MOU is not required.
(C) Eligible Project Areas
(1) HUD will award one grant per project neighborhood. The project
area must be a ``neighborhood.''
(2) The project area must include at least one assisted housing
development. See definition in Section III(A)(1) of this program
section of the SuperNOFA.
(3) You must provide documentation of the population used to define
eligibility as a neighborhood. The documentation may include census
data or documentation provided by local government officials or by
HUD's Community 2020 program, available by calling 1-800-998-9999
(there may be a charge to you for this information).
(D) Eligible Activities
The following is a listing of eligible activities under this
program and guidance as to their parameters:
(1) Augmenting Security (Including Personnel).
(a) General. You must document in your MOU(s) all security services
above baseline established in your MOU. Anyone providing augmented
security services must have liability insurance, be licensed, and
trained in Fair Housing and other Civil Rights requirements arising out
of their role in providing security services.
(b) Baseline Services. Additional security services are permitted
but must be over and above the local police department's current level
of baseline services. If you are seeking funding for augmenting
security, you must describe the local police department's current level
of baseline services to the neighborhood (including ordinary and
routine services, patrols, police officer responses to 911
communications and other calls for services, and investigative follow-
up of criminal activity). Your description of baseline services must
include the number of officers on a per unit per hour basis, or the
actual percentage of their time assigned to the development(s) proposed
for funding. For a proposed activity to be considered eligible as an
augmented security activity, you must demonstrate to what extent the
proposed funded activity will represent an increase over and above the
baseline. Funding is permitted for reasonable, necessary, and justified
leasing of vehicles or any other equipment associated with the
augmentation of security services.
(c) Police Presence. You may reimburse local law enforcement
entities for the costs of additional police presence (police salaries
and other expenses directly related to additional police presence or
security that is over and above baseline services) in and around
assisted housing developments in the neighborhood. Of the funds devoted
to additional police presence, at least 70 percent of such reimbursed
costs must be for police presence in assisted housing developments
served and the remaining 30 percent must be for police presence around
the assisted housing neighborhood area.
HUD is strongly encouraging that additional law enforcement in the
assisted housing developments and surrounding neighborhoods be targeted
to implementing an overall proactive crime fighting strategy, rather
than merely responding to crime emergencies. Two potentially effective
anti-crime strategies that can benefit from additional police presence
are:
(i) Combined multi-agency task force initiatives, in which local
and Federal law enforcement agencies pool resources, first, to
infiltrate organizations that promote violent and/or drug-related crime
in the neighborhood and, second, to initiate strategic and coordinated
mass arrests to break up these organizations; and
(ii) Community policing (i.e., sustained proactive police presence
in the development or neighborhood, often conducted from an on site
substation or mini-station, that involves crime prevention, citizen
involvement, and other community service activities, as well as
traditional law enforcement).
If reimbursement is provided for community policing activities that
are committed to occur over a period of at least 3 years and/or are
conducted from a police substation or administration within the
neighborhood, the costs during the grant period of constructing such a
station or of equipping the substation with communications and security
equipment to improve the collection, analysis and use of information
about criminal activities in the properties and the neighborhood may be
reimbursed.
(d) Security Services Provided by Other Entities (such as the Owner
of an Assisted Housing Development).
(i) The activities of any contract security personnel funded under
this Program must be coordinated with other law enforcement and crime
prevention efforts under your proposed action plan. You must describe
in your action plan your efforts to achieve this coordination.
[[Page 11991]]
The coordination efforts must include frequent periodic scheduled
meetings of security personnel with housing project management and
residents, local police and, as appropriate, with other public law
enforcement personnel, neighboring residents, landlords, and other
neighborhood stakeholders. Any contract security personnel funded under
this Program must meet State and local licensing requirements.
(ii) You may only contract with a security service provider that
has a policy manual that directs the activities of its personnel and
contains the policies, procedures, and general orders that regulate
conduct and describe in detail how jobs are to be performed.
(2) Enhancing the Investigation and Prosecution of Drug-Related
Crime.
(a) Reimbursement of State and Local Law Enforcement Agencies. As
the grantee, you may reimburse local or State prosecuting offices and
related public agencies for activities, other than salaries or
ineligible activities in Section III(G) of this program section of the
SuperNOFA, related to the prosecution or investigation of crime
committed in the neighborhood identified in your application. These
costs are subject to a cost reimbursement agreement. Reimbursement must
be for costs over and above what the office or agency incurred for such
purposes for crimes committed in the same neighborhood during the
period equal in length and immediately before the period of
reimbursement. For any grant, at least 70 percent of reimbursed costs
must be in connection with crimes committed in and around the assisted
housing developments and the remainder of reimbursed costs directly
related to crime committed within the neighborhood.
(b) Hiring of Private Investigator Services. You may use grant
funds to hire private investigator services to investigate crime in and
around an assisted housing development and the surrounding
neighborhood. You must explain why local law enforcement services are
inadequate and justify the need for hiring private investigator
services.
(3) Capital Improvements to Enhance Security. You may use grant
funds for capital improvements to enhance security. You should,
however, consider using other sources of funding for this purpose.
These improvements must be accessible to persons with disabilities and
must meet the accessibility requirements of 24 CFR part 8,
Nondiscrimination Based on Handicap in Federally Assisted Programs and
Activities of the Department of Housing and Urban Development. For
example, locks or buzzer systems that are not accessible to people with
restricted or impaired strength, mobility, or hearing may not be funded
by your grant. Capital improvements to implement defensible space
concepts in the design and implementation of your enhanced security
measures are eligible provided such design elements permit
accessibility and visibility by persons with disabilities. Capital
improvements to enhance security or crime prevention through
environmental design must comply with civil rights requirements and
cannot exclude or segregate persons based upon their race, color, or
national origin from benefits, services, and other terms and conditions
of housing. Under Rating Factor 3, ``Quality of Plan'', HUD will reward
capital improvements to enhance the security of an entire neighborhood
as opposed to specific projects at the expense of other dwellings in
the neighborhood. The capital improvements may include, but are not
limited to:
(a) New construction or rehabilitation of structures housing police
substations or mini-stations;
(b) Installation of barriers (including speed bumps and fences) and
appropriate use of close circuit television (CCTV), provided that the
barriers make reasonable accommodations for persons with disabilities;
(c) Improved door or window security such as locks, bolts, or bars;
(d) Landscaping or other reconfiguration of common areas to
discourage drug-related criminal activities; and
(e) Establishment of a Neighborhood Networks center and augmenting
existing centers. Up to $35,000 of the grant funds awarded by HUD may
be used towards developing and establishing a new Neighborhood Network
center.
If there is an established Neighborhood Networks center you may
include up to $25,000 for the center for further crime prevention
activities, such as additional mentoring and/or tutorial education
programs, improving job skill programs, and home buyer education. Other
crime prevention activities may include, but are not limited to,
resident participation in law enforcement community outreach activities
such as Drug Abuse Resistance Education (DARE) days and the local
office of the FBI's Race Against Drugs activities, etc. The
aforementioned monetary limitations only apply to funds from the New
Approach Anti-Drug Program. Additional funds may be obtained from other
sources. No grant funds will be approved for expenditure until the
local HUD Field Office approves the Neighborhood Network business plan
for the Neighborhood Networks center. A sample of the Neighborhood
Network business plan may be found on the Neighborhood Networks web
page at www.neighborhoodnetworks.org.
(E) Ineligible Activities. In addition to the ineligible activities
mentioned elsewhere in this program section of the SuperNOFA, New
Approach Anti-Drug Program Grant funding is not permitted for any of
the activities listed below, unless otherwise specified in this program
section of the SuperNOFA:
(1) Drug abuse treatment or intervention activities;
(2) Costs incurred before the effective date of the grant
agreement, including but not limited to consultant fees related to the
development of your application or the actual writing of your
application;
(3) Funding of any form of controlled substances for any purpose.
Controlled substance has the meaning provided in section 102 of the
Controlled Substance Act (21 U.S.C. 802);
(4) Purchase of motorized vehicles for any purpose;
(5) Funding of any form of weaponry for any purpose;
(6) Funding of any form of tenant patrols;
(7) Compensating informants, including confidential informants.
These should be part of the baseline services provided and budgeted by
local law enforcement agencies;
(8) Although participation in activities with Federal drug
interdiction or drug enforcement agencies is encouraged, these grant
funds may not be transferred to any Federal agency.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements. These requirements apply to all activities, programs, or
functions used to plan, budget, implement, and evaluate the work funded
under this program.
(A) Grant Agreement. After applications have been ranked and
selected, HUD and a successful applicant will enter into a grant
agreement setting forth the amount of the grant, the physical
improvements or other eligible activities to be undertaken, financial
controls, and special conditions, including sanctions for violation of
the agreement. The Grant Agreement will incorporate your HUD approved
application as may be amended by any special condition in the Grant
Agreement. HUD will monitor your grant using your Grant Agreement
[[Page 11992]]
to ensure that you have achieved commitments set out in your approved
grant agreement. Failure to honor such commitments would be the basis
for HUD determining your default of the Grant Agreement, and exercising
available sanctions, including grant suspension, termination, and/or
the recapture of your grant funds.
(B) Requirements Governing Grant Administration, Audits and Cost
Principles. The policies, guidelines, and requirements of this program
section of the SuperNOFA, 48 CFR part 31, 24 CFR parts 44, 45, 84, 85,
and/or 761.40, OMB Circulars A-87 and/or A-122, other applicable
administrative, audit, and cost principles and requirements, and the
terms of grant/special conditions and subgrant agreements apply to your
acceptance and use of funds. The requirements cited above, as
applicable, must be followed in determining procedures and practices
related to the separate accounting of grant funds from other grant
sources, personnel compensation, travel, procurement, the timing of
drawdowns, the reasonableness and allocation of costs, audits,
reporting and closet, budgeting, and preventing conflict of interests
or duplicative charging of identical costs to two different funding
sources. Federal labor standard provisions are applicable when grant
funds are used to undertake physical improvements to increase security.
All costs must be reasonable and necessary.
(C) Term of Grant. Your grant funds must be expended within 24
months after HUD executes a Grant Agreement with you. There will be no
extensions or waivers of this grant term. Any remaining grant funds
will be recaptured.
(D) Subgrants and Subcontracting. (1) In accordance with your
approved grant agreement, you may directly undertake any of the
eligible activities under this program section of the SuperNOFA, you
may contract with a qualified third party, or you may make a subgrant
to any entity approved by HUD as a member of the partnership, provided
such entity is a unit of government, a prosecutor's office, a police
department or a TDHE; is incorporated as a not-for-profit organization;
or is an incorporated for-profit entity that owns and/or manages an
assisted housing project benefiting from the grant. Multifamily housing
agents/owners are authorized to make a PHA or THDE their Fiduciary
Agent, if the PHA and/or the THDE has the capacity to implement,
oversee and close out the grant activities. Resident groups that are
not incorporated may participate in the implementation of the program,
but may not receive funds as subgrantees. For-profit organizations
other than owners or managers of an assisted housing development
benefiting from the grant that have been approved by HUD as part of the
partnership may only receive grant funds subject to the applicable
Federal procurement procedures (See 24 CFR parts 84 or 85).
(2) Subgrants may be made only under a written agreement executed
between you, the grantee, and your subgrantee. The agreement must
include a program budget that is acceptable to you, and that is
consistent with the eligible activities and requirements. The agreement
must require the subgrantee to permit you to inspect your subgrantee's
work and to follow applicable OMB and HUD administrative requirements,
audit requirements, and cost principles, including those related to
procurement, drawdown of funds for immediate use only, and accounting
for the use of grant funds and implementation of program activities. In
addition, your subgrant must describe the nature of the activities to
be undertaken by the subgrantee, the scope of the subgrantee's
authority, and the amount of any insurance to be carried by you and the
subgrantee to protect your respective interests.
(3) You are responsible for monitoring, and for providing technical
assistance to, any subgrantee to ensure compliance with applicable HUD
and OMB requirements. You must also ensure that subgrantees have
appropriate insurance liability coverage.
(E) Ineligible Contractors. The provisions of 24 CFR part 24
relating to the employment, engagement of services, awarding of
contracts or funding of any contractors or subcontractors during any
period of debarment, suspension, or placement in ineligibility status
apply to this grant.
(F) Section 3 Economic Opportunity. See Section II(E) of the
General Section of the SuperNOFA. The requirements of section 3 of the
Housing and Urban Development Act of 1968 may apply to some of the
activities that may be funded under this program section of the
SuperNOFA.
(G) Drawdown of Grant Funds. You will be required to access your
grant funds through HUD's Line of Credit Control System--Voice Response
System (LOCS/VRS) in accordance with procedures for minimizing the time
lapsing between drawdowns and use of funds for eligible purposes as
described in 24 CFR parts 84 and/or 85, as applicable. If HUD changes
the procedures for the draw of grant funds, HUD will notify you through
the issuance of a grant amendment.
(H) Reports and Closeout. If you receive a grant, you will be
required to submit to HUD a semi-annual progress report (Form 269). The
narrative of the Form 269 must be sent in a format prescribed by HUD
that indicates program expenditures and measures performance in
achieving goals. At grant completion, you will be required to
participate in a closeout process which shall include a final report in
a format prescribed by HUD that reports final program expenditures and
measures performance in achieving program goals. Closeout will
culminate in a closeout agreement between you and HUD and, when
appropriate, in the return of grant funds which have not been expended
in accordance with applicable requirements, or which may be remaining
after all activities have been completed and paid for.
(I) Suspension or Termination of Funding. HUD may suspend or
terminate funding if you fail to undertake the approved program
activities on a timely basis in accordance with your grant agreement,
adhere to grant agreement requirements or special conditions, or submit
timely and accurate reports.
(J) Affirmatively Furthering Fair Housing. You must address Section
II(D) of the General Section of the SuperNOFA. You must also reference
the certifications listed in Section II (G) the General section of the
SuperNOFA.
V. Application Selection Process
(A) Ranking and Selection Procedures. Your application can only be
rated if you are an eligible applicant and you are in compliance with
the requirements of the General Section of the SuperNOFA.
(1) All applications will be evaluated competitvely and ranked
against applications in the same Field Office. Only those applications
that have a base score of at least 70 points (excluding the EZ/EC and
Dallas bonus points) will be eligible for selection and will be placed
in ranked order.
(2) This year HUD will distribute funds to each Multifamily Housing
Hub Office based on the fair share allocation formula. (See Section II-
A for a thoroughly detailed discussion of the fair share allocation
formula). Each Multifamily Hub Office may recommend a total number of
awards up to the dollar amount allocated for the area covered by the
Hub Office. Hub Offices will receive the scores from each HUD Field
Office which has received, rated, and ranked its applications.
The Hub Office will conduct the selection process as follows: Where
a Multifamily Hub covers more than one
[[Page 11993]]
Field Office jurisdiction, the Hub Office will first select the highest
ranked application in each Field Office for funding. After this
selection, the Hub will use remaining funds to fully fund as many
applications as possible in rank order, regardless of Field Office. Hub
Offices representing only one Field Office shall use their distribution
of funds to fully fund in rank order as many applications as possible.
Hub Offices must not skip over any applications in order to select one
based on the remaining funds.
Any funds still remaining after Hub Office distribution by rank
must be forwarded to Headquarters. Headquarters will use these funds
for selecting applications based on field offices' ranking, beginning
with the highest rated application nationwide. Only one application
will be selected per Hub Office from the national residual amount.
However, if there are no approvable applications in other Hub Office,
the process will begin with the selection of the next highest rated
application nationwide. This process will continue until all approvable
applications are selected using the available remaining funds.
(3) In the event of a tie, HUD will select the applicant with the
highest score in Rating Factor 1. If Rating Factor 1 is scored
identically, the scores in Rating Factors 2, 3 and 4 will be compared
in that order, until one of the applications receives a higher score.
If both applications still score the same then the application which
requests the least funding will be selected to promote the more
efficient use of resources.
(4) HUD will evaluate all eligible applications based on the
factors for award identified in this Section V.
(B) Factors For Award Used To Evaluate and Rate Applications. The
maximum number of points for this program is 102 (except for an
application submitted by the City of Dallas, Texas which would be
eligible for a maximum of 104 points in accordance with Rating Factor
3, paragraph (6), below. This includes two EZ/EC bonus points, as
described in the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses the extent to which you have proper
organizational resources necessary to successfully implement the
proposed New Approach Anti-Drug Program activities in an effective,
efficient, and timely manner. In rating this factor, HUD will consider
the extent to which the application demonstrates the capabilities
described below:
(1) (5 Points) The applicants' administrative capacity to implement
the grant. HUD will award points based on the quality and amount of
staff allocated to the grant activity by you; the anticipated
effectiveness of your systems for budgeting, procurement, drawdown,
allocation, and accounting for grant funds and matching resources in
accordance with OMB administrative requirements; and the lines of
accountability for implementing your grant activity, coordinating your
partnerships, measuring the effect of the expenditure of grant funds
and ensuring that you and your MOU partners' commitments will be met.
You must include in your narrative a discussion of financial capacity,
staff resources, and prior experience that will enable you to
effectively administer the grant and meet reporting requirements. This
narrative must not exceed five pages. For an owner of an assisted
housing development that is HUD-insured, HUD will consider the most
recent Management Review (including Rural Housing Management Review),
HUD's Uniform Physical Condition Standards review (as codified in 24
CFR part 5 subpart G), State Agency review and such other relevant
information available to HUD on the capacity of the owner and manager
to undertake the grant. You must include a copy of the most recent
management review (not a physical inspection report) for the
development(s) to be served by your grant. These documents will not be
counted against your 5 page narrative limitation.
(2) (15 Points) The applicant's performance in administering Drug
Elimination grants and/or other Federal, State, or local grants of
similar size and complexity during the last 3 years. In assessing this
factor, HUD will verify you and your partners' successful experience
and performance based on information on file with HUD and will consider
the following factors with the indicated total available points:
(a) (5 Points) Your successful experience combined with your MOU
partners' successful experience in utilizing similar strategies to
alleviate crime. You must identify your participation in HUD grant
programs within the last three years and discuss the degree of your
success in implementing planned activities measuring progress towards
achieving program goals and objectives; timely drawdown of funds;
timely submission of required reports and ability to complete
activities on time and within budget; what if any audit findings were
noted; whether there was audit compliance; whether there are and the
extent of any unresolved findings and/or outstanding recommendations
from prior HUD reviews or audits undertaken by HUD, HUD-Office of
Inspector General, the General Accounting Office (GAO) or independent
public accountants (IPAs). To receive maximum points under this
section, you must have worked in partnership with one or more of your
MOU partners (or two or more of your MOU partners may have worked
together in partnership) using similar strategies to reduce crime in
and around assisted housing developments. To demonstrate success in
implementing past projects, you must identify the reduction in the
occurrence of the types of crime as indicated in Rating Factor 2 of
this program section of the SuperNOFA. In the absence of previous
partnerships, your capacity will weigh more heavily than the experience
of any of your partners, in HUD's assignment of points under this
subfactor.
(b) (4 Points) Your performance in administering other Federal,
State or local grant programs. You must identify your participation in
HUD grant programs within the preceding three years, and discuss the
degree of your success in implementing and managing these grant
programs. This includes implementation, timely drawdown of funds,
timely submission of required drawdown of funds, timely submission of
required reports with satisfactory outcomes related to the plan and
timetable, audit compliance and other HUD reviews.
(3) (6 Points) The strength of the applicants' partnership as it
relates to eliminating the crime problem identified in Rating Factor 2.
HUD will award points in this area based on the strength of resource
commitments identified in your MOUs in terms of the amount of staff,
time, money, or other assets committed by each MOU party toward
implementing your program. Your description should include the
following:
(a) Identification of the skills each party will bring to help
successfully implement your program and the firmness of the
commitments;
(b) evidence of your MOU partners' (and project tenants') pre-
application role in developing the plan and prospective role in program
implementation;
(c) Indications of the capacity of the assisted housing
developments' ownership and management (based on available management
reviews by governing public entities) to undertake their share of
responsibilities in the
[[Page 11994]]
partnership (including evidence of whether management carefully screens
applicants for units and takes appropriate steps to deal with tenants
known to exhibit or suspected of exhibiting criminal behavior) and to
cooperate with law enforcement actions on their project premises;
(d) The willingness of the unit of general local government to use
its prosecutor's office as its lead agency in implementing the grant;
(e) Participation of additional partners other than those required
to sign MOUs (for example, neighborhood business organizations); and
(f) The effectiveness of the partnership structure.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address the documented
degree of the severity of the drug-related crime problem in the project
area proposed for funding. Any collection of data should include
summaries at the beginning of the data. In responding to this factor,
HUD will evaluate the extent to which you have explained a critical
level of need for your proposed activities and have indicated the
urgency of meeting the need in the target area. You must include a
description of the extent and nature of drug-related crime ``in and
around'' the housing units or developments proposed for funding.
To the extent that you can provide objective crime data specific to
the community or targeted development proposed for funding, your
application is eligible to be awarded up to the full 25 points. If you
do not provide documented objective crime data specific to the
community or targeted development proposed for funding, your
application is only eligible to receive up to 15 points for this
factor.
You will be evaluated on the following:
(1) (25 Points) ``Objective Crime Data'' relevant to the target
area. Your application must include the most current and specific Part
I Crime data and relevant Part II Crime data available from the FBI's
Uniform Crime Reporting Program (UCR) system or the local law
enforcement's crime statistics. Part I Crimes include: homicide; rape;
robbery; aggravated assault; burglary; larceny; auto theft; and arson.
Part II drug-related crimes include: drug abuse violations; simple
assault; vandalism; weapons violations; and other crimes which you are
proposing to be targeted as part of your grant. In assessing this
subfactor, HUD will consider the extent of specificity that the
statistical data is provided (e.g., data specific to the neighborhood
covered by your application). These data must consist of verifiable
records and not anecdotal reports. Where appropriate, the statistics
should be reported both in real numbers and as an annual percentage of
the residents in each development (e.g., 20 arrests in a two-year
period for distribution of heroin in a development with 100 residents
reflects a 20% occurrence rate). These data may include:
(a) Police records or other verifiable information from records on
the types or sources of drug related crime in your targeted
developments and surrounding area;
(b) The number of lease termination's or evictions for drug-related
crime at your targeted developments; and
(c) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police departments and/or fire departments, emergency medical service
agencies and hospitals. The number of police calls for service from the
targeted developments that include resident initiated calls, officer-
initiated calls, domestic violence calls, drug distribution complaints,
found drug paraphernalia, gang activity, graffiti that reflects drugs
or gang-related activity, vandalism, drug arrests, and abandoned
vehicles.
For PHAs, such data should include housing authority police records
on the types and sources of drug related crime ``in and around''
developments as reflected in crime statistics or other supporting data
from Federal, State, Tribal or local law enforcement agencies.
If you submit objective data you do not need to submit other crime
data. You should include summaries with the objective data that
establish the drug related crime problem.
(2) (15 Points) Other Crime Data--Other supporting data on the
extent of drug-related crime. To the extent that objective data as
described above may not be available, you must use data from other
verifiable sources that have a direct bearing on drug related crime in
the developments proposed for assistance under this program. However,
to qualify for points your application must indicate the reasons why
you could not obtain objective data and what efforts you made to obtain
it and what efforts you will make during the grant period to begin
obtaining the data. Examples of the data should include (but are not
necessarily limited to):
(a) Surveys of residents and staff in your targeted developments
surveyed on drug-related crime or on-site reviews to determine drug/
crime activity; and government or scholarly studies or other research
in the past year that analyze drug-related crime activity in the
targeted developments.
(b) Vandalism cost at your targeted developments, including
elevator vandalism (where appropriate) and other vandalism attributable
to drug-related crime.
(c) Information from schools, health service providers, residents
and Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime and the nature and frequency of these problems in
developments proposed for assistance. (These individuals may include
Federal, State, Tribal, and local government law enforcement officials,
resident or community leaders, school officials, community medical
officials, substance abuse, treatment (dependency/remission) or
counseling professionals, or other social service providers.)
(d) The school dropout rate and level of absenteeism for youth that
you can relate to drug-related crime. If crime or other statistics are
not available at the development or precinct level, you must use other
verifiable, reliable and objective data; and
(e) To the extent that your community's Consolidated Plan
identifies the level of the problem and the urgency in meeting the
need, references to the Consolidated Plan should be included in your
response. HUD will review more favorably those applicants who used the
Consolidated Plan to identify need, when applicable.
Rating Factor 3: Soundness of Approach (Quality of the Plan) (35
Points)
This factor addresses the quality and anticipated effectiveness of
your proposed action plan using grant funds and other resources in
taking a comprehensive community-based approach toward the problem of
drugs and drug-related crime in the neighborhood identified in your
application.
Your application must include an action plan for crime reduction
and elimination efforts, describing in detail: the specific activities
to be undertaken; the parties responsible for or involved in the
activities for each development proposed for assistance; and the dollar
amount and extent of resources committed to each activity or service
proposed.
[[Page 11995]]
In evaluating this factor, HUD will consider the following:
(1) (25 Points) The quality and comprehensiveness of your action
plan to address the drug-related crime problem and the problems
associated with drug-related crime in the developments proposed for
funding. You must include a description of your plan's anticipated
effectiveness in reducing or eliminating drug-related crime problems
immediately and over an extended period, as evidenced by:
(a) The extent to which your proposed activities provide services
over the existing baseline of services currently provided to the
project area;
(b) The extent to which the activities of the two required MOU
entities are comprehensive and, as result of collective actions, will
effectively work together. If you provide for a comprehensive approach,
you will receive a higher number of rating points. HUD will provide
only one-half of the eligible points under this subfactor if your
application only includes an MOU with either:
(i) The local law enforcement entity; or
(ii) The local prosecutor (district attorney) with jurisdiction
over the neighborhood identified in your application. If you include no
MOUs with either party, you will receive zero points.
(c) The extent to which you have partnered with appropriate
neighborhood and community stakeholders;
(d) The extent to which the resources allocated and the budget
proposed are adequate to conduct the work plan as proposed; and
(e) Your rationale for the proposed activities and methods and why
you believe the activities will be effective in reducing drug use and
drug-related crime. If you are proposing new methods for which there is
limited knowledge of the effectiveness, you should provide the basis
for modifying past practices and rationale for why you believe the
modification will yield more effective results.
(2) (10 Points) The adequacy of the process you will use to
collect, maintain, analyze and report Part I and II crimes as defined
by the Uniform Crime Reporting (UCR System), as well as police workload
data. The process must include the collection of police workload data
such as, but not limited to, all calls for service at the housing
authority by individual development, patterns over a period of time,
type of crime, and plans to improve data collection and reporting. Your
proposed analysis of the data collected should include a method for
assessing the impact of grant activities on the collected crime
statistics on an on-going basis during the award period.
(3) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD's consideration
of this subfactor will consider the extent to which the applicant's
plan for the use of New Approach Anti-Drug funds will be used to
eradicate the vestiges of racial segregation in the Dallas Housing
Authority's programs consistent with the Court's order.
Rating Factor 4: Leveraging Resources (Support of Residents, the
Local Government and the Community in Planning and Implementing the
Proposed Activities and Interagency Activities) (10 Points)
This factor addresses your ability to secure community and
government resources, in-kind services from local governments, non-
profit entities, including resident organizations, for-profit entities,
or private organizations to be combined with HUD's program resources to
achieve program purposes. To be considered as documented evidence of
leveraging, you must submit a letter signed by the organization head
authorized to commit the organization which details the amount of funds
or type of services to be provided. The letter also must identify the
dollar value of any services or goods in lieu of a cash contribution.
Therefore, in responding to the factor you must translate the time or
services provided into a dollar value. This dollar value will be added
to any cash funding commitments identified as part of your leveraging
of funds. For example, if you are receiving a donation of security
alarm systems, you should indicate the number of security systems to be
provided and give a dollar value for those alarm systems. The value
will be added to any cash contributions you have noted from others. The
letter may indicate that the commitment is predicated on the applicant
receiving the grant from HUD. In assessing this factor, HUD will
consider the following:
(1) Evidence of the extent and amount of the commitment of funding,
staff, or in-kind resources, partnership agreements, and on-going or
planned cooperative efforts with law enforcement agencies, memoranda of
understanding, or agreements to participate. Such commitments must be
signed by an official of the organization legally able to make
commitments for the organization. This evidence of commitment must
include organization name, resources, and responsibilities of each
participant. This also includes interagency activities already
undertaken, participation in local, state, Tribal, or Federal anti-drug
related crime efforts such as: education, training and employment
provision components of Welfare Reform efforts, Operation Weed and
Seed, Operation Safe Home, local law enforcement initiatives and/or
successful coordination of its law enforcement, or other activities
with local, state, Tribal, or Federal law enforcement agencies.
(2) HUD may award more points for applications with a higher
percentage of these resources as compared to New Approach Anti-Drug
funds requested.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you have coordinated your
activities with other known organizations, participants or have
promoted participation in a community's Consolidated Planning process.
You should demonstrate that you are working towards addressing a need
in a holistic and comprehensive manner through linkages with other
activities in the community.
In evaluating this factor, HUD will consider the extent to which:
(1) You have coordinated your proposed activities with those of
other groups or organizations prior to submission in order to best
complement, support, and coordinate all known activities and if funded,
the specific steps you will take to share information on solutions and
outcomes with others. Describe any written agreements and memoranda of
understanding currently in place, or that will be in place after award.
(2) You have taken or will take specific steps to become active in
the community's Consolidated Planning process (including the Analysis
of Impediments to Fair Housing Choice) established to identify and
address a need/problem that is related to the activities the applicant
proposes.
(3) You have shared and coordinated information on solutions and
outcomes with other law-enforcement and governmental agencies, and have
described any written agreements in place or that will be put in place.
(4) You have taken or will take specific steps to develop linkages
to coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
[[Page 11996]]
(a) Other HUD-funded project/activities outside the scope of those
covered by the Consolidated Plan, and
(b) Other Federal, State, or locally funded activities, including
those proposed or on-going in the community.
VI. Application Submission Requirements
Each New Approach Anti-Drug application must provide the items
listed in this Section VI of this program section of the SuperNOFA.
Your application must contain the items listed in this Section VI(B).
These items include the standard forms, certifications, and assurances
listed in the General Section of the SuperNOFA that are applicable to
this funding (collectively, referred to as the ``standard forms''). The
standard forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives, or letters), referred to as the
``non-standard forms'' can be found as Appendix B to this program
section of the SuperNOFA. The items are as follows:
(A) Application Cover Letter.
(B) Congressional Summary--Summary of your proposed program
activities in five (5) sentences or less.
(C) A Neighborhood Description. The neighborhood description must
include a basic description (e.g., boundaries and size), population,
number of housing units in the neighborhood, a map, a population
profile (e.g., relevant census data on the socio-economic, ethnic and
family makeup of neighborhood residents), and the basis on which the
area meets the definition of ``neighborhood'' as described in this
program section of the SuperNOFA (i.e., describe and include a copy of
the comprehensive plan, ordinance or other official local document
which defines the area as a neighborhood, village, or similar
geographical designation). If the entire jurisdiction is defined as a
neighborhood by virtue of having a population at less than 25,000,
indicate the jurisdiction's population under the 1990 census and
describe/include more recent information which gives the best
indication as to the current population.
(D) The description of the assisted housing development(s) in the
neighborhood. This must include the name of the project; the name of
the project owner; the nature, sources, and program titles of all
project-based subsidies or other assistance provided to the development
by units of government or private nonprofit entities. Any names of
public or nonprofit assisted housing programs other than programs
sponsored by HUD should be accompanied by a description of the program
and the name and business phone number of a contact person responsible
for administering the program. For the subsidy provider, you must
include the number of housing units in the development, and the number
of housing units in the development that meet the definition of
``assisted housing units'' in this funding announcement, and a
description of the restrictions on rents and resident incomes that, in
combination with the subsidy provided to the development, qualify the
units as assisted/affordable in accordance with the definition in this
program section of the SuperNOFA; and the number, geographic proximity
(adjoining, adjacent, or scattered site, and if scattered site, the
distance between the two buildings which are furthest apart), and type
(single family detached, townhouse, garden, elevator) of buildings in
the development.
(E) Application for Federal Assistance, Standard Form (SF) 424,
signed by the chief executive officer of your organization.
(F) An action plan which describes the activities and roles to be
undertaken by you and each subgrantee or subrecipient of program funds.
This action plan may be attached to and referenced in your MOU.
(G) Narrative responses to the factors for award including any
required documentation identified under each factor.
(H) A line item budget which identifies salaries, fringe benefits,
consultants or subgrantees, equipment, supplies, travel, and general
and administrative expenses; as well as an estimated dollar amount for
each activity to be undertaken as part of your action plan.
(I) Overall budget and timetable that includes separate budgets,
goals, milestones, and timetables for each activity and addresses
milestones towards achieving the goals described above; and indicates
the contributions and implementation responsibilities of each partner
for each activity, goal, and milestone.
(J) The number of staff years, the titles and professional
qualifications, and respective roles of staff assigned full or part-
time to grant implementation by the applicant/grantee.
(K) Your plan and lines of accountability (including an
organization chart) for implementing your grant activity, coordinating
the partnership, and assuring that your and your subgrantees'
commitments will be met. There must be a discussion of the various
agencies of the unit of government that will participate in grant
implementation (which must include the prosecutor's office and the
police department.
VII. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Prior to the award of grant funds under the program, HUD will
perform an environmental review to the extent required under the
provisions of 24 CFR part 50. Should the environmental review indicate
adverse environmental impacts, your application may be downgraded or
rejected. The General Section of this SuperNOFA provides additional
guidance on Environmental Reviews.
IX. Authority
This program is authorized under the Departments of Veterans
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, 2001 (Pub.L. 106-377, approved October 18, 2000),
under the heading ``Drug Elimination Grants for Low-Income Housing.''
Appendix A--HUD Field Office List for Multifamily Housing
Please see Appendix A to the Multifamily Housing Drug
Elimination Program section of this SuperNOFA for a list of the HUD
Field Offices for Multifamily Housing.
Appendix B
The non-standard forms, which follow, are required for your New
Approach Anti-Drug application.
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FUNDING AVAILABILITY FOR DRUG ELIMINATION GRANTS FOR FEDERALLY
ASSISTED LOW-INCOME HOUSING (MULTIFAMILY HOUSING DRUG ELIMINATION)
Program Overview
Purpose of the Program. The purpose of this Multifamily Housing
Drug Elimination Grant Program is to enable owners of federally
assisted low-income housing developments to deal effectively with drug-
related criminal activity in and around their developments, through a
plan of activities including enhanced security measures, support of
tenant patrols, and drug-abuse prevention, intervention, referral, and
treatment programs.
Available Funds. Approximately $16.25 million.
Eligible Applicants. Only owners of eligible developments may apply
for and become the recipient of grant funds. Property management
companies may administer grant programs, but are not eligible
applicants.
Application Deadline: May 23, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
two copies) is due on or before 6:00 pm, local time, on May 23, 2001 at
the address shown below.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Appendix A to this program
section contains a list of HUD Field Offices where you must send your
application by the deadline. Please address your application to the
Director, Multifamily Housing Hub or Program Center in your local HUD
Field Office.
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929. If you have a hearing
or speech impairment, please call the Center's TTY number at 1-800-HUD-
2209. When requesting an application kit, please refer to Multifamily
Housing Drug Elimination Grants, and provide your name, address
(including zip code) and telephone number (including area code). An
application kit also will be available on the Internet at http://www.hud.gov/grants.
For Further Information and Technical Assistance. You may contact
your local HUD Field Office staff for questions you have regarding this
program section of the SuperNOFA and your application kit. Please
contact the Resident Initiatives Specialist or Drug Elimination Grants
contact person in your local office. If you have a question that the
Field staff are unable to answer, please call Carissa Janis, Housing
Project Manager, Office of Housing Assistance and Grants
Administration, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 6146, Washington, DC 20410; (202) 708-2866,
extension 2487 (this number is not toll free). If you are hearing or
speech impaired, you may access this number via TTY by calling the
Federal Information Relay Service at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
(A) Available Funding. HUD is allocating funds under this
Multifamily Drug Elimination Grant Program section of the SuperNOFA to
the eighteen Multifamily Housing Hub Offices, in accordance with the
following schedule:
Hub Offices and Field Office Jurisdictions
------------------------------------------------------------------------
------------------------------------------------------------------------
Atlanta Hub (Atlanta, Caribbean, Knoxville, Nashville, $1,219,019
Louisville)...............................................
Baltimore Hub (Baltimore, Richmond, Washington, DC)........ 801,213
Boston Hub (Boston, Hartford, Manchester, Providence)...... 1,310,033
Buffalo Hub................................................ 329,658
Chicago Hub (Chicago, Indianapolis)........................ 989,691
Columbus Hub (Columbus, Cincinnati, Cleveland)............. 945,259
Denver Hub................................................. 757,497
Detroit Hub (Detroit, Grand Rapids)........................ 619,184
Ft. Worth Hub (Ft. Worth, Albuquerque, Houston, Little 1,161,687
Rock, New Orleans, San Antonio, Shreveport)...............
Greensboro Hub (Greensboro, Columbia)..................... 811,246
Jacksonville Hub (Jacksonville, Birmingham, Jackson)....... 1,006,891
Kansas City Hub (Kansas City, Des Moines, Oklahoma City, 1,183,903
Omaha, St. Louis, Tulsa)..................................
Los Angeles Hub............................................ 761,080
Minneapolis Hub (Minneapolis, Milwaukee)................... 999,008
New York Hub............................................... 599,118
Philadelphia Hub (Philadelphia, Pittsburgh, Charleston, 1,138,754
Newark)...................................................
San Francisco Hub (San Francisco, Honolulu, Las Vegas, 909,427
Phoenix, Sacramento)......................................
Seattle Hub (Seattle, Portland, Anchorage)................. 707,332
------------
Grand Total............................................ 16,250,000
------------------------------------------------------------------------
The Multifamily Housing Hub offices will select applicants for
award according to the process discussed in Section V of this program
section of the SuperNOFA.
(B) Maximum Grant Award. The maximum amount of funds you may
receive for an application with one development is $125,000 and the
maximum for an application for two or more developments is $200,000.
(C) Reduction of Requested Grant Amounts. You may be awarded an
amount less than requested if:
(1) HUD determines that some elements of your proposed action plan
are ineligible for funding;
(2) Insufficient amounts remain under the allocation to fund the
full amount you requested, and HUD determines
[[Page 12004]]
that partial funding is a viable option; or
(3) HUD determines that a reduced grant would prevent duplicative
Federal funding.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The Federally Assisted Low-Income Housing
Drug Elimination Grant program is designed to assist property owners to
reduce or eliminate drug-related criminal activity in and around their
developments and to provide programs to prevent or eliminate drug use
and abuse among their residents. While this program is centered in and
around the premises of one or more HUD assisted multifamily housing
sites, you are expected to work closely with other community social
service and law enforcement organizations to achieve specific program
objectives to reduce or eliminate drug-related criminal activity. The
development of these strong working partnerships is an essential part
of this program and is seen by the Department as necessary for long-
term strategies to fight crime and drug abuse. Thus, while your
activities are targeted in and around one or more developments, HUD
expects you to link your activities with services available in your
community. In particular, HUD is seeking plans that provide successful,
proven, and cost-effective deterrents to drug-related crime and drug
abuse that are designed to address the realities of federally assisted
low-income housing environments.
(B) Eligible Applicants
(1) To be eligible for funding, you must meet all of the applicable
threshold requirements of Section II(B) of the General Section of the
SuperNOFA and must be owners of developments assisted under the
following programs:
(a) Sections 221(d)(3) below market interest rate, or 236 of the
National Housing Act;
(b) Section 101 of the Housing and Urban Development Act of 1965;
or
(c) Any development receiving project-based assistance under
Section 8 of the United States Housing Act of 1937. This includes
Section 202, Section 515, State Housing Finance Agency, Moderate
Rehabilitation, Section 8 New Construction and Substantial
Rehabilitation, 221(d)(3), 221(d)(4), and 236 developments.
(2) If you are a management agent, you may prepare applications and
sign application documents if you provide written authorization from
the owner as part of your application.
(3) If your eligibility status changes during the course of the
grant term, making you ineligible to receive a grant (e.g. due to
prepayment of mortgage, sale of property, or opting out of a Section 8
Housing Assistance Payment (HAP) contract), HUD has the right to
terminate your grant.
(4) To be eligible, developments must also meet the following
criteria:
(a) Are current in mortgage payments or are current under a workout
agreement;
(b) Meet HUD's Uniform Physical Conditions Standards (codified in
24 CFR part 5, subpart G), based on the most recent physical inspection
report and responses thereto, as evidenced by a score of 60 or better
or an approved plan for developments scoring less than 60, and
(c) Are in compliance with your regulatory agreement, HAP Contract,
and other outstanding directives.
(5) Eligible owners may apply for and receive both Multifamily
Housing Drug Elimination Grants and New Approach Anti-Drug grants.
(C) Eligible Activities. Your proposed drug elimination program
should foster interrelationships among the residents, the housing owner
and management, the local law enforcement agencies, and other community
groups affecting your development. Resident participation in the
determination of programs and activities to be undertaken is critical
to the success of all aspects of your program. In addition to working
closely with the development's residents, your program must include
working with community groups, the neighborhood law enforcement
precinct, residents of adjacent developments, and the community as a
whole to enhance and magnify the effect of your specific program
activities. HUD seeks result-oriented programs that promote stability,
positive and lasting changes in and around your development and the
surrounding community, and which use proven cost-effective measures to
reduce drug use or prevent criminal activity.
With the very real need to protect occupants of HUD-assisted
housing and the areas around the housing, the civil rights of all
citizens must be protected. Your proposed strategies should be
developed to ensure that crime-fighting and drug prevention activities
are not undertaken in such a manner that civil rights or fair housing
statutes are violated. You may not use race, color, sex, religion,
national origin, disability, or familial status to profile persons as
suspects or otherwise target them in conducting these activities. In
addition, all segments of the population should be represented in
developing and implementing your crime-fighting strategies.
(1) Physical Improvements To Enhance Security. All physical
improvements must be accessible to persons with disabilities and must
meet the accessibility requirements of 24 CFR part 8, Nondiscrimination
Based on Handicap in Federally Assisted Programs and Activities of the
Department of Housing and Urban Development. In addition, such physical
improvements must support or enhance visitability for people with
mobility impairments.
Your physical improvements may include systems to limit building
access to development residents; installation of barriers, lighting
systems, fences, bolts, locks; landscaping or reconfiguration of common
areas to discourage drug-related crime; or other physical improvements
that enhance security and discourage drug-related activities.
Rehabilitation of existing space for use by drug-related intervention
and prevention programs is an eligible activity.
(2) The provision of training, communications equipment, and other
related equipment for use by voluntary tenant patrols acting in
cooperation with local law enforcement officials is an eligible
activity.
(3) Programs to Reduce the Use of Drugs. Programs to reduce the use
of drugs in and around your development, including drug-abuse
prevention, intervention, referral, and treatment are eligible for
funding. Where appropriate, you must establish a confidentiality policy
regarding medical and disability-related information. Funding is
permitted for reasonable, necessary, and justified leasing of vehicles
for resident youth and adult education and training activities directly
related to ``programs to reduce the use of drugs'' under this section.
All such services and educational and training programs must be fully
accessible to people with disabilities.
(a) Drug Prevention. Your drug prevention activities should provide
a comprehensive drug prevention approach that will address the
individual resident and his or her relationship to family, peers, and
the community. Prevention activities should identify and change the
conditions in federally assisted low-income housing that lead to drug-
related problems and lower the risk of drug usage. Many components of a
comprehensive approach, such as refusal and restraint skills training
or drug-related family counseling, may already be available in your
community. Your plan should include bringing
[[Page 12005]]
program components already available in the community onto the
premises. Proposed activities may include the following:
(i) Drug Education Opportunities for Residents. Activities should
provide both young people and adults with the working knowledge and
skills needed to avoid the potential and immediate dangers of illegal
drugs. You may contract (in accordance with 24 CFR 85.36) with drug
education professionals to provide training or workshops. Contracted
drug education services must reflect or be tied to your program plan.
(ii) Family and Other Support Services. Prevention programs should
be designed to help foster successful family relationships that may
inhibit or reduce drug use. Examples of services include parenting
skills workshops, short-term family counseling, child care, or family,
cultural or educational programs. You may provide these programs
directly or refer residents to such services already available in your
community.
(iii) Youth Services. If you propose drug prevention services in
your plan and your development has a substantial number of young
residents, HUD strongly encourages you to include youth in your
prevention programs. Your proposed prevention activities for youth must
involve the active participation of youth in planning programs and
service delivery. Such youth-oriented drug prevention programs may
include youth leadership skills training; events incorporating
dissemination of drug education information; and sports, recreational,
cultural, and general education activities.
(iv) Economic/Educational Opportunities. Eligible economic or
educational programs should have the objectives of assisting residents
in improving their educational status, vocational and job readiness
skills, and opportunities for obtaining employment. The ultimate goal
of services should be to assist residents in obtaining suitable
lifelong employment and self-sufficiency to deter drug use, abuse, and
related crime.
(b) Intervention. The aim of intervention is to provide residents
with substance abuse/dependency remission services to assist them in
modifying their behavior; obtaining early treatment and structured
aftercare; and maintaining remission. Your program should also be
designed to prevent drug problems from continuing once detected. If you
propose any intervention program that seeks to accomplish the above
objectives, you must describe how you expect the activities to assist
residents in reducing or ceasing their use of illicit drugs and
involvement in drug-related crime.
(c) Drug Treatment. If your program provides treatment services,
they must be targeted to the development and its residents. Your
program should be conducted in and around the premises of the
development, or residents must be referred to receive treatment from
other available sources within the community. You may include
implementing new drug referral treatment or aftercare services, or
improve or expand currently available services. Your proposed drug
treatment program should aim to reduce illicit drug use among residents
by increasing resident accessibility to, and effective participation
in, drug treatment activities, and decreasing criminal activity in and
around your development. Your proposed plan must demonstrate a working
partnership with your Single State Agency (or State license provider or
authority with drug program coordination responsibilities in your
State) to coordinate, develop, and implement your drug treatment
program. In particular, you and the appropriate agency must confirm
that your proposed drug treatment provider(s) has provided these
services to similar populations for two prior years and your drug
treatment program is consistent with the State treatment plan, meeting
all State licensing requirements. Services eligible for funding may
include:
(i) Drug treatment supportive services designed for youth and/or
maternal drug abusers. Examples of services are: prenatal/postpartum
care; specialized counseling for women; or, parenting classes. You are
encouraged to draw upon approaches that have proven effective with
similar populations.
(ii) Formal referral arrangements to treatment programs not in and
around the development when treatment funding from sources other than
this program are available.
(iii) Transportation for residents to out-patient treatment and/or
support programs.
(iv) Family/collateral counseling.
(v) Linking programs with educational/vocational counseling.
(vi) Coordinating services with appropriate local drug agencies,
HIV-related service agencies, and mental health and public health
programs.
(D) Ineligible Activities. The following activities are not
eligible for funding:
(1) Hiring of or contracting employment security guards to provide
security services in and around the development.
(2) Any activity or improvement that is normally funded from
project operating revenues for routine maintenance or repairs, or those
activities or improvements that may be funded through reasonable and
affordable rent increases;
(3) The acquisition of real property or those physical improvements
that involve the demolition of any units in your development or
displacement of tenants;
(4) Costs incurred prior to the effective date of your grant
agreement, including consultant fees for surveys related to your
application or its preparation;
(5) Reimbursement of local law enforcement agencies for additional
security and protective services;
(6) Employment of one or more individuals to investigate drug-
related crime in and around federally-assisted low-income developments
and/or to provide evidence relating to such crime in any administrative
or judicial proceeding;
(7) Treatment of residents at any in-patient medical treatment
programs or facilities;
(8) Detoxification procedures designed to reduce or eliminate the
presence of toxic substances in body tissues of a patient;
(9) Maintenance drug programs; [Maintenance drugs are medications
that are prescribed regularly for a long period of supportive therapy
(e.g., methadone maintenance), rather than for immediate control of a
disorder.]
(10) Programs to treat alcoholism; and
(11) Funding of police informants who provide information about
drug-related activity.
IV. Program Requirements
In addition to the requirements listed in Section II of the General
Section of this SuperNOFA, you must also meet the additional
requirements in Section IV of this program section of the SuperNOFA.
These requirements apply to all activities, programs, and functions
used to plan, budget, and evaluate the work funded under your program.
(A) Administrative Costs. Administrative costs cannot exceed 10% of
your proposed program's total cost. HUD will look more favorably upon
proposals that target grant funds to hard program costs and propose
minimal, if any, administrative expenses.
(B) Term of Funded Activities. Your grant term cannot exceed twelve
months.
(C) Multiple Developments. There is no limit to the number of
developments that can be included in your
[[Page 12006]]
application. However, if you include more than one development in your
application, all developments must be eligible and located in the same
Field Office jurisdiction. In addition, you must demonstrate in your
response to Rating Factor 3 ``Soundness of Approach--(Quality of the
Plan)'' that your program will be feasible to implement among all
proposed developments.
(D) Subgrants and Subcontracting. You may directly undertake or
subcontract for any of the eligible activities under this Multifamily
Drug Elimination Program section of the SuperNOFA. Resident groups that
are not incorporated may work with you in the implementation of your
program, but may not receive funds as subgrantees.
(E) Collection of Crime Data. If you receive a grant, you will be
required to collect and report on Parts I and II crime data. Parts I
and II crime data are defined by the Uniform Crime Reporting (UCR)
System (see Rating Factor 2, paragraph (1)(d)).
(F) Forms, Certifications and Assurances. See the General Section
of the SuperNOFA for the applicable forms, certifications, and
assurances that you must submit. This includes a certification that you
are in compliance with Federal Civil Rights laws, as specified in
Section II(G)(7) of the General Section of this SuperNOFA.
(G) Affirmatively Furthering Fair Housing. You must comply with
Section II(D) of the General Section of this SuperNOFA.
(H) Federal Labor Standards. In accordance with 24 CFR 761.40, when
grant funds are used to undertake physical improvements to assisted
multifamily housing, you must comply with Davis-Bacon prevailing wage
requirements.
V. Application Selection Process
(A) Rating and Ranking. All applications will be evaluated
competitively and ranked against applications in the same Field Office.
The maximum number of points for this program is 102. This includes
two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as
described in the General Section of the SuperNOFA. For bonus points
related to activities located in Empowerment Zones or Enterprise
Communities, you must demonstrate that there is a connection between
such EZ or EC and tenant, local government, and local community support
and participation in the design and implementation of the proposed
activities to be funded under this program.
(B) Distribution of Funds. This year HUD will distribute funds to
each Multifamily Housing Hub Office, in proportion to the number of
eligible developments in that area. Each Multifamily Hub Office may
recommend a total number of awards up to the dollar amount allocated
for the area covered by the Hub Office. Hub Offices will receive the
scores from each HUD Field Office which has received, rated, and ranked
its applications.
The Hub Offices will conduct the selection process as follows:
Where a Multifamily Hub covers more than one Field Office jurisdiction,
the Hub Office will first select the highest ranked application in each
Field Office for funding. After this selection, the Hub will use
remaining funds to fully fund as many applications as possible in rank
order, regardless of Field Office. Hub Offices representing only one
Field Office shall use their distribution of funds to fully fund in
rank order as many applications as possible. Any funds still remaining
after the Hub Office distribution by rank will be forwarded to
Headquarters, which shall make awards to fund as many remaining
applications as possible by national rank order. All applications must
receive a score equal to or greater than the minimum score of 70
without bonus points to be considered for funding.
This process balances a geographic distribution with a process that
gives priority to the most highly rated applications. Your application
will primarily compete for funding with other applications submitted
within that same Hub Office jurisdiction.
(C) Procedure to Resolve Tied Scores. If two or more applications
have the same score and there are insufficient funds to fund all of
them, the application with the highest score for the Soundness of
Approach rating factor shall be selected for funding. If a tie still
remains, the application with the highest score for the Capacity of the
Applicant and Relevant Organizational Experience rating factor shall be
selected. Further tied applications will be selected by their scores in
the Need/Extent of Problem, Leveraging Resources, and Comprehensiveness
and Coordination rating factors, in that order. If the applications
received the same score for each of the five factors, the Multifamily
Hub Office or Headquarters will break the remaining tie by selecting
the application whose developments(s) are in most financial need based
on a per unit negative cash flow analysis of the most recent Annual
Financial Statement (AFS).
(D) Factors for Award Used to Evaluate and Rate Applications. The
five factors in this section total 100 points. An application must
receive a score of at least 70 points to be eligible for funding under
this competition. Each application submitted will be evaluated using
the following selection criteria set forth below.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses the extent to which you have organizational
resources necessary to successfully implement your proposed activities
in a timely manner. In rating this factor, HUD will consider the extent
to which you demonstrate the capabilities described below.
(1) (20 points) Administrative Capacity.
(a) The knowledge and experience of your staff and your
administrative capacity to manage grants, including administrative
support functions, procurement, lines of authority, and fiscal
management capacity. Your narrative must include a discussion of
financial capacity, staff resources, and prior experience that will
enable you to effectively administer a grant and meet reporting
requirements. Your narrative should not exceed five pages.
(b) HUD's evaluation approach. (i) For Public Housing Authorities
(PHAs) and tribally designated housing entities (TDHEs) that had
previously applied as IHAs, HUD will also consider such measurements as
the uniform crime index, physical inspections, agency monitoring of
records, Line of Credit Control System (LOCCS) Reports, audit and such
other relevant information available to HUD on the capacity of the
owner or manager to administer the grant.
(ii) For owners of federally-assisted low income housing, HUD will
also consider the most recent Management Review (including Rural
Housing Management Review), HUD's Uniform Physical Conditions Standards
review, State Agency review, physical inspection, and other relevant
information available to HUD on the capacity of the owner and manager
to undertake the grant.
(2) (Deduct up to 5 points for prior poor performance) Your
performance in administering Drug Elimination funding in the previous 5
years. HUD will consider your participation in HUD grant programs
within the preceding five years and evaluate the degree of your success
in implementing and managing these grant programs. HUD will look at
program implementation, timely drawdown of funds, timely submission of
required reports with
[[Page 12007]]
satisfactory outcomes related to the plan and timetable, audit
compliance, whether there are any unresolved findings from prior HUD
reports (e.g., performance or finance) reviews of audits undertaken by
HUD, the Office of Inspector General, the General Accounting Office or
independent public accountants).
For PHAs, your past experience will be evaluated in terms of your
ability to attain demonstrated measurable progress in tracking drug
related crime, enforcement of screening and lease procedures in
implementation of the ``One Strike and You're Out Initiative'' (as
applicable), the extent to which you have formed a collaboration with
Tribal, State and local law enforcement agencies and courts to gain
access to criminal conviction records of potential tenants to determine
their suitability for residence in public housing. Such data will be
measured and evaluated based on your public housing assessment score
(24 CFR parts 901/902).
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address a documented
problem in the target area (i.e., the degree of the severity of the
drug-related crime problem in the development(s) proposed for funding).
In responding to this factor, HUD will evaluate your application based
on the extent to which a critical level of need for your proposed
activities is explained and you provide a justification for the urgency
of meeting the need in your development(s) and the area around your
development(s). Your application must include a description of the
extent and nature of drug-related crime ``in and around'' the housing
units or development(s) you propose for funding.
(1) Drug-Related Crime Statistics. (23 Points) You will receive up
to 23 points for this factor if your statistics and explanation of need
establish critical crime problems and an urgency to address these
problems in and around your development(s). To receive the maximum
number of points, you must provide statistics for both the premises of
your development(s) and the smallest geographic area surrounding your
development(s) for which objective statistics are available in your
community, town, or city. If you use statistics from institutions (e.g.
hospitals or schools), the institutions must directly serve the
residents of the targeted development(s). If the statistics you provide
do not indicate a critical need, urgency to meet this need, or you do
not provide statistics that document the need within your
development(s) or the area around your development(s), you will not
receive the maximum number of points. If you do not submit the letter
or documentation for the ``non-objective'' data, indicated in paragraph
2(a), below, you will also receive fewer points.
The statistics and information you provide must include the
following:
(a) ``Objective Crime Data'' relevant to the target area. Such data
should consist of verifiable records and not anecdotal reports. Where
appropriate, the statistics should be reported both in real numbers and
as an annual percentage of the residents in each development (e.g., 20
arrests in a one-year period for distribution of heroin in a
development with 100 residents reflects a 20% occurrence rate). Such
data may include:
(i) Police records or other verifiable information from records on
the types or sources of drug related crime in the targeted development
and surrounding area;
(ii) The number of lease terminations or evictions for drug-related
crime at the targeted development; and
(iii) The number of emergency room admissions for drug use or that
result from drug-related crime. Such information may be obtained from
police Departments and/or fire departments, emergency medical service
agencies and hospitals. The number of police calls for service from
your development that include resident initiated calls, officer-
initiated calls, domestic violence calls, drug distribution complaints,
found drug paraphernalia, gang activity, graffiti that reflects drugs
or gang-related activity, vandalism, drug arrests, and abandoned
vehicles.
(iv) To the extent possible, you should obtain statistics on Part I
and Part II crimes, as defined by the Uniform Crime Reporting (UCR)
System. Part 1 crimes include: criminal homicide, forcible rape,
robbery, aggravated assault two (including domestic violence through
use of a weapon or by means likely to produce death or great bodily
harm), burglary-breaking or entering, larceny-theft (except motor
vehicle theft), motor vehicle theft, and arson. Part II crimes include:
assaults, forgery and counterfeiting, fraud, embezzlement, vandalism,
weapons (carrying or possessing), prostitution and commercialized vice,
sex offenses (except forcible rape, prostitution, and commercialized
vice), drug abuse violations, gambling, offenses against the family and
children, driving under the influence, violation of liquor laws,
drunkenness, disorderly conduct, vagrancy, all other offenses related
to curfew and loitering laws and runaways.
For PHAs, such data should include housing authority police records
on the types and sources of drug related crime ``in and around''
developments as reflected in crime statistics or other supporting data
from Federal, State, Tribal, or local law enforcement agencies.
(b) Other Crime Data. If you are unable to attain objective crime
statistics as mentioned above, you may submit other supporting,
verifiable data on the extent of drug-related crime in the target area.
If you submit other relevant information in place of objective data,
you must provide the following to receive the maximum number of points:
(i) A letter or supporting documentation from your local law
enforcement agency or another relevant neighborhood organization
explaining why the objective data mentioned above is not available, and
(ii) A narrative explanation of the reasons why objective data
could not be obtained, what efforts were made to obtain it, and what
efforts will be made (if possible) during the grant period to begin
obtaining the data. Such data may include the following:
--Surveys of residents and staff in the targeted development surveyed
on drug-related crime or on-site reviews to determine drug/crime
activity; and government or scholarly studies or other research in the
past year that analyze drug-related crime activity in your targeted
development.
--Vandalism cost at your targeted development, to include elevator
vandalism (where appropriate) and other vandalism attributable to drug-
related crime.
--Information from schools, health service providers, residents and
Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of individuals having direct knowledge of
drug-related crime, and the nature and frequency of these problems in
your development proposed for assistance. (These individuals may
include Federal, State, Tribal, and local government law enforcement
officials, resident or community leaders, school officials, community
medical officials, substance abuse, treatment (dependency/remission) or
counseling professionals, or other social service providers.)
--The school dropout rate and level of absenteeism for youth that you
can relate to drug-related crime.
--To the extent that the community's Consolidated Plan identifies the
level of the drug abuse and related crime
[[Page 12008]]
problems in and around your targeted development, and the urgency in
meeting the need, references to these documents should be included in
your response. You will receive more points if you use these documents
to identify need.
(2) Development Need Based on Prior Award. (2 points) If you have
not received an award for the development(s) submitted in your FY 2001
application in the FY 1998, 1999, or 2000 competitions, you will
receive two points. If you submit an application with multiple
developments and one or more developments did not receive an award in
FY 1998, 1999, or 2000, you will receive one point.
Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35
Points)
This factor addresses the quality and effectiveness of your
proposed work plan. In rating this factor, HUD will consider the impact
of your proposed activities and the tangible benefits that can be
attained by the community and by the target population. Your
application must include a detailed narrative describing each proposed
activity for crime reduction and elimination efforts for each
development proposed for assistance, the amount and extent of resources
committed to each activity or service proposed, and process used to
collect, maintain, analyze and report Part I and II crimes as defined
by the Uniform Crime Reporting (UCR System, as well as police workload
data.
In evaluating this factor, HUD will consider the following:
(1) (14 points) Your plan's approach to address the drug-related
crime problem and associated problems in the development proposed for
funding, the resources allocated, and the extent to which your proposed
activities are targeted to residents, provide for linkages with
existing community resources, and are likely to have long term impacts
on reducing drug use and drug-related crime in and around your targeted
development. Also, you must include the rationale for the proposed
activities and methods to be used in developing your program and
approach to reducing drug-related crime and drug abuse. If you propose
drug prevention or intervention activities, these services must
constitute a continuing and comprehensive approach to deter drug use or
abuse among your residents and their neighbors. Your proposal must
demonstrate how your activities work together with other on-going
activities in the community and how these activities rely upon each
other to form a holistic plan. Your plan must include the following
items. If these are not included, you will receive fewer points under
this subfactor:
(a) An explanation of how any proposed physical improvements,
services, and training programs will be accessible and visitable to
persons with disabilities and a statement that they will meet the
accessibility requirements of 24 CFR part 8, Nondiscrimination Based on
Handicap in Federally Assisted Programs and Activities of the
Department of Housing and Urban Development;
(b) A discussion of how any drug education services that you
propose to undertake directly or through a subcontract will reflect the
objectives of your program plan;
(c) A specific explanation of how you plan to incorporate the
active participation of youth in planning prevention programs and
services targeted to their needs; and
(d) If you propose drug treatment activities, you must provide a
letter from your Single State Agency (or State license provider or
authority with drug program coordination responsibilities in your
State) that states that your program is effectively coordinating,
developing, and implementing drug treatment programs in partnership
with that entity.
(2) (10 points) The anticipated effectiveness of your plan and
proposed activities in reducing or eliminating drug-related crime
problems immediately and over an extended period. This should include
the following:
(a) A description of established performance goals for the results
to be achieved during the period of your grant. The goals must be
objective, quantifiable, and measurable, and they must be outcome or
result-oriented. Outcomes include accomplishments, results, impact and
the ultimate effects of the program on the drug or crime problem in the
target/development area.
(b) An explanation of how your proposed activities enhance and are
coordinated with on going or proposed programs sponsored by HUD, such
as Neighborhood Networks, Campus of Learners, Operation Safe Home,
``One Strike and You're Out'', Department of Justice Weed and Seed
efforts, or any other prevention/intervention/treatment activities in
your community. Explain the specific steps you will take to share and
coordinate information on solutions and outcomes with other law-
enforcement and governmental agencies, and a description of any written
agreements in place or that will be put in place by you with these
entities.
(3) (3 points) Evidence and explanation of how proposed activities
have been effective in similar circumstances in controlling drug-
related crime. If you are proposing new methods for which there is
limited knowledge of effectiveness, you should provide the basis for
modifying past practices and rationale for why you believe the
modification will yield more effective results.
(4) (3 points) The process you will use to maintain, analyze, and
report Part I and II crimes, as well as police workload data. Police
workload data may include, but are not limited to: all calls for
service by residents of your development, crime pattern over a period
of time by type of crime, and plans to improve data collection and
reporting. Your proposed analysis of the data collected must include a
method for assessing the impact of activities on the collected crime
statistics throughout your award period. The results of your activities
and the effect on statistics is of much greater importance than the
method you will use to collect such data, so you should pay attention
to the benchmarks you establish for measuring and evaluating your
performance, particularly measuring changes in crime rates by Part I
and Part II crime data.
(5) (1 point deducted if not addressed) The extent to which your
program to eliminate crime in your development or neighborhood will
expand fair housing choice and will affirmatively further fair housing.
Provide a brief statement outlining the benchmarks you will use to
measure your success in affirmatively furthering fair housing through
this program. This may include such items as making physical
improvements accessible to persons with disabilities, lower vacancy and
turnover rates and increased new applications for housing in your
development and in other rental properties in your neighborhood, new
businesses and other community development initiatives in your area, or
increased rates of homeownership in your community.
(6) (5 points) Resident Support. The extent to which you have
sought the support of residents in planning and implementing the
proposed activities.
(a) You must provide evidence that you actively sought comments,
suggestions, and support from residents for your proposed plan. State
the steps you took to obtain this information and support. Demonstrate
that you made your proposed plan available and that you requested
comments in the language(s) of the tenants residing in your
development(s).
[[Page 12009]]
(b) Describe and provide written documentation of these comments,
suggestions, and support. HUD needs clear evidence that the residents
agree with, support, and will work with your proposed program. If
applicable, you must explain why you do not have written documentation
of such support or did not receive any comments or suggestions.
(c) Describe how residents will be involved in implementing your
program. If involvement would be minimal or not appropriate, please
state and explain why.
Rating Factor 4: Leveraging Community Resources (10 Points)
To receive points under this rating factor, you must provide
evidence of the level and type of participation and support by the
local government or law enforcement agency for your proposed
activities. This should include the level of assistance received from
local government, community organizations, and/or law enforcement
agencies. If a community organization is providing you with staff or
supporting services, you must include a letter from each organization
providing staff or support in order to receive maximum points. Each
letter must specify what type of participation or contributions the
organization will make to your program. Such letters must be from
businesses, non-profit or public agencies within your unit of general
local government (i.e. county, town, city) or incorporated resident
organizations. Letters stating general support or from people or
organizations not in and around your development are not relevant and
you should not include them in your application.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinate your
activities with other known organizations, participate or promote
participation in your community's Consolidated Planning process, and
are working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider your prior efforts and
future plans to coordinate with other local agencies and organizations
as follows:
(1) (3 points) Describe past efforts to coordinate your proposed
activities with those of other groups or organizations prior to
submission of your application in order to best complement, support,
and coordinate all known activities. Explain what specific steps you
will take to share information on solutions and outcomes with others.
Please describe any written agreements or memoranda of understanding
that are or will be in place after award.
(2) (6 points) Explain what specific steps you have taken or will
take to develop linkages or coordinate comprehensive solutions through
meetings, information networks, planning processes, or other
mechanisms. Explain your past efforts or planned efforts for
involvement with such programs or other HUD-funded projects/activities
outside the scope of those covered by the Consolidated Plan; and/or
other Federal, State, or locally funded activities, including those
proposed or on-going in the community.
(3) (1 point) Explain specific steps you have taken or will take to
become active in your community's Consolidated Planning process
(including the Analysis of Impediments to Fair Housing Choice)
established to identify and address a need/problem that is related to
the activities you propose.
VI. Application Submission Requirements
(A) There is no limit to the number of developments per
application. However, all developments in one application must be
eligible and located in the same Field Office jurisdiction. You must
demonstrate in Rating Factor 3 ``Soundness of Approach--(Quality of the
Plan)'' that your program will be feasible to implement among all
proposed developments. In addition, you must provide pertinent
information for each Rating Factor for each proposed development.
(B) Your application must contain the items listed in this Section
VI(B). These items include the standard forms, certifications, and
assurances listed in the General Section of the SuperNOFA that are
applicable to this funding (collectively, referred to as the ``standard
forms''). The standard forms can be found in Appendix B to the General
Section of the SuperNOFA. The remaining application items that are
forms (i.e., excluding such items as narratives, letters, referred to
as the ``non-standard forms'' can be found as Appendix B to this
program section of the SuperNOFA: The items are as follows:
Standard Forms
--Standard Form for Application for Federal Assistance (SF-424) (which
includes civil rights/fair housing certification);
--Federal Assistance Funding Matrix and Certifications (HUD-424M);
--Standard Form for Budget Information--Non-Construction Programs (SF
424A);
--Standard Form for Assurances--Non-Construction Programs (SF-424B);
--Drug Free Workplace Certification (HUD-50070);
--Certification of Payments to Influence Federal Transactions (HUD-
50071) and if engaged in lobbying, the Disclosure Form Regarding
Lobbying (SF-LLL):
--Applicant/Recipient Disclosure/Update Report Form (HUD-2880);
--Acknowledgment of Application Receipt (HUD-2993)
Other Application Items
(1) Application Cover Letter that outlines and explains the
application structure; includes the name of a contact person and a
number where he/she can be reached, and provides any other information
you feel would assist HUD in reviewing your application.
(2) Applicant Data Input Form.
(3) Abstract of Proposed Program, consisting of one paragraph which
summarizes your proposed program.
(4) Rating Factor 1 Narrative. A narrative, not to exceed five
pages, which includes a discussion of your organization's financial
capacity, staff resources, and prior experience that will enable you to
effectively administer a grant and meet reporting requirements.
(5) Rating Factor 2 Narrative and Statistics. The narrative and
data must describe critical level of need for your proposed activities
and a justification for the urgency of meeting the need in your
development(s) and the area around your development(s). The description
must indicate the extent and nature of drug-related crime.
(a) ``Objective Crime Data'' (i.e. statistics and other
information) relevant to the target area, or
(b) Other supporting, verifiable data on the extent of drug-related
crime in the target area. If you submit other relevant information in
place of objective data, you must also provide the following:
(i) A letter or supporting documentation from your local law
enforcement agency or another relevant neighborhood organization
explaining why objective data are not available, and
(ii) A narrative explanation of the reasons why objective data
could not be obtained, what efforts were made to obtain them, and what
efforts will be made (if possible) during the grant period to begin
obtaining the data.
(6) Rating Factor 3 Narrative. A narrative describing your plan's
approach to address the drug-related
[[Page 12010]]
crime problem and associated problems in the development proposed for
funding. The narrative must include:
(a) An explanation of the anticipated effectiveness of your plan
and proposed activities in reducing or eliminating drug-related crime
problems immediately and over an extended period.
(b) Evidence and explanation of how proposed activities have been
effective in similar circumstances in controlling drug-related crime.
(c) A description of the process you will use to maintain, analyze,
and report Part I and II crimes, as well as police workload data.
(d) An explanation of the extent to which your program to eliminate
crime in your development or neighborhood will expand fair housing
choice and will affirmatively further fair housing.
(e) Evidence that you actively sought comments, suggestions, and
support from residents for your proposed plan. Provide written
documentation of these comments, suggestions, and support. If
applicable, you must explain why you do not have written documentation
of such support or did not receive any comments or suggestions.
Describe how residents will be involved in implementing your program.
(f) Drug Treatment Program Certification (if applicable).
(7) Rating Factor 4 Narrative and Letters. The narrative and
letters must provide evidence of the specific type of participation,
assistance, or other support received from local government, community
organizations, and/or law enforcement agencies for your proposed
activities. If a community organization is providing you with staff or
supporting services, you must include a letter from each organization
providing staff or support.
(8) Rating Factor 5 Narrative. The narrative must describe your
past efforts to coordinate your proposed activities with those of other
groups or organizations prior to submission of your application. The
narrative must include;
(a) An explanation of the specific steps you have taken or will
take to develop linkages or coordinate comprehensive solutions through
meetings, information networks, planning processes, or other
mechanisms. Explain your past efforts or planned efforts for
involvement with relevant community activities.
(b) An explanation of the specific steps you have taken or will
take to become active in your community's Consolidated Planning
process.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
It is anticipated that most activities under this program are
categorically excluded from NEPA and related environmental authorities
under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant funds will be
used to cover the cost of any activities which are not exempted from
environmental review requirements--such as acquisition, leasing,
construction, or building rehabilitation, HUD will perform an
environmental review to the extent required by 24 CFR part 50, prior to
grant award.
IX. Authority
This program is authorized under 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.
102-550) and section 161 of the Housing and Community Development Act
of 1992, (Pub.L. 102-550), and further amended by Title V, Subtitle F,
section 586 of the Fiscal Year 1999 HUD Appropriations Act (Pub.L. 105-
276, approved October 21, 1998). The regulations for the program are
found in 24 CFR part 761, Drug Elimination Programs.
Appendix A--HUD Field Office List for Multifamily Housing
Alabama
Multifamily Housing Program Center, HUD--Birmingham Office, 600
Beacon Parkway West, Rm. 300, Birmingham, AL 35209-3144, OFC Phone:
(205) 290-7611, FAX: (205) 290-7632
Alaska
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
Arizona
Multifamily Housing Program Center, HUD Phoenix Office, 400 North
Fifth Street, Suite 1600, Phoenix, AZ 85004-2361, OFC Phone: (602)
379-4434, FAX: (602) 379-3985
Arkansas
Multifamily Housing Program Center, HUD Little Rock Office, 425 West
Capitol Avenue #900, Little Rock, AR 72201-3488, OFC Phone: (501)
324-5401, FAX: (501) 324-6142
California
Multifamily Housing Hub, HUD--San Francisco Office, 450 Golden Gate
Avenue, PO Box 36003, San Francisco, CA 94102-3448, OFC Phone: (415)
436-6505, FAX: (415) 436-8996
Los Angeles Multifamily Hub, 611 West Sixth Street, Suite 800, Los
Angeles, CA 90017, OFC Phone: (213) 894-8000 x 3634, Fax: (213) 894-
8255
Colorado
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 11th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Connecticut
Multifamily Housing Program Center, HUD--Hartford Office, One
Corporate Center, 19th floor, Hartford, CT 06103-3220, OFC Phone:
(860) 240-4800 Ext. 3068, FAX: (860) 240-4850
Delaware
Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427
District of Columbia
Multifamily Housing Program Center, HUD Washington, DC Office, Suite
300, 820 First Street, 0, Washington, DC 20012-4205, OFC Phone:
(202) 275-9200, FAX: (202) 275-9212
Florida
Multifamily Housing Hub, HUD--Jacksonville Office, 301 West Bay
Street, Suite 2200, Jacksonville, FL 32202-5121, OFC Phone: (904)
232-1777 x2144, FAX: (904) 232-2731
Georgia
Multifamily Housing Hub, HUD--Atlanta Office, Five Points Plaza
Building, 40 Marietta Street, SW, Atlanta, Georgia 30303-2806, OFC
Phone: (404) 331-4976, FAX: (404) 331-4028
Hawaii
Multifamily Housing Program Center, HUD Honolulu Office, 7
Waterfront Plaza, 500 Ala Moana Blvd. #500, Honolulu, HI 96813-4918,
OFC Phone: (808) 522-8185 Ext. 244, FAX: (808) 522-8194
Idaho
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
Illinois
Multifamily Housing Hub, HUD--Chicago Office, Ralph Metcalfe Federal
Building, 77 West Jackson Boulevard, Chicago, IL 60604-3507, OFC
Phone: (312) 353-6236 Ext. 2202, FAX: (312) 886-2729
Indiana
Multifamily Housing Program Center, HUD Indianapolis Office, 151
North Delaware Street, Suite 1200, Indianapolis, IN 46204-2526, OFC
Phone: (317) 226-6303, FAX: (317) 226-7308
Iowa
Multifamily Housing Program Center, HUD Des Moines Office, 210
Walnut Street,
[[Page 12011]]
Room 239, Des Moines, IA 50309-2155, OFC Phone: (515) 284-4736, FAX:
(515) 284-4743
Kansas
Multifamily Housing Hub, HUD Kansas City Office, 400 State Avenue,
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844,
FAX: (913) 551-5469
Kentucky
Multifamily Housing Program Center, HUD--Louisville Office, 601 West
Broadway, PO Box 1044, Louisville, KY 40201-1044, OFC Phone: (502)
582-6124, FAX: (502) 582-6547
Louisiana
Multifamily Housing Program Center, HUD New Orleans Office, Hale
Boggs Bldg.--501 Magazine Street, 9th Floor, New Orleans, LA 70130-
3099, OFC Phone: (504) 589-7236, FAX: (504) 589-6834
Maine
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697
Maryland
Multifamily Housing Hub, HUD Baltimore Office, 5th Floor, 10 South
Howard Street, Baltimore, MD 21201-2505, OFC Phone: (410) 962-2520
Ext. 3474, FAX: (410) 962-1849
Massachusetts
Multifamily Housing Hub, HUD--Boston Office, O'Neil Federal
Building, 10 Causeway Street, Rm. 375, Boston, MA 02222-1092, OFC
Phone: (617) 565-5162, FAX: (617) 565-6557
Michigan
Multifamily Housing Hub, HUD Detroit Office, 477 Michigan Avenue,
Detroit, MI 48226-2592, OFC Phone: (313) 226-7900, FAX: (313) 226-
5611
Multifamily Housing Program Center, HUD Grand Rapids, Trade Center
Building, 50 Louis Street, NW., Grand Rapids, MI 49503-2648, OFC
Phone: (616) 456-2100, FAX: (616) 456-2191
Minnesota
Multifamily Housing Hub, HUD Minneapolis Office, 220 Second Street,
South, Minneapolis, MN 55401-2195, OFC Phone: (612) 370-3051 Ext. 0,
FAX: (612) 370-3090
Mississippi
Multifamily Housing Program Center, HUD Jackson Office--McCoy,
Federal Building, 100 W. Capitol Street, Room 910, Jackson, MS
39269-1096, OFC Phone: (601) 965-4738, FAX: (601) 965-4773
Missouri
Multifamily Housing Hub, HUD Kansas City Office, 400 State Avenue,
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844,
FAX: (913) 551-5469
Multifamily Housing Program Center, HUD St. Louis Office, Robert A.
Young Federal Building, 1222 Spruce Street--Third Floor, St. Louis,
MO 63103-2836, OFC Phone: (314) 539-6382, FAX: (314) 539-6356
Montana
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Nebraska
Multifamily Housing Program Center, HUD Omaha Office, 10909 Mill
Valley Road, Suite 100, Omaha, NE 68154-3955, OFC Phone: (402) 492-
3113, FAX: (402) 492-3184
Nevada
Multifamily Housing Program Center, HUD Las Vegas Office, 333 N.
Rancho Drive--Atrium Bldg. Suite 700, Las Vegas, NV 89106-3714, OFC
Phone: (702) 388-6525, FAX: (702) 388-6244
New Hampshire
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697
New Jersey
Multifamily Housing Program Center, HUD--Newark Office--13th Floor,
One Newark Center, Newark, NJ 07102-5260, OFC Phone: (973) 622-7900
Ext. 3400, FAX: (973) 645-2271.
New Mexico
Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX:
(817) 978-5520
New York
Multifamily Housing Hub, HUD--New York Office, 26 Federal Plaza--
Room 3214, New York, NY 10278-0068, OFC Phone: (212) 264-0777 Ext.
3713, FAX: (212) 264-1277
Multifamily Housing Hub, HUD--Buffalo Office, Lafayette Court, 5th
Floor, 465 Main Street, Buffalo, NY 14203-1780, OFC Phone: (716)
551-5755 Ext. 5506, FAX: (716) 551-3252
North Carolina
Multifamily Housing Hub, HUD Greensboro Office--Koger Building, 2306
West Meadowview Road, Greensboro, NC 27407, OFC Phone: (336) 547-
4034, FAX: (336) 547-4121
North Dakota
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Ohio
Multifamily Housing Hub, HUD Columbus Office, 200 North High Street,
Columbus, OH 43215-2499, OFC Phone: (614) 469-5737, Ext. 8111 FAX:
(614) 469-2432
Multifamily Housing Program Center, HUD Cincinnati Office, 525 Vine
Street, Suite 700, Cincinnati, OH, 45202-3188, OFC Phone: (513) 684-
2350, FAX: (513) 684-6224
Multifamily Housing Program Center, HUD Cleveland Office, 1350
Euclid Avenue, Suite 500, Cleveland, OH 44115-1815, OFC Phone: (216)
522-4058 Ext. 7000, FAX: (216) 522-4067
Oklahoma
Multifamily Housing Program Center, HUD Oklahoma City Office, 500 W.
Main Street, Suite 400, Oklahoma City, OK 73102-2233, OFC Phone:
(405) 553-7410, FAX: (405) 553-7406
Oregon
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 Ext.
3250, FAX: (206) 220-5206
Pennsylvania
Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427
Multifamily Housing Program Center, HUD Pittsburgh Office, 339 Sixth
Avenue--Sixth Floor, Pittsburgh, PA 15222-2515, OFC Phone: (412)
644-6639, FAX: (412) 644-5872
Puerto Rico
Multifamily Housing Program Center, HUD Caribbean Office, 171 Carlos
E. Chardon Avenue, San Juan, PR 00918-0903, OFC Phone: (787) 766-
5401, FAX: (787) 766-5522
Rhode Island
Multifamily Housing Program Center, HUD--Providence Office, 10
Weybosset Street, Sixth Floor, Providence, RI 02903-2808, OFC Phone:
(401) 528-5230, FAX: (401) 528-5097
South Carolina
Multifamily Housing Program Center, HUD Columbia Office, 1835,
Assembly Street, Columbia, SC 29201-2480, OFC Phone: (803) 765-5162,
FAX: (803) 253-3043
South Dakota
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Tennessee
Multifamily Housing Program Center, HUD--Knoxville Office, 710
Locust Street, SW, Knoxville, TN 37902-2526, OFC Phone: (423) 545-
4411, FAX: (423) 545-4578
Multifamily Housing Program Center, HUD--Nashville Office, 251
Cumberland Bend Drive, Suite 200, Nashville, TN 37228-1803, OFC
Phone: (615) 736-5748, FAX: (615) 736-2018
Texas
Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX:
(817) 978-5520
Multifamily Housing Program Center, HUD Houston Office, 2211
Norfolk, #200, Houston, TX 77098-4096, OFC Phone: (713) 313-2274
Ext. 7015, FAX: (713) 313-2319
Multifamily Housing Program Center, HUD San Antonio Office, 800
Dolorosa, San Antonio, TX 78207-4563, OFC Phone: (210) 475-6831,
FAX: (210) 472-6897
[[Page 12012]]
Utah
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Vermont
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg. 275 Chestnut Street, Manchester, NH 03101-2487,
OFC Phone: (603) 666-7684, FAX: (603) 666-7697
VIrginia
Multifamily Housing Hub, HUD Richmond Office, 3600 West Broad
Street, Richmond, VA 23230-4920, OFC Phone: (804) 278-4500 Ext.
3146, FAX: (804) 278-4613
Washington
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
West Virginia
Multifamily Housing Program Center, HUD--Charleston Office, 405
Capitol Street, Suite 708, Charleston, WV 25301-1795, OFC Phone:
(304) 347-7000 Ext. 103, FAX: (304) 347-7050
Wisconsin
Multifamily Housing Program Center, HUD Milwaukee Office, 310 West
Wisconsin Avenue, Room 1380, Milwaukee, WI 53203-2289, OFC Phone:
(414) 297-3214 Ext. 8662, FAX: (414) 297-3204
Wyoming
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Appendix B
The non-standard forms, which follow, are required for your
Multifamily Housing Drug Elimination Program application.
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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[[Page 12017]]
FUNDING AVAILABILITY FOR THE ECONOMIC DEVELOPMENT INITIATIVE (EDI)
Program Overview
Purpose of the Program. EDI funds are used to enhance the security
of a loan guaranteed by HUD under Section 108 of the Act (as defined in
Section III(A)(1) below) for the same project, or to improve the
viability of the project financed with the Section 108-guaranteed loan.
HUD intends to make available $10,728,155 in EDI funds in FY 2001 to
stimulate economic development by local governments and private sector
parties. HUD desires to see EDI and Section 108 funds used to finance
projects and activities that will provide near-term results and
demonstrable economic benefits, such as job creation and increases in
the local tax base. An EDI grant must be used in conjunction with a new
Section 108 guaranteed loan commitment. In FY 2001, HUD seeks to
increase economic development opportunity for those areas of the
country having the greatest distress.
Available Funds. Although no new funds were appropriated for the
EDI program in FY 2001, $10,728,155 from the past two fiscal years is
unobligated and therefore HUD proposes to make these funds available
for EDI grants in FY 2001. This amount includes $3,710,000 from the
Community Empowerment Fund (CEF) Pilot. A notice announcing this pilot
program was published in the Federal Register on June 30, 2000. On
reconsideration, HUD has decided not to proceed with this pilot
program. Please note that there is no separate category for regional
economic development applications, unlike last year's SuperNOFA, in
this year's competition. The maximum EDI grant awards will be in the
amount of $1 million.
Eligible Applicants. Any public entity eligible to apply for and
receive loan guarantee assistance under 24 CFR part 570, subpart M.
Urban counties, as defined in 24 CFR 570.3 and 570.307, may apply for
funding, but units of general local government which participate in the
Urban County may not submit an application independent of the Urban
County. (See Section III(B) below for additional information regarding
eligible applicants.)
Application Deadline. July 6, 2001.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Please submit your completed applications
(one original and three copies) on or before 12:00 midnight, Eastern
time, on July 6, 2001, to the addresses shown below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. To HUD Headquarters: The
completed application (an original and two copies) should be submitted
by mail or hand delivery to: Processing and Control Unit, Room 7251,
Office of Community Planning and Development, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410,
Attention: EDI Grant.
To the Appropriate CPD Field Office: At the same time the EDI
application and copies are submitted to HUD Headquarters, an additional
copy should be submitted to the Community Planning and Development
Division of the appropriate HUD Field Office for the applicant's
jurisdiction.
When submitting the application, please refer to EDI, and include
the applicant's name, mailing address (including zip code) and
telephone number (including area code), along with the contact person's
name and phone number.
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information line toll free at
1-800-HUD-8929. When requesting the application kit, please refer to
EDI. Please provide the applicant's name, address (including zip code),
and telephone number (including area code), along with the contact
person's name and phone number. The application kit also will be
available on the Internet through the HUD web site at http://www.hud.gov/grants. Persons with hearing or speech impairments may call
the Center's TTY number at 1-800-HUD-2209 to obtain an application kit.
For Further Information and Technical Assistance. Contact Bill
Seedyke at (202) 708-1686, extension 4445, of the Office of Economic
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Room 7158, Washington, DC 20410; (this is not a toll-free
number). Persons with speech or hearing impairments may access this
number via TTY by calling the toll-free Federal Information Relay
Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on the
provision of technical assistance for EDI grants. The Section 108 Loan
Guarantee program is not a competitive program and therefore is not
subject to the provisions of the HUD Reform Act pertaining to
competitions. HUD staff will be available to provide advice and
assistance to develop Section 108 loan applications.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the EDI application. For more information about the date
and time of the broadcast, please consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
No new funds were appropriated for the EDI program under the FY
2001 HUD Appropriations Act. However, $10,728,155 in funds appropriated
for Fiscal Years 1999 and 2000 remain unobligated and available for the
EDI program for FY 2001. This amount includes $3,710,000 that had been
set aside administratively for the Community Empowerment Fund (CEF)
Pilot. A notice announcing this pilot program was published in the
Federal Register on June 30, 2000 (65 FR 40836). On reconsideration,
HUD has decided not to proceed with this pilot program. For the EDI
program, if any additional funds become available during Fiscal Year
2001, HUD may either fund additional applicants in accordance with this
program section of the SuperNOFA or may add these funds to any future
EDI competitions.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. EDI funds are used to enhance the security
of a loan guaranteed by HUD under Section 108 of the Act (as defined in
Section III(A)(1) below) for the same project, or to improve the
viability of the project financed with the Section 108-guaranteed loan.
An EDI grant must be used in conjunction with a new Section 108
guaranteed loan commitment. Both Section 108 loan guarantee proceeds
and EDI grant funds are initially made available by HUD to public
entities approved for assistance. Such public entities may re-loan the
Section 108 loan proceeds and provide EDI funds to a business or other
entity to carry out an approved economic development project, or the
public entity may carry out the eligible project itself, as provided in
the approved application.
[[Page 12018]]
In either case, EDI grant funds and the 108 proceeds must be used
together to support the same eligible project.
(1) Definitions. Terms used in this program section of the
SuperNOFA have the meanings given in 24 CFR part 570 unless otherwise
specified.
Act means Title I, Housing and Community Development Act of 1974,
as amended (42 U.S.C. 5301-et seq.).
Application means a single set of documents submitted by an
eligible applicant for EDI grant funds, in accordance with the
provisions of this program section of the SuperNOFA to finance an
economic development project. An EDI application must be accompanied by
a Section 108 loan guarantee request, which may consist of either a
brief summary of the proposed use of 108 funds, or a full application,
which may either be submitted at the same time as the EDI application
or be provided within 60 days of EDI grant award, as more fully
explained in Section IV(C) of this program section. Note that the
Section 108 application must be submitted to the appropriate HUD field
office concurrently with its submission to Headquarters.
CDBG funds means those funds collectively so defined at 24 CFR
570.3, including grant funds received pursuant to section 108(q) of the
Act and this program section of the SuperNOFA.
Economic Development Initiative (EDI) means the competitive award
of economic development grant assistance under section 108(q) of the
Act, as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub.L. 103-233, approved April 11,
1994).
Economic development project means an activity or activities
(including mixed use projects with housing components) that are
eligible under the Act and under 24 CFR 570.703, and that increase
economic opportunity for persons of low- and moderate-income, or that
stimulate or retain businesses or jobs, or that otherwise lead to
economic revitalization.
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597 or part
598, or a rural area so designated by the Secretary of Agriculture
pursuant to 7 CFR part 25, subpart B.
Firm Commitment means either a written agreement or letter of
understanding by which an applicant and/or its partner:
(1) agrees to perform an activity specified in the application, and
demonstrates its relationship to the proposed EDI project;
(2) specifies the amount of the commitment, and demonstrates that
it has the financial and organizational capacity to deliver the
resources necessary to successfully complete the activity; if the
committed activity is to be self-financed, the applicant's partner must
evidence its financial capacity through a corporate or personal
financial statement or other appropriate means; and
(3) irrevocably commits the resources to the activity either
through cash or in-kind services or contributions; if any portion is to
be financed through a grant or loan from another public or private
organization, that institution's grant or loan commitment must be
firmly committed as well.
Any such agreement or letter of understanding shall be understood
as being contingent upon receipt of the EDI grant.
In order for an applicant's commitment of CDBG funds to be counted
by HUD, a resolution from the local governing body (e.g., city/borough
council) authorizing the amount and permitted use(s) of the funds must
be provided. Each agreement or letter of commitment must include the
organization's name and proposed total level of commitment and
responsibilities as they relate to the proposed EDI project. The
commitment must be signed by an official of the organization legally
authorized to make commitments on behalf of the organization and have
an effective date not earlier than the publication date of the NOFA.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone or
Enterprise Community designated pursuant to 24 CFR part 597 or part
598.
(2) Background. HUD has multiple programs which are intended to
stimulate and promote economic and community development. Primary among
HUD's resources are the Community Development Block Grant (CDBG)
program and the Section 108 Loan Guarantee program.
(a) The CDBG program provides grant funds (approximately $4.44
billion in FY 2001) by formula to eligible local governments (either
directly or through States) to carry out community and economic
development activities. The Section 108 Loan Guarantee program provides
local governments with a source of financing for economic development,
public facilities and other eligible large scale physical development
projects. HUD is authorized pursuant to Section 108 to guarantee notes
issued by CDBG entitlement communities, and non-entitlement units of
general local government eligible to receive funds under the State CDBG
program. The Section 108 program is subject to the regulations of 24
CFR part 570 applicable to the CDBG program, as described in 24 CFR
part 570, subpart M. EDI grants must support Section 108 loan
guarantees as generally described in this program section of the
SuperNOFA.
(b) For FY 2001, the Section 108 program is authorized at $1.26
billion in loan guarantee authority. The full faith and credit of the
United States will be pledged to the payment of all guarantees made
under Section 108. Under this program, communities (and States, if
applicable) pledge their continuing CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security and included in
the applicable ``Contract for Loan Guarantee Assistance''). This means
that a community can ordinarily continue to spend its existing
allocation for other CDBG purposes, unless needed for loan repayment.
(3) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. A purpose of EDI grant funds is to reduce grantees' potential
loss of future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the probability
that the project will generate enough cash to repay the guaranteed
loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation
techniques.
(4) Purpose of EDI Funding. HUD intends the approximately $7.0
million in EDI funds to stimulate economic development by local
governments and private sector parties. HUD desires to see EDI and
Section 108 funds used to finance projects and activities that will
provide near-term results and demonstrable economic benefits, such as
job creation and increases in the local tax base.
(5) Additional Security for Section 108 Loan Guarantee. Public
entities should be mindful of the need to provide additional security
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3).
Although a public
[[Page 12019]]
entity is required by the Act to pledge its current and future CDBG
funds as security for the Section 108 loan guarantee, the public entity
will usually be required to furnish additional collateral. In most
cases, the additional collateral consists (in whole or in part) of the
asset financed with the Section 108 loan funds (e.g., a loan made to a
business as part of an economic development project). Applications
proposing uses for EDI funding that directly enhance the value of the
assets securing the Section 108 loan will help ensure that the project-
based asset(s) will satisfy the additional collateral requirements.
(6) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national objectives,
HUD envisions that the following project structures could be typical:
(a) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively `` '' in the early
stages of the project, i.e., potentially insufficient to meet operating
expenses and debt service obligations. The EDI grant can make it
possible for reserves to be established in a way that enhances the
economic feasibility of the project.
(b) Over-Collateralizing the Section 108 Loan.
(i) The use of EDI grant funds may be structured in appropriate
cases to improve the likelihood that project-generated cash flow will
be sufficient to cover debt service on the Section 108 loan directly
and therefore enhance the security of the guaranteed loan. One
technique for accomplishing this approach is over-collateralization of
the Section 108 loan.
(ii) An example is the creation of a loan pool funded with both
Section 108 and EDI grant funds. The community would make loans to
various businesses from the combined pool at an interest rate equal to
or greater than the rate on the Section 108 loan. The total loan
portfolio would be pledged to the repayment of the Section 108 loan.
(c) Direct Enhancement of the Security of the Section 108 Loan. The
EDI grant can be used to cover the cost of providing credit
enhancements. An example of how the EDI grant can be used for this
purpose is by using the grant funds to cover the cost of a standby
letter of credit, issued in favor of HUD. This letter of credit will be
available to fund amounts due on the Section 108 loan if other sources
fail to materialize and thus will serve to protect the public entity's
future CDBG funds.
(d) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate.
(i) While the rates on loans guaranteed under Section 108 are only
slightly above the rates on comparable U.S. Treasury obligations, they
may nonetheless be higher than can be afforded by businesses in
severely economically distressed neighborhoods. The EDI grant can be
used to make Section 108 financing affordable.
(ii) EDI grant funds could serve to ``buy down'' the interest rate
up front, or make full or partial interest payments, allowing the
businesses to be financially viable in the early start-up period, which
might not otherwise be possible with Section 108 alone. This strategy
would be particularly useful where a community was undertaking a large
commercial/retail project in a distressed neighborhood in order to act
as a catalyst for other development in the area.
(e) Combination of Techniques. A combination of the above or other
techniques could be employed in implementing an economic development
project.
(7) Additional Project Structure. HUD will consider funding an EDI
proposal in which the related Section 108-guaranteed obligation would
be used solely as security only under the following conditions:
(a) If EDI funds are not the first source of funds injected into
the project, and
(b) If project funds are disbursed according to a ratio that equals
the amount of EDI funds to the amount of private or public debt that is
firmly committed to the project, as required under Rating Factor 4
``Leveraging Resources'' below, and
(c) If the grantee maintains in its records a listing of the amount
of private funds being distributed by the private party (i.e., the
financing institution) to the project.
Grantees are reminded that the EDI grantee/Section 108 borrower's
loan guaranteed obligation cannot remain undisbursed for more than five
years following the year in which the Section 108 commitment is made.
Consequently, the borrower's 108-guaranteed obligation cannot have a
term that exceeds five years plus the remaining portion of the fiscal
year in which the commitment is made.
(B) Eligible Applicants. (1) Any public entity eligible to apply
for Section 108 loan guarantee assistance pursuant to 24 CFR 570.702
may apply for EDI grant assistance under Section 108(q). Eligible
applicants are CDBG entitlement units of general local government and
non-entitlement units of general local government eligible to receive
loan guarantees under 24 CFR part 570, subpart M. Urban Counties, as
defined at 24 CFR 570.3 and 570.307, are eligible applicants for EDI
funds; units of general local government which participate in an Urban
County program are not independently eligible applicants. For non-
entitlement applicants other than those subject to 24 CFR 570, subpart
F, applicants will be required to provide evidence in the application
from an authorized official of the State agency responsible for
administering the State CDBG program stating its intention to support
the related Section 108 loan with a pledge of its CDBG funds pursuant
to the requirements of 24 CFR 570.705(b)(2). Such evidence shall take
the form of the HUD Certification titled ``SECTION 108 LOAN GUARANTEES:
State Certifications Related to Nonentitlement Public Entities'' which
may be obtained either by downloading from the Internet or in the EDI
Application Kit to be published shortly after publication of this
SuperNOFA. Note that effective January 25, 1995, non-entitlement public
entities in the State of Hawaii were authorized to apply to HUD for
Section 108 loans (see 59 FR 47510, December 27, 1994). Thus, non-
entitlement public entities in all 50 states and Puerto Rico are now
eligible to participate in the Section 108 and EDI programs.
(2) Applicants for economic development projects under this section
must comply with the threshold requirements of Section II of the
General Section of the SuperNOFA.
(C) Eligible Activities and National Objectives. (1) EDI grant
funds and section 108 loan guarantee funds may be used for activities
listed at 24 CFR 570.703, provided such activities are carried out as
part of an economic development project as described in this EDI
section of the SuperNOFA. If the application fails to meet the
requirements for an EDI project as set forth in this program section of
the SuperNOFA, HUD will not give it a rating.
(2) Each activity assisted with Section 108 loan guarantee or EDI
funds must meet a national objective of the CDBG program as described
in 24 CFR 570.208. The applicant must clearly identify in its narrative
statement (as described in Section V(B) below) the CDBG national
objective the proposed project will achieve and provide the appropriate
CDBG national objective's regulatory citation found at 24 CFR 570.208.
Also, the applicant must address, when applicable, how the proposed
activities will comply with the
[[Page 12020]]
public benefit standards of the CDBG program as reflected in the
regulation at 24 CFR 570.209 for the CDBG Entitlement and Small Cities
programs, or 24 CFR 570.482 for the State CDBG program.
(3) In the aggregate, a grantee's use of CDBG funds, including any
Section 108 loan guarantee proceeds and Section 108(q) (EDI) funds
provided pursuant to this program section of the SuperNOFA, must comply
with the CDBG primary objective requirement as described in Section
101(c) of the Act and 24 CFR 570.200(a)(3), or 24 CFR 570.484 in the
case of State grantees.
IV. Program Requirements
(A) CDBG Program Regulations. In addition to 24 CFR 570.701
(Definitions), 570.702 (Eligible Applicants), and 570.703 (Eligible
Activities), as explained in Section III(C) above of this SuperNOFA,
the CDBG regulatory requirements in 24 CFR 570.707, including subparts
J (Grant Administration), K (Other Program Requirements), and O
(Performance Reviews) govern the use of EDI funds, as applicable.
(B) Compliance with Applicable Laws. An award of EDI funding does
not in any way relieve grant recipients or third party users of EDI
funds from compliance with all applicable Federal, State and local
laws.
(C) Related Section 108 Loan Guarantee Request.
(1) Each EDI application must be accompanied by a request for new
Section 108 loan guarantee assistance. Notwithstanding the form of the
request for new Section 108 loan guarantee assistance under paragraphs
(a), (b), (c), or (d) of this section below, the applicant must include
citations to the specific regulatory subsections supporting activity
eligibility and national objectives compliance for the project
described in its application. Both the EDI and Section 108 funds must
be used in conjunction with the same economic development project. This
request may take any of several forms as defined below.
(a) A full application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b).
(b) A brief description (not to exceed three pages) of the project
to be applied for in a new Section 108 loan guarantee application. Such
108 application must be submitted within 60 days of written notice of
EDI selection, with HUD reserving the right to extend such period on a
case-by-case basis where HUD determines there is evidence of good
cause. EDI awards will be conditioned on approval of actual Section 108
loan commitments. This Section 108 application description must be
sufficient to support the basic eligibility of the proposed project and
activities for Section 108 assistance. (See Section III(C) of this
program section of this SuperNOFA.).
(c) A copy of a pending, unapproved Section 108 loan guarantee
application, and any proposed amendments to the Section 108 application
which are related to the EDI application. The applicant's submission of
such an EDI/Section 108 application shall be deemed by HUD to
constitute a request to suspend separate processing of the Section 108
application. The Section 108 application will not be approved until on
or after the date of the related EDI award.
(d) A request for a Section 108 loan guarantee assistance
(analogous to Section IV(C)(1)(a) or (b) above) that proposes to
increase the amount of a previously approved application. However, any
amount of Section 108 loan guarantee authority approved before HUD's
announcement of an EDI grant for the same project is not eligible to be
used in conjunction with an EDI grant under this program section.
(2) Further, a Section 108 loan guarantee amount that is required
to be used in conjunction with a prior EDI or Brownfields Economic
Development Initiative (BEDI) grant award, whether or not the Section
108 loan guarantee has been approved as of the date of this SuperNOFA,
is not eligible for an EDI award under this SuperNOFA. For example, if
a public entity has a previously approved Section 108 loan guarantee
commitment of $12 million, even if none of the funds have been
utilized, or if the public entity had previously been awarded an EDI
grant of $1 million and had certified that it will submit a Section 108
loan application for $10 million in support of that EDI grant, the
public entity's EDI application under this SuperNOFA must propose to
increase the amount of its total Section 108 loan guarantee commitments
beyond those amounts (the $12 million or $10 million in this example)
to which it has previously agreed.
(D) Prohibitions on Use of EDI and Section 108 Funds. Certain
restrictions shall apply to the use of EDI and Section 108 funds:
(1) EDI grants must not be used as a resource to immediately repay
the principal of a loan guaranteed under Section 108. Repayment of
principal is only permissible with EDI grant funds as a matter of
security if other sources projected for repayment of principal prove to
be unavailable.
(2) Section 108 loan obligations may not be subordinated, directly
or indirectly, to federally tax exempt obligations. Pursuant to Office
of Management and Budget (OMB) Circular A-129 (REV.), Appendix A,
Sections II c.2 and d. (Policies for Federal Credit Programs and Non-
Tax Receivables), Section 108 guaranteed loan funds may not directly or
indirectly support federally tax-exempt obligations.
(E) Time-frames. EDI grant awards will contain conditions requiring
grantees to adhere to their stated time-frames for implementing
proposed projects and drawing Section 108 and EDI funds. If the related
Section 108 application has not been submitted and approved and the
Note guaranteed within fifteen (15) months of written HUD notification
of grant award, HUD may deobligate the EDI funds. If EDI grant funds
and Section 108 loan proceeds have not been disbursed to the applicant
within the timeframes specified in the EDI Grant Agreement and the 108
Contract, HUD reserves the right to recapture the EDI funds, unless an
extension of time has been authorized in writing by HUD, and either
award them to the applicant that scored the next highest in that year's
competition, provided that such applicant's application remains
feasible and appropriate under this program section of the NOFA, or
make them available as part of the next EDI NOFA.
(F) Limitations on Grant Amounts. (1) HUD expects to approve EDI
grant amounts for approvable applications with a range of ratios of EDI
grant funds awarded to new Section 108 loan guarantee commitments, but
the minimum ratio will be $1 of Section 108 loan guarantee commitments
for every $1 of EDI grant funds. However, if an applicant proposes a
leverage ratio of 1:1, it will not receive any points under Rating
Factor 4, paragraph (1): ``Leverage of Section 108 Funds.'' For
example, an applicant requesting an EDI grant of $1 million will be
required to leverage a minimum of at least $1 million in new Section
108 loan guarantee commitments. Even with a ratio of 1:1, applications
with higher ratios will receive more points under Rating Factor 4,
``Leveraging Resources''. Because the proposed ratio of EDI funds to
Section 108 funds represents an applicant's financial commitment, HUD
will condition the EDI grant award on the grantee's achievement of that
specific ratio. Its failure to meet that condition by obtaining timely
HUD approval of a commitment for, and issuance of, the required Section
108 guaranteed
[[Page 12021]]
obligations ratio may result in the cancellation and recapture of all
or a proportionate share of the EDI grant award.
HUD will cap EDI awards at a maximum of $1 million. An application
in excess of $1 million will be reduced below the amount requested by
the applicant to the extent HUD determines that such a reduction is
appropriate.
After selection, but prior to grant award, if HUD determines that
an application can be funded at a lesser EDI grant amount than
requested and still be feasible and consistent with the proposed plan
and the purposes of the Act, it reserves the right to reduce the amount
of the EDI award and/or increase the required Section 108 loan
guarantee commitment, if appropriate.
(4) If additional EDI grant funds become available to HUD (e.g.,
from recaptures or other appropriations), HUD reserves the right to
award grants under this SuperNOFA during FY 2001 whose aggregate total
may exceed the approximately $7 million announced in this program
section of the SuperNOFA, up to the maximum amount authorized by law.
(5) If an applicant is awarded an EDI grant that has been reduced
below the original request (e.g., the application contained some
activities that were ineligible, the grant request exceeded the funding
cap, there were insufficient funds to reach all applications (as
defined in Section V(A) below) at the full amount requested, or there
were technical deficiencies that could not be resolved), it will be
asked to modify its project plan and application to conform to the
terms of HUD's approval before HUD will execute a grant agreement. HUD
also will proportionately reduce or deobligate the EDI award if an
applicant does not submit an approvable Section 108 loan guarantee
application and issue Section 108-guaranteed obligations on a timely
basis in the amount required by the EDI/108 leveraging ratio which will
be approved by HUD as a special condition of the EDI grant award (see
Section IV(F)(1) above of this program section of the SuperNOFA). Any
modifications or amendments to an application approved pursuant to this
SuperNOFA, whether requested by the grantee or by HUD, must be within
the scope of the approved original EDI application in all respects
material to rating the application, unless HUD determines that the
revised application scores above the level of the lowest funded
application and is otherwise approvable under this SuperNOFA
competition.
(6) In the case of a requested increase in guarantee assistance for
a project with a previously approved Section 108 loan guarantee
commitment (as further discussed in Section IV(C)(1)(d), above), the
EDI assistance approved will be based on the increased amount of
Section 108 loan guarantee assistance.
(7) Pursuant to another portion of this SuperNOFA, HUD is
simultaneously announcing the availability of $25 million of
Brownfields Economic Development Initiative (BEDI) funds.The BEDI
program's principal purpose is to assist in the remediation of
contaminated commercial and industrial sites, but economic development
proposals that contain some limited amount of environmental site
remediation as part of the overall cost may be submitted under the EDI
portion of this SuperNOFA as well. While HUD will permit applicants to
pursue BEDI and EDI funds for the same project, HUD requires that the
BEDI and EDI applications (and their components) be independent of one
another. Thus, each application should have an identifiable amount of
Section 108 funding associated with its respective request for EDI and
BEDI funds for purposes of determining the leverage of Section 108
funding to the corresponding amount of EDI or BEDI funds requested.
Also, the proposed amount of Section 108 borrowing associated with the
BEDI or EDI grant shall not be used to determine leverage of other
financial resources under Rating Factor 4, paragraph (2). Further, if
an applicant seeks both BEDI and EDI funds for the same project, it
must include in its response to Rating Factor 3 a discussion of how the
project can be financed and implemented if it fails to obtain either
BEDI or EDI funds under this SuperNOFA.
(G) Timing of Grant Awards. (1) If an applicant submits a full
Section 108 application with its EDI grant application, HUD will
evaluate the Section 108 application concurrently with the request for
EDI grant funds. Note that the 108 application must be submitted to the
appropriate HUD field office concurrently with submission to
Headquarters. In addition, EDI grant assistance cannot be used to
leverage a Section 108 loan guarantee approved prior to the date of
HUD's announcement of an EDI grant pursuant to this SuperNOFA. However,
the EDI grant may be awarded before HUD approval of the Section 108
commitment if HUD determines that such award will further the purposes
of the Act.
(2) HUD notice to a grant recipient of the amount and conditions of
EDI funds awarded, based upon review of the EDI application,
constitutes an obligation of grant funds, subject to compliance with
the conditions of award and execution of a grant agreement. EDI funds
must not be disbursed to the grantee before the issuance of the related
Section 108-guaranteed obligations.
(H) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). Section 3 of the Housing and Urban Development Act of 1968
(12 U.S.C. 1701u) is applicable to EDI grant recipients. Please see
Section II(E) of the General Section of the SuperNOFA.
(I) Nondiscrimination. Section 109 of the Housing and Community
Development Act of 1974, as amended (42 U.S.C. 5309), is applicable to
EDI grant recipients. Applicants must therefore adhere to HUD
regulations at 24 CFR parts 6 and 570, including, but not limited to,
reporting and record-keeping requirements under 24 CFR 570.506 and
570.507.
V. The Application Selection Process
(A) Rating and Ranking. (1) Each rating factor and the maximum
number of points is provided below. The maximum number of points to be
awarded is 104. To be eligible for funding, an EDI application must
obtain a total score of at least 20 points in Rating Factors 1
(Capacity) and 3 (Soundness of Approach) combined.
(2) All applications meeting program and threshold requirements
will be scored under the selection criteria below. Applications will be
selected for funding as follows:
All EDI grant applications will be separately ranked in order of
points assigned with the applications receiving more points ranking
above those receiving fewer points.
In the event two or more applications are given the same score, but
there are insufficient funds for all, the application(s) with the
highest score(s) on Rating Factor 2 (Distress/Extent of the Problem)
shall be selected. If there is still a tie, the following Factors will
be considered sequentially as follows, with the application having the
high score on that Factor taking precedence until the tie is broken:
Rating Factor 3 (Soundness of Approach), Rating Factor 1 (Capacity and
Experience), Rating Factor 4 (Leveraging Resources), and Rating Factor
5 (Comprehensiveness and Coordination).
Fundable economic development applications must meet the threshold
requirements stipulated in the General Section of this SuperNOFA and be
complete as required by the Submission requirements of this program
section of the SuperNOFA. Economic development projects will be funded
in rank order until the total aggregate
[[Page 12022]]
amount of the applications funded is equal to the maximum amount
available in the competition (subject to the Department's discretion as
described in Section IV(F) below).
Bonus Points
An additional two points may be awarded for projects that are
located either in federally-designated Empowerment Zones and Enterprise
Communities; two points may also be awarded for qualifying projects in
Dallas, Texas as mandated by a decision by the U.S. District Court for
the Northern District of Texas, for a maximum of four points possible.
For specific details, please see Section III(C)(1) in the General
Section of the SuperNOFA, and Rating Factor 3, paragraph (6) below.
(B) Narrative Statements.
Applications must:
(1) Provide a narrative statement describing the activities that
will be carried out with the EDI grant funds. The EDI narrative
statement must not exceed three (3) 8.5" by 11" pages, doubled-spaced.
(2) Describe how the proposed uses of EDI funds will meet the
national objectives under 24 CFR 570.208 for the CDBG program and
qualify as eligible activities under 24 CFR 570.703. Applications must
include citations to the specific regulatory subsections supporting
eligibility of activities and compliance with national objectives. (See
Section III(C) of this program section of this SuperNOFA).
(3) The applicant must also provide narrative statements in
response to each of the rating factors below.
(4) Print all narrative statements in 12 point type/font, and use
sequentially numbered pages.
(C) Factors for Award Used to Evaluate and Rate Applications. HUD
will evaluate all applications for funding assistance based on the
following factors, the responses to which demonstrate the quality of
the proposed project or activities, and the applicant's capacity and
commitment to use the EDI funds in accordance with the purposes of the
Act. Responses to Rating Factors 1-5 below shall not exceed fifteen
(15) pages combined.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement its
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' will include any
subcontractors, consultants, and subrecipients that are firmly
committed (see definition in Section III(A)(1) above) to participate in
the activities described in the application. In rating this factor, HUD
will consider the following:
(1) With regard to the EDI/Section 108 project, the applicant
should demonstrate that it has the organization and the staff and
financial resources in place to implement the specific steps required
to successfully carry out its proposed EDI/Section 108 project. This
includes factors such as:
(a) Performance in the administration of its CDBG, HOME or other
programs;
(b) Performance, if any, in carrying out economic development
projects similar to that proposed, including the ability to conduct
prudent underwriting, if applicable;
(c) Ability to carry out projects and programs in a timely manner;
an applicant must address its performance in spending previously
awarded funds, if any, in a timely manner, including, for CDBG
entitlement recipients, the extent to which it has met the HUD standard
of having no more than 1.5 times its entitlement amount undisbursed
(see 24 CFR 570.902(a)(1)(i); and,
(d) If applicable, capacity to manage projects under this program
section of the SuperNOFA along with any federal funds awarded as a
result of a federal urban Empowerment Zone/Enterprise Community
designation (including Enhanced Enterprise Community (EEC)
designation).
(2) An applicant that has previously received an EDI or BEDI grant
award must describe the status of the implementation of those
project(s) assisted with EDI or BEDI funds, any delays that have been
encountered and the actions it is taking to overcome any such delays to
carry out the project in a timely manner. For such previously funded
EDI or BEDI grant projects, HUD will award more rating points for
applications providing evidence of achievement of specific measurable
outcomes in carrying out activities funded with previous EDI or BEDI
grant funds and the associated Section 108 guaranteed loan funds.
(3) Experience and performance of subrecipients, nonprofit
organizations and other entities that have a role in implementing the
proposed program should be included in this review. Experience will be
judged in terms of recent and successful performance of activities
relevant to those proposed in the EDI application. The more recent and
extensive the experience, the greater the number of points that will be
awarded for this Factor.
(4) In addition to the application, HUD also may rely on
information from performance reports, financial status information,
monitoring reports, audit reports and other available information in
making its determination under this factor.
Rating Factor 2: Distress/Extent of the Problem (40 Points)
This Factor addresses the extent to which there is need for funding
the proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in the applicant's target
area. In responding to this Factor, applications will be evaluated on
the extent to which the level of distress is documented and compared,
vis-a-vis, the target area, the jurisdiction, and national data.
(1) In applying this Factor, HUD will consider current levels of
distress for the following areas affected by the project: first, in the
area (i.e., Census Tract(s) or Block Groups) immediately surrounding
the project site or the target area to be served by the proposed
project; second, in the jurisdiction in which the project is to be
located; third, relative to the similar measures of distress in the
nation. Applicants may also provide data for the overall jurisdiction
alongside comparable jurisdictions in the county and state, as
appropriate to the activity, in order to demonstrate the various levels
of distress in context. This means that an application that provides
data that show levels of distress in the project area and the
jurisdiction expressed as a percent greater than the national average
will be rated higher under this Factor.
Notwithstanding the above, an applicant proposing a project to be
located outside the target area could still receive points under the
Distress Factor if a clear rationale is provided linking the proposed
project location and the benefits to be derived by persons living in
more distressed area(s) of the applicant's jurisdiction.
(2) Applicants should provide data that address all indicators of
distress, if applicable, as follows:
(a) Poverty rate (20 points)--data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for
both the target area(s) and the jurisdiction as a whole; an application
that compares the local poverty rate in the following manner to the
national average at the time of submission will receive points under
this Section as follows:
(i) Equal to but less than twice the national average--5 points;
[[Page 12023]]
(ii) Twice but less than three times the national average--10
points;
(iii) Three or more times the national average--20 points.
(b) Unemployment (15 points)--; for both the project area and
jurisdiction; an application that compares the local unemployment rate
in the following manner to the national average at the time of
submission will receive points under this Section as follows:
(i) Equal to but less than twice the national average--2 points;
(ii) Twice but less than three times the national average--4
points;
(iii) Three but less than four times the national average--6
points;
(iv) Four but less than five times the national average--8 points;
(v) Five or more times the national average--10 points.
(c) Other Indicators of social and/or economic decline that best
capture the applicant's local situation (5 points)--examples that could
be provided under this Section are information demonstrating the
jurisdiction's stagnant or falling tax base, including recent
commercial or industrial closings, housing conditions, such as the
number and percentage of substandard and/or overcrowded units, rent
burden (defined as average housing cost divided by average income) for
both the target area and jurisdiction, local crime statistics, etc.
(3) To the extent that the applicant's Consolidated Plan, its
Analysis of Impediments to Fair Housing choice (AI), and/or its Anti-
Poverty Strategy identify the level of distress in the jurisdiction and
the neighborhood in which the project is to be carried out, references
to such documents should be included in preparing the response to this
Factor.
(4) In rating applications under this Factor, HUD reserves the
right to consider sources of available objective data other than, or in
addition to, those provided by applicants, and to compare such data to
those provided by applicants.
(5) HUD requires use of sound and reliable data (e.g., U.S. Census
data, State statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided. Updated Census data are available as
follows for the listed indicators:
(a) Unemployment rate--estimated monthly for counties, with a two-
month lag;
(b) Population--estimated for incorporated places and counties,
through 1999;
(c) Poverty rate--estimated every two years, with a three-year lag,
with 1997 being the most recent available.
Rating Factor 3: Soundness of Approach (25 Points)
This factor addresses the quality and cost-effectiveness of the
proposed plan. The relationship between the proposed activities,
community needs and purposes of the program funding must be clearly
described, as follows, in order to receive points for this factor. In
rating this factor, HUD will consider the following:
(1) (5 Points) The quality of the plan/proposal for the use of EDI
funds and Section 108 loan funds, including the extent to which the
proposed plan for use of EDI grant/Section 108-guaranteed loan funds
will address the needs described in Rating Factor 2 above regarding the
distress and extent of the problem in the immediate target area and/or
jurisdiction. As part of the response to this factor, an applicant
should identify the specific eligible activities it will carry out and
should fully describe how the project will achieve one of the national
objectives under the Community Development Block Grant program.
Applications should also demonstrate how the proposed project would
mitigate or otherwise address the distress identified in Rating Factor
2 above.
(2) (5 Points) The extent to which the plan is logical, feasible
and likely to achieve its stated purpose. HUD's desire is to fund
projects and activities which will quickly produce demonstrable results
and advance the purposes of the EDI program. The applicant should:
(a) Demonstrate that it has a clear understanding of the steps
required to implement its project, including the actions that all
parties responsible for implementing the project must complete. For
example, applications providing evidence that authority necessary to
proceed with the project has been sought and/or received, in the form
of any necessary zoning classification, waivers, general permits,
special use permits, assessment district designation, public easements
and rights-of-way, etc., will receive more points for this Factor.
(b) Provide a specific time schedule for carrying out the project
and identify measurable objectives to be accomplished. The timeline
form contained in the Appendix A to this program section of the
SuperNOFA should be included in the application.
(3) The extent to which the proposed project addresses the Analysis
of Impediments and the needs identified in Rating Factor 2; the extent
to which such project activities will result in the physical and
economic improvement for the residents in the neighborhood in which the
project will be carried out; the extent to which the applicant will
offer residents an opportunity to relocate to environmentally healthy
housing or neighborhoods; or the extent to which residents will benefit
from the funded project to enable them to continue to live in a
redeveloped or revitalized neighborhood and thus share in the
anticipated economic benefits the project is expected to generate.
(4) Financial feasibility. (10 Points) HUD will consider the extent
to which the applicant demonstrates that its project is financially
feasible. In responding to this subfactor, the applicant must clearly
address the question of why the EDI funds are critical to the success
of this project. The response should include these items, as
applicable:
(a) Project costs and financial requirements. A funding sources and
uses statement must be provided, as well as justifications for project
costs;
(b) The amount of any debt service or operating reserve accounts
that will be established in connection with the economic development
project;
(c) The reasonableness of the costs of any credit enhancement paid
with EDI grant funds;
(d) The amount of program income (if any) to be received each year
during the repayment period for the guaranteed loan;
(e) Interest rates on loans to third parties (other than
subrecipients), if any, either as an absolute rate or as a plus/minus
spread to the Section 108 rate;
(f) The applicant's underwriting criteria that will be used in
determining project feasibility.
(5) The extent to which the project incorporates one or more
elements that facilitate a successful transition of welfare recipients
from welfare to work, including the number of living wage jobs (i.e.,
those that are part of career path or apprenticeship programs) to be
created by the project and the impact of the project on job creation
that will benefit individuals on welfare or low to very low income.
Such an element could include, for example, linking the proposed
project or loan fund to social and/or other services needed to enable
welfare recipients to successfully secure and carry out full-time jobs
in the private sector; provision of job training to welfare recipients
who might be hired by businesses financed through the proposal; and/or
incentives for businesses financed with EDI/section 108 funds to hire
and train welfare recipients.
[[Page 12024]]
(6) Due to an order of the U.S. District Court for the Northern
District of Texas, Dallas Division, with respect to any application
submitted by the City of Dallas, Texas, HUD's consideration of the
response to this factor, ``Soundness of Approach,'' will include the
extent to which Dallas' plan for the use of EDI funds and Section 108
loan funds will be used to eradicate the vestiges of racial segregation
in the Dallas Housing Authority's programs consistent with the Court's
order. Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed.
Rating Factor 4: Leveraging Resources (15 Points)
In evaluating this factor, HUD will consider the extent to which
the response demonstrates the likelihood that the project will leverage
both Section 108 loan and other public or private funds as part of the
total project resources. This factor has two subfactors, each with its
own maximum point total:
(1) Leverage of Section 108 funds (10 points).
The minimum ratio of Section 108 funds to EDI funds in any project
may not be less than 1:1. The extent to which the proposed project
leverages an amount of Section 108 funds greater than a 1:1 ratio will
result in that application's receiving a higher number of points. If
the application has a ratio of 1:1, it will not receive any points
under this subfactor. If an application proposes that the EDI funds
will leverage additional new Section 108 commitments, it will receive
more points under this subfactor.
(2) Leverage of other financial resources (5 points). HUD will
evaluate the extent to which other funds (public or private) are
leveraged with EDI grant funds and Section 108 guaranteed loan funds,
and the extent to which such other funds are firmly committed to the
project. This could include the use of CDBG funds, other Federal or
state grants or loans, local general funds, project equity or
commercial financing provided by private sources or funds from non-
profits or other sources. Funds will be considered committed to the
project if they meet the requirements of ``Firm Commitment'' as defined
in Section III(A)(1) above, and shall be subject to completion of any
environmental review required under 24 CFR part 58 for the project.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which the applicant has
coordinated its activities with other known organizations; that it
participates or promotes participation in its or the State's
Consolidated Planning process; and that it is working towards
addressing a need in a comprehensive manner through linkages with other
activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations before submission, in order to best complement,
support and coordinate all known activities; and developed specific
steps to share information on solutions and outcomes with others. Any
written agreements or memoranda of understanding in place, or that will
be in place after award, should be described in the application.
(2) Developed linkages, or specific steps to develop linkages with
other activities, programs or projects (through meetings, information
networks, planning processes or other mechanisms to coordinate
activities), so that solutions are holistic and comprehensive. Describe
any linkages with other HUD-funded projects/activities outside the
scope of those covered by the Consolidated Plan, as well as established
linkages and outreach with residents of the project area.
VI. Application Submission Requirements
(A) EDI Funding. An application for funding under the EDI funding
allocation under this program section of the SuperNOFA must have the
following items to be complete. The standard forms, certifications and
assurances that are required for the EDI application (and listed in
paragraph (I) below) can be found in Appendix B to the General Section.
The remaining application items that are forms (i.e., excluding such
items as narratives or letters, etc.), referred to as the ``non-
standard forms'' can be found in Appendix B to this program section of
the SuperNOFA.
(B) Transmittal Letter signed by the authorized representative of
the eligible applicant indicating that it is submitting the application
for funding under the Economic Development Initiative Program and is
requesting funding consideration for an EDI project.
(C) Checklist and Submission Table of Contents indicating the page
numbers where the submission items can be found in the application
(form HUD-40076-EDI/BEDI).
(D) EDI Narrative Statement describing EDI funded eligible
activities within the proposed project.
(E) EDI/BEDI/Section 108 Funding Eligibility Statement. A completed
EDI/BEDI Section 108 Funding Eligibility Statement (form HUD-40076-EDI/
BEDI).
(F) Request for Loan Guarantee Assistance. A request for loan
guarantee assistance under Section 108, as further described in Section
IV(C) of this program section of the SuperNOFA. Full application
guidelines for the Section 108 program are found at 24 CFR 570.704.
(G) Narrative Responses to Factors for Award:
(1) Rating Factor 1: Capacity and Relevant Organizational
Experience. Provide a narrative indicating the capacity of your
organization and staff to perform the work for which it is requesting
funding.
(2) Rating Factor 2: Need Statement Identifying the level of
Distress/Extent of the Problem. Provide a narrative statement including
any documentation supporting the statement of need. Optional form HUD-
40076-EDI/BEDI as a format to respond to this factor for award may also
be used.
(3) Rating Factor 3: Soundness of Approach. Include the activities,
budget and time frame for conducting activities in the response (see
form HUD 40076-EDI/BEDI).
(4) Rating Factor 4: Leveraging Resources. The response should
include a completed copy of form HUD-40076-EDI/BEDI, ``Rating Factor 4:
Leveraging Resources Sources and Uses Statement.''
(5) Rating Factor 5: Comprehensiveness and Coordination. Provide a
narrative response to this factor.
(H) Request for Funds. A single application must contain a request
for funds for a single EDI/108 project. You may submit more than one
application for each additional unrelated EDI/108 project. Each
application will be rated and ranked individually. In no event will HUD
rate and rank more than one EDI project per application.
(I) Additional Application Forms and Certifications. In addition to
any forms that have been submitted in response to the Factors for Award
(which may be found at Appendix A, the following forms and
certifications must also be submitted:
(1) Application for Federal Assistance (Standard Form (SF) 424);
(2) Federal Assistance Funding Matrix (HUD 424M);
[[Page 12025]]
(3) Standard Form for Assurances--Non-Construction Programs (SF
424B) and/or Standard Form for Assurances--Construction Programs (SF
424D)--not applicable for this program section.
(4) Drug-Free Workplace Certification, HUD-50070.
(5) Certification of Payments to Influence Federal Transactions,
HUD 50071, (and if applicant and/or participating parties are engaged
in lobbying, the Disclosure Form Regarding Lobbying, SF-LLL);
(6) Applicant/Recipient Disclosure/Update Report, HUD-2880;
(7) Certification Regarding Debarment and Suspension, HUD-2992;
(8) Certification of Consistency With EZ/EC Strategic Plan, HUD-
2990;
These forms are found in the Appendix B to the General Section of
this SuperNOFA. Budget Information on Standard Forms 424B or 424C are
not required under this EDI section of the SuperNOFA
In addition to the fair housing and other civil rights assurance
described under Section II(B) of the SuperNOFA General Section,
applicants for EDI funds must provide assurance that they will comply
with Section 109 of the Housing and Community Development Act of 1974,
as amended, and must have resolved to HUD's satisfaction any letter of
noncompliance findings under Section 109 before the deadline for EDI
application submission.
If an applicant wishes to receive an acknowledgment of HUD's
receipt of its application, it should submit a completed Acknowledgment
of Receipt of Application form.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
(A) Environmental Review. After the completion of this competition
and after HUD's award of EDI grant funds, pursuant to 24 CFR 570.604,
each project or activity assisted under this program is subject to the
provisions of 24 CFR part 58, including limitations on the EDI grantee
and Section 108 public entity's commitment of HUD and non-HUD funds
prior to the completion of environmental review, notification and
release of funds. No such assistance will be released by HUD until a
request for release of funds is submitted and the requirements of 24
CFR part 58 have been met. All public entities, including
nonentitlement public entities, shall submit the request for release of
funds and related certification, required pursuant to 24 CFR part 58,
to the appropriate HUD field office for each project to be assisted.
(B) Environmental Justice. Executive Order 12898 (Federal Actions
to Address Environmental Justice in Minority Populations and Low-Income
Populations) directs Federal agencies to develop strategies to address
environmental justice. Environmental justice seeks to rectify the
disproportionately high burden of environmental pollution that is often
borne by low-income, minority, and other disadvantaged communities, and
to ensure community involvement in policies and programs addressing
this issue.
IX. Authority
Section 108(q), Title I, Housing and Community Development Act of
1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
Appendix A
The non-standard forms for the EDI application follow.
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
2-26-01
Vol. 66 No. 38
Monday
Feb. 26, 2001
Book 2 of 2 Books
Pages 12033-12434
Separate Parts In This Issue
12033
Part II Continued--Department of Housing and Urban Development
12427
Part III--Department of Housing and Urban Development
12433
Part IV--Department of Health and Human Services
[[Page 12034]]
[[Page 12035]]
FUNDING AVAILABILITY FOR THE BROWNFIELDS ECONOMIC DEVELOPMENT
INITIATIVE (BEDI)
Program Overview
Purpose of the Program. BEDI funds are used to enhance the
security of a loan guaranteed by HUD under Section 108 of the Act
(as defined in Section III(A)(1) below) for the same project, or to
improve the viability of the project financed with the Section 108-
guaranteed loan. HUD intends to make available approximately $25
million in BEDI funds in FY 2001 to stimulate economic development
by local governments and private sector parties. HUD desires to see
BEDI and Section 108 funds used to finance projects and activities
that will provide near-term results and demonstrable economic
benefits, such as job creation and increases in the local tax base.
A BEDI grant must be used in conjunction with a new Section 108
guaranteed loan commitment. In FY 2001, HUD seeks to increase
economic development opportunity for those areas of the country
having the greatest distress.
Available Funds. Approximately $25 million. The maximum BEDI
grant awards will be in the amount of $2 million.
Eligible Applicants. Any public entity eligible to apply for and
receive Section 108 loan guarantee assistance in accordance with 24
CFR 570.702 may apply for BEDI grant assistance under Section 108(q)
and this SuperNOFA. (See Section III(B) below for additional
information regarding eligible applicants.)
Application Deadline. May 22, 2001.
Additional Information
If you are interested in applying for funding under this
program, please review carefully the General Section of this
SuperNOFA and the following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Please submit your completed applications
(one original and three copies) on or before 12:00 midnight, Eastern
time, on May 22, 2001, to the addresses shown below.
See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications. To HUD Headquarters.
Submit your completed application (an original and two copies) to:
Processing and Control Unit, Room 7251, Office of Community Planning
and Development, Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410, Attention: BEDI Grant, by
mail or hand delivery.
To the Appropriate CPD Field Office. At the same time the
application and copies are submitted to HUD Headquarters, an
additional copy should be submitted to the Community Planning and
Development Division of the appropriate HUD Field Office for the
applicant's jurisdiction.
When submitting your application, please refer to BEDI, and
include your name, mailing address (including zip code) and
telephone number (include area code), along with the name and phone
number of your contact person.
For Application Kits. For an application kit and any
supplemental information, please call HUD's SuperNOFA Information
line toll free at 1-800-HUD-8929. When requesting an application
kit, please refer to BEDI. Please be sure to provide the applicant's
name, address (including zip code), and telephone number (including
area code), along with the name and phone number of your contact
person. Persons with hearing or speech impairments may call the
Center's TTY number at 1-800-HUD-2209 to obtain an application kit.
The application kit will also be available on the Internet through
the HUD web site at http://www.hud.gov/grants.
For Further Information and Technical Assistance. Contact Lisa
Peoples, Office of Economic Development, Department of Housing and
Urban Development, 451 Seventh Street, SW, Room 7140, Washington, DC
20410, telephone (202) 708-0614 ext. 4456 (this is not a toll-free
number). Persons with speech or hearing impairments may access this
number via TTY by calling the toll-free Federal Information Relay
Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on the
provision of technical assistance for EDI grants. The Section 108
Loan Guarantee program is not a competitive program and therefore is
not subject to those provisions of the HUD Reform Act pertaining to
competitions. HUD staff will be available to provide advice and
assistance to develop your Section 108 loan application.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program
and preparation of BEDI application. For more information about the
date and time of the broadcast, you should consult the HUD web site
at http://www.hud.gov.
II. Amount Allocated
HUD has available a maximum of $25 million for the BEDI program,
as appropriated in the FY 2001 HUD Appropriations Act for the
purpose of assisting public entities in the redevelopment of
brownfields. The maximum funding amount of a BEDI award is $2
million.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. BEDI is designed to help cities
redevelop abandoned, idled, or underutilized industrial and
commercial facilities where expansion or redevelopment is
complicated by real or perceived environmental contamination--
brownfields. BEDI provides funding to local governments to be used
in conjunction with Section 108 loan guarantees to finance
redevelopment of brownfields sites. A BEDI grant must be used in
conjunction with a new Section 108 guaranteed loan commitment. Both
Section 108 loan guarantee proceeds and BEDI grant funds are
initially made available by HUD to public entities approved for
assistance. Such public entities may re-loan the Section 108 loan
proceeds and provide BEDI funds to a business or other entity to
carry out an approved brownfield economic development project, or
the public entity may carry out the eligible project itself, as
provided in the approved application. In either case, BEDI grant
funds and the 108 proceeds must be used together to support the same
eligible project.
(1) Definitions. Unless otherwise defined herein, terms defined
in 24 CFR part 570 and used in this program section of this
SuperNOFA shall have the respective meanings given thereto in that
part.
Act means Title I, Housing and Community Development Act of
1974, as amended (42 U.S.C. 5301 et seq.).
Application means a single set of documents submitted by an
eligible applicant for BEDI grant funds, in accordance with the
provisions of this program section of the SuperNOFA to finance a
brownfield economic development project. A BEDI application must be
accompanied by a Section 108 loan guarantee request, which may
consist of either a brief summary of the proposed use of 108 funds,
or a full application, which may either be submitted at the same
time as the BEDI application or be provided within 60 days of BEDI
grant award, as more fully explained in Section IV(C) of this
program section. Note that the Section 108 application must be
submitted to the appropriate HUD field office concurrently with its
submission to Headquarters.
Brownfields means abandoned, idled, or under-used real property
(including industrial and commercial facilities) where expansion or
redevelopment is complicated by real or perceived contamination.
Brownfields Economic Development Initiative (BEDI) means the
competitive award of up to $2 million, as appropriated in the FY
2001 HUD Appropriations Act, for economic development grant
assistance under Section 108(q) of the Act for the purpose of
assisting public entities in the redevelopment of brownfields.
Brownfields Economic Development (BEDI) project means an
activity or activities (including mixed use projects with housing
components) that are eligible under the Act and under 24 CFR
570.703, and that increase economic opportunity for persons of low-
and moderate-income or that stimulate or retain businesses or jobs
or that otherwise lead to economic revitalization in connection with
brownfields.
CDBG funds means those funds collectively so defined at 24 CFR
570.3, including grant funds received pursuant to Section 108(q) and
this program section of this SuperNOFA.
Economic Development Initiative (EDI) means the provision of
economic development grant assistance under Section 108(q) of the
Act, as authorized by Section 232 of the Multifamily Housing
Property Disposition Reform Act of 1994 (Pub.L. 103-233, approved
April 11, 1994).
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597 or
part 598, or a rural area so designated by the Secretary of
Agriculture pursuant to 7 CFR part 25, subpart B.
Firm Commitment means either a written agreement or letter of
understanding by which an applicant and/or its partner:
[[Page 12036]]
(1) Agrees to perform an activity specified in the application,
and demonstrates its relationship to the proposed EDI project;
(2) Specifies the amount of the commitment, and demonstrates
that it has the financial and organizational capacity to deliver the
resources necessary to successfully complete the activity; if the
committed activity is to be self-financed, the applicant's partner
must evidence its financial capacity through a corporate or personal
financial statement or other appropriate means; and
(3) Irrevocably commits the resources to the activity either
through cash or in-kind services or contributions; if any portion is
to be financed through a grant or loan from another public or
private organization, that institution's grant or loan commitment
must be firmly committed as well.
Any such agreement or letter of understanding shall be
understood as being contingent upon receipt of the EDI grant.
In order for an applicant's commitment of CDBG funds to be
counted by HUD, a resolution from the local governing body (e.g.,
city/borough council) authorizing the amount and permitted use(s) of
the funds must be provided. Each agreement or letter of commitment
must include the organization's name and proposed total level of
commitment and responsibilities as they relate to the proposed EDI
project. The commitment must be signed by an official of the
organization legally authorized to make commitments on behalf of the
organization and have an effective date not earlier than the
publication date of this NOFA.
EPA means the U.S. Environmental Protection Agency.
Showcase Community means an applicant chosen by the Federal
Government's Brownfields National Partnership for inclusion in the
Federal Government's Brownfields Showcase Communities program.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone
or Enterprise Community designated pursuant to 24 CFR part 597 or
part 598.
(2) Background. (a) HUD has multiple programs which are intended
to stimulate and promote economic and community development and can
be effectively employed to address and remedy brownfields
conditions. Primary among HUD's resources are the Community
Development Block Grant (CDBG) program and the Section 108 loan
guarantee program.
The CDBG program provides grant funds ($4.4 billion in FY 2001)
by formula to local governments (either directly or through States)
to carry out community and economic development activities. The
Section 108 loan guarantee program provides local governments with a
source of financing for economic development, public facilities, and
other eligible large scale physical development projects. HUD is
authorized pursuant to Section 108 to guarantee notes issued by CDBG
entitlement communities and non-entitlement units of general local
government eligible to receive funds under the State CDBG program.
The Section 108 program is subject to the regulations of 24 CFR part
570 applicable to the CDBG program as described in 24 CFR part 570,
subpart M. BEDI grants must support Section 108 loan guarantees as
generally described in this program section of this SuperNOFA.
(c) For FY 2001, the Section 108 program is authorized at $1.26
billion in loan guarantee authority. The full faith and credit of
the United States is pledged to the payment of all guarantees made
under Section 108. Under this program, communities (and States, as
applicable) pledge their continuing CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security and included
in the applicable ``Contract for Loan Guarantee Assistance.'') This
means that a community can ordinarily continue to spend its existing
allocation for other CDBG purposes, unless needed for loan
repayment.
(3) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. A purpose of EDI (and BEDI) grant funds is to reduce
grantees' potential loss of future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the
probability that the project will generate enough cash to repay the
guaranteed loan);
(b) By directly enhancing the security of the guaranteed loan;
or
(c) Through a combination of these or other risk mitigation
techniques.
(4) BEDI Program. For FY 2001, Congress has made a specific
appropriation of $25 million for the BEDI program to assist in
financing ``brownfields'' redevelopment. HUD intends the $25 million
in Brownfields (BEDI) funds available pursuant to this program
section of this SuperNOFA to be used with a particular emphasis upon
the redevelopment of brownfields sites consistent with the statutory
purpose of the FY 2001 HUD Appropriations Act. Accordingly, BEDI
funds shall be used as the stimulus for local governments and
private sector parties to commence redevelopment or continue phased
redevelopment efforts on brownfields sites where contamination is
known or suspected and a redevelopment plans exist. HUD desires to
see BEDI and Section 108 funds used to finance projects and
activities that will provide near-term results and demonstrable
economic benefits, such as job creation and increases in the local
tax base. HUD does not encourage applications whose scope is limited
only to site acquisition and/or remediation (i.e., land banking),
where there is no immediately planned redevelopment.
(5) Redevelopment Focus. The redevelopment focus for BEDI-
assisted projects is also prompted by the need to provide additional
security for the Section 108 loan guarantee pursuant to 24 CFR
570.705(b)(3). While public entities are required by the Act to
pledge their current and future CDBG funds as a source of security
for the Section 108 loan guarantee, the public entity will usually
be required to furnish additional collateral which, ideally, will be
the assets financed with the Section 108 loan funds. Clearly, a
redevelopment focus for the BEDI funds will help achieve this goal
by enhancing the value of the assets securing the Section 108 loan.
(6) Integration of Other Government Brownfields Programs. HUD
expects and encourages local governments which are designated
through (a) the Federal Government's Brownfields Showcase Community
program, (b) other Federal brownfields programs (e.g., EPA's
Assessment Pilot or Revolving Loan Fund programs), (c) a State-
supported brownfields program, or (d) a State or local related
economic development program, to integrate efforts arising from
those programs in developing projects for assistance under HUD's
BEDI and Section 108 programs. Applicants should elaborate upon
these ties in their response to the rating factors, where
appropriate (e.g. ``Capacity of the Applicant,'' ``Soundness of
Approach,'' ``Leveraging Resources,'' or ``Comprehensiveness and
Coordination,''--Rating Factors 1, 3, 4, and 5 respectively.)
(7) Additional Security for Section 108 Loan Guarantee. Public
entities should be mindful of the need to provide additional
security for the Section 108 loan guarantee pursuant to 24 CFR
570.705(b)(3). Although a public entity is required by the Act to
pledge its current and future CDBG funds as security for the Section
108 loan guarantee, the public entity will usually be required to
furnish additional collateral. In most cases, the additional
collateral consists (in whole or in part) of the asset financed with
the Section 108 loan funds (e.g., a loan made to a business as part
of an economic development project). Applications proposing uses for
BEDI funding that directly enhance the value of the assets securing
the Section 108 loan will help ensure that the project-based
asset(s) will satisfy the additional collateral requirements.
(8) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national
objectives, HUD envisions that the following project structures
could be typical:
(a) Land Writedowns. Local governments may use a combination of
Section 108 and BEDI funds to acquire a brownfields site for
purposes of reconveying the site to a private developer at a
discount from its purchase price. This approach would provide the
developer with an asset of enhanced value which could be used as
collateral for other sources of funding. Such other sources of
financing could be used to finance environmental remediation or
other development costs. In theory, the level of BEDI assistance
would approximate the difference between the original cost of the
site and its remediation in comparison to the market value of the
remediated property.
(b) Site Remediation Costs. Local governments may use BEDI funds
in any of several ways to address site remediation costs. If the
local government used Section 108 funds to acquire real property,
BEDI funds could be used to address assessment and site remediation
costs as part of
[[Page 12037]]
demolition, clearance, or site preparation activities. If the local
government used Section 108 funds to make a loan to a developer,
BEDI funds could be granted to the developer for the purpose of
addressing remediation costs as part of an economic development
activity.
(c) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively ``thin'' in the
early stages of the project, i.e. potentially insufficient cash
flows to meet operating expenses and debt service obligations. The
BEDI grant can make it possible for reserves to be established in a
way that enhances the economic feasibility of the project.
(d) Over-Collateralizing the Section 108 Loan.
(i) The use of BEDI grant funds may be structured in appropriate
cases so as to improve the likelihood that project-generated cash
flow will be sufficient to cover debt service on the Section 108
loan and directly to enhance the guaranteed loan. One technique for
accomplishing this approach is over-collateralization of the Section
108 loan.
(ii) An example is the creation of a loan pool funded with both
Section 108 and BEDI grant funds. The community would make loans to
various businesses from the combined pool at an interest rate equal
to or greater than the rate on the Section 108 loan. The total loan
portfolio would be pledged to the repayment of the Section 108 loan.
(e) Direct Enhancement of the Security of the Section 108 Loan.
The BEDI grant can be used to cover the cost of providing enhanced
security. An example of how the BEDI grant can be used for this
purpose is by using the grant funds to cover the cost of a standby
letter of credit, issued in favor of HUD. This letter of credit will
be available to fund amounts due on the Section 108 loan if other
sources fail to materialize and thus will serve to protect the
public entity's future CDBG funds.
(f) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate.
(i) While the rates on loans guaranteed under Section 108 are
only slightly above the rates on comparable U.S. Treasury
obligations, they may nonetheless be higher than can be afforded by
businesses in severely economically distressed neighborhoods. The
BEDI grant can be used to make Section 108 financing affordable.
(ii) BEDI grant funds could serve to ``buy down'' the interest
rate up front, or make full or partial interest payments, allowing
the businesses to be financially viable in the early start-up period
not otherwise possible with Section 108 alone. This strategy would
be particularly useful where a community was undertaking a large
commercial/retail project in a distressed neighborhood to act as a
catalyst for other development in the area.
(g) Combination of Techniques. An applicant could employ a
combination of these or other techniques in order to implement a
strategy that carries out a BEDI project
(8) Additional Project Structure. HUD will consider funding a
BEDI proposal in which the related Section 108-guaranteed obligation
would be used solely as security only under the following
conditions:
(a) If BEDI funds are not the first source of funds injected
into the project, and
(b) If project funds are disbursed according to a ratio that
represents the amount of BEDI funds to the amount of private or
public debt that is firmly committed to the project, as required
under Rating Factor 4 ``Leveraging Resources'' below, and
(c) If the grantee maintains in its records a listing of the
amount of private funds being distributed by the private party
(i.e., the financing institution) to the project.
Grantees are reminded that the BEDI grantee/Section 108
borrower's loan-guaranteed obligation cannot remain undisbursed for
more than five years following the year in which the Section 108
commitment is made. Consequently, the borrower's 108-guaranteed
obligation cannot have a term that exceeds five years plus the
remaining portion of the fiscal year in which the 108 commitment is
made.
(B) Eligible Applicants. (1) Any public entity eligible to apply
for Section 108 loan guarantee assistance in accordance with 24 CFR
570.702 may apply for BEDI grant assistance under Section 108(q).
Eligible applicants are CDBG entitlement units of general local
government and non-entitlement units of general local government
eligible to receive loan guarantees under 24 CFR part 570, subpart
M. Urban Counties, as defined at 24 CFR 570.3 and 570.307, are
eligible applicants for BEDI funds; units of general local
government which participate in an Urban County program are not
independently eligible applicants. For non-entitlement applicants
other than those subject to 24 CFR 570, subpart F, applicants will
be required to provide evidence in the application from an
authorized official of the State agency responsible for
administering the State CDBG program) stating its intention to
support the related Section 108 loan with a pledge of its CDBG funds
pursuant to the requirements of 24 CFR 570.705(b)(2). Such evidence
shall take the form of the HUD Certification titled ``SECTION 108
LOAN GUARANTEES: State Certifications Related to Nonentitlement
Public Entities'' which may be obtained either by downloading from
the Internet or in the BEDI Application Kit to be published shortly
after publication of this SuperNOFA. Note that effective January 25,
1995, non-entitlement public entities in the State of Hawaii were
authorized to apply to HUD for Section 108 loans (see 59 FR 47510,
December 27, 1994). Thus non-entitlement public entities in all 50
states and Puerto Rico are eligible to participate in the Section
108 and BEDI programs.
(2) Applicants for BEDI projects must comply with the threshold
requirements of Section II of the General Section of the SuperNOFA.
(C) Eligible Activities and National Objectives. (1) BEDI grant
funds and Section 108 loan guarantee funds may be used for
activities listed at 24 CFR 570.703, provided such activities are
carried out as part of a BEDI project as described in this BEDI
section of this SuperNOFA, including Section III(A) of this program
section of the SuperNOFA. You are required to submit applications
that seek funding for BEDI projects that will contribute to the
redevelopment and revitalization of brownfields. Applications that
fail to meet the requirements for a BEDI project as set forth in
this SuperNOFA will not be rated by HUD.
(2) Each activity assisted with Section 108 loan guarantee or
BEDI funds must meet a national objective of the CDBG program as
described in 24 CFR 570.208. Applicants must clearly identify in
their narrative statement (as described in Section V(B) of this
program section below) the CDBG national objective to be achieved by
the proposed project and provide the appropriate CDBG national
objective regulatory citation found at 24 CFR 570.208. Applicants
must also address, when applicable, how the proposed activities will
comply with the public benefit standards of the CDBG program as
reflected in the regulation at 24 CFR 570.209 for the Entitlement
and Small Cities programs or 24 CFR 570.482 for the State CDBG
program.
(3) In the aggregate, a grantee's use of CDBG funds, including
any Section 108 loan guarantee proceeds and Section 108(q) (BEDI)
funds provided pursuant to this program section of this SuperNOFA,
must comply with the CDBG primary objective requirements as
described in section 101(c) of the Act and 24 CFR 570.200(a)(3) or
570.484 in the case of State grantees.
IV. Program Requirements
(A) CDBG Program Regulations. In addition to 24 CFR 570.701
(Definitions), Sec. 570.702 (Eligible applicants), and Sec. 570.703
(Eligible activities), as explained in Section III(C) of this
program section of the SuperNOFA, the CDBG regulatory requirements
cited in 24 CFR 570.707, including subparts J (Grant
Administration), K (Other Program Requirements), and O (Performance
Reviews) govern the use of BEDI funds, as applicable.
(B) Compliance with Applicable Laws. Applicants are advised that
an award of BEDI funding does not in any way relieve the applicant
or third party users of BEDI funds from compliance with all
applicable Federal, State and local laws, particularly those
addressing the environment. Applicants are further advised that HUD
may require evidence that any project involving remediation has been
or will be carried out in accordance with State law, including
voluntary clean up programs.
(C) Related Section 108 Loan Guarantee Request. (1) Each BEDI
application must be accompanied by a request for new Section 108
loan guarantee assistance. Notwithstanding the form of your request
for new Section 108 loan guarantee assistance under paragraphs (a),
(b), (c), or (d) below of this Section IV(C), you must include
citations to the specific regulatory subsection supporting activity
eligibility and national objectives compliance for the project
described in your application. (See Section III(C) of this program
section of this SuperNOFA.) Both the BEDI and Section 108 funds must
be used in conjunction with the same BEDI project. The request may
take any of several forms as defined below.
(a) A full application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b).
[[Page 12038]]
(b) A brief description (not to exceed three pages) of the
project to be applied for in a new Section 108 loan guarantee
application(s). Such 108 application(s) will be submitted within 60
days of written notice of BEDI selection, with HUD reserving the
right to extend such period for good cause on a case-by-case basis.
BEDI awards will be conditioned on approval of actual Section 108
loan commitments. The application description must be sufficient to
support the basic eligibility of the proposed project and activities
for Section 108 assistance. (See Section III(C) of this program
section of the SuperNOFA.)
(c) A copy of a pending, unapproved Section 108 loan guarantee
application, and any proposed amendments to the Section 108
application which are related to the BEDI application. The
applicant's submission of such a BEDI/Section 108 application shall
be deemed by HUD to constitute a request to suspend separate
processing of the Section 108 application. The Section 108
application will not be approved until on or after the date of the
related BEDI award.
(d) A request for Section 108 loan guarantee assistance
(analogous to Section IV(C)(1)(a) or (b) of this BEDI section of the
SuperNOFA) that proposes to increase the amount of a previously
approved application. However, any amount of Section 108 loan
guarantee authority approved before HUD's announcement of a BEDI
grant for the same project is not eligible to be used in conjunction
with a BEDI grant under this program section.
(2) Further, a Section 108 loan guarantee amount that is
required to be used in conjunction with a prior EDI or BEDI grant
award, whether or not the Section 108 loan guarantee has been
approved as of the date of this SuperNOFA, is not eligible for a
BEDI award under this SuperNOFA. For example, if a public entity has
a previously approved Section 108 loan guarantee commitment of $12
million, even if none of the funds have been utilized, or if the
public entity had previously been awarded an EDI grant of $1 million
and had certified that it will submit a Section 108 loan application
for $10 million in support of that EDI grant, the public entity's
application under this program section of this SuperNOFA must
propose to increase the amount of its total Section 108 loan
guarantee commitments beyond those amounts (the $12 million or $10
million in this example) to which it has previously agreed.
(D) Prohibitions on Use of BEDI and Section 108 Funds. Certain
restrictions shall apply to the use of BEDI and Section 108 funds:
(1) BEDI grants must not be used as a resource to immediately
repay the principal of a loan guaranteed under Section 108.
Repayment of principal is only permissible with BEDI grant funds as
a matter of security if other sources projected for repayment of
principal prove to be unavailable.
(2) Section 108 loan obligations may not be subordinated,
directly or indirectly, to federally tax exempt obligations.
Pursuant to Office of Management and Budget (OMB) Circular A-129
(Rev.) Appendix A, sections II. 2.c. and d., (Policies for Federal
Credit Programs and Non-Tax Receivables), Section 108 guaranteed
loan funds may not directly or indirectly support federally tax-
exempt obligations.
(3) BEDI grant funds shall not be used in any manner by grantees
to provide public or private sector entities with funding to
remediate conditions caused by their actions, where the public
entity (or other known prospective beneficiary of the proposed BEDI
grant) has been determined responsible for causation and remediation
by order of a court or a Federal, State, or local regulatory agency,
or is responsible for the remediation as part of a settlement
approved by such a court or agency.
Applicants may not propose projects on sites which are listed or
proposed to be listed on EPA's National Priority List (NPL).
Further, applicants are cautioned against proposing projects on
sites where the nature and degree of environmental contamination is
not well quantified or which are the subject of on-going litigation
or environmental enforcement action.
(E) Time-frames. BEDI grant awards will contain conditions
requiring grantees to adhere to their stated time-frames for
implementing proposed projects and drawing Section 108 and BEDI
funds. If the related Section 108 application has not been submitted
and approved and the Note guaranteed within fifteen (15) months of
written HUD notification of grant award, HUD may deobligate the BEDI
funds. If BEDI grant funds and Section 108 loan proceeds have not
been disbursed to the applicant within the timeframes specified in
the BEDI Grant Agreement and the 108 Contract, HUD reserves the
right to recapture the BEDI funds, unless an extension of time has
been authorized in writing by HUD, and either award them to the
applicant that scored the next highest in that year's competition,
provided that such applicant's application remains feasible and
appropriate under this program section of the NOFA, or make them
available as part of the next BEDI NOFA.
(F) Limitations on Grant Amounts. (1) HUD expects to approve
BEDI grant amounts for approvable applications with a range of
ratios of BEDI grant funds awarded to new Section 108 loan guarantee
commitments but the minimum ratio will be $1 of Section 108 loan
guarantee commitments for every $1 of BEDI grant funds. However, if
you propose a leverage ratio of 1:1, your application will not
receive any points under the Rating Subfactor 4(1): ``Leverage of
Section 108 Funds.''
For example, if you request a BEDI grant of $1 million, you will
be required to leverage a minimum of at least $1 million in new
Section 108 loan guarantee commitments. Of course, even though there
is a minimum ratio of 1:1, applications with higher ratios will
receive more points under Rating Factor 4, ``Leveraging Resources''
and, all other things being equal, will be more competitive. You are
encouraged to propose projects with a greater leverage ratio of new
Section 108 to BEDI grant funds (assuming such projects are
financially viable). For example $1 million of BEDI could leverage
$12 million of new Section 108 loan commitments. HUD intends that
the BEDI funds will be used for projects that leverage the greatest
possible amount of Section 108 loan guarantee commitments. Because a
fundable application is competitive in part because of the
applicant's proposed ratio of BEDI funds to funds guaranteed by a
Section 108 loan guarantee, HUD will condition a BEDI grant award on
the grantee's achievement of that specific ratio. Your failure to
meet that condition by obtaining timely HUD approval of a commitment
for, and issuance of, the required Section 108 guaranteed
obligations ratio may result in the cancellation and recapture of
all or a proportionate share of the BEDI grant award.
(2) HUD will cap BEDI awards at a maximum of $2 million. An
application in excess of $2 million will be reduced below the amount
requested by the applicant to the extent HUD determines that such a
reduction is appropriate.
(3) If additional BEDI grant funds become available to HUD
(e.g., from recaptures or other appropriations), HUD reserves the
right to award grants under this SuperNOFA during FY 2001 whose
aggregate total may exceed the $25 million announced in this program
of the SuperNOFA, up to the maximum amount authorized by law. In the
event you are awarded a BEDI grant that has been reduced below the
original request (e.g., your application contained some activities
that were ineligible, exceeded the $2 million cap, or there were
insufficient funds to fund the last competitive application at the
full amount requested), you will be required to modify your project
plans and application to conform to the terms of HUD approval before
HUD will execute a grant agreement.
(4) HUD also will proportionately reduce or deobligate the BEDI
award if you do not submit an approvable Section 108 loan guarantee
application and issue Section 108-guaranteed obligations on a timely
basis (including any extension authorized by HUD) in the amount
required by the BEDI/108 leveraging ratio, which will be approved by
HUD as a special condition of the BEDI grant award (see Section
IV(E)(1) above of this program section of the SuperNOFA). Any
modifications or amendments to your application approved pursuant to
this SuperNOFA, whether requested by you or by HUD, must be within
the scope of the approved original BEDI application in all respects
material to rating the application, unless HUD determines that your
revised application remains within the competitive range and is
otherwise approvable under this SuperNOFA competition.
(5) In the case of a requested increase in guarantee assistance
for a project with a previously approved Section 108 loan guarantee
commitment (as further discussed in Section IV(C)(1)(d), above), the
BEDI assistance approved with be based on the increased amount of
Section 108 loan guarantee assistance.
(6) Pursuant to another portion of this SuperNOFA, HUD is
simultaneously announcing the availability of approximately $7.02
million of Economic Development Initiative (EDI) funds. While HUD
will permit applicants to pursue BEDI and EDI funds for the same
project, HUD requires that the BEDI and EDI applications (and their
components)
[[Page 12039]]
be independent of one another. Thus, each application should have an
identifiable amount of Section 108 funding associated with its
respective request for EDI and BEDI funds for purposes of
determining the leverage of Section 108 funding to the corresponding
amount of EDI or BEDI funds requested. Further, the proposed amount
of Section 108 borrowing associated with the BEDI or EDI grant shall
not be used to determine leverage of other financial resources under
Rating Factor 4, paragraph (2). Further, if an applicant seeks both
BEDI and EDI funds for the same project, it must include in its
response to Rating Factor 3 a discussion of how the project can be
financed and implemented if it fails to obtain either BEDI or EDI
funds under this SuperNOFA.
(G) Timing of Grant Awards. (1) To the extent you submit a full
Section 108 application with the BEDI grant application, HUD will
evaluate your Section 108 application concurrently with your request
for BEDI grant funds. Note that the 108 application must be
submitted to the appropriate HUD field office concurrently with
submission to Headquarters. In addition, BEDI grant assistance
cannot be used to leverage a Section 108 loan guarantee approved
prior to the date of HUD's announcement of a BEDI grant pursuant to
this SuperNOFA. However, the BEDI grant may be awarded prior to HUD
approval of the Section 108 commitment if HUD determines that such
award will further the purposes of the Act.
(2) HUD's notice to you of the amount and conditions of BEDI
funds awarded, based upon review of the BEDI application,
constitutes an obligation of grant funds, subject to compliance with
the conditions of award and execution of a grant agreement. BEDI
funds must not be disbursed to the grantee before the issuance of
the related Section 108 guaranteed obligations.
(H) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). Section 3 of the Housing and Urban Development Act of
1968 (12 U.S.C. 1701u) is applicable to EDI grant recipients. Please
see Section II (E) of the General Section of the SuperNOFA.
(I) Nondiscrimination. Section 109 of the Housing and Community
Development Act of 1974, as amended (42 U.S.C. 5309), is applicable
to BEDI grant recipients. Applicants must therefore adhere to HUD
regulations at 24 CFR parts 6 and 570, including, but not limited
to, reporting and record-keeping requirements under 24 CFR 570.506
and 570.507.
V. The Application Selection Process
(A) Rating and Ranking. (1) Each rating factor and the maximum
number of points is provided below. The maximum number of points to
be awarded is 104. To be eligible for funding, an application must
have a minimum score of 20 points for Rating Factors 1 (Capacity)
and 3 (Soundness of Approach) combined to be considered fundable.
(2) Once scores are assigned, HUD will rank all applications
meeting program and threshold requirements in order of points
assigned, with the applications receiving more points ranking above
those receiving fewer points. Applications will be funded in rank
order.
(3) Prior to award, if HUD determines that an application rated,
ranked and fundable could be funded at a lesser BEDI grant amount
than requested consistent with feasibility of the funded project or
activities and the purposes of the Act, HUD reserves the right to
reduce the amount of the BEDI award and/or increase the required
Section 108 loan guarantee commitment, if necessary, in accordance
with such determination. An application in excess of $2 million will
be reduced below the amount requested by the applicant to the extent
HUD determines that such a reduction is appropriate.
(4) HUD may decide not to award the full amount of BEDI grant
funds available under this program section of this SuperNOFA and may
make any remaining amounts available under a future SuperNOFA.
(5) In the event two or more applications are given the same
score, but there are insufficient funds for all, the application(s)
with the highest score(s) on Rating Factor 2 (Distress/Extent of the
Problem) shall be selected. If there is still a tie, the following
Factors will be considered sequentially as follows, with the
application having the high score on that Factor taking precedence
until the tie is broken: Rating Factor 3 (Soundness of Approach),
Rating Factor 1 (Capacity and Experience), Rating Factor 4
(Leveraging Resources), and Rating Factor 5 (Comprehensiveness and
Coordination).
Fundable economic development applications must meet the
threshold requirements stipulated in the General Section of this
SuperNOFA and be complete as required by the Submission requirements
of this program section of the SuperNOFA. Economic development
projects will be funded in rank order until the total aggregate
amount of the applications funded is equal to the maximum amount
available in the competition (subject to the Department's discretion
described in Section IV(F) below).
Bonus Points
An additional two points may be awarded for projects that are
located either in federally-designated Empowerment Zones, Enterprise
Communities or Brownfields Showcase Communities; two points may also
be awarded for qualifying projects in Dallas, Texas as mandated by a
decision by the U.S. District Court for the Northern District of
Texas, for a maximum total of four bonus points. For specific
details, please see Section III(C)(1) in the General Section of the
SuperNOFA, and Rating Factor 3, paragraph (6) below.
(B) Narrative Statements.
(1) Provide a narrative statement describing the activities that
you will carry out with the BEDI grant funds, explaining the nature
and extent of the Brownfield's problem(s) affecting the project.
Your BEDI narrative statement must not exceed three (3) 8.5" by 11"
pages, double-spaced.
(2) In the foregoing narrative statement describe how your
proposed uses of BEDI funds will meet the national objectives for
the CDBG program under 24 CFR 570.208 and qualify as eligible
activities under 24 CFR 570.703. Applications must include citations
to the specific regulatory subsections supporting activity
eligibility and national objectives compliance. (See Section III(C)
of this program section of this SuperNOFA.)
(3) The applicant must also provide narrative statements in
response to each of the rating factors below.
(4) Print all narrative statements in 12 point type/font, and
use sequentially numbered pages.
(C) Factors for Award Used to Evaluate and Rate Applications.
HUD will consider your application for selection based on the
following factors that demonstrate the quality of your proposed
project or activities, and your creativity, capacity and commitment
to obtain maximum benefit from the BEDI funds, in accordance with
the purposes of the Act.
Responses to Rating Factors 1-5 below shall not exceed fifteen
(15) pages combined.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
This factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the
``applicant'' or the ``applicant's organization and staff'' for
technical merit or threshold compliance, unless otherwise specified,
will include any subcontractors, consultants, subrecipients that are
firmly committed (see definition in Section III(A)(1) above) to
participate in the activities described in the application. In
rating this factor, HUD will consider the following:
(1) With regard to the BEDI/Section 108 project you propose, you
must demonstrate that you have the capacity to implement the
specific steps required to successfully carry out the proposed BEDI/
Section 108 project. Evidence of capacity will be judged by your:
(a) Performance in the administration of your CDBG, HOME or
other programs;
(b) Performance and capacity in carrying out economic
development projects;
(c) Performance and capacity with respect to Brownfields
redevelopment projects similar to that proposed; including the
ability to conduct prudent underwriting, if applicable; and
(d) Capacity to carry out your projects and programs in a timely
manner; an applicant must address its performance in spending
previously awarded funds, if any, in a timely manner, including, for
CDBG entitlement recipients, the extent to which the recipient has
met the HUD standard of having no more than 1.5 times its
entitlement amount undisbursed (see 24 CFR 570.902(a)(1)(i)); and,
(e) If applicable, your capacity to manage projects under this
program section of this SuperNOFA along with any federal funds
awarded as a result of a federal urban Empowerment Zone/Enterprise
Community designation (including Enhanced Enterprise Community (EEC)
designations).
(2) An applicant that has previously received an EDI or BEDI
grant award(s), you must describe the status of the implementation
of those project(s) assisted
[[Page 12040]]
with EDI or BEDI funds, any delays that have been encountered and
the actions you are taking to overcome any such delays in order to
carry out the project in a timely manner. For such previously funded
EDI or BEDI grant projects, HUD will award more rating points for
applications providing evidence of achievement of specific
measurable outcomes in carrying out activities funded with previous
EDI or BEDI grant funds and the associated Section 108-guaranteed
loan funds.
The experience and performance of subrecipients, nonprofit
organizations and other entities that have a role in implementing
your proposed program will be included in this review.
Experience and performance of subrecipients, nonprofit
organizations and other entities that have a role in implementing
your proposed program will be included in this review. Experience
will be judged in terms of recent and successful performance of
activities relevant to those proposed in the BEDI application. The
more recent and extensive the experience, the greater the number of
points that will be awarded for this Factor.
HUD also may rely on information from performance reports,
financial status information, monitoring reports, audit reports and
other information available to HUD in making its determination under
this factor.
Rating Factor 2: Distress/Extent of the Problem (40 Points)
This factor addresses the extent to which there is need for
funding the proposed activities based on levels of distress, and an
indication of the urgency of meeting the need/distress in the
applicant's target area. In responding to this factor, applications
will be evaluated on the extent to which the level of distress is
documented and compared, vis-a-vis, the target area, the
jurisdiction, and national data.
In applying this factor, HUD will consider current levels of
distress for the following areas affected by the project: first, in
the area (i.e., Census Tract(s) or Block Groups) immediately
surrounding the project site or the target area to be served by the
proposed project; second, in the jurisdiction in which the project
is to be located; third, relative to the similar measures of
distress in the nation. Applicants may also provide data for the
overall jurisdiction alongside comparable jurisdictions in the
county and state, as appropriate to the activity, in order to
demonstrate the various levels of distress in context. This means
that an application that provides data that show levels of distress
in the project area and the jurisdiction expressed as a percent
greater than the national average will be rated higher under this
Factor.
Notwithstanding the above, an applicant proposing a project to
be located outside the target area could still receive points under
the Distress factor if a clear rationale is provided linking the
proposed project location and the benefits to be derived by persons
living in more distressed area(s) of the applicant's jurisdiction.
Applicants should provide data that address all indicators of
distress, if applicable, as follows:
Poverty rate (20 points)--data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for
both the target area(s) and the jurisdiction as a whole; an
application that compares the local poverty rate in the following
manner to the national average at the time of submission will
receive points under this section as follows:
Equal to but less than twice the national 5 points;
average.
Twice but less than three times the 10 points;
national average.
Three or more times the national average.. 20 points.
(b) Unemployment (15 points)--for both the project area and
jurisdiction; an application that compares the local unemployment
rate in the following manner to the national average at the time of
submission will receive points under this Section as follows:
------------------------------------------------------------------------
------------------------------------------------------------------------
Equal to but less than twice the national 2 points;
average.
Twice but less than three times the 4 points;
national average.
Three but less than four times the 6 points;
national average.
Four but less than five times the national 8 points;
average.
Five or more times the national average... 10 points.
------------------------------------------------------------------------
(c) Other Indicators of social and/or economic decline that best
capture the applicant's local situation (5 points)--examples that
could be provided under this Section are information demonstrating
the jurisdiction's stagnant or falling tax base, including recent
commercial or industrial closings, housing conditions, such as the
number and percentage of substandard and/or overcrowded units, rent
burden (defined as average housing cost divided by average income)
for both the target area and county, local crime statistics, etc.
(3) To the extent that the applicant's Consolidated Plan, its
Analysis of Impediments to Fair Housing choice (AI), and/or its
Anti-Poverty Strategy identify the level of distress in the
jurisdiction and the neighborhood in which the project is to be
carried out, references to such documents should be included in
preparing the response to this Factor
In rating applications under this Factor, HUD reserves the right
to consider sources of available objective data other than, or in
addition to, those provided by applicants, and to compare such data
to those provided by applicants.
HUD requires use of sound and reliable data (e.g., U.S. Census
data, State statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided.
Updated Census data are available as follows for the listed
indicators:
Unemployment rate--estimated monthly for counties, with a two-
month lag;
Population--estimated for incorporated places and counties,
through 1999;
(d) Poverty rate--estimated every two years, with a three-year
lag, with 1997 being the most recent available.
Rating Factor 3: Soundness of Approach (25 Points)
This factor addresses the quality and cost-effectiveness of your
proposed plan. There must be a sound relationship between the
proposed activities, community needs and purposes of the program
funding for you to receive points for this factor. In rating this
factor, HUD will consider the following:
(1) (5 Points) The quality of your plan/proposal for using BEDI
funds and Section 108 loan funds, including the extent to which your
proposed plan for effective use of BEDI grant/Section 108-guaranteed
loan funds will address the needs you described in Rating Factor 2
above regarding the distress and extent of the problem in your
immediate target area and/or jurisdiction. As part of the response
to this factor, you should identify the eligible activities you will
carry out and fully describe how your project will achieve a CDBG
national objective. You should make substantial efforts to
demonstrate how your proposed project would mitigate or otherwise
address the distress you identified in Rating Factor 2 above.
(2) (5 Points) The extent to which your plan is logical,
feasible, and likely to achieve your stated purpose. HUD's desire is
to fund projects and activities that will quickly produce
demonstrable results and advance the public interest including the
number of jobs to be created by the project. You should demonstrate
that you have a clear understanding of the steps required to
implement your project, the actions that you and others responsible
for implementing the project must complete. For example, the
application should provide evidence that authority necessary to
proceed with the project has been sought and/or received, in the
form of any necessary zoning classification, waivers, general
permits, special use permits, assessment district designation,
public easements and right-of-way, etc.
(3) You must include a reasonable time schedule for carrying out
your project. The application kit contains a timeline form that you
must use to indicate your project timing.
(4) The extent to which your response to this factor takes into
account certain site selection, planning, and environmental issues.
Further, you are cautioned against proposing projects on sites where
the nature and degree of environmental contamination is not well
quantified or that are the subject of on-going litigation or
environmental enforcement. Sites with unknown or exceptionally
expensive contamination problems may be beyond the scope of the BEDI
program's financial resources, and sites subject to pending and
current litigation may not be available for remediation and
development in a time frame consistent with HUD's desire for rapid
progress in the use of BEDI and Section 108 funds.
(5) The extent to which your projects will integrate
environmental justice concerns and
[[Page 12041]]
provide demonstrable benefits for affected communities and their
residents. The BEDI program is intended to promote the clean up and
redevelopment of brownfields sites.
(6) Financial Feasibility (10 Points). HUD will consider the
extent to which you demonstrate that your project is financially
feasible. In responding to this subfactor, you must clearly address
the question of why the BEDI funds are critical to the success of
your project. This may include factors such as:
(a) Project costs and financial requirements. A funding sources
and uses statement must be provided, as well as justifications for
project costs;
(b) The amount of any debt service or operating reserve accounts
you will establish in connection with your economic development
project.
(c) The reasonableness of the costs of any credit enhancement
you pay with BEDI grant funds.
(d) The amount of program income (if any) you will receive each
year during the repayment period for the guaranteed loan.
(e) Interest rates on loans to third parties, if any, (other
than subrecipients) (either as an absolute rate or as a plus/minus
spread to the Section 108 rate).
(f) Underwriting criteria that you will use in determining
project feasibility.
(7) The extent to which your proposed project addresses your
Analysis of Impediments and the needs identified in Rating Factor 2;
the extent to which such project activities will result in the
physical and economic improvement for the residents in the
neighborhood in which your project will be carried out; the extent
to which you will offer residents an opportunity to relocate to
environmentally healthy housing or neighborhoods; or the extent to
which residents will benefit from the funded project to enable them
to continue to live in a redeveloped or revitalized neighborhood and
thus share in the anticipated economic benefits and environmental
improvements your project is expected to generate.
(8) The extent to which your project incorporates one or more
elements that facilitate a successful transition of welfare
recipients from welfare to work, including the number of living wage
jobs to be created by the project and the impact of the project on
job creation that will benefit individuals on welfare or low to very
low income persons, and that are part of a career path or
apprenticeship programs. Such an element could include, for example,
linking the proposed project or loan fund to social and/or other
services needed to enable welfare recipients to successfully secure
and carry out full-time jobs in the private sector; provision of job
training to welfare recipients who might be hired by businesses
financed through the proposal; and/or incentives for businesses
financed with BEDI/Section 108 funds to hire and train welfare
recipients.
(9) Due to an order of the U.S. District Court for the Northern
District of Texas, Dallas Division, with respect to any application
submitted by the City of Dallas, Texas, HUD's consideration of the
response to this factor, ``Soundness of Approach'' will include the
extent to which Dallas' plan for BEDI funds and Section 108 loans
will speed eradication of the vestiges of racial segregation in the
Dallas Housing Authority's programs consistent with the Court's
order. Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent
this subfactor is addressed.
Rating Factor 4: Leveraging Resources (15 Points)
In evaluating this factor, HUD will consider the extent to which
your response demonstrates the financial need and feasibility of
your project and the leverage ratio of Section 108 loan proceeds to
BEDI grant funds. This factor has three subfactors, each with its
own maximum point total:
(1) Leverage of Section 108 funds (10 points). [Your response to
this subfactor is limited to one (1) page.] The minimum ratio of
Section 108 funds to BEDI funds in any project may not be less than
1:1. The extent to which your proposed project leverages an amount
of Section 108 funds beyond the 1:1 ratio will be considered a
positive factor. If you have a ratio of 1:1, your application will
not receive any points under this subfactor. If you use your BEDI
grant to leverage more new Section 108 commitments, your application
will receive more points under this subfactor.
(2) Leverage of other financial resources (5 points). HUD will
evaluate the extent to which other funds (public or private) are
leveraged with BEDI grant funds and Section 108-guaranteed loan
funds, and the extent to which such other funds are firmly committed
to the project. This could include the use of CDBG funds, other
Federal or state grants or loans, local general funds, project
equity or commercial financing provided by private sources or funds
from non-profits or other sources. Funds will be considered
committed to the project if they meet the requirements of ``Firm
Commitment as defined in Section III (A)(1) above, and shall be
subject to completion of any environmental review required under 24
CFR part 58 for the project.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which you have coordinated
your activities with other known organizations; you participate or
promote participation in your or a State's Consolidated Planning
process; and you are working towards addressing a need in a
comprehensive manner through linkages with other activities in the
community.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other
groups or organizations before submitting your application, in order
to best complement, support and coordinate all known activities; and
developed specific steps to share information on solutions and
outcomes with others. Describe any written agreements or memoranda
of understanding in place, or that will be in place after award.
(2) Developed linkages, or specific steps to develop linkages
with other activities, programs or projects (through meetings,
information networks, planning processes or other mechanisms to
coordinate your activities), so that solutions are holistic and
comprehensive. Describe any linkages with other HUD-funded projects/
activities outside the scope of those covered by the Consolidated
Plan, as well as established linkages and outreach with residents of
your project area.
(3) Coordinated your efforts with other Federal, State or
locally supported activities, including US Army Corps of Engineers,
Economic Development Administration, U.S. Department of Treasury,
EPA's various Brownfields initiatives, and those proposed or on-
going in the community.
VI. Application Submission Requirements
(A) BEDI Funding. An application for funding under the BEDI
funding allocation under this program section of the SuperNOFA must
have the following items to be complete. The standard forms,
certifications and assurances that are required for the BEDI
application (and listed in paragraph (J) below) can be found in
Appendix B to the General Section. The remaining application items
that are forms (i.e., excluding such items as narratives or letters,
etc.), referred to as the ``non-standard forms'' can be found in
Appendix B to this program section of the SuperNOFA.
(B) Transmittal Letter signed by the authorized representative
of the eligible applicant indicating that it is submitting the
application for funding under the Brownfields Economic Development
Initiative Program and is requesting funding consideration for an
EDI project.
(C) Checklist and Submission Table of Contents indicating the
page numbers where the submission items can be found in your
application (form HUD-40076-EDI/BEDI).
(D) EDI Narrative Statements describing EDI funded eligible
activities within the proposed project.
(E) EDI/BEDI Funding Eligibility Statement. A completed EDI/BEDI
Section 108 Funding Eligibility Statement (form HUD-40076-EDI/BEDI).
(F) Request for Loan Guarantee Assistance. A request for loan
guarantee assistance under Section 108, as further described in
Section IV(C) of this program section of the SuperNOFA. Full
application guidelines for the Section 108 program are found at 24
CFR 570.704.
(G) Narrative Response(s) to Factors for Award:
(1) Rating Factor 1: Capacity and Relevant Organizational
Experience. Provide a narrative indicating the relevant capacity of
your organization and staff to perform the work for which it is
requesting funding.
(2) Rating Factor 2: Need Statement Identifying the level of
Distress/Extent of the Problem. Provide a narrative statement
including any documentation supporting the statement of need.
Optional form HUD-40076-EDI/BEDI has a format to respond to this
factor for award.
(3) Rating Factor 3: Soundness of Approach. Include the
activities, budget and time frame for conducting activities in the
response (see form HUD-40076-EDI/BEDI).
(4) Rating Factor 4: Leveraging Resources. Your response should
include a completed copy of form HUD-40076-EDI/BEDI, ``Rating
[[Page 12042]]
Factor 4: Leveraging Resources/Sources and Uses Statement.''
(5) Rating Factor 5: Comprehensiveness and Coordination. Provide
a narrative response to this factor.
(H) Request for Funds. A single application must contain a
request for funds for a single BEDI/108 project. You may submit more
than one application for each additional unrelated BEDI/108 project.
Each application will be rated and ranked individually. In no event
will HUD rate and rank more than one BEDI project per application.
(I) Threshold Requirements. Your application must meet all of
the applicable threshold requirements of Section II(B) of the
General Section of this SuperNOFA.
(J) Additional Application Forms and Certifications. In addition
to any forms that have been submitted in response to the Factors for
Award (which may be found at Appendix A), the following forms and
certifications must also be submitted:
(1) Application for Federal Assistance (Standard Form (SF) 424);
(2) Federal Assistance Funding Matrix (HUD 424M);
(3) Standard Form for Assurances--Non-Construction Programs (SF
424B) and/or Standard Form for Assurances--Construction Programs (SF
424D)--not applicable for this program section.
(4) Drug-Free Workplace Certification, HUD-50070.
(5) Certification of Payments to Influence Federal Transactions,
HUD 50071, (and if applicant and/or participating parties are
engaged in lobbying, the Disclosure Form Regarding Lobbying, SF-
LLL);
(6) Applicant/Recipient Disclosure/Update Report, HUD-2880;
(7) Certification Regarding Debarment and Suspension, HUD-2992;
(8) Certification of Consistency With EZ/EC Strategic Plan, HUD-
2990;
These forms are found in the Appendix B to the General Section
of this SuperNOFA. The Budget Information on Standard Forms 424B or
424C is not required under this BEDI section of the SuperNOFA.
In addition to the fair housing and other civil rights assurance
described under Section II(B) of the SuperNOFA General Section,
applicants for EDI funds must provide assurance that they will
comply with Section 109 of the Housing and Community Development Act
of 1974, as amended, and must have resolved to HUD's satisfaction
any letter of noncompliance findings under Section 109 before the
deadline for BEDI application submission.
If an applicant wishes to receive an acknowledgment of HUD's
receipt of its application, it should submit a completed
Acknowledgment of Receipt of Application form. In addition to the
fair housing and other civil rights assurance described under
Section II(B) of the SuperNOFA General Section, applicants for BEDI
funds must provide assurance that they will comply with Section 109
of the Housing and Community Development Act of 1974, as amended,
and must have resolved to HUD's satisfaction any letter of
noncompliance findings under Section 109 before the deadline for
BEDI application submission.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
(A) Environmental Review. After the completion of this
competition and after HUD's award of BEDI grant funds, pursuant to
24 CFR 570.604, each project or activity assisted under this program
is subject to the provisions of 24 CFR part 58, including
limitations on the BEDI grantee and Section 108 public entity's
commitment of HUD and non-HUD funds prior to the completion of
environmental review, notification and release of funds. HUD will
not release such assistance until you submit a request for release
of funds and you satisfy the requirements of 24 CFR part 58. All
public entities, including nonentitlement public entities, must
submit the request for release of funds and related certification,
pursuant to 24 CFR part 58, to the appropriate HUD field office for
each project to be assisted.
(B) Environmental Justice. (1) Executive Order 12898 (Federal
Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations) directs Federal agencies to develop
strategies to address environmental justice. Environmental justice
seeks to rectify the disproportionately high burden of environmental
pollution that is often borne by low-income, minority, and other
disadvantaged communities, and to ensure community involvement in
policies and programs addressing this issue.
(2) Brownfields are often located in distressed neighborhoods,
contribute to neighborhood blight, and lower the quality of social,
economic, and environmental health of communities. The BEDI program
is intended to promote the clean up and redevelopment of brownfields
sites and HUD expects that projects presented for BEDI funding will
integrate environmental justice concerns and provide demonstrable
benefits for affected communities and their residents.
IX. Authority
Section 108(q), title I. Housing and community Development act of
1974, as amended, (42 U.S.C. 5301); 24 CFR part 570.
Appendix A
The non-standard forms for your BEDI application follow.
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FUNDING AVAILABILITY FOR SELF-HELP HOMEOWNERSHIP OPPORTUNITY
PROGRAM (SHOP)
Program Overview
Purpose of the Program. To facilitate and encourage innovative
homeownership opportunities through self-help housing where the
homebuyer contributes a significant amount of sweat-equity toward the
construction of the new dwelling.
Available Funds. Approximately $20 million.
Eligible Applicants. You must be a nonprofit national or regional
organization or consortium.
Application Deadline. May 29, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information:
I. Application Due Date, Standard Forms, Further Information, and
Technical Assistance
Application Due Date. Applications for SHOP grants must be
physically received by HUD on or before 12:00 midnight, Eastern time on
May 29, 2001.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit one original and two
copies of the application to Department of Housing and Urban
Development, Office of Community Planning and Development, Processing
and Control Unit, 451 Seventh Street, SW, Room 7251, Washington, DC
20410, ATTN: Self-Help Homeownership Opportunity Program.
For Application Forms. There is no separate application kit. This
notice contains all the information necessary for submission of your
application. Copies of the standard forms are located in the General
Section of this SuperNOFA or you may request copies by calling HUD's
SuperNOFA Information Center at: 1-800-HUD-8929. If you have a hearing
or speech impairment, please call the Center's TTY number at 1-800-HUD-
2209. When requesting standard forms, you should refer to SHOP and
provide your name and address (including zip code) and telephone number
(including area code). See Section VI for application submission
requirements. You may also access the application requirements on the
Internet through HUD's web site at www.hud.gov.
Further Information and Technical Assistance. You may contact Lou
Thompson, Office of Affordable Housing Programs, Department of Housing
and Urban Development, Room 7168, 451 Seventh Street, SW, Washington,
DC 20410; telephone (202) 708-2684, ext. 4594 (this is not a toll-free
number). This number can be accessed via TTY by calling the Federal
Information Relay Service Operator at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
The amount available for this program is approximately $20,000,000.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. SHOP is intended to facilitate and
encourage innovative homeownership opportunities on a national
geographically-diverse basis through self-help housing where the
homebuyer contributes a significant amount of sweat-equity toward the
construction or rehabilitation of the dwelling.
Decent, safe, and sanitary non-luxury dwellings developed under
SHOP must be made available to eligible homebuyers at prices below the
prevailing market prices. Eligible homebuyers are low-income families
(families whose annual incomes do not exceed 80 percent of the median
income for the area, as established by HUD) who are unable to purchase
a dwelling. Housing assisted under this Notice must involve community
participation through the use of homebuyers and/or volunteers in the
construction of dwellings and by other activities which involve the
community in the project.
(B) Eligible Applicants. You must be a nonprofit national or
regional organization or consortium that has the capacity and
experience to provide or facilitate self-help housing homeownership
opportunities. Local affiliates of national or regional organizations
or consortia must apply as part of the national or regional
organization or consortia and may not apply for SHOP independently.
``Regional'' is defined for the purpose of this program section of the
SuperNOFA to be a ``regional area'' such as the Southwest or Northeast
which must include at least two or more States (the States need not be
contiguous and the operational boundaries of the organization need not
precisely conform to State boundaries). If you are a consortium, one
organization must be chosen as the lead entity. The lead entity must
submit the application and, if selected for funding, will execute the
grant agreement and assume primary responsibility for carrying out
grant activities in compliance with all program requirements. Other
participants in your consortium must be identified in your application.
Your application may not propose a partnership with or funding for
any affiliate or consortium member which is also included in another
SHOP application. You must assure that any affiliate or consortium
member under your FY 2001 application is not also seeking funding from
another SHOP applicant for FY 2001 funds.
(C) Eligible Activities. The only eligible activities are: (1) land
acquisition (including financing and closing costs), which may include
reimbursing an organization, consortium, or affiliate, upon approval of
any required environmental review, for nongrant amounts of the
organization, consortium, or affiliate advanced to acquire land before
completion of the review; (2) infrastructure improvements (installing,
extending, constructing, rehabilitating, or otherwise improving
utilities and other infrastructure, including removal of environmental
hazards); and (3) administration, planning and management development
as defined under the HOME Investment Partnerships Program (24 CFR part
92.207), and not to exceed 20 percent of any SHOP grant. Funding of
eligible activities may be used for both single-family and multifamily
dwellings.
(D) Ineligible Costs: Costs associated with the rehabilitation,
improvement, or construction of dwellings are not eligible uses of
program funds.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you are subject to the following SHOP
requirements:
(A) Statutory Requirements. You must comply with all statutory
requirements applicable to SHOP as cited in Section IX of this program
section below. There are no regulations for this program. You must be
capable of:
(1) Developing, through significant amounts of sweat-equity and
volunteer labor, at least 30 dwellings at an average
[[Page 12052]]
cost of no more than $10,000 per unit in SHOP funds;
(2) Using your grant to leverage other sources of funding,
including private or other public funds;
(3) Developing quality dwellings that comply with local building
and safety codes and standards and which will be available to
homebuyers at prices below the prevailing market price; and
(4) Scheduling activities to expend all grant funds awarded and
substantially fulfill your obligations under your grant agreement,
including timely development of the appropriate number of dwelling
units. Grant funds must be expended within 24 months, except that grant
funds provided to affiliates that develop five or more units must
expend funds within 36 months.
(B) Economic Opportunities for Low-and Very Low-Income Persons
(Section 3). If you fund infrastructure improvements under this
program, you are required to comply with section 3 of the Housing and
Urban Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities
for Low- and Very Low-Income Persons) and the HUD regulations at 24 CFR
part 135, including the reporting requirements in subpart E. Section 3
requires that you provide training, employment and other economic
opportunities, to the greatest extent feasible, to: (1) low- and very
low-income persons, particularly those who are recipients of government
assistance for housing and (2) business concerns which provide economic
opportunities to low- and very low-income persons.
V. Application Selection Process
(A) Rating. HUD will review all applications in accordance with the
Application Selection Process in the General Section of this SuperNOFA.
HUD will review all applications based on the threshold factors listed
in Section V(C) of this program section below. Applications which meet
all threshold requirements will be rated according to the selection
factors in this section of the SuperNOFA. Applications which do not
meet all threshold factors will be rejected and not rated.
(B) Ranking and Selection Procedures. Applications that receive a
total rating of 60 points or more (without the addition of EZ/EC bonus
points) will be eligible for selection, and HUD will place them in rank
order. After adding any bonus points for EZ/EC, HUD will consider rank
order and funds availability in the selection and funding of
applications.
HUD reserves the right to fund less than the full amount requested
in any application to ensure a fair distribution of the funds and that
dwellings will be developed on a national geographically-diverse basis
as required by the statute. HUD will not fund any portion of an
application that is ineligible for funding under program statutory
requirements, or which does not meet the requirements of the General
Section of this SuperNOFA or the requirements in the SHOP section of
the SuperNOFA. HUD will not fund any eligible applicant for less than
the minimum amount necessary to complete at least 30 homes (at a
maximum of $10,000 per home or a lesser amount if lower costs are
reflected in the application). If funds remain after all selections
have been made, these funds may be available for other competitions.
(C) Threshold Requirements. The following threshold requirements
apply specifically to SHOP. You must also be sure to address the
threshold requirements listed in Section II(B) of the General Section
of the SuperNOFA and must submit all forms, certifications, and
assurances identified in Section II(G) of the General Section.
(1) You, the applicant, must be eligible to apply under SHOP (see
Section III(B) of this program section of the SuperNOFA).
(2) The amount of funding you request must support no less than 30
self-help units and may not exceed an average amount of $10,000 per
unit.
(3) The population you plan to serve must be eligible under SHOP
(see Section III(A) of this program section of the SuperNOFA).
(4) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national or regional area (where the
homebuyers contributed a significant amount of sweat-equity and/or
volunteer labor toward the construction of the dwellings) within the
24-month period preceding the publication of this SuperNOFA.
Submission Threshold Requirements:
(1) Evidence of your non-profit status, such as a copy of a current
Internal Revenue Service ruling that your organization is exempt from
taxation under section 501(c)(3) or 501(c)(4) of the Internal Revenue
Code of 1986. Where an IRS ruling is unavailable, you may submit a
certified copy of your approved charter, articles of incorporation or
bylaws demonstrating that you are established as a nonprofit
organization under state law. If you are a consortium, each participant
in your consortium must be a nonprofit organization, but only the lead
entity should submit evidence of its nonprofit status. However, the
lead entity must maintain a copy of the above-described documentation
for each participant in your consortium.
Submission threshold requirements (2) through (4) require no
additional submissions. These requirements are addressed under the
submission requirements for the rating factors listed in Section V(D)
of this program section of the SuperNOFA below.
(D) Factors for Award Used to Evaluate Applications. HUD will rate
all SHOP applications that successfully complete technical processing
using the Rating Factors and the Application Submission Requirements
described below. The maximum number of points for this program is 102.
This includes two EZ/EC bonus points, as described in the General
Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (20 Points)
This factor examines the extent to which you, as a single applicant
or as a consortium (including affiliates and/or members of the
consortium, if any), have the experience and organizational resources
necessary to carry out the proposed activities in a timely manner.
In evaluating this factor, HUD will consider your recent and
relevant experience in carrying out the activities you propose, and
your administrative ability, and fiscal management ability. HUD may
also rely on information from performance reports, financial status
information, monitoring reports, audit reports and other information
available to HUD in making its determination under this factor. If you
are not a current recipient of HUD funds, you may submit evidence of
internal or external performance reports or other information which
will assist HUD in making this determination.
Submission Requirements for Rating Factor 1.
(1) You must describe your past experience in carrying out
activities that are the same as, or similar to, the activities you
propose for funding, and demonstrate reasonable success in carrying out
those activities. You may demonstrate such reasonable success by
showing that your previous activities were carried out as proposed and
in a timely manner. You must show that established benchmarks for
acquiring properties and completing housing construction were met and
performance reports were submitted, as required. You must also describe
any delays that were encountered, and the actions you took to overcome
such delays to successfully complete your program.
(2) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national
[[Page 12053]]
or regional area (where the homebuyers contributed sweat-equity and/or
volunteer labor toward the construction of the dwellings) within the
24-month period preceding the publication of this SuperNOFA.
(3) You must provide a description of your management structure.
You must also describe how you will staff and manage your proposed
activities.
(4) You must demonstrate your ability to handle financial resources
with adequate financial control and accounting procedures. Your
existing financial control procedures must meet 24 CFR 84.21,
``Standards for Financial Management Systems.'' You must provide a copy
of your most recent audit (only an audit of the lead entity must be
provided with an application for a consortium).
(5) You must demonstrate your experience and ability in
constructing and altering homes with accessibility features, when
necessary.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor examines the extent to which you identify the community
need, or problem, or distress that your proposed activities will
target, and the urgency of meeting that need.
The purpose of this factor is to make sure that funding is provided
where a need for funding exists. Under this factor, you must identify
the need or needs in the community that your proposed activities are
designed to address or, if you plan to select specific affiliates only
after you receive SHOP funding, you must demonstrate how you plan to
identify need prior to your selection of affiliates.
Submission Requirements for Rating Factor 2.
(1) Identify the communities or areas in which your proposed
activities will be carried out or how you will select communities or
projects based on need after you have received an award under SHOP.
(2) Depending on the type of activities proposed, the kind of
information you submit to demonstrate the need or needs in the target
area may include, but is not limited to, one or more of the following:
(a) Housing market data such as information included in the local
Five Year Comprehensive Plan or other data sources;
(b) Data dealing with such factors as housing density, housing
affordability, housing age or deterioration, and lack of adequate
infrastructure or utilities;
(c) Data on the need for accessible homes in the area;
(d) Evidence of housing discrimination;
(e) Evidence from the local Analysis of Impediments to Fair Housing
Choice which shows the need for this program.
Rating Factor 3: Soundness of Approach (40 Points)
This factor examines the quality of your plan of proposed
activities. In evaluating this factor HUD will consider:
(1) The specificity in your plan; your established timeline for
performance; your schedule for expending funds and completing
construction; your proposed budget and the cost effectiveness of your
program; and your plans to reach all potentially-eligible homebuyers,
including those with disabilities or least likely to apply.
(2) How your planned activities further the Departmental
initiatives noted in Section VI of the General Section. These
initiatives are:
(i) Promoting healthy homes and educating homeowners on what is a
healthy home;
(ii) Providing educational and job training opportunities through
Neighborhood Networks, and linking programs to AmeriCorps activities;
(iii) Encouraging universal design when developing housing and when
communicating with community residents at public meetings or events;
(iv) Encouraging visitability in new construction and substantial
rehabilitation activities; and
(v) Employing the President's Partnership for Advancing Technology
in Housing (PATH) technologies to improve the affordability,
durability, energy efficiency, environmental protection, disaster
resistance and safety of housing. HUD will consider how your planned
activities exceed prevailing national building practices by: reducing
costs of housing; improving durability, reducing maintenance costs;
increasing safety and disaster resistance; and improving energy
consumption and reducing environmental impact.
Submission Requirements for Factor 3.
(1) Identify all activities you propose to fund with SHOP.
(2) Provide a timetable for the selection of your participating
local affiliates if they are not specified in the application.
(3) Identify the housing type (single family or multifamily) you
plan to develop and the form of ownership (fee simple, condominium,
cooperative, etc.) you propose to use.
(4) Submit a construction and completion schedule which expends
SHOP funds and substantially fulfills your obligations, including the
development of the appropriate number of dwelling units, within 24
months, or in the case of affiliates that develop five or more units,
within 36 months, and demonstrates that remaining housing construction
will be completed within a reasonable period of time.
(5) Submit a timeline listing milestones against which HUD is to
measure your performance progress in expending funds, and completing
acquisition, infrastructure and housing construction activities within
the schedule in Item 4 above. These milestones should be at reasonable
intervals (e.g., monthly, quarterly, etc.).
(6) Describe how your proposed activities address the need or needs
you have identified under Rating Factor 2, above.
(7) List the long- and short-term benefits from your activities to
the community and targeted groups within the community, and describe
how you will ascertain and measure the benefits.
(8) Provide a detailed budget with a break-out for each proposed
task and each budget category (acquisition, infrastructure
improvements, and administration) in the SF-424A.
(9) Demonstrate that projected costs for the proposed activities do
not deviate substantially from the norm in the locale in which your
activities will take place, will not exceed an average cost of $10,000
per unit in SHOP funds, and your ability to carry out your proposed
activities cost effectively.
(10) Describe how the initiatives of the Department are furthered
by your proposed activities.
(11) Describe how you will reach potential homebuyers through the
use of services and materials that are accessible or visitable to all
persons, including persons with disabilities (e.g., languages, formats,
locations, distribution, use of minority media to attract those least
likely to apply).
(12) Describe how activities will benefit eligible homebuyers and
your selection factors for participating homebuyers.
(13) Describe how your proposed activities will yield long-term
results and innovative strategies or ``best practices'' that can be
readily disseminated to other organizations, communities, and/or State
and local governments.
(14) Describe how your program will provide reasonable
accommodations for persons with a variety of disabilities by providing
``sweat equity'' assignments which can be performed by the client
regardless of disability; accessible housing regardless of the nature
of the disability of its intended residents; and ``visitable'' housing
for all clients.
[[Page 12054]]
Rating Factor 4: Leveraging Resources (15 Points)
This factor addresses your ability to secure other resources that
can be combined with HUD's program resources to achieve the purposes of
SHOP. HUD will consider the extent to which you document firm
commitments of resources in the form of cash funding, in-kind
contributions, or personnel from Federal, State, local, and private
sources, who are jointly referred to as your leverage partners. HUD
will also consider the extent that the applicant's proposed sweat-
equity requirements and other leveraged resources will serve to reduce
costs to the homebuyers.
Submission Requirements for Factor 4.
(1) Provide a list of amounts and sources of all firm commitments
of cash funding, in-kind contributions, or personnel from other
Federal, State, local, and private sources which will be available to
complete your project. Together with the grant funds, these commitments
must be sufficient to develop not less than 30 units.
(2) Provide copies of written evidence to support your list of firm
commitments from the source of the commitment. There must be a written
agreement identifying the leveraging sources that support your FY 2001
SHOP application. The written agreement may be contingent upon your
receiving a grant award.
(3) Provide a description of the individual sweat-equity
requirements of your program and how this contribution of labor will
serve to reduce the costs of the home to the homebuyer. Reasonable
accommodation must be allowed for persons with a variety of
disabilities to participate in your program.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which your application reflects
a coordinated, comprehensive approach to identifying community needs
and addressing them on an ongoing basis. In evaluating this factor, HUD
will consider:
(1) The extent to which you demonstrate the support and
participation of the community's residents, organizations, businesses,
and government in the design and implementation of the proposed
activities.
(2) The specific steps you will take to share information on
solutions, outcomes, and best practices resulting from the activities,
if funded.
(3) The specific steps you have taken or will take to coordinate,
through meetings, information networks, planning processes, or other
mechanisms, your activities with other proposed or on-going activities
in the community funded by Federal, State, local, or private sources.
Submission Requirements for Factor 5.
(1) Describe what role residents, community leaders and
organizations, and government and private entities in the targeted
community have had, or will have, in planning the activities described
in your application and what role they will have in carrying out such
activities.
(2) Describe how you will share with others information on
solutions and outcomes resulting from the activities, if funded.
(3) Describe the specific steps you have taken or will take to
become active in the community's Consolidated Plan and Analysis of
Impediments to Fair Housing Choice process; or the community's Indian
Housing Plan process; and to address, through these processes, the
needs that are the focus of the proposed activities.
(4) Describe the specific steps you have taken, or will take, to
coordinate your activities with other proposed or on-going activities
in the community funded by Federal, State, local, or private sources
(through meetings, information networks, planning processes, or other
mechanisms).
VI. Application Requirements and Checklist for Application
Submission
Your application consists of the items listed in this Section VI.
The standard forms, certifications, and assurances that are applicable
to this funding (collectively, referred to as the ``standard forms'')
can be found in Appendix B to the General Section of the SuperNOFA. The
following checklist helps to ensure that all of the required items have
been submitted in order to receive consideration for funding:
____Standard Form 424, Application for Federal Assistance (signed by
the authorized representative of the organization eligible to receive
funds)
____Evidence of Non-Profit status
Narrative Statement Addressing:
____Factor 1--Capacity of the Applicant and Relevant Organizational
Staff, including recent audit
____Factor 2--Need/Extent of the Problem
____Factor 3--Soundness of Approach
____Factor 4--Leveraging Resources
____Factor 5--Comprehensiveness and Coordination
Forms, Certifications and Assurances:
____SF 424A, Budget Information, Non-Construction Programs
____SF 424B, Assurances--Non-Construction Programs
____SF 424M, Federal Assistance Funding Matrix
____HUD-50070, Certification for a Drug-Free Workplace
____HUD-50071, Certification of Payment to Influence Federal
Transactions
____SF-LLL, Disclosure of Lobbying Activity, as applicable
____HUD-2880, Applicant/Recipient Disclosure/Update Report
____HUD-2990, Certification of Consistency with the EZ/EC Strategic
Plan
____HUD-2992, Certification Regarding Debarment and Suspension
____HUD-2993, Acknowledgment of Application Receipt
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
The provisions contained in Section 305(c) of the Multifamily
Housing Property Disposition Reform Act of 1994, Environmental Review,
implemented in the Environmental Review regulations at 24 CFR part 58,
are applicable to properties assisted with SHOP funds. All SHOP
assistance is subject to the National Environmental Policy Act of 1969
and related federal environmental authorities. SHOP grant applicants
are cautioned that no federal or non-federal funds or assistance which
limits reasonable choices or could produce a significant adverse
environmental impact may be committed to a project until all required
environmental reviews and notifications have been completed by a unit
of general local government, tribe or State and until HUD approves a
recipient's request for release of funds under the environmental
provisions contained in 24 CFR part 58.
IX. Authority
The funding made available under this program section of the
SuperNOFA is authorized by section 11 of the Housing Opportunity
Program Extension Act of 1996 (42 U.S.C. 12805 note) (the ``Extension
Act'').
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Funding Availability for the Youthbuild Program
Program Overview
Purpose of the Program. The purpose of the Youthbuild program is to
assist disadvantaged young adults in distressed communities to complete
their high school education, to provide on-site construction training
experiences which also result in the rehabilitation or construction of
housing for homeless persons and low- and very low-income families, to
foster leadership skills, and to further opportunities for placement in
apprenticeship programs and employment in living wage jobs.
Available Funds. Approximately $52,925,000 is available for the
Youthbuild Program.
Adjustments to Funding. HUD reserves the right to utilize this
year's funding to fund previous year's errors prior to rating and
ranking this year's applications. HUD reserves the right to reallocate
funds between categories to achieve the maximum allocation of funds.
Eligible Applicants. Eligible applicants are public or private
nonprofit agencies, State or local housing agencies or authorities,
State or units of local government, or any entity eligible to provide
education and employment training under other Federal employment
training programs, as further defined in HUD's regulation at 24 CFR
585.4.
Application Deadline. May 30, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, and Technical Assistance
Application Due Date. Completed applications (one original and two
copies) must be submitted on or before 12:00 midnight, Eastern time, on
May 30, 2001 to the HUD Headquarters address shown below. See the
General Section of this SuperNOFA for specific procedures that you must
follow for the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Addresses for Submitting Applications. Completed applications (one
original signed application and two copies) must be submitted to the
Processing and Control Unit, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Room 7255, Washington, DC 20410, Attention: Youthbuild
Program. When submitting your application, please include your name and
mailing address (including zip code and telephone number and fax number
including area code).
For Application Kits. For an application kit and any supplemental
material 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-HUD-2209. An application kit also will be available
on the Internet through the HUD web site at http://www.hud.gov. When
requesting an application kit, please refer to Youthbuild and provide
your name, address (including zip code), and telephone number
(including area code).
For information concerning the HUD Youthbuild program, contact Ms.
Donna Clarke, Community Planning and Development Specialist, Office of
Rural Housing and Economic Development, Office of Economic Development,
Office of Community Planning and Development, Department of Housing and
Urban Development, 451 Seventh Street, SW, Room 7136, Washington, DC
20410: telephone (202) 708-2035 (this is not a toll-free number).
Persons with speech or hearing impairments may access this number via
TTY by calling toll-free Federal Information Relay Service at 1-800-
877-8339.
For Technical Assistance. Write or call Peter Twichell, YouthBuild
USA, 58 Day Street, Somerville, MA 02144, telephone (617) 623-9900,
ext. 1211, under contract with HUD to provide technical assistance.
Prior to the application deadline, YouthBuild USA will be available to
provide general guidance on the application submission process and
location of information, but not guidance in actually preparing the
application. HUD Economic Development Specialists located in HUD field
offices will also be available to provide technical assistance.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at the web
address listed above.
II. Amount Allocated
(A) Available Funds. Approximately $52,925,000 in Fiscal Year (FY)
2001 funding is being made available through this program section of
this SuperNOFA for the Youthbuild program. The breakdown of funding is
discussed below.
The FY 2001 HUD Appropriations Act. The Department of Veterans
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, 2001 (Pub. L. 106-377 approved October 27, 2000)
(the ``FY 2001 HUD Appropriations Act'') made $60,000,000 available of
which $52,925,000 is allocated for grants.
(B) Funding Categories. HUD will award up to $52,925,000 on a
competitive basis. Funds will be divided between three categories of
grants as described in Section II(C) of this program section of the
SuperNOFA.
(1) $10,000,000--Grants for up to $400,000 for new applicants that
have not previously received grants since the inception of the Program
for a period not to exceed 36 months.
(2) $32,925,000--Grants for up to $500,000 for a period not to
exceed 36 months.
(3) $10,000,000--Grants for up to $400,000 for underserved and
rural areas for a period not to exceed 36 months.
III. Program Description; Eligible Applicants; and Eligible
Activities
(A) Program Description. The purposes of the Youthbuild Program are
to:
(1) Provide economically-disadvantaged young adults with
opportunities to obtain an educational experience that will enhance
their employment skills, as a means to achieving self-sufficiency;
(2) Foster the development of leadership skills and commitment to
community;
(3) Expand the supply of permanent affordable housing for homeless
and low- and very low-income persons by providing implementation grants
for carrying out a Youthbuild program;
(4) Provide disadvantaged young adults with meaningful on-site
training experiences in housing construction and rehabilitation to
enable them to render a service to their communities by helping to meet
the housing needs of homeless persons and low-income families; and
(5) Give to the greatest extent feasible, job training, employment,
contracting and other economic opportunities to low-income persons.
HUD also focuses on the Youthbuild Program as a way to foster the
development of nonprofit organizations which over time can provide the
services mentioned above to disadvantaged youth and which at the same
time rely less on HUD's financial support to carryout these activities.
[[Page 12058]]
(B) Eligible Activities. (1) Work and activities associated with
the acquisition, rehabilitation or construction of the housing, as
defined in HUD's regulations at 24 CFR 585.309, 585.310, and 585.311;
Construction and rehabilitation costs must not exceed 10 percent of the
grant award. HUD encourages you to use grant funds for outreach,
recruitment, training and other services for the youth participants
which facilitates program implementation;
(2) Relocation payments and other assistance required to comply
with HUD's regulation at 24 CFR 585.308;
(3) Costs of ongoing training and technical assistance needs
related to carrying out a Youthbuild program;
(4) Education, job training, counseling, employment, leadership
development services and optional activities that meet the needs of the
participants including entrepreneurial training, drivers' education,
apprenticeship opportunities and, programs for those with learning
disabilities, and in-house staff training;
(5) Outreach to potential participants;
(6) Wages, benefits, and need-based stipends for participants; and
(7) Administrative costs must not to exceed 10 percent of the grant
award.
Please refer to HUD's regulation at 24 CFR 585.305 for further
details on eligible activities.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, as an applicant you must comply with the
following Youthbuild program requirements:
(A) Eligible Applicants. Eligible applicants as defined in HUD's
regulation at 24 CFR 585.4.
(B) Eligible Participants. Participants in a Youthbuild program
must be very low-income high school dropouts between the ages of 16 and
24, inclusive, at the time of enrollment. Up to 25 percent of
participants may be above very low-income, but must have educational
needs, (such as lack of reading, writing and communication skills) that
justify their participation in the program.
(C) Locational Limitations. You may submit more than one
application in the current competition if your program's participant
recruitment and housing areas are in different jurisdictions. Each
application you submit may only propose activities to carry out one
Youthbuild program, i.e., to start a new Youthbuild program or to fund
new classes of Youthbuild participants for an existing program.
(D) Response to NOFA--Page Limitation. The total narrative response
to all factors identified in Section VI(C) of this program NOFA must
not exceed 15 pages, and must be submitted on 8.5" by 11" paper, using
a 12 point size, with lines double spaced and printed only on one side.
Please note that submitting pages in excess of the page limit will not
disqualify your application. However, HUD will not review or consider
the information on any excess pages, which may result in a lower score
or failure to meet a threshold.
(E) Youthbuild Program Components. Applications that receive
assistance under this Youthbuild Program section of the SuperNOFA must
contain the three components described as follows:
(1) Educational and job training services;
(2) Leadership training, counseling, and other support activities;
(3) On-site training through actual housing rehabilitation and/or
new construction work, including the provision of alternative training
experiences that are necessary as a reasonable accommodation for
students with disabilities.
(F) Access to Property. Your application must contain a letter from
the property owner or management company(ies) allowing access to the
housing site(s) for on-site construction training.
(G) Training Requirement. Each program must be structured so that
50 percent of each participant's time is spent in on-site training and
the other 50 percent in educational training.
(H) Economic Opportunities for Low and Very Low-Income Persons
(Section 3). Section 3 of the Housing and Urban Development Act of
1968, (12 U.S.C. 1701u) is applicable to the Youthbuild program. Please
see Section II of the General Section of the SuperNOFA.
V. Desirable Elements of a Youthbuild Program
You should document the extent to which HUD's initiatives are
furthered by the proposed activities. Such initiatives include:
(1) Promoting healthy and safe homes;
(2) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(3) Providing educational, apprenticeship and job training
opportunities and linking programs to Americorps activities;
(4) Promoting welfare reform
(5) Encouraging visitability in new construction and substantial
rehabilitation activities;
(6) Encouraging universal design; and
(7) Participation in Partnership for Advancing Technology in
Housing (PATH).
First time applicants. If you are a first time applicant applying
for funding under Category 1, HUD recommends that you should have a
graduating class of not more than 20 students.
VI. Application Selection Process
You, the applicant, must meet all of the applicable threshold
requirements of Section II(B) of the General Section of the SuperNOFA
and Section IV(A), (B), (C), (D), (E), (F), (G) and (H), of this
program section of the SuperNOFA. HUD will review each application and
assign points in accordance with the selection factors described in
this section. The maximum number of points is 102 (except for an
application submitted by the City of Dallas, Texas, which would be
eligible for a maximum of 104 points). HUD will award up to two (2)
additional points, as described in the General Section of the
SuperNOFA, to any application submitted by the City of Dallas, Texas,
to the extent that Factor 3 is addressed. Due to an order of the U.S.
District Court for the Northern District of Texas, Dallas Division,
with respect to any application submitted by the City of Dallas, Texas,
HUD will consider the extent to which the application's proposed
activities will eradicate the vestiges of racial segregation in the
Dallas Housing Authority's programs consistent with the Court's order.
This maximum includes two Empowerment Zone/Enterprise Community (EZ/EC)
bonus points as described in the Section III(C) of the SuperNOFA.
(A) Rating and Ranking. (1) General. To review and rate
applications, HUD may establish panels including officials from other
Federal agencies and outside experts or consultants to obtain certain
expertise and other outside points of view.
(2) Rating. All applications for funding will be evaluated against
the rating factors described in Section (VI)G of this NOFA.
(3) Ranking. Applications will be ranked separately within each of
the 3 funding categories. Applications will be selected for funding in
accordance with their rank order in each category.
(4) To be eligible for funding, an application must have a minimum
score of 25 points for the total combined number of points for Rating
Factors 1 and 3.
If two or more applications are rated fundable, and have the same
score, but there are insufficient funds to fund all of them, HUD will
select the application(s) with the highest score for
[[Page 12059]]
Rating Factor 2, Need/Extent of Problem. If two or more applications
still have the same score, the highest score in the following factors
will be selected sequentially until one highest score can be
determined: Rating Factor 3 (Soundness of Approach), Rating Factor 1
(Capacity and Experience), Rating Factor 5 (Comprehensiveness and
Coordination), Rating Factor 4 (Leveraging of Resources).
(B) Categories of Grants. HUD will make grants in three categories:
(1) Category 1 Grants. Grants for new applicants that have not
previously received funding under the Youthbuild program since the
inception of the Program and that have elected not to apply under
Category 2 or 3 Grants, below. HUD will make available approximately
$10,000,000 to new applicants proposing grant(s) of $400,000 or less
for activities not to exceed 36 months.
(2) Category 2 Grants. HUD will make available approximately
$32,925,000 to applicants proposing grant(s) of $500,000 or less for
activities not to exceed 36 months.
(3) Category 3 Grants. HUD will make available $10,000,000 for
applicants proposing grant(s) of $400,000 or less to establish programs
in underserved and rural areas not to exceed 36 months. Rural and
Underserved areas are defined as follows:
(a) Rural Area. A Rural area is defined in one of five ways:
(i) A place having fewer than 2,500 inhabitants (within or outside
of metropolitan areas).
(ii) A county with no urban population of 20,000 inhabitants or
more.
(iii) Rural portions of extended cities, as identified by the U.S.
Census Bureau.
(iv) Open country which is not part of or associated with an urban
area. The United States Department of Agriculture (USDA) describes
``open country'' as a site separated by open space from any adjacent
densely populated urban area. Open space includes undeveloped land,
agricultural land or sparsely settled areas but does not include
physical barriers (such as rivers and canals), public parks, commercial
and industrial developments, small areas reserved for recreational
purposes, and open space set aside for future development.
(v) Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
(b) Underserved Area. An underserved area is defined as an area
comprised of census tracts with the following distress criteria:
(i) A census tract where the unemployment remains high (50 percent
or more above the nation's unemployment rate) and
(ii) A census tract where high rates of poverty (50 percent or more
above the national average) persists.
(C) Grant Period. You must expend funds awarded within 36 months of
the effective date of the grant agreement, or such other period
specified.
(D) Maximum Awards. Under the competition established by this
Youthbuild Program section of the SuperNOFA, the maximum award for a
Youthbuild grant is $500,000. HUD will not make amendments to awards
under this competition that will increase previously approved grant
amounts.
(E) Potential Environmental Disqualification. HUD reserves the
right to disqualify an application where one or more environmental
thresholds are exceeded if HUD determines that it cannot conduct the
environmental review and satisfactorily complete the review within the
HUD application review period. (See 24 CFR 585.307.) Environmental
thresholds are explained in Appendix A of this program section of this
SuperNOFA. Complete form 2C13a, 2C13b, or 2C13c and form 2C15 only if
you are proposing to use Youthbuild funds for new housing construction
or rehabilitation.
(F) Notification of Approval or Disapproval. HUD will notify you
whether or not you have been selected for an award. If you are
selected, HUD's notice to you of the amount of the grant award based on
the approved application will constitute HUD's preliminary approval,
subject to negotiation and execution of the grant agreement by HUD.
(G) Factors for Award Used To Evaluate and Rate Applications.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (15 Points)
This factor addresses the extent to which you have the resources
necessary to successfully implement the proposed young adult education
and training program in accordance with your work plan as further
described in Factor 3. HUD will review and evaluate information
provided documenting recent capacity. Experience within the last 5
years will be considered recent. In reviewing this rating factor, HUD
will review the following categories:
(1) (5 points) Team Member Composition and Experience. Your
experience and the experience of your project director, core staff
competencies including your day-to-day program manager, consultants and
contractors. You must demonstrate that your program manager has the
background, experience and capacity to implement all of the program
components of the proposed work plan, as evidenced by recent work
experience (within the last 5 years) in managing projects of the same
or similar size, dollar amount, types of activities and beneficiaries
as those proposed in your work plan. If any gaps exist in your
experience or organizational structure to carry out the program,
describe how you will fill those gaps including the hiring of
consultants or other outside parties.
(2) (5 points) Organizational Structure. The structure of your
organization, management structure, including reporting relationships
of key staff, a system for coordinating with outside contractors or
third party service providers, a mechanism for an internal and external
auditing relationships, and an accounting system which meets Federal
accounting system requirements. You should provide a clear description
of how your organizational structure will operate to carry out your
work plan.
(3) (5 points) Relevant Experience. The objectives and
accomplishments of your past experience in conducting similar
activities. You must describe your past project objectives and
accomplishments which are similar to those of your proposed work plan
to show your effectiveness and timeliness in managing similar projects.
If you have received similar grants including previous Youthbuild
grants, you must describe your effectiveness of your administration
including timeliness and completeness of your compliance in completing
reporting requirements and your ability to have resolved problems which
presented themselves during the grant period. In addressing timeliness
of reports, you must compare when your reports were due with when they
were actually submitted. You must describe your achievements, including
those of previous Youthbuild grants, of specific measurable outcome
objectives. Specific outcome objectives include: number of youth
recruited, trained and received GEDs; number of youth obtaining living
wage jobs, (i.e. those that are a part of a career path or
apprenticeship programs), number of youth participating in
apprenticeships and number of housing units rehabilitated or
constructed and made available for low and moderate income persons.
HUD will evaluate this Factor based upon your response including
letters of commitment from all participating entities for any staffing
or other resources to be contributed to the project. The more recent,
relevant, and successful the experience of the proposed team members,
organization
[[Page 12060]]
and other participating entities in relation to the work plan, the
greater the number of points that you will receive. Applicants that can
demonstrate a closer and greater linkage between the expected outcomes
and the previously generated outcomes will also receive a higher amount
of points for this Factor.
Rating Factor 2: Need/Extent of the Problem (40 Points)
This Factor addresses the extent to which there is need for funding
the proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in the applicant's target
area. In responding to this Factor, applications will be evaluated on
the extent to which the level of need for the proposed activity and the
urgency in meeting the need are documented and compared, vis-a-vis, the
target area, the county and national data.
(1) In applying this Factor, HUD will consider current levels of
distress for the following areas affected by the project: first, in the
area (i.e., Census Tract(s) or Block Groups) immediately surrounding
the project site or the target area to be served by the proposed
project; second, in the county in which the project is to be located,
and third, in the nation. This means that an application that provides
data that show levels of distress in the target area expressed as a
percent greater than the national average, will be rated higher under
this Factor.
Notwithstanding the above, an applicant proposing a project to be
located outside the target area could still receive points under the
Distress Factor if a clear, rationale and linkage is provided linking
the proposed project location and the benefits to be derived by persons
living in more distressed area(s) of the applicant's target area.
(2) Applicants should provide data that address indicators of
distress, as follows:
(a) Poverty (15 points)--data should be provided in both absolute
and percentage form (i.e., whole numbers and percents) for both the
target area(s) and the county; an application that compares the local
poverty rate in the following manner to the national average at the
time of submission will receive points under this section as follows:
(1) Equal to but less than twice the national average--5 points
(2) Twice but less than three times the national average--10 points
(3) Three or more times the national average--15 points
(b) Unemployment (10 points)--for both the project area and county;
(1) Equal to but less than twice the national average--2 points
(2) Twice but less than three times the national average--4 points
(3) Three but less than four times the national average--6 points
(4) Four but less than five times the national average--8 points
(5) Five or more times the national average--10 points
(c) High School Dropouts (10 points)--for both project area and
county;
(1) Equal to but less than twice the national average--2 points
(2) Twice but less than three times the national average--4 points
(3) Three but less than four times the national average--6 points
(4) Four but less than five times the national average--8 points
(5) Five or more times the national average--10 points
(d) Other Indicators of social and/or economic decline that best
capture the applicant's local situation (5 points)--examples that could
be provided under this section are information on the community's
stagnant or falling tax base, including recent commercial or industrial
closings, housing conditions, such as the number and percentage of
substandard and/or overcrowded units, rent burden (defined as average
housing cost divided by average income) for both the target area and
county, urgency in addressing problems facing youth, local crime
statistics, etc.
(3) In rating applications under this Factor, HUD reserves the
right to consider sources of available objective data other than, or in
addition to, those provided by applicants, and to compare such data to
those provided by applicants and local crime statistics for both the
project site and the county, etc.
HUD requires use of sound and reliable data (e.g., U.S. Census
data, State statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided.
Updated Census data are available as follows for the listed
indicators:
(a) Unemployment rate--estimated monthly for counties, with a two-
month lag;
(b) Population--estimated for incorporated places and counties,
through 1999;
(c) Poverty rate--estimated every two years, with a three-year lag,
with 1997 data being the most recent available.
Rating Factor 3: Soundness of Approach (25 Points)
Youthbuild Program Work Plan. This factor addresses the quality and
cost-effectiveness of your proposed work plan. There must be a clear
relationship between your proposed activities, community needs and the
purpose of the Youthbuild program. HUD will consider the overall
quality and feasibility of your proposed work plan and budget which
must be consistent with the Youthbuild program as measured by your
specific activities and outcomes. HUD is also interested in applicants
becoming self-sustaining so that activities can continue in the future
without relying on further assistance from the Department.
Specifically, HUD will consider the following categories when
assessing your proposed work plan:
(1) (10 points) Program components.
(a) Outreach, recruitment and selection activities. HUD will
determine the extent to which you demonstrate a clear linkage with the
following work plan activities and proposed outcomes and results.
Points will be awarded based upon overall quality and feasibility of
the outreach, recruitment and selection activities, the number and
types of outreach activities, number of youth to be recruited including
eligible participants who are harder to reach and comprehensiveness of
the local selection process.
Letters describing specific resources or services to be contributed
by non-applicant organizations must be included in your application. In
evaluating this category, HUD will consider:
(i) Specific steps you will take to attract potential eligible
participants who are unlikely to be aware of this program (because of
race, ethnicity, sex or disability) and selection strategies;
(ii) Special outreach efforts you will make to recruit eligible
young women, young women with dependent children, and persons receiving
public assistance; and
(iii) Recruitment arrangements you have made with public agencies,
courts, homeless shelters, local school systems, local workforce
development systems and one-stop centers, community-based
organizations, etc. You will receive a greater number of points if your
outreach and recruitment arrangements are consistent with the purpose
of the Youthbuild program and your project goals and the resources
provided.
(b) Educational and job training services and activities. HUD will
evaluate the extent to which you demonstrate a clear linkage with the
following work plan activities and proposed outcomes and results.
Letters describing specific resources or services to be contributed
by non-applicant organizations must be
[[Page 12061]]
included in your application. Points will be awarded based upon the
quality and feasibility of your proposed curriculum, qualifications of
instructors and proposed wages and stipends for youth participants. In
evaluating this category, HUD will consider:
(i) The types of in-class academic and vocational instruction you
will provide;
(ii) The number and qualifications of program instructors and ratio
of instructors to participants;
(iii) Scheduling plan for classroom and on-the-job training needed
to meet program requirements and ensure timely completion of your
program; and
(iv) Reasonable payments of participants' wages, stipends, and
incentives. You will receive a greater number of points if your
educational and job training services are consistent with the purpose
of the Youthbuild program and your project goals and the resources
provided.
(c) Leadership development. HUD will determine the extent to which
you demonstrate a clear linkage with work plan activities and proposed
outcomes and results. Letters describing specific resources or services
to be contributed by non-applicant organizations must be submitted in
your application. Points will be awarded based upon the quality and
feasibility of your proposed leadership curriculum, qualifications of
instructors and the impact of the proposed leadership activities on the
target area. You must describe the leadership development training you
will offer to participants, and strategies for providing the training
to build group cohesion and peer support. You will receive a greater
number of points if your leadership development activities are
consistent with the purpose of the Youthbuild program and your project
goals and the resources provided.
(d) Support services. HUD will determine the extent to which you
demonstrate a clear linkage with work plan activities and proposed
outcomes and results.
Letters describing specific resources or services to be contributed
by non-applicant organizations must be included in your application.
Points will be awarded based upon the quality and feasibility of your
proposed support services strategy and stipends for youth participants.
You must assess the need for counseling and referral services during
each stage of program implementation: outreach, recruitment, youth
interviewed and not selected for the program, program participants,
youth who drop out of the program and graduates of the program.
Describe how the participant needs will be addressed, document
counseling and referral services to be offered to participants, the
type of counseling, social services, and/or need-based stipends you
will provide. You will receive a greater number of points if your
support service activities are consistent with the purpose of the
Youthbuild program and your project goals and the resources provided.
(e) Follow-up assistance and support activities to program
graduates. HUD will evaluate the extent to which you provide assistance
to Youthbuild program participants after graduation. Letters describing
specific resources or services to be contributed by non-applicant
organizations must be included in your application. Points will be
awarded based upon the quality and feasibility of your proposed
strategy. You must describe the type of proposed assistance and support
which should be based upon an assessment of the needs of the program
graduates and should include continued linkage to the local Youthbuild
program, counseling and social service referral services. You will
receive a greater number of points if your follow-up assistance and
support service activities to program graduates are consistent with the
purpose of the Youthbuild program and your project goals and the
resources provided.
(f) On-site training. HUD will evaluate the extent to which the
work plan provides for quality and comprehensive on-site construction
training by addressing the categories below. Letters describing
specific resources or services to be contributed by any non-applicant
organizations must be included in your application. Points will be
awarded based upon the quality and feasibility of your proposed
curriculum, experience of proposed instructors, number of youth to be
trained and wages or stipends for youth participants. HUD will
consider:
(i) The housing construction or rehabilitation activities
participants will undertake at the site(s) to be used for the on-site
training component of the program as provided in the training
curriculum and methodology for carrying out on-site training;
(ii) The qualification and number of on-site supervisors;
(iii) The ratio of trainers to students;
(iv) The number of students per site; and
(v) The amounts, wages, and/or stipends you will pay to
participants during on-site work. You will receive a greater number of
points if your on-site training plan is consistent with the purpose of
the Youthbuild program and your project goals and the resources
provided.
(2) (5 points) Strategy for job placement. HUD will evaluate the
quality and feasibility of your proposed strategy to place youth
participants in permanent jobs.
Letters describing specific resources or services to be contributed
by non-applicant organizations must be included in your application.
You will be rated on the following factors: (a) proposed number of
youth to obtain a living wage job (i.e. those that a part of career
paths or apprenticeship programs); (b) proposed number of youth
continuing on to be enrolled in post or secondary education; (c)
proposed number of youth to receive entrepreneurship training; (d)
proposed placement of youth in apprenticeships. Two points of this
factor will be awarded based upon the comprehensiveness and feasibility
of your strategies and procedures to place youth participants in
related apprenticeships and commitments from construction trade unions.
You will receive a greater number of points if your strategy for job
placement is consistent with the purpose of the Youthbuild program,
your proposed project and the resources provided.
(3) (10 points) Expected outcomes. Describe the number of youth to
be trained and the number of housing units to be rehabilitated or
constructed. As a part of this evaluation, HUD will assess the cost
effectiveness of your stated outcomes as compared to the funds that you
are requesting in the Youthbuild Grant Budget. You will receive a
greater number of points if your proposed outcomes are consistent with
the purpose of the Youthbuild program, your proposed project and the
resources provided.
Rating Factor 4: Leveraging Resources (15 Points)
This factor addresses the ability of the applicant to secure non-
HUD resources. This factor measures the extent to which you have
established partnerships with other entities to secure resources for
your proposed program. Each commitment described in the narrative for
this Factor must have a firm commitment letter.
HUD will evaluate the extent to which firm commitment of resources
are obtained from Federal, State, local, and private and nonprofit
sources in an amount of at least 50% of the Youthbuild budget. The
greater the amount of resources leveraged, the higher the points that
will be awarded. In assigning points for this criterion, HUD will
consider the level of non-applicant resources obtained for cash or
[[Page 12062]]
in-kind contributions to cover the following kinds of areas:
(1) Social services (i.e., counseling and training);
(2) Use of existing vocational, adult, and bilingual educational
courses;
(3) Donation of labor, resource personnel, supplies, teaching
materials, classroom, and/or meeting space;
(4) Hard costs for rehabilitation and construction;
(5) Other commitments.
In rating this element, HUD will consider only those contributions
for which current firm commitments have been provided. HUD will
evaluate the level of non-applicant resources proposed based on their
importance to the total program. Leveraging will only be counted if you
have secured a firm financial commitment. A firm commitment letter
means the agreement by which an applicant's partner or contributing
entity agrees to perform an activity specified in the application and
demonstrates the financial capacity to deliver the resources necessary
to carry out the activity, and commits the resources to the activity
either in cash, through in-kind services or contributions and is
irrevocable, subject only to approval and receipt of a FY 2001
Youthbuild grant. Each letter of commitment should include the
organization's name, the applicant's name, the proposed program, the
proposed total level of commitment and responsibilities as they relate
to the proposed program. The commitment must also be signed by an
official of the organization legally able to make commitments on behalf
of the organization and not earlier than the date that this NOFA is
published. In documenting a firm commitment, the applicant's partner or
contributing entity must:
(i) Specify the authority by which the commitment is made, the
amount of the commitment and the use of funds. If the committed
activity is to be self-financed, the applicant's partner or
contributing entity must evidence its financial capability through a
corporate or personal financial statement or other appropriate means.
If any portion of it is to be financed through a lending institution,
the participant must evidence the institution's commitment to fund the
loan;
(ii) State the amount and use of the commitment, and the
relationship of the commitment to the proposed investment; and
(iii) Affirm that its investment is contingent only upon receipt of
FY 2001 Youthbuild funds and state a willingness on the part of the
signatory to sign a legally binding commitment (conditioned on HUD
environmental review and approval of a property, where applicable) upon
award of the grant.
Resources from other Federal, State, Local governments or Private
Entities. HUD encourages use of existing housing and homeless
assistance programs administered by HUD or other Federal, State, local
governments, or private and nonprofit housing programs as part of your
Youthbuild program. In addition, HUD encourages use of other non-
Youthbuild funds available for vocational, adult, and bilingual
education programs or for job training under the Workforce Investment
Act and the Personal Responsibility and Work Opportunity Reconciliation
Act of 1996.
The greater the number of resources leveraged for each of the
categories presented below, the applicant will receive a greater number
of points.
(1) (8 points) Public sector sources--Federal, State, or local
government sources to provide resources to carry out Youthbuild
activities.
(2) (7 points) Private or nonprofit sector sources to provide
resources to carry out Youthbuild activities.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
HUD will evaluate the extent to which you:
(1) Have coordinated among third parties dealing with youth issues
including community based organizations and partners that provide
assistance as you prepared your proposal and Work Plan. Indicate your
success in actively participating in the Consolidated Planning process,
the Public Housing Authority Five Year Comprehensive Plan process,
local Workforce Investment Board Youth Council and other information
networks; and
(2) Will maintain your coordinating efforts over the grant period.
The more comprehensive, relevant and successful your coordination
activities conducted to date and those projected for the future, the
greater points you will receive for this Factor.
VI. Application Submission Requirements
(A) Site Access Submission Requirements. You must submit a schedule
for the program, budgets, identification of specific housing sites, and
firm evidence of site access.
(1) Guidance on evidence of site access:
(i) If the applicant or joint applicant have a contract or option
to purchase the property, you should provide a statement to that effect
and include a copy of the contract or option;
(ii) If a third party owns the property or has a contract or option
to purchase, that third party must provide a letter to you stating the
nature of the ownership and specifically providing you with access to
the property for the purposes of the program and the time frame in
which the property will be available. In the case of a contract or
option, include a copy of the document; and
You must provide the required certification that the proposed
activities are consistent with the HUD-approved Consolidated Plan in
accordance with 24 CFR part 91 and referenced in Section II of the
General Section of the SuperNOFA.
(B) Category 3 applicants only. You must state that the proposed
project to be established will be located in an underserved or rural
area as defined in Section (V)(B)(3) of this notice.
(C)) Application Items. Your application must contain the items
listed in this Section VI(C). These items include the standard forms,
certifications, and assurances listed in the General Section of the
SuperNOFA that are applicable to this funding (collectively, referred
to as the ``standard forms''). The standard forms can be found in
Appendix B to the General Section of the SuperNOFA. The remaining
application items that are forms (i.e., excluding such items as
narratives, letters), referred to as the ``non-standard forms'' can be
found as Appendix B to this program section of the SuperNOFA. The items
are as follows:
(1) SF-424, Application for Federal Assistance.
(2) HUD-424M, Federal Assistance Funding Matrix.
(3) SF-424A, Budget Information for Non-Construction Programs.
(4) SF-424B, Assurances for Construction Programs.
(5) SF-424C, Budget Information for Construction Programs.
(6) HUD-50070, Certification of Drug-Free Workplace.
(7) HUD-2880, Applicant/Recipient Disclosure/Update Form.
(8) HUD-50071, Certification of Payments to Influence Certain
Federal Transactions;
(9) SF-LLL, Disclosure of Lobbying Activities (if applicable);
(10) HUD-2992, Certification Regarding Debarment and Suspension;
(11) Letters from property owners allowing access to the housing
site for construction training.
(12) Submission of 501(c)(3) status and/or letter certifying non-
profit status if the applicant is a public non-profit organization.
[[Page 12063]]
(13) Narrative Response to Factors for Award.
Factor 1--Capacity
Factor 2--Need
Factor 3--Soundness of Approach, including the following non-
narrative items: (a) completed Youthbuild Grant Budget (Exhibit 4A),
(b) housing site description (Exhibit 2C), (c) Youthbuild Grant
individual housing site estimate (Exhibit 2C10), (d) letters from non-
applicant resource providers describing contributions or support, (e)
documentation necessary to complete environmental review (Exhibit
2C15), and description of relocation, if applicable.
Factor 4--Leveraging, including your letters(s) evidencing the
leveraged commitment(s), which will not be counted in the 15 page
limitation.
Factor 5--Coordination, include HUD-2991, Certification of
Consistency with the Consolidated Plan.
(14) HUD-2990, Certification of Consistency with the EZ/EC
Strategic Plan (if applicable);
(D) The total narrative response to all factors identified in
Section VI(C)(13) of this program NOFA must not exceed 15 pages, and
must be submitted on 8.5" by 11" paper, using a 12 point size, with
lines double spaced and printed only on one side. Please note that
submitting pages in excess of the page limit will not disqualify your
application. However, HUD will not review or consider the information
on any excess pages, which may result in a lower score or failure to
meet a threshold.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Environmental procedures apply to HUD approval of grants when you
propose to use Youthbuild funds to cover any costs for the lease,
acquisition, rehabilitation, or new construction of real property
proposed for housing project development. Environmental procedures do
not apply to HUD approval of your application when you propose to use
your Youthbuild funds solely to cover costs for classroom and/or on-
the-job construction training and support services.
If you propose to use your Youthbuild funds to cover any costs of
the lease, acquisition, rehabilitation, or new construction of real
property, you must submit all relevant environmental information in
your application to support HUD decision making in accordance with the
environmental procedures and standards set forth in HUD Regulation 24
CFR 585.307.
IX. Authority
This program is authorized under subtitle D of title IV of the
Cranston-Gonzalez National Affordable Housing Act, as added by section
164 of the Housing and Community Development Act of 1992 (Pub.L. 102-
550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild Program
regulations are found in 24 CFR part 585.
Appendix A--Instructions for Completion of Youthbuild Environmental
Requirements (Exhibit 2C(15))
A. Instructions to Applicants
1. If you propose to use Youthbuild funds to cover any costs of the
lease, acquisition, rehabilitation, or new construction or real
property, you shall submit all relevant environmental information in
your application to support HUD decision making in accordance with the
environmental procedures and standards set forth in 24 CFR 585.307. For
each proposed Youthbuild property for which HUD environmental
procedures apply, you are to prepare a separate Exhibit 2C(15) in which
you supply HUD with environmental threshold information and letters
from qualified data sources (see definition below) which support the
information. HUD will review your submission and determine how, if
necessary, HUD will comply with any Federal laws and authorities that
may be applicable to your property proposed for Youthbuild funding. If
environmental procedures apply and Exhibit 2C(15) with supporting
documentation is not included then the application will be deemed
ineligible.
You are to follow these instructions for preparing Exhibit 2C(15).
The instructions advise you on how to obtain and document certain
information to be supplied to HUD in this exhibit. Before selecting a
property for Youthbuild funding, you should read these instructions and
be advised that HUD encourages you to select, to the extent
practicable, properties and locations that are free of environmental
hazards and problems discussed in these instructions. The responses to
the environmental criteria in Exhibit 2C(15) will be used to determine
environmental approval or disapproval by HUD of proposals for physical
development of properties.
2. After selecting a property for proposed Youthbuild funding, you
are to determine the activities to be undertaken with your Youthbuild
funds. You are to indicate in Section E whether the Youthbuild funds
will be used for:
(a) Lease or purchase of a property;
(b) Minor rehabilitation or
(c) Major rehabilitation; or
(d) New construction of housing.
The activities proposed for Youthbuild funding will determine the
kind of data that you will need to obtain from a qualified data source
in order to complete Exhibit 2C(15).
3. Once you have selected a property and determined the activities
for Youthbuild funding, you are advised to check with your city or
county agency that administers HUD's Community Development Block Grant
program and performs environmental reviews, or the local planning
agency. The reason is that most, if not all, the data needed for
preparing Exhibit 2C(15) is readily available from the local community
development agency and the local planning agency. You are advised to
ask the environmental staff of those agencies the following:
(a) Has the agency ever prepared an environmental review of the
proposed Youthbuild property or the neighborhood in which the property
is located, and if so, would it provide a copy to the applicant for use
by HUD;
(b) Would the agency assist you in completing section G; or if the
agency is not able to help complete any item in section G, would the
agency advise you which local or State agency is the appropriate
qualified data source for obtaining the information.
Also, you should check with the local planning agency before
proceeding elsewhere for the information.
You are advised that the cost of preparing information and analyses
needed for Exhibit 2C(15) is an eligible cost under the Youthbuild
program and is reimbursable if you are approved for a grant.
4. The following definitions are of key terms used in these
instructions. Most of the other terms are technical and their
definition would be known to qualified data sources.
(a) Qualified data source means any Federal, State or local agency
with expertise or experience in environmental protection (e.g., the
local community development agency; the land planning agency; the State
environmental protection agency; the State Historic Preservation
Officer) or any other source qualified to provide reliable information
on the particular subject. A letter supporting the information from
each qualified data source is to be attached to Exhibit 2C(15).
[[Page 12064]]
(b) Minor rehabilitation means proposed fixing and building repair:
(i) Where the estimated cost of the work is less than 75 percent of
the property value after completion;
(ii) That does not involve changes in land use from residential to
nonresidential, or from nonresidential to residential;
(iii) That does not involve the demolition of one or more
buildings, or parts of a building, containing the primary use served by
the project; and
(iv) That does not increase unit density by more than 20 percent.
For minor rehabilitation of a building located in a floodplain, the
criteria for substantial improvement modify this definition. (See Item
B 3 below)
(c) Major rehabilitation means proposed fixing and building repair:
(i) Where the estimated cost of the work is 75 percent or more of
the property value after completion; or
(ii) That involves changes in land use from residential to
nonresidential, or from nonresidential to residential; or
(iii) That involves the demolition of one or more buildings, or
parts of a building, containing the primary use served by the project;
or
(iv) That increases unit density by more than 20 percent.
(d) Multifamily housing means any residential building that
contains five or more apartments or rooming units.
(e) Single-family housing means any residential building that
contains one-to-four dwelling units.
Because each Federal environmental law or authority has compliance
requirements that differ according to the type of proposed activity to
be funded, you are required to supply information in Exhibit 2C(15)
only for the type of activity for which the Youthbuild grant will be
used.
(a) If you propose new construction or major rehabilitation of
multifamily housing, you must supply complete and reliable
environmental threshold information for items 1 through 13 in section
G.
(b) If you propose new construction of single family housing, you
must supply complete and reliable environmental threshold information
for items 1 through 12 in section G.
(c) If you propose minor rehabilitation of multifamily or single-
family housing, or the purchase or lease of a property, you must supply
complete and reliable environmental threshold information for items 1
through 7 in section G.
5. Applicants subject to HUD's environmental procedures are to
submit Exhibit 2C(15) and accompanying documentation to HUD with the
applications for grant assistance. Such applicants are prohibited from
committing or expending State, local or other funds to undertake
property rehabilitation, construction (including demolition), or
acquisition (including lease), until HUD and the grantee execute a
grant agreement for the proposed Youthbuild project.
6. HUD reserves the right to disqualify any application where one
or more environmental thresholds are exceeded if HUD determines that
the compliance review cannot be conducted and satisfactorily completed
within the HUD review period for Youthbuild applications.
B. Environmental Threshold and Documentation Requirements
The threshold and documentation requirements for each of the
Federal environmental laws and authorities are described below,
following the same order as they appear in section G.
1. Site within designated coastal barrier resources: Threshold:
Youthbuild applicants are prohibited by Federal law from using Federal
financial assistance for properties, if the properties are located
within designated coastal barriers of the Atlantic Ocean, Gulf of
Mexico, and the Great Lakes (Coastal Barrier Resources Act, as amended,
16 U.S.C. 3501).
*Documentation: You are to select either A or B for the condition
that best describes the property and report the option selected in item
1 of section G.
A. You state that your program operates in a community that does
not contain any shores along the Atlantic Ocean, the Gulf of Mexico, or
the Great Lakes.
B. If your program operates in a community that does contain shores
along the Atlantic Ocean, the Gulf of Mexico, or the Great Lakes, you
must provide HUD with a finding made by a qualified data source stating
that the proposed property is not located within a designated coastal
barrier resource by citing the map panel number of the official maps
issued by the Department of the Interior (DOI) on the basis of which
the finding was made.
2. Site contaminated with toxic chemicals and radioactive
materials: Threshold: Under HUD policy, as described in HUD Notice 79-
33 (Policy Guidance to Address the Problems Posed by Toxic Chemicals
and Radioactive Materials), HUD will not approve the provision of
financial assistance to residential properties located on contaminated
sites. Sites known or suspected to be contaminated by toxic chemicals
or radioactive materials include but are not limited to sites: (i)
listed on either an EPA Superfund National Priorities List (NPL) or
CERCLA (Comprehensive Environmental Response, Compensation, and
Liability Act) List, or equivalent State list; (ii) located within
3,000 feet of a toxic or solid waste landfill site; or (iii) with an
underground storage tank (which is not a residential fuel tank).
*Documentation: You are to select either A or B for the condition
that best describes property and report the option selected in item 2
of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the proposed Youthbuild property and any
neighboring properties do not contain any sites known or suspected to
be contaminated with toxic chemicals and radioactive materials.
B. You are providing any site contamination data by a qualified
data source in your letter for HUD's evaluation of contamination and/or
suspicion of any contamination of a proposed property or any
neighboring properties.
3. Site affecting a floodplain: Threshold: A property located
within a floodplain and proposed for funding is subject to Executive
Order 11988, Floodplain Management. The Executive Order directs HUD to
avoid, where practicable, proposed financial support for any floodplain
property, whenever HUD has options to approve properties in flood-free
locations. The Order does not apply to existing single-family
properties proposed for purchase or lease except for: (i) Property that
is located within a floodway or coastal high hazard area; and (ii)
substantial improvement. Substantial improvement for flood hazard
purposes means any property rehabilitation which: (a) Increases the
unit density of the property; or (b) equals or exceeds 50 percent of
the market value of the property before rehabilitation, but excluding
the costs for correcting health, sanitary, and safety code violations.
Note: Proposed funding for substantial improvement and new construction
are subject to the Executive Order decision making process. This may
result in a disqualification of your application (refer above to number
7 under ``Instructions to Applicants'').
*Documentation: You are to select A or B for the condition that
best describes your property and report the option selected in item 3
of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property is not located within the Special
Flood Hazard Area (SFHA).
B. You are providing HUD with a finding made by a qualified data
source
[[Page 12065]]
that the property is located within the Special Flood Hazard Area
(SFHA) and indicating if whether the property is located within a
floodway or coastal high hazard area.
The information for A and B must provide HUD with the flood map
panel number obtained either from the official maps issued for the
National Flood Insurance Program or from the property appraisal report
used to make the finding.
For all proposed rehabilitation of properties that are located
within a SFHA, you must provide HUD with estimates of: (i) The property
value before rehabilitation, and (ii) the cost of the proposed
rehabilitation. Provide the estimates in section F.
If the property is found to be located within a SFHA, proceed to
item 4 on flood insurance protection. Otherwise proceed to item 5.
4. Building requiring flood insurance protection: Threshold: HUD
will estimate the amount and period of flood insurance coverage that is
to be made a condition of approval of any HUD financial assistance for
a building located within a Special Flood Hazard Area (SFHA). The Flood
Disaster Protection Act of 1973 requires owners of HUD-assisted
buildings to purchase and maintain flood insurance protection as a
condition of approval of any HUD financial assistance for the proposed
purchase, rehabilitation, or new construction of any SFHA building. The
law prescribes the coverage period and dollar amount of flood insurance
protection.
Proof of Purchase of Flood Insurance Protection: You must provide
HUD with proof of purchase of flood insurance protection for any
proposed Youthbuild building located within the SFHA, whenever HUD
funding is being used for property purchase, rehabilitation, or new
construction. The standard documentation for compliance is the Policy
Declarations form issued by the National Flood Insurance Program (NFIP)
or issued by any property insurance company offering coverage under the
NFIP. Whenever the requirement applies to coverage which extends to
future years, the grant agreement will require that the insured has its
insurer automatically forward to HUD, in the same manner as to the
insured, an information copy of the Policy Declarations form, which is
used to verify compliance. The Youthbuild applicants responsibility
ceases in cases where a mortgage loan is approved requiring flood
insurance as condition of loan approval by a lender (other than the
Youthbuild applicant), whose responsibility is to assure flood
insurance coverage for the loan.
*Documentation: You are to select either A or B for the condition
that best describes your property and report the option selected in
item 4 of section G.
A. You already own the property and attach a copy of the Policy
Declarations form confirming that a current flood insurance policy is
in effect and the policy provides adequate coverage for the building
proposed for the Youthbuild project located within the Special Flood
Hazard Area.
B. After you have purchased (or constructed, in the case of
proposed new construction) the Youthbuild property, you must obtain and
maintain flood insurance protection. For the term and amount of
coverage prescribed by law, you must provide HUD with a copy of the
Policy Declarations form confirming that the flood insurance policy is
in effect and the policy provides adequate coverage for the Youthbuild
building located within the Special Flood Hazard Area.
5. Site within clear zones or accident potential zones of airports
and airfields: Threshold: HUD policy as described in 24 CFR part 51,
subpart D applies to HUD approval of financial assistance to: (a)
properties located within clear zones; and (b) in the case of new
construction or major rehabilitation, properties located within
accident potential zones.
(a) Clear zones: New construction and major rehabilitation of a
property that is located on a clear zone site is prohibited. HUD
financial assistance in a clear zone is allowed only for the proposed
lease, purchase, or minor rehabilitation of properties (24 CFR
51.302(a)). For HUD funding approval for any property in a clear zone:
(a) HUD will give advance written notice to the prospective property
buyer in accord with 24 CFR 51.303(a)(3); and (b) a copy of the HUD
notice signed by the prospective property buyer will be placed in the
property file. The written notice informs the prospective property
buyer of: (i) The potential hazards from airplane accidents which
studies have shown more likely to occur within clear zones than in
other areas around the airport/airfield; and (ii) the potential
acquisition by airport or airfield operators, who may wish to buy the
property at some future date as part of a clear zone acquisition
program.
(b) Accident potential zones: For properties located within the
accident potential zone (APZ), HUD shall determine whether the use of
the property is generally consistent with Department of Defense ``Land
Use Compatibility Guidelines for Accident Potential Zones.''
*Documentation: You are to select either A or B for the condition
that best describes your property and report the option selected in
item 5 of section G.
A. The property is not located within 3,000 feet of a civil airport
or military airfield.
B. If your property is located within 3,000 feet of a civil airport
or military airfield, you must provide HUD with a finding from the
airport operator stating whether or not the property is located within
a runway clear zone at a civil airport, or a clear zone or accident
potential zone at a military airfield.
For properties that are located within a runway clear zone or a
clear zone or accident potential zone, if you propose to rehabilitate
such a property you must provide HUD with estimates of: (i) The cost of
the proposed rehabilitation, and (ii) the property value after
completion of the rehabilitation. The estimates are to be provided in
section F.
6. Site is or affects an historic property: Threshold: Only if a
property is proposed for rehabilitation or new construction must HUD in
consultation with the State Historic Preservation Officer (SHPO), and
following the Department of the Interiors Standards and Guidelines for
Evaluation, make a determination whether the property is:
(a) Listed on or formally determined to be eligible for listing on
the National Register of Historic Places;
(b) Located within or directly adjacent to an historic district; or
(c) A property whose area of potential effects includes an historic
district or property.
Historic properties and districts are subject by law to special
protection and historic preservation processing which HUD must perform
to comply with the regulations of the Advisory Council on Historic
Preservation (ACHP: 36 CFR part 800). Note: If you are using
information from the SHPO as a qualified data source you need to allow
sufficient time to obtain the information from the SHPO. You may wish
to make special arrangements with the SHPO for rapid review of the
proposed property where this is practicable. In addition, for
properties determined to be historic properties, HUD will require 30 to
90 days in most cases for HUD to perform historic preservation
compliance with the ACHP regulations. This may result in a
disqualification of the application (refer above to number 7 under
``Instructions to Applicants'').
*Documentation: You are to select one of the following options that
best describes the condition of your property
[[Page 12066]]
and report the option selected in item 6 of section G.
A. You propose financial assistance for rehabilitation or new
construction, and are providing HUD with a SHPO's finding that the
proposed Youthbuild activity:
1. Is located within an area where there are no historic
properties; or
2. Will have no effect on historic properties; or
3. Will have an effect on historic properties not considered
adverse.
B. You propose financial assistance for rehabilitation or new
construction, and are providing HUD with a SHPO's finding that the
proposed Youthbuild activity will have an adverse effect on historic
properties.
C. You are providing HUD with a copy of a letter from the SHPO
stating any reasons for not being able to provide you with the
requested information and finding.
7. Site near hazardous industrial operations: Threshold: Properties
that are located near hazardous industrial operations handling fuels or
chemicals of an explosive or flammable nature are subject to HUD safety
standards (24 CFR 51, Subpart C). However, under the Youthbuild
program, these standards would apply only if you propose: (i)
Construction of a building; (ii) conversion of a non-residential land
use to a residential land use including making habitable a building
condemned for habitation; or (iii) rehabilitation that increases the
density of a residential structure by increasing the number of dwelling
or rooming units. In the case of tanks containing common liquid fuels,
the requirement for an acceptable separation distance (ASD) calculation
only applies to storage tanks that have a capacity of more than 100
gallons.
*Documentation: You are to select one of the following options that
best describe the condition of the property, and report the option
selected in item 7 of section G.
A. The proposed project does not include: (i) Construction of a
building; (ii) conversion of a non-residential land use to a
residential land use including making habitable a building condemned
for habitation; or (iii) rehabilitation that increases the density of a
residential structure by increasing the number of dwelling or rooming
units.
B. The proposed project includes: (i) Construction of a building;
(ii) conversion of a non-residential land use to a residential land use
including making habitable a building condemned for habitation; or
(iii) rehabilitation that increases the density of a residential
structure by increasing the number of dwelling or rooming units; and
you are providing HUD with a finding by a qualified data source that
the proposed property is not located within the immediate vicinity of
hazardous industrial operations handling fuel or chemicals of an
explosive or flammable nature by citing data used and the maps used.
C. The applicant proposes: (i) Construction of a building; (ii)
conversion of a non-residential land use to a residential land use
including making habitable a building condemned for habitation; or
(iii) rehabilitation that increases the density of a residential
structure by increasing the number of dwelling or rooming units; and
the grantee provides HUD a finding made by a qualified data source
stating: (1) That the proposed property is located within the immediate
vicinity of hazardous industrial operations handling fuel or chemicals
of an explosive or flammable nature; (2) the type and scale of such
hazardous industrial operations; (3) the distance of such operations
from the proposed property; (4) a preliminary calculation of the
acceptable separation distance (ASD) between such operations and the
proposed property; and (5) a recommendation as to whether it is safe to
use the property in accord with 24 CFR 51, Subpart C.
8. Site near high noise source: Threshold: For new construction
which is to occur in high noise areas (i.e. exceeding 65 decibels),
applicants shall incorporate noise attenuation features to the extent
required by HUD environmental criteria and standards contained in
Subpart B (Noise Abatement and Control) of 24 CFR part 51. Approvals in
a Normally unacceptable noise zone require a minimum of 5 decibels
additional sound attenuation for buildings having noise-sensitive uses
if the day-night average sound level is greater than 65 decibels but
does not exceed 70 decibels, or a minimum of 10 decibels of additional
sound attenuation if the day-night average sound level is greater than
70 decibels but does not exceed 75 decibels.
Proposed housing sites with above 75 decibels are unacceptable and
the noise attenuation measures require the approval of the Assistant
Secretary for Community Planning and Development. In Unacceptable noise
zones, HUD strongly encourages conversion of noise-exposed sites to
non-housing land uses compatible with the high noise levels.
For major rehabilitation projects involving five or more dwelling
units located in the ``Normally Unacceptable'' and ``Unacceptable''
noise zones, HUD actively seeks to have project sponsors incorporate
noise attenuation features, given the extent and nature of the
rehabilitation being undertaken and the level of exterior noise
exposure.
Documentation: You are to select A or B for the condition that best
describes their project and report the option selected in item 8 of
section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property proposed by the applicant for a major
rehabilitation or new construction project involving five or more
dwelling units is not located within: (I) 1,000 feet of a major noise
source, road, or highway; (ii) 3,000 feet of a railroad; or (iii) 1
mile of a civil or 5 miles of a military airfield.
B. The applicant provides HUD with a finding made by a qualified
data source: (i) stating that the plans for the property proposed by
the applicant for a major rehabilitation or new construction project
involving five or more dwelling units will incorporate noise
attenuation features in accord with HUD environmental criteria and
standards contained in Subpart B (Noise Abatement and Control) of 24
CFR part 51; (ii) stating whether the property is located within a
``Normally Unacceptable'' or ``Unacceptable'' noise zone; and (iii)
providing HUD plans and a statement of the anticipated interior noise
levels.
9. Site affecting coastal zone management: Threshold: Only for
proposed activities involving new construction or major rehabilitation
of multifamily housing does the Coastal Zone Management (CZM) authority
apply. Projects which can affect the coastal zone must be carried out
in a manner consistent with the approved State coastal zone management
program under Sec. 307 of the Coastal Zone Management Act of 1972, as
amended.
* Documentation: You are to select either A or B for the condition
that best describes the project and report the option selected in item
9 of section G.
A. You state that your project is not located within a coastal
zone, as defined by the States Coastal Zone Management Plan.
B. If your project is located within a coastal zone, you are
providing HUD with a finding made by the State CZM agency that the
project proposed by the applicant is consistent with the approved State
coastal zone management program.
10. Site affecting a sole source aquifer: Threshold: The sole
source aquifer authority applies primarily to activities involving
proposed new construction or conversion to housing of non-residential
property. Projects which can affect aquifers designated by the
[[Page 12067]]
Environmental Protection Agency (EPA) must be reviewed for impact on
such designated aquifer sources. The Safe Drinking Water Act of 1974
requires protection of drinking water systems which are the sole or
principal drinking water source for an area and which, if contaminated,
would create a significant hazard to public health.
*Documentation: You are to select either A or B for the condition
that best describes their project and report the option selected in
item 10 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the proposed property is not located on nor does it
affect a sole source aquifer designated by EPA.
B. If your project proposes new construction or conversion
activities that are located on or may affect any sole source aquifer
designated by the EPA, you are identifying the aquifer and providing
HUD with an explanation of the effect on the aquifer from a qualified
data source, and/or a copy of any comments on the proposed project that
have been received from the EPA Regional Office as well as from any
State or local agency with jurisdiction for protecting the drinking
water system.
11. Site affecting endangered species: Threshold: The Endangered
Species Protection (ESP) authority applies primarily to activities
involving proposed new construction or conversion to housing of a non-
residential property. Projects which can affect listed or proposed
endangered or threatened species or critical habitats require
consultation with the Department of the Interior in compliance with the
procedure of Section 7 of the Endangered Species Act of 1973, as
amended.
*Documentation: You are to select either A or B for the condition
that best describes the property and report the option selected in item
11 of section G.
A. If your project proposes new construction or conversion
activities, you are providing HUD with a finding made by a qualified
data source that the project is not likely to affect any listed or
proposed endangered or threatened species or critical habitat. The
finding shall indicate whether the project is located within a critical
habitat, and if so, explain why the project is not likely to affect the
species or habitat.
B. If your project proposes new construction or conversion
activities that are likely to affect listed or proposed endangered or
threatened species or critical habitat, you are providing HUD with a
statement from a qualified data source explaining the likely affect,
and/or a finding made by the Fish and Wildlife Service of the
Department of the Interior stating as acceptable the proposed
mitigation that you will provide to protect any affected endangered or
threatened species or critical habitat.
12. Site affecting a designated wetland: Threshold: New
construction or conversion to housing of a non-residential property
located within a designated wetland is subject to Executive Order
11990, Protection of Wetlands. This Executive Order directs HUD to
avoid, where practicable, financial support for new construction on
wetland property. Note: Proposed funding for new construction or
conversion is subject to the Executive Order decision making process.
This may result in a disqualification of the application (refer above
to number 7 under ``Instructions to Applicants'').
* Documentation: You are to select A or B for the condition that
best describes the property and report the option selected in item 12
of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property is not located within a designated
wetland where new construction or conversion is proposed.
B. You are providing HUD with a finding made by a qualified data
source that the property is located within a designated wetland, which
applies only to property where new construction or conversion is
proposed.
The information for A and B must provide HUD with the wetland panel
number obtained from official maps issued by the Department of the
Interior on the basis of which the finding was made, or where DOI has
not mapped the area, a letter or other documentation from the Army
Corps of Engineers or other Federal agency.
13. Significant impact to the human environment: Threshold: HUD
must perform an environmental assessment of any property proposed for
major rehabilitation or new construction except for a single-family
property having one-to-four dwelling units. It is the policy of the
Department to reject proposals which have significant adverse
environmental impacts and to encourage the modification of projects in
order to enhance environmental quality and minimize environmental harm.
This policy is authorized by the National Environmental Policy Act
(NEPA) and the implementing regulations of the Council on Environmental
Quality and HUD's Environmental Rule at 24 CFR part 50.
*Documentation: You are to provide HUD with any information on any
adverse environmental impacts that affect the property or that the
project would create. You are to report this data on a separate sheet
and attach it to Exhibit 2C(15). Examples of adverse impacts are: soil
instability and erodibility; natural or person-made hazards and
nuisances; air pollution; inadequate infrastructure (e.g., water
supply, waste water treatment, storm water management, solid waste
collection), inadequate public services (i.e., fire, police, health
care, social services, schools, parks) and transportation; and
encroachment on prime farmlands and wild and scenic river areas. You
are to identify any significant impacts to the human environment.
Appendix B
The non-standard forms, which follow, are required for your
Youthbuild application.
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Notices
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Notices
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FUNDING AVAILABILITY FOR PUBLIC HOUSING RESIDENT OPPORTUNITIES AND
SELF SUFFICIENCY (ROSS) PROGRAM
Program Overview
Purpose of Program. The purpose of the Public Housing Resident
Opportunities and Self Sufficiency (ROSS) Program is to link services
to public housing residents by providing grants for supportive
services, resident empowerment activities and activities to assist
residents in becoming economically self-sufficient.
Available Funds. Approximately $55 million.
Eligible Applicants. Public Housing Agencies (PHAs), resident
management corporations, resident councils, resident organizations,
Intermediary Resident Organizations (IROs), City-Wide Resident
Organizations (CWROs) and nonprofit entities supported by residents.
Indian Tribes (Tribes) and Tribally Designated Housing Entities (TDHEs)
are eligible for grants under the Technical Assistance/Training Support
for resident organizations and Resident Service Delivery Models (RSDM)
funding categories.
Application Deadline. May 24, 2001, for Resident Management and
Business Development;
May 24, 2001, for Capacity Building or Conflict Resolution;
June 26, 2001, for Resident Service Delivery Models; and
After publication of this SuperNOFA, Service Coordinator grant
renewals under the Service Coordinator category will be accepted until
all funds are awarded or June 28, 2001, whichever occurs first.
Match. At least 25% of the grant amount. This match does not have
to be a cash match. The match can be in-kind and/or cash contributions.
Additional Information
If you are interested in applying for funding under any of these
programs, please review carefully the General Section of this SuperNOFA
and the following additional information.
I. Application Due Date, Application Kits, Further Information and
Technical Assistance
Application Due Date. Your completed application (one original and
two copies) is due on or before 12:00 midnight, Eastern time, on the
following application due dates to HUD Headquarters at the address
shown below.
May 24, 2001, for Resident Management and Business Development;
May 24, 2001, for Capacity Building or Conflict Resolution;
June 26, 2001, for Resident Service Delivery Models; and
After publication of this SuperNOFA Service Coordinator grant
renewals under the Service Coordinator Category will be accepted until
all funds are awarded or June 28, 2001, whichever occurs first.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mail application,
express mail, overnight delivery, or hand-carried).
Address for Submitting Applications. Submit your completed
application (the original and one copy) to Grants Management Center
(GMC), 501 School Street, SW, Suite 800, Washington, DC 20024.
In the case of tribes/TDHEs, please submit your completed
application (the original and one copy) to ONAP, Denver Program Office,
1999 Broadway, Suite 3390, Denver, CO 80202.
Submit your second copy of your application to the local HUD Field
Office with delegated public or assisted housing responsibilities
attention: Director, Office of Public Housing. See Appendix A of the
SuperNOFA for a list of HUD offices with delegated responsibility. The
original application and one copy must be sent to the GMC. You may also
call the SuperNOFA Information Center at 1-800-HUD-8929 if you have a
question regarding where you should submit your application. Persons
with hearing or speech impairments may call the Center's TTY number at
1-800-HUD-2209.
On the application due date, hand carried applications will be
accepted until 12:00 midnight in the South Lobby at HUD Headquarters,
451 Seventh Street, SW, Washington DC 20410.
In the case of tribes/TDHEs, please submit your completed
application (the original and one copy) to ONAP, Denver Program Office,
1999 Broadway, Suite 3390, Denver, CO 80202. All applications must be
received and postmarked by the specific program application due date to
the ONAP Denver Program Office before 12:00 midnight, Mountain Standard
Time.
For Application Kits. For an application kit and any supplemental
material, 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-HUD-2209. When requesting an application kit,
please refer to the ROSS Program, and provide your name, address
(including zip code) and telephone number (including area code). An
application kit is also available on the Internet through the HUD web
site at http://www.hud.gov/grants.
For Further Information and Technical Assistance. You may contact
the local HUD field office where you will be submitting your
application or you may call the Public and Indian Housing Information
and Resource Center at 1-800-955-2232. In the case of tribes/TDHEs,
please contact the Local Area ONAP or Tracy Outlaw, ONAP, Denver
Program Office at 1-800-561-5913 or (303)675-1600 (this is not a toll
free number).
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
(A) Total Amount. For FY 2001, approximately $55 million is
available for the Resident Opportunities and Self Sufficiency Program.
(B) Allocation. To the extent that there are a sufficient number of
qualified applications, not less than 25 percent of funds available for
ROSS shall be provided directly to resident councils, resident
organizations, resident management corporations, Intermediary Resident
Organizations (IROs), Tribes/TDHEs on behalf of Tribal residents and
City-Wide Resident Organizations (CWROs). This requirement will be
implemented by the awards made to resident organizations for the
Technical Assistance/Training Support for Resident Organizations and
the Resident Service Delivery Models funding categories.
(C) Funding Categories and Funds Allocated to Each Category. There
are three funding categories under ROSS. The funding categories and the
amount allocated for each funding category and any subcategories are as
follows:
(1) Technical Assistance/Training Support for Resident
Organizations. A total of $11 million is allocated for this first
funding category.
(a) Resident Management and Business Development (RMBD). A total of
$6 million is allocated for this funding subcategory of which $500,000
is for Tribes/TDHEs that partner with Tribal ROs and Tribal RMCs.
(i) Grants will be made directly to site-based resident
associations, Resident Management Corporations (RMCs), CWROs, and to
Tribes/TDHEs that partner with Tribal resident organizations (ROs) and
Tribal resident
[[Page 12082]]
management corporations (RMCs) to: increase resident involvement and
participation in their housing developments; develop resident
management opportunities; provide resident-led business or cooperative
development opportunities; and obtain necessary supportive services for
self-sufficiency.
(ii) The maximum grant award for this funding category is $100,000
per applicant.
(b) Capacity Building or Conflict Resolution (CB/CR). A total of $5
million is allocated for this funding subcategory, of which $400,000 is
for Tribes or TDHEs These are two separate funding categories that are
described below:
(i) Capacity Building (CB). Grants to Intermediary Resident
Organizations (IROs) and Tribes/TDHEs on behalf of tribal housing
residents, Tribal ROs, Tribal RMCs and non-profits which operate
associations and networks that administer programs benefiting resident
organizations. These grants provide or assistance to site-based
resident associations who do not yet have the capacity to administer a
welfare-to-work program or conduct management activities. You may apply
for funding that will be used to assist public and Tribal housing
residents in establishing a new resident organization or you may apply
for funds to help or enhance the capacity of existing resident
organizations to enable residents to participate in housing agency
decision-making, manage all or a portion of their housing developments,
and/or apply for and administer grants.
(ii) Conflict Resolution (CR). This funding category is designed to
provide grants to Intermediary Resident Organizations (IROs), Tribes/
TDHEs on behalf of tribal housing residents, Tribal ROs, Tribal RMCs
and non-profits which operate associations and networks administering
programs that benefit public housing residents, or resident
organizations, and to partner with professional mediators or groups
with grass roots intervention experience to resolve conflicts involving
public housing residents, and/or site-based resident associations. (See
Section IV of this ROSS competition for specific requirements for this
funding category).
(iii) The maximum amounts for CB/CR are as follows: $100,000 for
City-Wide Resident Organizations (CWROs) per applicant, and $240,000
per applicant for all other eligible applicants in these funding
categories. Applicants are required to allocate at least two-thirds of
the total grant to direct funding of CB or CR activities for Site-Based
Resident Associations (RAs) and/or Tribal ROs. CWROs are required to
serve a minimum of 3 RAs and/or Tribal ROs. All other applicants are
required to serve a minimum of 10 RAs and/or Tribal ROs.
(2) Resident Service Delivery Models (RSDM). A total of $24 million
is allocated for this second category of funding of which $1,200,000 is
for Tribes/TDHEs.
(i) The Resident Service Delivery Models (RSDM) funding category
provides grants to Public Housing Agencies (PHAs), Tribes/TDHEs or
directly to resident management corporations, resident councils, or
resident organizations, and nonprofit entities supported by residents.
There are two sub-categories of grants under this funding category:
Family Grants for program-related activities and supportive services to
establish and implement comprehensive programs that achieve resident
self-sufficiency for families; and Elderly and Persons with
Disabilities Grants for independent living for the elderly and persons
with disabilities.
(iii) For RSDM, the maximum grant amounts are as follows:
For PHAs applying for family grants, the maximum grant application
award will be based on the number of occupied family conventional
public housing units. For PHAs applying for elderly and persons with
disabilities grants, the maximum grant application award will be based
on the number of occupied elderly and persons with disabilities
conventional public housing units.
(B) For the RSDM family category, PHAs must use the number of
occupied conventional family public housing units to determine the
maximum grant amount in accordance with the categories listed below for
families:
--For PHAs with 1 to 780 occupied family units, the maximum grant award
is $250,000.
--For PHAs with 781 to 7,300 occupied family units, the maximum grant
award is $500,000.
--For PHAs with 7,301 or more occupied family units, the maximum grant
award is $1,000,000.
(C) For the Elderly and Persons with Disabilities RSDM Category,
PHAs must use the number of occupied elderly conventional public
housing units to determine the maximum awards listed below:
--For 1 to 217 units occupied by elderly residents and persons with
disabilities, the maximum grant award is $100,000.
--For 218 to 1,155 units occupied by elderly residents and persons with
disabilities, the maximum grant award is $200,000.
--For 1,156 or more units occupied by elderly residents and persons
with disabilities, the maximum grant award is $300,000.
(D) The maximum grant award is $100,000 for each RA.
(E) Nonprofit entities supported by residents or RAs/ROs are
limited to $100,000 for each RA/RO. A non-profit may submit a single
application for no more than three different RAs for a maximum grant
award of $300,000.
(F) Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 1999 as defined in 24 CFR
1000.316. Tribes who have not previously received funds from the
Department under the 1937 Housing Act should count housing units under
management that are owned and operated by the Tribe and are identified
in their housing inventory as of September 30, 1998.
(3) Service Coordinator Renewals. A total of $20 million is
allocated for this third funding category.
(i) The Service Coordinator Renewal category provides grants to
PHAs to address the needs of public housing residents who are elderly
and persons with disabilities. Service coordinators help residents
obtain supportive services that are needed to maintain independent
living. Only renewals of prior FY 1995 Public Housing Elderly and
Persons with Disabilities Service Coordinator grants will be funded
under this ROSS competition; no applications for new Service
Coordinator grants will be accepted.
(ii) These funds may only be used as follows:
--Renewal of existing Service Coordinator (SC) grants from prior years.
This limitation is imposed to achieve Congressional intent to renew all
service coordinator and congregate services grants. No applications for
new elderly Service Coordinator grants will be accepted under this
funding category.
--For the Elderly and Persons with Disabilities Service Coordinators
category, award amounts cannot be higher than your highest funding and
staffing level for any one-year period that was approved for their last
funded Service Coordinator Grant. An increase of up to 2 percent over
this amount will be allowed if supported by a narrative justification.
(iii) The Service Coordinator renewal application will be accepted
until all funds are awarded under this Service Coordinator Category or
until June 28, 2001, whichever occurs first. No new
[[Page 12083]]
Service Coordinator renewal applications will be accepted after June
28, 2001.
(F) Transfer of Funds. If all funds are not awarded in one funding
category, funds are transferable to other ROSS funding categories in
this competition.
(G) Number of Applications Permitted. You may submit no more than
one application under this ROSS competition. The only exception is that
PHAs applying for Service Coordinator Renewal grants under this program
section of the SuperNOFA may apply for one renewal grant and one
additional grant in another category. A PHA, RA, RO or nonprofit may
not submit an application to serve the same development. Please read
each funding category carefully for additional limitations.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of ROSS is to assist residents
to become economically self sufficient by providing supportive services
and resident empowerment activities. This program is consistent with
the Department's goal to most effectively focus resources on ``welfare
to work'' and on independent living for the elderly and persons with
disabilities. HUD is looking for applications which implement practical
solutions within the grant term, and result in improved economic self-
sufficiency for public or tribal housing residents. HUD seeks holistic
solutions that involve the support of the entire community in providing
self sufficiency opportunities for residents. Therefore, HUD encourages
you to involve elderly and persons with disabilities in activities
which support self sufficiency, such as child care, mentoring, or after
school care. This philosophy should be reflected in your proposed grant
activities for all funding categories within this ROSS competition. A
description of each of the funding categories was provided in Section
II of this program section. This section describes the eligible
applicants and eligible activities of each funding category.
(B) Definitions.
City-Wide Resident Organization consists of members from Resident
Councils, Resident Management Corporations, and Resident Organizations
who reside in housing developments that are owned and operated by the
same PHA within a city.
Community Facility means a non-dwelling structure that provides
space for multiple supportive services for the benefit of public
housing residents and others eligible for the services provided.
Services that may include but are not limited to:
(1) Child care;
(2) After-school activities for youth;
(3) Job training;
(4) Twenty/20 Education Communities (TECs) (formerly Campus of
Learners) activities; and
(5) English as a Second Language (ESL) classes.
Contract Administrator means an overall administrator and/or a
financial management agent that oversees the financial aspects of a
grant and assists in the entire implementation of the grant. A signed
Contractor Administrator Partnership Agreement must be included in your
application. This agreement may be contingent upon you receiving a
grant award and adherence to PHA procurement policies. The contract
administrator must assure that the financial management system and
procurement procedures fully comply with 24 CFR part 84. The Contract
Administrator may be: Local Housing Agencies; community-based
organizations such as Community Development Corporations (CDC),
churches; non-profits; State/Regional associations and organizations.
Troubled PHAs are not eligible to be Contract Administrators.
Firmly Committed means the amount of resources and their dedication
to ROSS-funded activities must be explicit and in writing. The writing
must be signed by a person authorized to make the commitment or certify
the commitment by an authorized body or person. This written agreement
may be contingent upon receiving an award.
Elderly person means a person who is at least 62 years of age.
Jurisdiction-Wide Resident Organization means an incorporated
nonprofit organization or association that meets the following
requirements:
(1) Most of its activities are conducted within the jurisdiction of
a single housing agency;
(2) There are no incorporated Resident Councils or Resident
Management Corporations within the jurisdiction of the single housing
agency;
(3) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
Public housing residents representing unincorporated Resident Councils
within the jurisdiction of the single housing agency must comprise the
majority of the board of directors.
Tribally Designated Housing Entity (TDHEs) is an entity authorized
or established by one or more Indian tribes to act on behalf of each
such tribe authorizing or establishing the housing entity.
Indian Tribe means a tribe that is a federally recognized tribe or
a State recognized tribe or a Federally recognized tribe means any
tribe, band, nation, or other organized group for a community of
Indians, including any Alaska native village or regional or village
corporation as defined in or established pursuant to the Alaska Native
Claims Settlement Act, that is recognized as eligible for the special
programs and services provided by the United States to Indians because
of their status as Indians pursuant to the Indian Self Determination
and Education Act of 1975.
Intermediary Resident Organizations means Jurisdiction-Wide
Resident Organizations, City-Wide Resident Organizations, State-Wide
Resident Organizations, Regional Resident Organizations, and National
Resident Organizations.
National Resident Organization (NRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) It is national (i.e., conducts activities or provides services
in at least two HUD Areas or two States);
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the country must comprise the majority of the board of
directors.
Person with disabilities means a person who:
(1) Has a condition defined as a disability in section 223 of the
Social Security Act;
(2) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance Bill of Rights Act; or
(3) Is determined to have a physical, mental, or emotional
impairment which:
(a) Is expected to be of long-continued and indefinite duration;
(b) Substantially impedes his or her ability to live independently;
and
(c) Is of such a nature that such ability could be improved by more
suitable housing conditions.
The term ``person with disabilities'' does not exclude persons who
have the disease of acquired immunodeficiency syndrome or any
conditions arising from the etiologic agent for acquired
immunodeficiency syndrome. In addition, no individual shall be
considered a person with disabilities, for purposes of eligibility for
low-
[[Page 12084]]
income housing, solely on the basis of any drug or alcohol dependence.
The definition provided above for persons with disabilities is the
proper definition for determining program qualifications. However, the
definition of a person with disabilities contained in section 504 of
the Rehabilitation Act of 1973 and its implementing regulations must be
used for purposes of reasonable accommodations.
Program Coordinator is a person who is responsible for coordinating
various proposed activities to ensure that their accomplishment will
assist in achieving the overall grant goals and objectives.
Project is the same as ``low-income housing project'' as defined in
section 3(b)(1) of the United States Housing Act of 1937 (42 U.S.C.
1437 et seq.) (1937 Act).
Resident Association (RA) means any or all of the forms of resident
organizations as they are defined elsewhere in this Definitions section
and includes Resident Councils (RC), Resident Management Corporations
(RMC), Regional Resident Organizations (RRO), Statewide Resident
Organizations (SRO), Jurisdiction-Wide Resident Organizations, and
National Resident Organizations (NRO).
Resident Council (RC) means (as provided in 24 CFR 964.115) an
incorporated or unincorporated nonprofit organization or association
that shall consist of persons residing in public housing and must meet
each of the following requirements in order to receive official
recognition from the PHA/HUD, and be eligible to receive funds for RC
activities and stipends for officers for their related costs for
volunteer work in public housing. (Although 24 CFR part 964 defines an
RC as an incorporated or unincorporated nonprofit organization, HUD
requires RC applicants for ROSS grants to be registered with the State
at the time of application submission.) The following also applies to
resident councils:
(1) The RC must adopt written procedures such as by-laws, or a
constitution which provides for the election of residents to the
governing board by the voting membership of the public housing
residents. The elections must be held on a regular basis, but at least
once every 3 years. The written procedures must provide for the recall
of the resident board by the voting membership. These provisions shall
allow for a petition or other expression of the voting membership's
desire for a recall election, and set the percentage of voting
membership which must be in agreement in order to hold a recall
election. This threshold shall not be less than 10 percent of the
voting membership.
(2) The RC must have a democratically elected governing board that
is elected by the voting membership. At a minimum, the governing board
should consist of five elected board members. The voting membership
must consist of heads of households (any age) and other residents at
least 18 years of age or older and whose name appear on a lease for the
unit in the public housing that the resident council represents.
(3) The RC may represent residents residing in:
(a) Scattered site buildings in areas of contiguous row houses;
(b) One or more contiguous buildings;
(c) A development; or
(d) A combination of the buildings or developments described above.
Regional Resident Organization (RRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) The RRO is regional (i.e., not limited by HUD Areas);
(2) The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the region must comprise the majority of the board of
directors.
Resident Management Corporation (RMC) (see 24 CFR 964.7, 964.120)
means an entity that consists of residents residing in public housing
and must have each of the following characteristics in order to receive
official recognition by the PHA and HUD:
(1) The RMC shall be a nonprofit organization that is validly
incorporated under the laws of the State in which it is located;
(2) The RMC may be established by more than one RC, so long as each
such council:
(a) Approves the establishment of the corporation; and
(b) Has representation on the Board of Directors of the
corporation.
(3) The RMC shall have an elected Board of Directors, and elections
must be held at least once every 3 years;
(4) The RMC's by-laws shall require the Board of Directors to;
include resident representatives of each RC involved in establishing
the corporation; include qualifications to run for office, frequency of
elections, procedures for recall; and term limits if desired;
(5) The RMC's voting members shall be heads of households (any age)
and other residents at least 18 years of age and whose name appears on
the lease of a unit in public housing represented by the RMC;
(6) Where an RC already exists for the development, or a portion of
the development, the RMC shall be approved by the RC board and a
majority of the residents. If there is no RC, a majority of the
residents of the public housing development it will represent must
approve the establishment of such a corporation for the purposes of
managing the project; and
(7) The RMC may serve as both the RMC and the RC, so long as the
corporation meets the requirements of 24 CFR part 964 for an RC.
Resident Organization (RO) for tribal entities means an
incorporated or nonprofit tribal organization or association that meets
each of the following criteria: (1) It shall consist of residents only,
and only residents may vote; (2) If it represents residents in more
that one development or in all of the developments of the tribal/TDHE
community, it shall fairly represent residents from each development
that it represents; (3) It shall adopt written procedures providing for
the election of specific officers on a regular basis; (4) It shall have
democratically elected a governing board. The voting membership of the
board shall consist solely of the residents of the development or
developments that the tribal RO represents.
Secretary means the Secretary of Housing and Urban Development.
Site-Based Resident Associations means Resident Councils and
Resident Management Corporations.
Statewide Resident Organization (SRO) means a Site-Based
incorporated nonprofit organization or association for public housing
that meets the following requirements:
(1) The SRO is Statewide;
(2) The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the State must comprise the majority of the Board of
Directors.
(C) Resident Management and Business Development (RMBD).
(1) Eligible applicants. Site-Based Resident Associations (RAs),
Tribes/TDHEs that partner with Tribal ROs or Tribal RMCs and City-Wide
Resident Organizations (CWROs). If you are an RA/RO that is a
beneficiary or recipient of proposed grant activities by a CWRO/TDHE,
then you cannot also apply under this category. You may only
[[Page 12085]]
submit one application under this funding category.
(2) Eligible participants. Program participants must be residents
of conventional public housing. You must provide a certification that
at least 51 percent of those served by your proposed activities are
residents affected by welfare reform.
(3) Eligible Activities. Funding is limited to the following
activities below:
(a) Training related to resident-owned business or cooperative
development and technical assistance for job training and placement in
housing developments;
(b) Technical assistance and training in resident managed business
development through: feasibility and market studies; development of
business plans; outreach activities; and innovative financing methods
including revolving loan funds and the development of credit unions;
and legal advice in establishing a resident-managed business entity or
cooperative. Revolving loan funds can not be used for acquisition,
disposition, or physical development;
(c) Establishing and funding revolving loan funds. Revolving loan
funds can not be used for acquisition, disposition, or physical
development;
(d) Training residents, as potential employees of an RMC, in skills
directly related to the operation, management, maintenance and
financial systems of a development;
(e) Training residents with respect to fair housing requirements;
and
(f) Gaining assistance in negotiating management contracts and
designing a long-range planning system.
(g) Providing social support needs (such as self sufficiency and
youth initiatives) including:
(h) Feasibility studies to determine training and social services
needs;
(i) Training in management-related trade skills, computer skills,
and similar skills;
(j) Management-related employment training and counseling including
job search assistance, job development assistance, job placement
assistance, and follow up assistance;
(k) Supportive services including: child care services; educational
services, remedial education, literacy training, ESL instruction,
assistance in attaining a GED; vocational training including computer
training; health care outreach and referral services; meal services for
the elderly or persons with disabilities; personal assistance to
maintain hygiene/appearance for the elderly or persons with
disabilities; housekeeping assistance for the elderly or persons with
disabilities; transportation services; congregate services for the
elderly or persons with disabilities; and case management;
(l) Training for programs such as child care, early childhood
development, parent involvement, volunteer services, parenting skills,
before and after school programs;
(m) Training programs on health, nutrition, safety and substance
abuse; Food costs that are directly attributable to the nutrition and
health training are eligible grant expenditures. These are not food
costs associated with entertainment.
(n) Workshops for youth services including: child abuse and neglect
prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, and goal planning. The
workshops can be held in partnership with community-based organizations
such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl Scouts,
Campfire, and Big Brother/Big Sisters;
(o) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of youth, improving youth initiatives that are currently
active, and training youth, housing agency staff, resident management
corporations and resident councils or resident organizations on youth
initiatives and program activities;
(p) Physical improvements to facilities at public or tribal housing
developments to provide space for self-sufficiency activities for
residents, i.e. to provide cosmetic improvements and repairs to space
to conduct community activities; or to expand existing community space
for your proposed ROSS activities or modifications for accessibility
for persons with disabilities. Your physical improvements may not
exceed 50% of the total grant amount and must be directly related to
providing space for self-sufficiency activities for residents. Refer to
Office of Management and Budget (OMB) Circular A-87, Cost Principles
for State, Local and Indian Tribal Governments;
(i) Renovation, conversion, and repair costs may be essential parts
of physical improvements. In addition, architectural, engineering, and
related professional services required to prepare architectural plans
or drawings, write-ups, specifications or inspections may also be part
of the cost components to implement physical improvements.
(ii) The renovation, conversion, or combination of vacant dwelling
units in a PHA or tribal development to create common areas to
accommodate the provision of supportive services is an eligible
activity for physical improvements.
(iii) The renovation of existing common areas in a PHA or tribal
development to accommodate the provision of supportive services.
(iv) The renovation or repair of facilities located near the
premises of one or more PHA or tribal developments to accommodate the
provision of supportive services.
(v) If renovation, conversion, or repair is done off-site, the PHA,
tribe or owner must provide documentation that it has control of the
proposed property for not less than 2 years and preferably for 4 years
or more. Control can be evidenced through a lease agreement, ownership
documentation, or other appropriate documentation.
(vi) All renovations must meet appropriate accessibility
requirements, including Section 504 requirements at 24 CFR 8,
Architectural Barriers Act at 24 CFR 40, the Americans with
Disabilities Act and the Fair Housing Act.
(q) Establishing and operating Neighborhood Networks Centers that
use computer technology and telecommunications for job training, after-
school youth programs, educational, and health activities.
(4) Ineligible Resident Management and Business Development
Activities and Costs.
(a) Entertainment, including associated costs such as food and
beverages, except normal per diem for meals related to travel performed
in connection with implementing the Work Plan. (See HUD Travel Notice
99-24 for more specific guidance.)
(b) Purchase or rental of land.
(c) Activities not directly related to the welfare-to-work
initiatives (e.g., lead-based paint testing and abatement and operating
capital for economic development activities).
(d) Purchase of any vehicle (car, van, bus, etc.).
(e) Payment of salaries for routine project operations, such as
security and maintenance, or for applicant staff, except that a
reasonable amount of grant funds may be used to hire a person to
coordinate the Resident Management and Business Development grant
activities or coordinate on-site social services.
(f) Payment of fees for lobbying services.
(g) Any expenditures that are fraudulent, wasteful or otherwise
incurred contrary to HUD or OMB directives.
(h) Any cost otherwise eligible under this program section of the
SuperNOFA
[[Page 12086]]
for which funds are being provided from any other source.
(i) Entertainment equipment such as televisions, radios, stereos,
and VCRs. An exception to this item may be granted by the HUD Field
Office or Area ONAP Office if funding is being utilized specifically
for the purposes of establishing a business directly related to radio,
television or film or some other form of technical communication, and
equipment is being utilized for training of residents, ROs or RAs. All
such exceptions must be authorized in writing by the HUD Field Office
or Area ONAP Office before purchases may be made.
(j) The cost of application preparation is not eligible.
(5) Supporting Information. The following information may be useful
in developing proposed grant activities and costs:
(a) Training. Training activities may include training on HUD
regulations and policies governing the operation of low-income public
housing including contracting/procurement regulations; financial
management; job and business development training; capacity building to
develop the necessary skills to assume management responsibilities at
the project and property management; and training in accessing other
funding sources.
(b) Hiring trainers or other experts. Resident grantees must ensure
that all training is provided by a qualified public housing or
management specialist (Consultant/Trainer), HUD Headquarters, Field or
ONAP staff, or the local PHA or tribe /TDHE. To ensure the successful
implementation of the grant Work Plan activities, you are required to
determine the need to contract for outside consulting/training
services. You and the PHA or tribe/TDHE must jointly select and approve
the consultant/trainer. Your application should make maximum use of
your PHA, non profit, or other Federal, State, or local government
resources for technical assistance and training needs. The amount
allowed for hiring an individual consultant for this purpose shall not
exceed 30% of your total grant amount or $30,000, whichever is less.
The amount available for all consultants and contracts should not
exceed 50% of your grant amount or $50,000 whichever is less. HUD Field
or ONAP Offices will monitor this process to ensure compliance with
program and OMB requirements, and particularly the requirement for
competitive bidding. Where it is necessary to exceed the 50% limitation
you must use performance based contracting. Performance based contracts
require that fees be paid in exchange for goods and services actually
delivered. For example, a trainer would be paid for the number of
residents that were trained, i.e. performance, regardless of the
maximum dollar amount quoted in the contract.
(c) Stipends. Trainees and program participants of an RA, RO or
CWRO, may receive stipends for participating in or receiving training
under Resident Management to cover reasonable costs related to
participation in training and other activities in your program, subject
to the availability of funds. The stipends should be used for
additional costs incurred during the training programs, such as child
care and transportation costs. The cost of stipends may not exceed $200
per month per trainee without written HUD Field Office authorization.
(d) Reimbursement of Reasonable Expenses. Reimbursement of
reasonable expenses incurred by Officers and Board members in the
performance of their fiduciary duties and/or training related to the
performance of their official duties.
(e) Travel. Travel directly related to the successful completion of
your required Work Plan. You must adhere to the travel policy
established by HUD Notice 99-24. This policy sets travel costs at a
maximum amount of $5,000 per RA or RO without special HUD approval.
(f) Child-Care Expenses. Child care expenses for individual staff,
board members, or residents in cases where those who need child care
are involved in training-related activities associated with your grant
activities.
(g) Costs incurred by a RA or RO in applying for 501(c) tax exempt
status with Internal Revenue Service. Please refer to the Internal
Revenue Service (IRS) Publication 557, which describes the requirements
for section 501(c) tax exempt organizations and list the applicable
forms required.
(h) Administrative costs. These costs are necessary for the
implementation of your grant activities. Administrative costs are not
to exceed 20% of the grant. Appropriate administrative costs include,
but are not limited to, the following reasonable costs or activities:
(i) Space and equipment. Maintenance, utility costs, postage,
building lease/rental costs, purchase or lease of telephone, computer,
printing, copying, and sundry non-dwelling equipment (such as office
supplies, software, and furniture). You must justify the need for this
equipment or space based on services being delivered in relationship to
implementing your approved grant activities.
(ii) Rental or lease of vehicles. Rental or lease of a car, van, or
bus by resident grantees to attend training;
(6) Grant term. The grant term for Resident Management and Business
Development grants is thirty-six months from the execution date of your
grant agreement.
(D) Capacity Building or Conflict Resolution.
(1) Eligible applicants. (a) Intermediary Resident Organizations
(IROs) on behalf of public or Indian housing residents, which include
Public Housing Site-Based Resident Councils , Resident Organizations
and Resident Management Corporations may apply for Capacity Building
and/or Conflict Resolution grants. IROs include National Resident
Organizations, Statewide Resident Organizations, Regional Resident
Organizations, City-Wide Resident Organizations, and Jurisdiction-Wide
Resident Organizations.
(b) Eligible applicants cited above may submit either one
application for conflict resolution or one application for capacity
building under this funding category.
(c) Non-profits that operate as associations or networks that
administer programs that benefit public or Indian housing resident
organizations are also eligible for this funding category.
(2) Eligible activities. (a) Conflict resolution. Conflict
resolution grant activities may include, but are not limited to:
(i) Establishing violence-free zones to enhance the quality of
living environment for public housing residents. The eligible
activities for your proposed program must address one or more of the
following areas: violent crime, youth violence, and/or violent gang
activity in your housing development or living environment. These areas
must be addressed in your application. You must at a minimum focus on
one of these areas, but may include the others where appropriate. Your
grant application must include specific processes or techniques to
prevent and reduce violent crime that are measurable within the grant
term. Implementation strategies may include training at the grass roots
level, resident employment; resident partnership with local law
enforcement; personal skill-building to strengthen individual character
development; and management techniques for preventing violence. You
must identify the public housing development(s) that will serve as the
focus for proposed grant activities. Any other areas, (e.g., negatively
impacted neighborhoods and assisted/insured housing developments)
[[Page 12087]]
which benefit from your proposed grant activities must be adjacent to
the public housing development;
(ii) Training programs on mediation and communication skills;
(iii) Training programs on dispute resolution and reconciliation,
including training addressing racial, ethnic and other forms of
diversity;
(iv) Workshops for youth services including: child abuse and
neglect prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, social skills, goal
planning, health, wellness and nutrition. The workshops may be held in
partnership with community-based organizations such as local Boys and
Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, Campfire and Big Brother/Big
Sisters, etc. Food costs that are directly attributable to the actual
nutrition, wellness and health training are an eligible grant
expenditure. These are not food costs associated with entertainment.
(v) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of youth, improving youth initiatives that are currently
active, and training youth, housing agency staff, resident management
corporations resident organizations and resident councils on youth
initiatives and program activities.
(b) Capacity Building. Eligible activities for CB grants may
include, but are not limited to:
(i) Training Board members in community organizing, Board
development, and leadership training;
(ii) Conducting the feasibility of training existing resident
groups for resident management or for a specific resident management
project;
(iii) Assisting in the creation of an RMC, such as consulting and
legal assistance to incorporate, preparing by-laws and drafting a
corporate charter;
(iv) Developing the management capabilities of existing resident
organizations;
(v) Determining the feasibility of homeownership by residents,
including assessing the feasibility of other housing (including HUD-
owned or held single or multi-family) affordable for purchase by
residents.
(3) Ineligible Activities. Ineligible activities are the same as
those listed in Section III(C)(4) of this program section of the
SuperNOFA, above.
(a) In addition, physical development activities are not eligible
for funding under CB or CR grants.
(b) The cost of application preparation is not eligible.
(4) Administrative costs may include, but are not limited to,
purchase of furniture, office equipment and supplies, training, quality
assurance, travel, and utilities. Administrative costs must not exceed
20% of the total grant costs.
(5) Grant term. The grant term for both Conflict Resolution and
Capacity Building grants is thirty-six months from the execution date
of the grant agreement.
(E) Resident Service Delivery Models (RSDM).
(1) Eligible Applicants. (a) Family. This funding category provides
grants to PHAs, Tribes/TDHEs, resident management corporations,
resident councils, resident organizations, and nonprofit entities
supported by residents, to enable them to establish and implement
comprehensive programs that assist residents in becoming self-
sufficient
(b) Elderly and Persons with Disabilities. PHAs, Tribes/TDHEs and
non-profits supported by a duly elected resident council are the only
eligible applicants in providing supportive services for the elderly
and persons with disabilities.
(c) IROs with 501(c)status may apply as non-profit entities under
this funding category.
(2) Number of RSDM Applications Permitted. (a) General. PHAs must
submit an application either for a family or an elderly grant. ROs or
RCs must submit one application for a family grant; and non-profits may
submit one application for a family or elderly grant representing up to
three public or Indian housing resident groups.
(b) Joint applications. Two or more applicants may join together to
submit a joint application for proposed grant activities. Joint
applications must designate a lead applicant. All parties in a joint
application (lead or non-lead) are considered to be applying for ROSS
and are therefore subject to the limit of one ROSS application per
applicant, with the exception of those Public Housing Service
Coordinator renewal applicants that may also apply in one additional
ROSS category. Both lead and non-lead applicants are subject to
threshold requirements. Joint applications may include PHAs, RAs, IROs,
Tribes/TDHEs, and nonprofit entities on behalf of residents
organizations. Joint applications must also provide evidence of
resident support. The maximum funding for joint applications cannot
exceed the sum of the individual grants as specified above. Any
eligible applicant can serve as a lead applicant.
(3) Eligible participants. Program participants must be residents
of conventional public or Indian housing. You must provide a
certification that at least 51 percent of those served by your proposed
activities are residents affected by welfare reform.
(4) Eligible Activities. Funds may be used for the activities
described below for the family category.
(a) Program Coordinator. You are encouraged to include a Program
Coordinator for either proposed family or elderly RSDM activities for
the entire term of your grant. A Program Coordinator is a person who is
responsible for coordinating various proposed activities to ensure that
their accomplishment will assist in achieving overall grant goals and
objectives.
(b) Physical improvements. Physical improvements to provide space
for self-sufficiency activities for residents (i.e. to provide cosmetic
repairs for space to conduct community activities; or to expand
existing community space for proposed ROSS activities) or modification
for accessibility for persons with disabilities. Physical improvements
may not exceed 50% of the total grant amount and must be directly
related to providing space for self-sufficiency activities for
residents. Physical improvements include the following:
(i) Renovation, conversion, and repair costs may be essential parts
of physical improvements. In addition, architectural, engineering, and
related professional services required to prepare architectural plans
or drawings, write-ups, specifications or inspections may also be part
of the cost components to implement physical improvements;
(ii) The renovation, conversion, or combination of vacant dwelling
units in a housing development to create common areas to accommodate
the provision of supportive services is an eligible activity for
physical improvement;
(iii) The renovation of existing common areas in a housing
development to accommodate the provision of supportive services is an
eligible activity for physical improvements;
(iv) The renovation or repair of facilities located near the
premises of one or more housing developments to accommodate the
provision of supportive services is an eligible activity for physical
improvements;
(v) If renovation, conversion, or repair is done off-site, you must
provide documentation that you have control of the proposed property
for not less than 2 years and preferably for 4 years or more. Control
can be evidenced through a lease agreement, ownership
[[Page 12088]]
documentation or other appropriate documentation.
(vi) All renovations must meet appropriate section 504
accessibility requirements.
(c) Entrepreneurship training. Entrepreneurship training includes
literacy training, computer skills training, business development
planning.
(d) Entrepreneurship development. Entrepreneurship development
includes entrepreneurship training curriculum, entrepreneurship
courses.
(e) Micro/Loan fund. Developing a strategy for establishing a
revolving micro/loan fund and/or capitalizing a loan fund, including
licensing, bonding, and insurance needed to operate a business.
Revolving loan funds can not be used for acquisition, disposition, or
physical development;
(f) Developing credit unions. Developing a strategy to establish
and/or create on-site credit union(s) to provide financial and economic
development initiatives to PHA residents. (RSDM grant funds cannot be
used to capitalize a credit union.) The credit union can support the
normal financial management needs of the community (i.e., check
cashing, savings, consumer loans, micro-businesses money management,
home buyer counseling, educational loans, and other revolving loans).
(g) Individual development accounts. Activities or programs that
encourage residents to contribute to matched savings accounts known as
Individual Development Accounts (IDAs). These programs include
financial counseling and education activities. (RSDM funds cannot be
used as matching funds for the actual savings account).
(h) Employment training and counseling (e.g., job training,
establishing registered apprenticeship programs, preparation and
counseling, job search assistance, job development and placement, and
supportive services to support job training and apprenticeship
activities.
(i) Employer linkage and job placement.
(j) Family only--supportive services activities. The provision of
services to assist eligible residents to become economically self-
sufficient, particularly families with children where the head of
household would benefit from the receipt of supportive services and is
working, seeking work, or is preparing for work by participating in
job-training or educational programs. Eligible supportive services may
include, but are not limited to:
(i) Child care, of a type that provides sufficient hours of
operation and serves appropriate ages as needed to facilitate parental
access to education and job opportunities.
(ii) Computer-based educational opportunities, skills training, and
entrepreneurial activities.
(iii) Homeownership training and counseling, development of
feasibility studies and preparation of homeownership plans/proposals.
(iv) Education including but not limited to: remedial education;
computer skills training; career counseling; literacy training;
assistance in the attainment of certificates of high school
equivalency; two-year college tuition assistance; trade school
assistance; youth leadership skills and related activities (activities
may include peer leadership roles training for youth counselors, peer
pressure reversal, life skills, and goal planning). Academic support
shall not be limited to TANF recipients.
(v) Youth mentoring of a type that mobilizes a potential pool of
role models to serve as mentors to public housing youth. Mentor
activities may include after-school tutoring, help with problem
resolution issues, illegal drugs avoidance, job counseling, or mental
health counseling.
(vi) Transportation costs, as necessary to enable any participating
family member to receive available services to commute to his or her
training or supportive services activities or place of employment.
(vii) Personal well-being (e.g., family/parental development
counseling, parenting skills training for adult and teenage parents,
self-development counseling, support groups/counseling for victims of
domestic violence, and/or families with a mentally ill member, etc.).
(viii) Supportive health care services (e.g., outreach and referral
services to substance and alcohol abuse treatment and counseling,
mental health services, wellness programs). Food costs that are
directly attributable to the actual nutrition and health training are
an eligible grant expenditures. These are not food costs associated
with entertainment.
(ix) Contracting for case management services or employment of case
managers, which must ensure confidentiality about resident's
disabilities.
(x) Establishing and/or operating Neighborhood Network Centers that
use computer technology and telecommunications for job training, after-
school youth programs, educational, and health activities .
(xi) Administrative costs may include, but are not limited to,
purchase of furniture, office equipment and supplies, quality
assurance, travel, and utilities. Administrative costs must not exceed
20% of the total grant costs.
(xii) Stipends. No more than $200 per participant per month of the
grant award may be used for stipends for active trainees and program
participants to cover the reasonable costs related to participation in
training and other activities.
(5) Elderly and persons with disabilities--supportive services
activities may include, but are not limited to:
(i) A Program Coordinator (See Section III(E) for a description);
(ii) Meal service adequate to meet nutritional need;
(iii) Assistance with daily activities;
(iv) Housekeeping aid;
(v) Transportation services;
(vi) Wellness programs, preventive health education, referral to
community resources;
(vii) Personal emergency response;
(viii) Congregate services--includes supportive services that are
provided in a congregate setting at a conventional public housing
development; and
(viii) Case management.
(h) Administrative costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment and supplies,
training, quality assurance, travel, and utilities. Administrative
costs must not exceed 20% of the total grant costs.
(5) Ineligible Activities. Activities for which costs are
ineligible for funding under the RSDM funding category include:
(i) Elderly Service Coordinator salary funding;
(ii) Payment of wages and/or salaries to participants receiving
supportive services and/or training programs, except that grant funds
under family RSDM may be used to hire a resident(s) as a Program
Coordinator or to provide training program activities;
(iii) Purchase or rental of land;
(iv) New construction, materials, costs;
(v) Purchase of vehicles; and
(vi) Cost of application preparation is not eligible.
(6) Grant term. The grant term for Resident Service Delivery Models
grants is thirty-six months from the execution date of the grant
agreement.
(F) Service Coordinators for Elderly and Persons with Disabilities.
(1) Eligible Applicants. This funding category provides grants to PHAs
with developments designated for the elderly and persons with
disabilities which were initially awarded in FY 1995.
(2) Joint Applications. Two or more PHAs may join together to share
a
[[Page 12089]]
service coordinator and so submit joint applications. Joint applicants
must designate a lead applicant. All joint applicants must be existing
service coordinator grantees.
(3) Eligible developments. To be eligible, a development must have
elderly residents and/or non-elderly residents with disabilities who
together total at least 25 percent of the building's residents.
(4) Eligible Activities. Under this funding category, funds may be
used for the following activities:
(a) Service Coordinator. To pay for the salary, fringe benefits,
and related administrative costs for employing a service coordinator. A
service coordinator is a social service staff person hired or
contracted by the PHA. The coordinator is responsible for assuring that
elderly residents, especially those who are frail or at risk, and those
non-elderly residents with disabilities are linked to the supportive
services they need to continue living independently in that
development. The service coordinator, however, may not require any
elderly person or person with disabilities to accept the supportive
services. For the purposes of this program, a service coordinator is
any person who is responsible for one or more of the following
functions:
(i) Working with community service providers to coordinate the
provision of services and to tailor the services to the needs and
characteristics of eligible residents;
(ii) Establishing a system to monitor and evaluate the delivery,
impact, effectiveness and outcomes of supportive services under this
program;
(iii) Coordinating this program with other independent living or
self-sufficiency, education and employment programs;
(iv) Performing other duties and functions to assist residents to
remain independent, and to prevent unnecessary institutionalization;
and
(v) Mobilizing other national and local public/private resources
and partnerships.
(b) Administrative costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment and supplies,
training, quality assurance, travel, and utilities. Administrative
costs must not exceed 20% of the total grant costs.
(5) Ineligible Activities/Costs. (a) Applicants may not use these
monies to replace current funding from other sources for a Service
Coordinator or for some other staff person who performs service
coordinator functions; and
(b) The cost of application preparation is not eligible.
(6) Grant term. The grant term for Elderly or Persons with
Disabilities Service Coordinator grants is 12 months.
IV. Program Requirements
The requirements of this section are applicable to all applicants,
and grantees under this announcing of funding availability.
(A) Compliance with Fair Housing and Civil Rights Laws. Your
application must meet all the applicable threshold requirements found
in Section II(B) of the General Section of the SuperNOFA, as well as
the following requirements.
(B) Affirmatively Furthering Fair Housing. You must adhere to the
requirement as provided in Section II(D) of the General Section of the
SuperNOFA.
(C) Section 109. In addition to the fair housing and other civil
rights assurances described under Section II(B) of the General Section
of the SuperNOFA, applicants for ROSS must provide assurance that they
will comply with section 109 of the Housing and Community Development
Act of 1974, as amended. Implementing regulations for section 109 are
found under 24 CFR part 6 and part 570, including , but not limited to,
reporting and record-keeping requirements under 24 CFR 570.506 and
570.507.
(D) Certifications and Assurances. You must comply with the
certifications and assurances contained in Section II(G) of the General
Section of the SuperNOFA.
(E) Applicant Internet Access. Prior to the initial draw down, all
grantees must have secured online access to the Internet as a means to
communicate with HUD on grant matters.
(F) ROSS Evaluation and Assessment. All applicants selected for
award must be willing to participate in the evaluation and assessment
that HUD intends to conduct for the ROSS Program. At grant award HUD
will provide additional information on the evaluation and assessment
for applicants who receive awards.
V. Application Selection Process
(A) Application Selection Process for Resident Management and
Business Development. Applicants for Resident Management and Business
Development grants are required to address application submission
requirements, but are not required to address selection factors.
Eligibility will be determined by applications that meet the threshold
requirements of Section VI of this program section of the SuperNOFA.
HUD will accept for funding the first five eligible applications from
each of the ten federal regions and ONAP on a first-come, first-serve
basis for this SuperNOFA. Any funds remaining after making awards to
the first five eligible applications from each region and ONAP will be
awarded to the next eligible application from each region, then the
next, and so forth until funds are exhausted. If sufficient funds are
not available in any round to fund an eligible application from each
region, the eligible applications will then be funded in the order in
which they were received regardless of region. Where physical
development activities are proposed, HUD will perform an environmental
review, to the extent required by 24 CFR part 50, prior to award. The
results of the environmental review may require that proposed
activities be modified or proposed sites rejected. If all funds are not
awarded in one funding category, funds are transferable to other ROSS
funding categories in this ROSS competition.
(B) Application Selection Process for Capacity Building or Conflict
Resolution. Applicants for Conflict Resolution or Capacity Building
grants are required to address application submission requirements but
are not required to address selection factors. Eligibility will be
determined by applications that meet the threshold requirements of
Section VI of this program section of the SuperNOFA. HUD will accept
for funding the first two eligible applications from each of the ten
federal regions and ONAP on a first-come, first-serve basis for this
SuperNOFA. Any funds remaining after making awards to the first two
eligible applications from each region and ONAP will be awarded to the
next eligible application from each region, then the next, and so forth
until funds are exhausted. If sufficient funds are not available in any
round to fund an eligible application from each region, the eligible
applications will then be funded in the order in which they were
received regardless of region. If all funds are not awarded in one
funding category, funds are transferable to the other ROSS funding
categories in this ROSS competition.
(C) Application Selection Process for Resident Service Delivery
Models. (1) Three types of reviews will be conducted: a screening to
determine if your application submission is complete and on time; a
threshold review to determine applicant eligibility; and a technical
review to rate your application based on the five rating factors
provided in this section. A minimum score of 70 is required to be
considered for funding. If you are not the PHA, where physical
development activities are proposed, HUD will perform an environmental
[[Page 12090]]
review, to the extent required by 24 CFR part 50, prior to award. The
results of the environmental review may require that proposed
activities be modified or proposed sites rejected.
(2) The selection process is designed to achieve geographic
diversity of grant awards throughout the country. HUD will first select
the highest ranked application from each of the ten federal regions and
ONAP for funding. After this ``round,'' HUD will select the second
highest ranked application in each of the ten federal regions and ONAP
for funding (the second round). HUD will continue this process with the
third, fourth, and so on, highest ranked applications in each federal
region until the last complete round is selected for funding. If
available funds exist to fund some but not all eligible applications in
the next round, HUD will make awards to those remaining applications in
rank order regardless of region and will fully fund as many as possible
with remaining funds. In addition, if all funds are not awarded in this
funding category, funds are transferable to other funding categories in
this ROSS Competition.
(D) Factors for Award Used to Evaluate and Rate RSDM Applications.
The factors for rating and ranking applicants and maximum points for
each factor are provided below. The maximum number of points available
for this program is 104. This includes two EZ/EC bonus points and two
bonus points for apprenticeship programs, as described in the General
Section of the SuperNOFA. The application kit contains a certification
that must be completed for the applicant to be considered for EZ/EC and
apprenticeship program bonus points and a listing of federally
designated EZs and ECs. A RSDM application must receive a total of 70
points out of 100 to be eligible for funding.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which the proposal demonstrates:
(1) Proposed Program Staffing. (7 Points)
(a) Experience. (4 Points) The knowledge and experience of your
proposed project director and staff, including the day-to-day program
manager, sub-recipients and partners in planning and managing programs
for which funding is being requested. Your experience will be judged in
terms of recent, relevant and successful experience to undertake
eligible program activities.
(b) Sufficiency. (3 Points) You and your sub-recipients, and
partners have sufficient personnel or will be able to quickly access
qualified experts or professionals, to deliver the proposed activities
in each proposed service area in a timely and effective fashion,
including your readiness and ability to immediately begin the proposed
work program. To demonstrate sufficiency, you must submit the proposed
number of staff years to be allocated to your program by employees and
experts, the titles and relevant professional background and experience
of each employee and expert proposed to be assigned to your program,
and the roles to be performed by each identified employee and expert.
(2) Program Administration and Fiscal Management. (7 Points)
(a) Program Administration. (4 Points) The soundness of the
proposed management of your proposed RSDM program. To receive a high
score, you must provide a comprehensive description of your project
management structure. Your narrative must provide a description of how
any co-applicants, sub-grantees, and other partner agencies relate to
the program administrator as well as the lines of authority and
accountability among all components of your proposed program.
(b) Fiscal Management. (3 Points) The soundness of your proposed
fiscal management. To receive a high score you must provide a
comprehensive description of the fiscal management structure,
including, but not limited to, budgeting, fiscal controls, and
accounting. The application must identify the staff responsible for
fiscal management, and the processes and timetable for implementation
during the proposed grant period.
(3) Applicant/Administrator Track Record. (6 Points) To receive a
high score, you must demonstrate your (or your proposed
Administrator's) program compliance and successful implementation of
any resident self-sufficiency, security or independence oriented grants
(including those listed below) awarded to you or overseen by your
Administrator. If you or your Administrator has no prior experience in
operating programs that foster resident self-sufficiency, security or
independence you will receive a score of 0 on this factor. Your past
experience may include, but is not limited to, administering the
following grants: Family Investment Center Program; Youth Development
Initiative under Family Investment Center Program; Youth Apprenticeship
Program; Apprenticeship Demonstration in the Construction Trades
Program; Urban Youth Corps Program; HOPE I Program; Public Housing
Service Coordinator Program; Public Housing Drug Elimination Program;
Tenant Opportunities Program; Economic Development and Supportive
Services; and Youth Sports Program.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding your proposed program activities to address a documented
problem in the target area. You will be evaluated on the extent to
which they document a critical level of need in the development or your
proposed activities in the area where activities will be carried out.
In responding to this factor, you will be evaluated on:
(1) A Needs Assessment Document. (18 Points) HUD will award up to
18 points based on the quality and comprehensiveness of the needs
assessment document.
(a) To obtain maximum points for Family RSDM applications, this
document must contain statistical data which provides:
(i) A thorough socioeconomic profile of the eligible residents to
be served by your program, in relationship to PHA-wide and national
public and assisted housing data on residents who are on TANF, SSI
benefits, or other fixed income arrangements; in job training,
entrepreneurship, or community service programs; and employed;
(ii) Specific information on training, contracting, and employment
through the PHA.
(iii) An assessment of the current service delivery system as it
relates to the needs of the target population, including the number and
type of services, the location of services, and community facilities
currently in use;
(iv) A description of the goals, objectives, and program strategies
that will result in the successful transition of residents from
welfare-to-work.
(b) In order to obtain maximum points for Elderly and Persons with
Disabilities RSDM applications, the needs assessment document should
contain statistical data that provide:
(i) The numbers of residents needing assistance for activities of
daily living.
(ii) An assessment of the current service delivery system as it
relates to the needs of the target population, including the number and
type of services, the location of services, and community facilities
currently in use.
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(iii) A description of the goals, objectives, and program
strategies that will result in increased independence for proposed
program participants.
(2) Level of Priority in Consolidated Plan. (2 Points)
Documentation of the level of priority the locality's, or in the case
of small cities, the State's, Consolidated Plan has placed on
addressing the needs. You may also address needs in terms of fulfilling
the requirements of court actions or other legal decisions or which
expand upon the Analysis of Impediments to Fair Housing Choice (AI) to
further fair housing. If you address needs that are in your community's
Consolidated Plan, AI, or a court decision, or identify and
substantiate needs in addition to those in the AI, you will receive a
greater number of points than applicants who do not relate their
proposed program to the approved Consolidated Plan or AI or court
action. There must be a clear relationship between your proposed
activities, community needs and the purpose of the program funding for
you to receive points for this factor.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. In rating this factor HUD will consider: the
viability and comprehensiveness of your strategies to address the needs
of residents; budget appropriateness/efficient use of grant; the speed
at which you can realistically accomplish the goals of the proposed
RSDM program; the soundness of your plan to evaluate the success of
your proposed RSDM program at completion and during program
implementation; and resident and other partnerships; and policy
priorities.
(1) Viability and comprehensiveness of the strategies to address
the needs of residents (21 Points) The score under this subfactor will
be based on the viability and comprehensiveness of your strategies to
address the needs of residents.
(a) Services. (18 Points for Family RSDM applicants and 21 Points
for Elderly and Persons with Disabilities RSDM applicants. More points
are awarded in the Elderly and Persons with Disabilities RSDM
applications to balance other sections of the rating criteria where
points are not applicable to an Elderly and Persons with Disabilities
RSDM applicant) The score under this subfactor will be based on the
following:
(i) For Family RSDM applications, the extent to which your plan
provides services that specifically address the successful transition
from welfare to work of non-elderly families. To receive a high score,
your plan must include case Management/counseling, job training/
development/placement (and/or business training/development/startup),
child care, and transportation services. If you are not proposing to
use RSDM funding for these activities, you must show that you will
provide these services with other funds or through specific commitments
from partners.
(ii) In order to receive maximum points, the goals and objectives
of your proposed plan must represent significant achievements related
to welfare-to-work and other self-sufficiency/independence goals.
Specifically for those residents affected by welfare reform, we are
interested in achievements that are performance outcomes such as the
number of residents employed or business started, in addition to,
process descriptions, such as the number of residents receiving
training.
(iii) For Elderly and/or Persons with Disabilities RSDM
applications, services in your plan should include case management,
health care, congregate services and transportation. To obtain maximum
points, you must describe the goals, objectives, and program strategies
that will result in increased independence for proposed program
participants; your services must be located in a community facility;
and must be available on a 12-hour basis or as needed by the eligible
residents.
(b) Resident Contracting and Employment. (3 Points) The score in
this factor will be based on the extent to which residents will achieve
self-sufficiency through your contracts with resident-owned businesses
and through resident employment. A high score will be awarded where
there is documentation (a letter or resolution from your governing
body) describing your commitment to hire or contract with at least 15%
of residents and a narrative describing the number of resident jobs or
contracts involved, as well as the training processes related to the
comprehensive plan of your application. Elderly and Persons with
Disabilities RSDM applications will not be scored on the criterion in
this subcategory.
(2) Budget Appropriateness/Efficient Use of Grant. (5 Points) The
score in this factor will be based on the following:
(a) Detailed Budget Break-Out. The extent to which your application
includes a detailed budget break-out for each budget category in the
SF-424A.
(b) Reasonable Administrative Costs. The extent to which your
application includes administrative costs at or below the 20%
administrative cost ceiling.
(c) Budget Efficiency. The extent to which your application
requests funds commensurate with the level of effort necessary to
accomplish your goals and anticipated results.
(3) Reasonableness of the Timetable. (2 Points for Family RSDM
applicants and 4 Points for Elderly and Persons with Disabilities RSDM
applicants. More points are awarded in Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant)
The score in this factor will be based on a reasonable response
that you can accomplish the goals of your proposed RSDM program. To
receive a high score, you must demonstrate that it will make
substantial program implementation progress within the first six months
after grant execution, including putting staff in place, finalizing
partnership arrangements, completing the development of requests for
proposals, and achieving other milestones that are prerequisites for
implementation of the program. In addition, you must demonstrate that
your proposed timetable for all components of the proposed program is
feasible considering the size of your award and activities and results
that can be accomplished within the 36-month time limit.
(4) Program Assessment. (3 Points for Family RSDM and Elderly and
Persons with Disabilities RSDM) The score in this factor will be based
on the soundness of your plan to evaluate the success of your proposed
RSDM program both at the completion of your program and during program
implementation. At a minimum, you must track the goals and objectives
of your proposed work plan program, which must include, if applicable,
a plan for monitoring your Contract Administrator's performance. Your
application should track specific measurable achievements for the use
of program funds, such as number of residents employed, salary scales
of jobs obtained, persons removed from welfare roles 12 months or
longer, number of elderly or persons with disabilities residents
receiving supportive services, and number of persons receiving
certificates for successful completion of training in careers such as
computer technology.
(5) Resident and Other Partnerships (9 Points for Family RSDM
applicants and 7 Points for Elderly and Persons with Disabilities RSDM
applicants)
[[Page 12092]]
(a) Resident Involvement in RSDM Activities (3 Points for Family
RSDM applicants and 4 Points for Elderly and Persons with Disabilities
RSDM applicants. More points are awarded in Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant): The score in this factor
will be based on the extent of resident involvement in developing your
proposed RSDM program as well as the extent of proposed resident
involvement in implementing your proposed RSDM program. To receive a
high score on this factor, you must describe the involvement of
residents in the planning phase for this program, and a commitment to
provide continued involvement in grant implementation. For applicants
to receive the maximum number of points, a work plan, must be included.
(b) Other Partnerships. (3 Points) The score in this factor will be
based on the successful integration of partners into implementation of
the proposed RSDM program. To receive a high score, you must provide a
signed Memorandum of Understanding (MOU) or other equivalent signed
documentation that delineates the roles and responsibilities of each of
the parties in your program and the benefits they will receive. In
assessing this subfactor, HUD will examine a number of aspects of the
proposed partnership, including:
(i) The division of responsibilities/management structure of your
proposed partnership relative to the expertise and resources of your
partners;
(ii) The extent to which the partnership as a whole addresses the
unmet resident needs; and
(iii) The extent to which the addition of the partners provides the
ability to meet needs that the applicant could not meet without the
partner(s).
(c) Overall Relationship/Coordination. (3 Points for Family RSDM
only) For Family RSDM applicants, the score in this factor will be
based on the extent of coordination between your proposed RSDM program
and any existing or proposed programs within your jurisdiction. To
receive a high score, you must contain an MOU that describes
collaboration between the applicant and residents on all of the
specific components related to the work plan of the proposed RSDM
program. To receive points, at a minimum, you must have a narrative
description of this collaboration. Elderly and Persons with
Disabilities RSDM applications will not be scored on this criterion.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
(note: financing is a community resource) that can be combined with
HUD's program resources to achieve program purposes. You must have at
least a 25% cash or in-kind match to receive points under this rating
factor. Leveraging in excess of the 25% of the grant amount will
receive a higher point value. In evaluating this factor HUD will
consider:
The extent to which you have partnered with other entities to
secure additional resources to increase the effectiveness of your
proposed program activities. The budget, the work plan, and commitments
for additional resources and services, other than the grant, must show
that these resources are firmly committed, will support the proposed
grant activities and will, in combined amount (including in-kind
contributions of personnel, space and/or equipment, and monetary
contributions) equal at least 25% of the RSDM grant amount proposed in
this application. ``Firmly committed'' means there must be a written
agreement with the provider of resources, signed by an official legally
able to make commitments on behalf of the organization. The signed,
written agreement may be contingent upon you receiving a grant award.
Other resources and services may include: the value of in-kind
services, contributions or administrative costs provided to the
applicant; funds from Federal sources (not including RSDM funds); funds
from any State or local government sources; and funds from private
contributions. You may also partner with other program funding
recipients to coordinate the use of resources in your target area.
You must provide evidence of leveraging/partnerships by including
in the application letters of firm commitments, Memoranda of
Understanding, or agreements to participate from those entities
identified as partners in the application. To be firmly committed there
must be a written agreement with the provider of resources signed by an
official legally able to make commitments on behalf of the
organization. This agreement may be contingent upon you receiving a
grant award. Each letter of commitment, Memorandum of Understanding, or
agreement to participate should include the organization's name,
proposed level of commitment and responsibilities as they relate to the
proposed program.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address the needs by using available HUD funding resources
and other resources available to the community.
In evaluating this factor HUD will consider the extent to which
your application addresses:
(1) Coordination with the Consolidated Plan (2 Points for Family
RSDM applicants and 6 points for Elderly and Persons with Disabilities
RSDM applicants. More points are awarded for Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant.) Demonstrates the applicant
has reviewed the community's Consolidated Plan and/or Analysis of
Impediments to Fair Housing Choice, and has proposed activities that
address the priorities, needs, goals or objectives in those documents;
or substantially furthers fair housing choice in the community.
(2) For Family RSDM Applications, Coordination with the State and/
or Local Welfare Plan (4 Points): Provides evidence that your proposed
RSDM program has been coordinated with and supports the PHA's, efforts
to increase resident self-sufficiency and is coordinated and consistent
with the State, or local Welfare Plan.
(3) Coordination with Other Activities (4 Points) Demonstrates that
in carrying out your program activities, you will develop linkages
with: other HUD-funded program activities proposed or on-going in the
community; or other State, Federal or locally funded activities
proposed or on-going in the community which, taken as a whole, support
and sustain a comprehensive system to address the needs.
(D) Application Selection Process for Service Coordinators
Applicants for Service Coordinators are required to address
application submission requirements but are not required to address
selection factors. Eligibility will be determined by applications that
meet the threshold requirements of Section IV of this program section
of the SuperNOFA.
VI. Application Submission Requirements
(A) All Applications. All applications for assistance under the
ROSS
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competition for all funding categories must include the forms,
certifications and assurances listed in Section IV of the General
Section of the SuperNOFA (collectively referred to as the ``standard
forms''). These forms are:
SF-424, Application Federal Assistance;
HUD-424M, Federal Assistance Funding Matrix;
SF-424A, Federal Assistance Budget Information--Non Construction;
SF-424B, Assurances for Non-Construction Programs;
HUD Form 50070, Drug-Free Workplace Certification;
HUD Form 50071, Certification of Payments to Influence Federal
Transactions, and if applicable SF-LLL, Disclosure of Lobbying
Activities;
HUD Form 2880, Applicant/Recipient Disclosure/Update Report;
HUD Form 2992, Certification of Debarment and Suspension;
HUD Form 2993, Acknowledgment of Application Receipt.
The standard forms can be found in Appendix B to the General
Section of the SuperNOFA. The remaining application items that are
forms (i.e., excluding such items as narratives), referred to as the
``non-standard forms'' can be found as Appendix A to this program
section of the SuperNOFA.
All applicants must include the following information regardless of
the category under which they are applying for funds.
(1) ROSS Application Cover Sheet;
(2) ROSS Fact Sheet;
(3) ROSS Program Summary;
(4) Certification of Consistency and Compliance with threshold
requirements of General Section of the SuperNOFA;
(5) You must provide assurance that you will comply under section
109 of the Housing and Community Development Act of 1974 and that you
have resolved to the satisfaction of the Department before the
application deadline any letter of noncompliance findings under section
109.
(6) Match Requirement. (a) You must supplement grant funds with an
in-kind and/or cash match of not less than 25% of the grant amount.
This match does not have to be a cash match. The match may include: the
value of in-kind services, contributions or administrative costs
provided to the applicant; funds from Federal sources (but not ROSS
funds); funds from any State or local government sources; and funds
from private contributions. Any services, such as child care or
mentoring, conducted by elderly or persons with disabilities residents
who are not TANF participants, will not be counted toward your match
requirement. You may also satisfy the match requirement by establishing
the in-kind value of computer and office equipment, software and space
used for training in computer technology, education/employment and
skills development for self sufficiency training programs such as
Twenty/20 Education Communities (TEC Centers) or Neighborhood Networks
Centers.
(b) You must demonstrate that the cash or in-kind resources and
services, which you will use as match amounts (including resources from
a Comprehensive Grant, other governmental units/agencies of any type,
and/or private sources, whether for-profit or not-for-profit), are
firmly committed and will support the proposed grant activities.
``Firmly committed'' means there must be a written agreement to provide
the resources and services signed by an official legally able to make
commitments on behalf of the organization and specifies the cash and/or
in-kind assistance to be provided. If offering in-kind assistance, the
letter should provide an estimated dollar value for the in-kind
services. The written agreement may be contingent upon your receiving a
grant award. The following are guidelines for valuing certain types of
in-kind contributions:
(c) The value of volunteer time and services shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and services involving professional and other special skills shall be
computed on the basis of the usual and customary hourly rate paid for
the service in the community where the activity is located; and
(d) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one-year old taken from the community
where the item or activity is located, as appropriate. You may also
satisfy the match requirement by establishing the in-kind value of
computer and office equipment, software and space used for training in
computer technology, education/employment and skills development for
sufficiency training programs such as Twenty/20 Education Communities
(TEC Centers) or Neighborhood Networks Centers.
(B) RMBD Applications. Applicants for Resident Management and
Business Development grants are required to address application
submission requirements, but are not required to address selection
factors. A threshold review, and not application submission
requirements, will be used for determining eligibility for first-come
first serve funding.
All applications for funding under this funding category must
contain the following documents and information (Please note that items
1-9 are threshold requirements used to determine awards for this
category; items 10-13 will be used for grant administration):
(1) Your application must contain a written certification that at
least 51 percent of the public housing residents to be included in the
proposed program are currently eligible to receive, are currently
receiving, or have received within the preceding four years, assistance
or services funded under the TANF, SSI, or food stamp programs.
(2) Your application must contain a signed Memorandum of
Understanding (MOU) between the RA and the PHA or the RO/RMC and the
Tribe/TDHE which describes the specific roles, responsibilities and
activities to be undertaken by all parties to the MOU. Your MOU, at a
minimum must identify the principal parties (i.e. the name of the PHA
or tribe/TDHE and RA or RO, the terms of agreement), expectations or
terms for each party, and indicate that the agreement pertains to the
support of your grant application. This document is the basis for the
foundation of the relationship between the RA or RO and PHA or tribe/
TDHE. The MOU must be precise and outline the specific duties and
objectives to be accomplished under the grant. All MOUs must be
finalized, dated and signed by duly authorized officials of both the RA
or RO and PHA or tribe/TDHE upon submission of the application.
(3) Accessible Community Facility. You must provide written
evidence (e.g. through an executed use agreement if the facility is to
be provided by an entity other than the PHA or tribe/TDHE) that a
majority of the proposed activities will be administered at community
facilities within easy transportation access (i.e., walking or by
direct (no transfers required), convenient, inexpensive and reliable
transportation of the property represented by the PHA or tribe/TDHE.
The written agreement must certify that community facilities meet the
structural accessibility requirement of section 504 of the
Rehabilitation Act of 1973 and the Americans With Disabilities Act of
1990.
(4) Your application must contain letter(s) of support indicating
supplemental grant funds of not less than 25% of the grant amount. See
Section VI(A)(5) of the program section of this SuperNOFA.
[[Page 12094]]
(5) For applicants other than Tribes/TDHEs, you must provide either
a signed certification from HUD or an Independent Public Accountant
that your financial management system and procurement procedures fully
comply with 24 CFR part 84, or your application must contain a signed
Contract Administrator Partnership Agreement that you will use the
services of a Contract Administrator in administering your grant.
Applicants that are troubled PHAs or tribes/TDHEs are required to
provide written agreement that a Contract Administrator has been
retained for the term of the grant. In cases where the Contract
Administrator is the PHA or tribe/TDHE, the Contract Administration
responsibilities can be incorporated into the MOU discussed above.
(6) Except for Tribes/TDHEs, if you are a RA/RC/RMC/CWRO you must
include evidence that your organization is registered with the State as
a nonprofit corporation at the time of application submission or has
section 501(c) status with the United States Internal Revenue Service
at the time of application. Evidence of State registration shall be a
copy of the certificate of incorporation or certificate of good
standing from the State Government (i.e. Secretary of State or
Secretary of Corporations). Evidence of 501 (c) status shall be a copy
of the IRS 501 (c) designation.
(7) Certification of Resident Council Board Elections. If you are a
Resident Organization, you must submit certifications of the RA ROs
board election as required by HUD, signed by the local PHA or tribe/
TDHE and/or an independent third party monitor and notarized;
(8) List of RAs or ROs participating with the City-Wide Resident
Organization (CWRO). You must list in your application, the name(s) of
RAs or ROs that will receive services and you must submit letters of
support from each RA or RO identified in your application;
(9) Physical Improvements. You must submit a description of the
renovation or conversion to be conducted along with a budget and
timetable for those activities. You must demonstrate a firm commitment
of assistance from one or more sources ensuring that supportive
services will be provided for not less that 2 years following the
completion of renovation, conversion, or repair activities funded under
this ROSS competition.
The following are application submission requirements and will not
be used for determining eligibility for first-come first serve funding.
(10) Explanations for proposed grant activities must be provided by
narrative statements or descriptions;
(11) Resident Management and Business Development grant
applications must include a narrative description (two page limit)
describing the activities that you will carry out with RMBD grant
funds. Your description must include specific goals, objectives and
program strategies that will result in successful transition of
residents from welfare to work or other proposed grant activities;
(12) Your RMBD application must provide information about the RA or
RO, including its history, staff qualifications, and its previous
experience (two page limit). For proposed grant staffing, you must
include a resume or summary of qualifications for all proposed grant
staff:
Chart A--RMBD Program Staffing
Chart B--RMBD Applicant/Administrator Track Record
Chart C--Summary RMBD Budget line Items
(13) You must provide a summary of a proposed work plan to carry
out proposed grant activities. This work plan must include tasks,
budgeted amounts, and dates for all activities during the grant period.
Chart D--Budget Workplan Summary
(C) Applications for Capacity Building or Conflict Resolution. All
applications for funding under this funding category must contain the
following documents and information. Only threshold requirements, an
not application submission requirements, will be used for determining
eligibility for funding. (Please note that items 1-8 are threshold
requirements for a threshold review that will be used to determine
awards for this category; items 9-13 will not be used to select
awardees):
(1) Written Agreement with Mediator. Only conflict Resolution
applicants must develop a work plan with a professional mediator or
``grass roots'' mediation organization (mediation/partner) that
outlines the roles and responsibilities of each party. The work plan
must specify that the mediation/partner will train grantee staff and/or
volunteers such that the grantee will be capable of providing mediation
assistance independently by the end of the grant term.
(2) Mediation Experience/Referral Agreement. Only conflict
Resolution applicants must provide evidence that their mediator/partner
has at least one year of experience in providing mediation services and
at least one year of mediation training. Include either one referral
agreement with a judicial, law enforcement, or social service agency
such as the court system or Welfare Department for mediation of public
housing residents, or a narrative description of direct experience with
public or assisted housing residents.
(3) Except for Tribes/TDHEs, applicant Nonprofit Status. You must
provide evidence that your organization has registered with the State
as a nonprofit corporation or has 501(c) nonprofit corporation status
with the United States Internal Revenue Service at the time of
application submission.
(4) Your application must contain letter(s) of support indicating
supplemental grant funds of not less than 25% of the grant amount. See
Section VI(A)(5) of this program section of the SuperNOFA.
(5) List of RAs or ROs Receiving Support. In CB and CR
applications, you must list in your application the name of the RAs or
ROs that will receive training, technical assistance and/or coordinated
supportive services and you must submit letters of support from each
entity identified in your application.
(6) For applicants other than Tribes/TDHEs, you must provide either
a signed certification from HUD or an Independent Public Accountant
that your financial management system and procurement procedures fully
comply with 24 CFR part 84 or part 85, or your application must contain
a signed Contract Administrator Partnership Agreement that you will use
the services of a Contract Administrator in administering your grant.
Applicants that are troubled PHAs are required to provide written
agreement that a Contract Administrator has been retained for the term
of the grant. In cases where the Contract Administrator is the PHA the
Contract Administration responsibilities can be incorporated into the
MOU discussed below.
(7) Your application must contain a signed Memorandum of
Understanding (MOU) between the RA or RO and PHA or tribe/TDHE which
describes the specific roles, responsibilities and activities to be
undertaken by all parties to the MOU. Your MOU, at a minimum must
identify the principal parties (i.e. the name of the PHA or tribe/TDHE
and IRO/nonprofit, the terms of agreement), expectations or terms for
each party, and indicate that the agreement pertains to the support of
your grant application. This document is the basis for the foundation
of the relationship between the IRO/nonprofit and PHA or tribe/TDHE.
The MOU must be precise and outline the specific duties and objectives
to be accomplished under the grant. All MOUs must be finalized,
[[Page 12095]]
dated and signed by duly authorized officials of both the IRO/nonprofit
and PHA or tribe/TDHE upon submission of the application.
(8) You must provide written evidence (e.g., through an executed
space use agreement if the facility is to be provided by an entity
other than the PHA or tribe/TDHE) that proposed CB/CR activities or
training will take place. The community facilities must be within easy
transportation access (i.e., walking or by direct (no transfers
required), convenient, inexpensive and reliable transportation of the
property represented by the PHA or tribe/TDHE. The written agreement
must certify that community facilities meet the structural
accessibility requirement of section 504 of the Rehabilitation Act of
1973 and the Americans With Disabilities Act of 1990.
The following are application submission requirements. Only
threshold requirements, and not application submission requirements,
will be used to determine eligibility for first-come first serve
funding.
(9) Explanations for proposed grant activities must be provided by
narrative statements or descriptions as well as the forms indicated
below:
(10) Needs Assessment. For the CB and CR grant applications you
must provide a narrative description of proposed activities that
addresses the following information:
(i) A description of the geographic boundaries of the RAs, ROs or
RMCs included in the application;
(ii) A description of the public housing community;
(iii) A detailed description of the issues or problems involved
with each RA or RO to be served by the grant; and
(iv) The resources that are currently being devoted to the problem
or issue under consideration.
(11) Proposed Program Activities. CB/CR grant applications must
include a narrative description describing the activities that you will
carry out with CB/CR grant funds. Your description must include
specific goals, objectives and program strategies that will result in
successful proposed grant activities;
(12) Experience and Staffing. Your CB/CR grant application must
provide information about the your organization, including its history,
staff qualifications, and its previous experience (two page limit). For
proposed grant staffing, you must include a resume or summary of
qualifications for all proposed grant staff:
Chart A--CB/CR Program Staffing
Chart B--CB/CR Applicant/Administrator Track Record
Chart C--Summary CB/CR Budget Line Items
(13) Budget and Cost Information. You must provide a summary of
your proposed work plan to carry out your proposed grant activities.
The work plan must include tasks/activities, budgeted amounts, and
start and end dates for all activities during the grant period.
Chart D--Budget Workplan Summary
(D) Application Submission Requirements for Resident Service
Delivery Models. All applications for funding under this funding
category must contain the following documents and information (Please
note that items 1-10 are threshold requirements for a threshold review
will be used to determine scoring of rating and ranking factors for
this category):
(1) Your application must contain a written certification that at
least 51 percent of the public housing residents to be included in the
proposed program are currently eligible to receive, are currently
receiving, or have received within the preceding four years, assistance
or services funded under the TANF, SSI, or food stamp programs.
(2) Elderly and/or Persons with Disabilities Housing Development
Certification. A certification that at least 25% of the residents of
the development(s) proposed for grant activities are elderly and/or
non-elderly people with disabilities at the time of application.
(3) Accessible Community Facility. You must provide evidence (e.g.,
through an executed use agreement if the facility is to be provided by
an entity other than the PHA or tribe/TDHE) that a majority of the
proposed activities will be administered at community facilities within
easy transportation access (i.e., walking or by direct (no transfers
required), convenient, inexpensive and reliable transportation of the
property represented by the PHA or tribe/TDHE. The written agreement
must certify that the community facilities meet the structural
accessibility requirements of section 504 of the Rehabilitation Act of
1973 and the Americans With Disabilities Act of 1990.
(4) Your application must contain letter(s) of support indicating
supplemental grant funds of not less than 25% of the grant amount. See
Section VI(A)(5) of this program section of the SuperNOFA.
(5) Physical Improvements. You must submit a description of the
renovation or conversion to be conducted along with a budget and
timetable for those activities. You must demonstrate a firm commitment
of assistance from one or more sources ensuring that supportive
services will be provided for not less that 2 years following the
completion of renovation, conversion, or repair activities funded under
this ROSS competition.
(6) Except for PHA's or tribes/TDHEs, you must provide either a
signed certification from HUD or an Independent Public Accountant that
your financial management system and procurement procedures fully
comply with 24 CFR part 84 or 85, or your application must contain a
signed Contract Administrator Partnership Agreement that you will use
the services of a Contract Administrator in administering your grant.
Applicants that are troubled PHAs are required to provide evidence that
a Contract Administrator has been retained for the term of the grant.
In cases where the Contract Administrator is the PHA the Contract
Administration responsibilities can be incorporated into the MOU
discussed below.
(7) Applicant Non-Profit Status. Except for PHAs or tribes/TDHEs,
you must provide evidence that the applicant is registered with the
State as a nonprofit corporation or has 501(c) status with the United
States Internal Revenue Service at the time of application submission.
Evidence of State registration shall be a copy of the certificate of
incorporation or certificate of good standing from the State Government
(i.e. Secretary of State or Secretary of Corporations). Evidence of
501(c) status shall be a copy of the IRS 501(c) designation.
(8) Certification of Resident Council Board Elections;
(9) List of RAs or ROs Receiving Support. In RSDM applications you
must list in your application the name of the RAs or ROs that will
receive training, technical assistance and/or coordinated supportive
services and must submit letters of support from each entity identified
in your application.
(10) Responses to Factors of Award may be narrative statements or
descriptions and the forms indicated below:
Factor 1--Capacity of the Applicant and Relevant Organizational
Experience;
Chart A--Program Staffing
Chart B--Applicant/Administrator Track Record
Factor 2--Need/Extent of the Problem;
Chart C--Summary Budget line Items
Chart D--Budget Workplan Summary
Factor 3--Soundness of Approach;
Factor 4--Leveraging Resources; and
Factor 5--Comprehensiveness and Coordination.
Certification of Consistency with the Consolidated Plan
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Bonus Points
Certification of Consistency with the EZ/EC Strategic Plan
Certification of an Apprenticeship Program
(E) Application Submission Requirements for Service Coordinators
for the Elderly and Persons with Disabilities. All applications for
funding under this funding category must contain the following
documents and information (Please note that items 1-4 are threshold
requirements for a threshold review to be used to determine renewal
funding for this category):
(1) Elderly Housing Development Certification. A certification that
at least 25% of the residents of the development(s) proposed for grant
activities are elderly and/or non-elderly people with disabilities at
the time of application.;
(2) Accessible Community Facility. The application must provide
evidence (e.g., through an executed use agreement or MOU if the
facility is to be provided by an entity other than the PHA. The
majority of the proposed activities will be administered at community
facilities within easy transportation access, i.e., walking or by
direct (no transfers required), convenient, inexpensive and reliable
transportation, to the property represented by the PHA. Your executed
use agreement or MOU must specifically state that the community
facilities meet the structural accessibility requirements of section
504 of the Rehabilitation Act of 1973 and the Americans With
Disabilities Act of 1990.
(3) Your application must contain letter(s) of support indicating
supplemental grant funds of not less than 25% of the grant amount. See
Section VI(A)(5) of this program section of the SuperNOFA.
(4) SC Request Letter Format;
The following are application submission requirements. Only
threshold requirements, and not application submission requirements,
will be used for determining eligibility for renewal funding.
(5) Evidence of comparable salaries in local area;
(6) Lead Agency letter format (if appropriate);
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
It is anticipated that most activities under this ROSS funding will
be categorically excluded under 24 CFR 58.34(a)(3) or (a)(9),
58.35(b)(2) or (b) (4), 50.19(b)(3), (b)(9), (b)(12), or (b)(14). An
applicant proposing any acquisition, including long-term leasing,
disposition, or physical development activities is prohibited from
rehabilitating, converting, leasing, repairing or constructing
property, or committing or expending HUD or non-HUD funds for these
types of program activities, until one of the following has occurred:
(1) If the grantee is not a PHA or tribes/TDHEs, HUD has completed
an environmental review to the extent required by 24 CFR part 50, prior
to grant award.
(2) If the grantee is a PHA or tribe/TDHE, HUD has approved the
grantee's Request for Release of Funds (HUD Form 7015.15) following a
Responsible Entity's completion of an environmental review under 24 CFR
part 58, where required, or if HUD has determined in accordance with
Sec. 58.11 to perform the environmental review itself under part 50,
HUD has completed the environmental review.
IX. Authority
Section 34 of the U.S. Housing Act of 1937 and 24 CFR 964.
Appendix A
The non-standard forms, which follow, are required for the ROSS
application.
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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FUNDING AVAILABILITY FOR THE RURAL HOUSING AND ECONOMIC DEVELOPMENT
PROGRAM
Program Overview
Purpose of Program: The purpose of the Rural Housing and Economic
Development (RHED) program is to build capacity at the State and local
level for rural housing and economic development and to support
innovative housing and economic development activities in rural areas.
The funds made available under this program will be awarded
competitively, through a selection process conducted by HUD in
consultation with the United States Department of Agriculture (USDA).
Available Funds: Approximately $24 million in Fiscal Year (FY) 2001
funding. Adjustments to Funding. HUD reserves the right to utilize this
year's funding to fund previous year's errors prior to rating and
ranking this year's applications. HUD reserves the right to reallocate
funds between categories to achieve the maximum allocation of funds in
both categories.
Eligible Applicants: Local rural non-profit organizations,
community development corporations, Indian tribes, State housing
finance agencies, and State economic development or community
development agencies.
Application Deadline: April 6, 2001.
Match: None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and
application submission requirements. You should note that the total
narrative response to all rating factors described under Section V(C)
should not exceed 15 pages, and must be submitted on 8.5" by 11" paper
using a 12 point size, with lines double spaced and printed only on one
side. Please note that although submitting pages in excess of the page
limit will not disqualify your application, HUD will not consider the
information on any excess pages, which may result in a lower score or
failure to meet a threshold. In addition, please review the following
information:
I. Application Due Date, Further Information and Technical
Assistance
Application Due Date: Completed applications (one original and two
copies) must be submitted on or before 12:00 midnight, Eastern time, on
April 6, 2001, to the HUD Headquarters address shown below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g. mailed applications,
express mail, overnight delivery, or hand carried).
Address for Submitting Applications: Completed applications (one
original and two copies) must be submitted to: Processing and Control
Unit, Room 7255, Office of Community Planning and Development,
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410; ATTN: Office of Rural Housing and Economic
Development. When submitting your application, please include your
name, mailing address (including zip code), telephone number, and fax
number (including area code).
For Application Kits. An application kit is not necessary for
submitting an application in response to this announcement. This
announcement contains all the information necessary for the submission
of your application for the Rural Housing and Economic Development
Program.
For Further Information and Technical Assistance. All information
and materials required to submit an application for funding under the
HUD Rural Housing and Economic Development program are included in the
Appendix to this NOFA.
For information concerning the HUD Rural Housing and Economic
Development program, contact Mr. Marty Horwath, Community Planning and
Development Specialist, Office of Rural Housing and Economic
Development (RHED), Office of Economic Development, Office of Community
Planning and Development (CPD), Department of Housing and Urban
Development, 451 7th Street, SW, Room 7136, Washington, DC 20410;
telephone (202) 708-2035 (this is not a toll-free number). Persons with
speech or hearing impairments may access this number via TTY by calling
the toll-free Federal Information Relay Service at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at http://www.hud.gov.
Prior to the application deadline, HUD staff at the numbers above
and local CPD field office Economic Development (ED) Specialists will
be available to provide general guidance, but not guidance in actually
preparing the application. Following selection, but prior to award, HUD
staff will be available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award by HUD.
II. Amount Allocated
(A) Available Funds. Approximately $24 million in Fiscal Year (FY)
2001 funding is being made available through this program section of
the SuperNOFA. The breakdown for this funding is discussed below.
(B) The FY 2001 HUD Appropriations Act. The Departments of Veterans
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, 2001 (Pub. L. 106-377 approved October 27, 2000 )
(the ``FY 2001 HUD Appropriations Act'') made $25 million in FY 2001
funds available under the Rural Housing and Economic Development
program.
(C) Funding Categories/ Maximum Award Amounts. HUD will award up to
approximately $24 million on a competitive basis in the following
funding categories.
(1) Capacity Building. HUD will award up to approximately $12
million to build capacity. This amount will go directly to local rural
nonprofits, community development corporations (CDCs) and Indian tribes
to support innovative housing and economic development activities to
increase capacity. The maximum amount awarded to a successful applicant
in this category will be $150,000. If you received a RHED grant in
either FY 1999 or FY 2000 for capacity building, the maximum amount you
can receive in this category will be $100,000.
(2) Support for Innovative Housing and Economic Development
Activities. HUD will award up to approximately $12 million to Indian
tribes, State Housing Finance Agencies (HFA)s, state community and/or
economic development agencies, local rural non-profits and CDCs to
support innovative housing and economic development activities in rural
areas. The maximum amount awarded to a successful applicant in this
category will be $400,000.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. (1) Background. There is a great need for
expanding the supply of housing in rural America, particularly
affordable housing for low income families and individuals. There are a
number of rural areas which have experienced rapid in-migration as a
result of a growth in employment opportunities, but which have a
shortage of affordable housing. In addition, because of out-migration
from rural areas, and other factors causing
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economic dislocation, many rural areas suffer from severe economic
distress. There has been a growing national recognition of the need to
enhance the capacity of Indian tribes, local rural nonprofits, CDCs,
and State community and economic development agencies to expand the
supply of affordable housing and to engage in economic development
activities in rural areas.
A number of resources are available from the Federal government to
address these problems, including programs of the United States
Department of Agriculture (USDA), the Economic Development
Administration (EDA), the Appalachian Regional Commission (ARC), the
Department of Interior (for Indian Tribes) and HUD. The Rural Housing
and Economic Development program has been developed to supplement these
resources and to focus specifically on capacity building and innovative
approaches to housing and economic development in rural areas. In
administering these funds, HUD will encourage coordination between all
Federal agencies in support of the program objectives.
(2) Definitions. Appalachia's Distressed Counties means those
counties in Appalachia that the Appalachian Regional Commission (ARC)
has determined to have unemployment and poverty rates that are 150
percent of the respective U.S. rates and per capita income that is less
than 67 percent of the U.S. per capita income, and counties with 200
percent of the U.S. poverty rate and one other indicator. Appendix B to
this notice identifies the ARC's list of distressed counties.
Colonia means any identifiable community that:
(i) Is located in the State of Arizona, California, New Mexico, or
Texas;
(ii) Is located in the U.S.-Mexico border region (that is, within
150 miles of the border between the U.S. and Mexico);
(iii) Meets objective criteria, including lack of potable water
supply, lack of adequate sewage systems, and lack of decent, safe,
sanitary, and accessible housing
Farmworker means a farm employee of an owner, tenant, labor
contractor, or other operator raising or harvesting agricultural or
aquacultural commodities; or a worker in the employment of a farm
operator, handling, planting, drying, packing, grading, storing,
delivering to storage or market, or carrying to market agricultural or
aquacultural commodities produced by the operator. Seasonal farmworkers
are those farm employees who typically do not have a constant year
round salary. Migrant farmworkers are those farm employees whose work
requires travel that prevents the employee from returning to his or her
permanent place of residence within the same day.
A firm commitment means the agreement by which an applicant's
partner agrees to perform an activity specified in the application and
demonstrates the financial capacity to deliver the resources necessary
to carry out the activity, and commits the resources to the activity
either in cash or through in-kind contributions and is irrevocable,
subject only to approval and receipt of a FY 2001 RHED grant. Each
letter of commitment should include the organization's name, the
applicant's name, the proposed program, the proposed total level of
commitment and responsibilities as they relate to the proposed program.
The commitment must also be signed by an official of the organization
legally able to make commitments on behalf of the organization and
dated not earlier than the date of publication of this NOFA. In
documenting a firm commitment, the applicant's partner must:
(i) Specify the authority by which the commitment is made, the
amount of the commitment and the use of funds. If the committed
activity is to be self-financed, the applicant's partner must evidence
its financial capability through a corporate or personal financial
statement or other appropriate means. If any portion of it is to be
financed through a lending institution, the participant must evidence
the institution's commitment to fund the loan;
(ii) State the amount and use of the commitment, and the
relationship of the commitment to the proposed investment; and
(iii) Affirm that the commitment is not contingent upon another
program or other pending commitments, and state a willingness on the
part of the signatory to sign a legally binding commitment (conditioned
on HUD environmental review and approval of a property, where
applicable) upon award of the grant.
Indian tribe means any entity eligible to apply for funding under
the Indian Community Development Block Grant (ICDBG) program (see 24
CFR 1003.5(a)). The list of federally recognized Indian tribes can be
found notice published by the Department of the Interior on March 13,
2000, at 65 FR 13299, and is also available from HUD.
Innovative housing activities means projects, techniques, methods,
combinations of assistance, construction materials, and financing
institutions or sources new to the eligible area, or its population.
The innovative activities can also build upon and enhance a model that
already exists.
Local rural non-profit or community development corporation means
either:
(i) Any private entity with tax exempt status recognized by the
Internal Revenue Service (IRS) which serves the eligible rural area
involved in the application (including local affiliates of national
organizations that provide technical and capacity building assistance
in rural areas); or
(ii) Any public non-profit such as a Council of Governments that
will serve specific local non-profit organizations in the eligible
area.
Lower Mississippi Delta Region means the seven state, 219 county/
parish region defined by Congress in the Lower Mississippi Delta
Development Act, Pub.L. 100-460. Appendix C to this notice identifies
the counties referenced in the Act.
Rural area may be defined in one of five ways:
(i) A place having fewer than 2,500 inhabitants (within or outside
of metropolitan areas).
(ii) A county with no urban population of 20,000 inhabitants or
more.
(iii) Territory, persons, and housing units in the rural portions
of ``extended cities.'' The U.S. Census Bureau identifies the rural
portions of extended cities in the United States.
(iv) Open country which is not part of or associated with an urban
area. The United States Department of Agriculture (USDA) describes
``open country''as a site separated by open space from any adjacent
densely populated urban area. Open space includes undeveloped land,
agricultural land, or sparsely settled areas, but does not include
physical barriers (such as rivers and canals), public parks, commercial
and industrial developments, small areas reserved for recreational
purposes, and open space set aside for future development.
(v) Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
State economic development or community development agency means
any state agency which has promotion of statewide or local community/
economic development as its primary purpose.
State Housing Finance Agency means any state agency created to
assist local communities and housing providers with financing
assistance for development of housing in rural areas, particularly for
low and moderate income people.
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(3) Eligible applicants. Eligible applicants for each of the
funding categories are as follows:
(a) For capacity building funding. If you are a local rural non-
profit, CDC, or Indian tribe, you are eligible for capacity building
funding to carry out innovative housing and economic development
activities which may also enable an applicant to become self-sustaining
in the future.
(b) For support for innovative housing and economic development
activities funding. If you are a local rural non-profit, CDC, Indian
tribe, State HFA, or State economic development or community
development agency, you may apply for funding to support innovative
housing and economic development activities in rural areas.
(4) Eligible activities. The following are examples of eligible
activities under the Rural Housing and Economic Development program.
These examples are illustrative and are not meant to limit the
activities that you may propose in your application. Any activity that
meets the objective of the Rural Housing and Economic Development
program will be considered eligible.
(a) For capacity building funding. Capacity building for innovative
rural housing and economic development involves the enhancement of
existing organizations to carry out new functions and/or perform more
effectively existing functions. For organizations, this could also
include ``up front'' money for acquiring space and support facilities,
as well as other types of administrative expenses. This should also
focus on activities which enable the applicant to become self-
sustaining in the future.
Activities in connection with strengthening existing organizations
include hiring qualified staff, supporting and training existing staff,
providing software and other tools to provide networking and research
capability, and obtaining expertise from outside sources. They also
include training to improve management capability, including
development of accounting systems, Management Information Systems (MIS)
support, apprenticeship programs and related activities. Eligible
activities also include arranging for technical assistance to conduct
need assessments, conduct asset inventories, and develop strategic
plans. These activities also include the promotion of fair housing by
training specific local organizations and residents in fair housing
issues, and by helping them to file fair housing complaints with HUD,
when warranted.
(b) For support of innovative housing and economic development
activities. (i) This category is intended to support, but not be
limited to, other costs for innovative housing and economic development
activities. Eligible activities include preparation of plans,
architectural and engineering drawings and reports, financial
assistance for acquisition of land and buildings, demolition, provision
of infrastructure, purchase of materials, construction costs, the use
of local labor markets, and job training.
Additionally, eligible activities include homeownership counseling,
application of innovative construction methods encouraging building
design which reflects terrain, weather, and availability of indigenous
materials. Besides meeting applicable civil rights requirements such as
the Americans with Disabilities Act, section 504 of the Rehabilitation
Act of 1973, and the Federal Fair Housing Act (42 U.S.C. 3601 et seq.),
HUD also strongly recommends that all housing designs be made
``accessible and visitable.'' In addition, HUD encourages the use of
universal design in designing and constructing units so that the
housing can meet the needs of the largest number of individuals.
(ii) Other eligible activities include establishing Community
Development Financial Institutions (CDFIs), lines of credit, revolving
loan funds, microenterprises, small business incubators, provision of
direct financial assistance to homeowners/businesses/developers, etc.
This can be in the form of establishing default reserves, pooling/
securitization mechanisms, loans, grants, etc. Grantees should
demonstrate that their activities will continue to serve the
populations that are in need and that beneficiaries will have a choice
of innovative housing and economic development opportunities as a
result of these activities.
IV. Program Requirements
(A) General. To be eligible for funding under this program section
of this SuperNOFA, you must meet the requirements and procedures
applicable to all programs set forth in Section II of the General
Section of the SuperNOFA, and particularly the civil rights threshold
requirements set forth in Section II(B) of the General Section. In
addition to these general requirements, you must meet the following
program specific requirements.
(B) Accounting System Requirements. RHED requires that successful
applicants have in place an accounting system that meets the policies,
guidance, and requirements as described in the following applicable OMB
Circulars and Code of Federal Regulations:
(1) OMB Circular No. A-87 (Cost Principles Applicable to Grants,
Contracts and Other Agreements with State and Local Governments);
(2) OMB Circular No. A-122 (Cost Principles for Nonprofit
Organizations), OMB Circular No. A-133 (Audits of States, Local
Governments, and Non-Profit Organizations);
(3) 24 CFR part 84 (Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations); and
(4) 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally recognized Indian
tribal governments).
These documents apply to the award, acceptance and use of
assistance under the Rural Housing and Economic Development program
NOFA, and to the remedies for noncompliance, except when inconsistent
with the provisions of the FY 2001 HUD Appropriations Act, other
Federal statutes or the provisions of this NOFA.
(C) Environmental Review. Selection for award does not constitute
approval of any proposed sites. Following selection for award, HUD will
perform an environmental review of activities proposed for assistance
under this part, in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or that proposed sites be rejected. Applicants are particularly
cautioned not to undertake or commit funds for acquisition or
development of proposed properties (including establishing lines of
credit that permit financing of such activities or making commitments
for loans that would finance such activities from a revolving loan fund
capitalized from funds under this NOFA) prior to HUD approval of
specific properties or areas. Each application shall contain an
assurance that you, the applicant, will assist HUD to comply with part
50; will supply HUD with all available, relevant information to perform
an environmental review for each proposed property; will carry out
mitigating measures required by HUD or select alternate property; and
will not acquire, rehabilitate, convert, lease, repair or construct
property, not commit or expend HUD or local funds for these program
activities with respect to any eligible property, until HUD approval of
the property is received. In supplying HUD with environmental
information, grantees are to use the same guidance as provided in the
HUD Handbook entitled ``Field Environmental Review Processing for HUD
Colonias Initiative (HCI) grants'' issued January 27, 1998.
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(D) Grant Period. Recipients will have 36 months from the date of
funding to complete all project activities except the final evaluation
and reporting, fulfillment and audit requirements and final project
close-out.
(E) Lead-Based Paint Hazard Control. All property assisted under
the Rural Housing and Economic Development program is covered by the
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and
HUD's implementing regulations at 24 CFR part 35.
V. Application Selection Process
(A) Rating and Ranking. (1) General. To review and rate
applications, HUD may establish panels including outside experts or
consultants to obtain certain expertise and outside points of view,
including views from other Federal agencies.
(2) Rating. All applicants for funding will be evaluated against
the criteria below.
(3) Ranking. Applicants will be ranked separately within each of
the two funding categories. Applicants will be selected for funding in
accordance with their rank order in each category. If two or more
applications are rated fundable and have the same score, but there are
insufficient funds to fund all of them, the applications(s) with the
highest score for Rating Factor 2 (Need and Extent of the Problem)
shall be selected. If applications still have the same score, the
highest score in the following factors will be selected sequentially
until one highest score can be determined, Rating Factor 3 (Soundness
of Approach), Rating Factor 1 (Capacity and Experience), Rating Factor
5 (Comprehensiveness and Coordination) and Rating Factor 4 (Leveraging
of Resources). To be eligible for funding in the Innovative category,
an application must have a minimum score of 25 points for the total
combined number of points for Rating Factors 1 and 3. To be eligible
for funding in the Capacity Building category, an application must have
a minimum score of 20 points for Rating Factor 3.
(B) Initial screening. During the period immediately following the
application deadline, HUD will screen each application to determine
eligibility. Applications will be rejected if they:
(1) Are submitted by ineligible applicants (including applicants
and subrecipients that do not meet the fair housing and civil rights
threshold requirement described in Section II(B) of the General Section
of the SuperNOFA);
(2) Do not serve an eligible rural area; or
(3) Propose a program for which significant activities are
ineligible. Such activities may include, but are not limited to, use of
RHED grant funds for income payments to subsidize individuals or
families, political activities, or general governmental expenses other
than expenses related to the administrative cost of the grant.
(C) Rating Factors for Award Used to Evaluate and Rate
Applications. The factors for rating and ranking applicants, and
maximum points for each factor, are provided below. The maximum number
of points for this program is 102. This includes two EZ/EC bonus
points, as described in the General Section of the SuperNOFA.
(D) Notification of Approval and Disapproval. HUD will notify you
whether or not you have been selected for an award. If you are
selected, HUD's notice to you of the amount of the grant award based on
the approved application will constitute HUD's preliminary approval,
subject to negotiation and execution of the grant agreement by HUD.
Rating Factor 1--Capacity of the Applicant and Relevant
Organizational Experience (15 points)
This rating factor addresses the extent to which you have the
organizational resources necessary to successfully implement your
proposed work plan as further described in Rating Factor 3 in a timely
manner within the 36 month award period.
Rating standards applicable to individual funding categories. The
two funding categories have different objectives. Accordingly, in
addition to the generally applicable rating standard discussed above,
different standards will be used to judge the experience and
qualifications of the applicants and any partners for each of the two
funding categories. HUD fully supports emerging organizations who
desire to develop internal capacity. Therefore, the following
categories will be evaluated:
(1) For Capacity Building. (15 points) Team members, composition,
experience, organizational structure and management capacity. HUD will
evaluate the experience of your project director, core staff, any
outside consultants, contractors, subrecipients, and members of
coalitions to implement all of the work activities in your workplan as
they relate to innovative housing and economic development activities.
In evaluating your capacity to do the work, HUD will assess the recent
and relevancy of the prior work experience of each of the parties
listed above to execute the prescribed activities; the services the
consultants or other parties will provide which fill gaps in your
staffing structure to enable you to carry out the proposed workplan;
the experience of your project director in managing projects of similar
size, scope, and dollar amount; the lines of authority and procedures
that you have in place for ensuring that consultants and workplan goals
and objectives are being met and that beneficiaries are being
adequately served. In judging your response to this factor, HUD will
only consider work experience gained within the last 3 years. When
responding, please be sure to provide the dates, job titles and
relevancy of the past experience to work undertaken by the employee or
contractor under your proposed RHED application. The more recent,
relevant, and successful the experience is of your team members in
relationship to the workplan activities, the greater the number of
points that you will receive.
(2) For Support for Innovative Rural Housing and Economic
Development Activities. (15 points)
(a) (5 points) Team members, composition, and experience. HUD will
evaluate the experience of your project director, core staff, any
outside consultants, contractors, subrecipients, and members of
coalitions to implement all of the work activities in your workplan. In
evaluating your capacity to do the work, HUD will assess the recent and
relevancy of the prior work experience of each of the parties listed
above, to execute the prescribed activities; the services the
consultants or other parties will provide which fill gaps in your
staffing structure to enable you to carry out the proposed workplan;
the experience of your project director in managing projects of similar
size, scope, and dollar amount; the lines of authority and procedures
that you have in place for ensuring that consultants and workplan goals
and objectives are being met and that beneficiaries are being
adequately served. In judging your response to this factor, HUD will
only consider work experience gained within the last 7 years. When
responding, please be sure to provide the dates, job titles and
relevancy of the past experience to work undertaken by the employee or
contractor under your proposed RHED application. The more recent,
relevant, and successful the experience is of your team members in
relationship to the workplan activities, the greater the number of
points that you will receive.
(b) (5 points) Organizational structure and management capacity.
HUD will evaluate the extent to which you can
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demonstrate your ability to manage a workforce composed of full time
and/or part-time staff as well as consultant staff and your ability to
work with community-based groups or organizations in resolving issues
related to affordable housing and economic development. In evaluating
this sub-factor, HUD will take into account your experience in working
with community-based organizations to design and implement programs
which address the above housing and economic development issues. The
more recent, relevant, and successful the experience is of your
organization and any participating entities, the greater the number of
points that you will receive.
(c) (5 points) Experience with performance based funding
requirements. HUD will evaluate your experience in producing timely
products and reports in any previous grant programs undertaken with HUD
funds or other Federal, state, local or non-profit or for-profit
organization funds. In assessing points for this sub-factor, HUD
reserves the right to take into account your past performance in
meeting performance and reporting goals on any previous HUD awards.
Specific outcomes will be measured in terms of the number of living
wage jobs created or retained, housing units rehabilitated or
constructed and made available for low and moderate income persons, or
other relevant objective performance measures related to your previous
job experience and/or grant programs. Applicants that can demonstrate a
closer and greater linkage between the expected outcomes and the
previously generated outcomes will receive higher points for this sub-
factor.
Rating Factor 2--Need and Extent of the Problem (40 points)
The Rural Housing and Economic Development program has been
designed to address the problems of rural poverty, inadequate housing
and lack of economic opportunity. This Factor addresses the extent to
which there is need for funding the proposed activities based on levels
of distress, and an indication of the urgency of meeting the need/
distress in the applicant's target area. In responding to this Factor,
applications will be evaluated on the extent to which the level of need
for the proposed activity and the urgency in meeting the need are
documented and compared, vis-a-vis, the target area, the county(ies)
and national data.
(1) In applying this Factor, HUD will compare current levels of
need for the following areas affected by the project: first, in the
area (i.e. Census Tract(s) or Block Groups), immediately surrounding
the project site or the target area to be served by the proposed
project; second, in the county in which the project is to be located,
and third, in the nation. This means that an application that provides
data that show levels of need in the project area and the county,
expressed as a percent greater than the national average, will be rated
higher under this Factor. Notwithstanding the above, an applicant
proposing a project to be located outside the target area could still
receive points under the Need Factor if a clear rationale and linkage
is provided linking the proposed project location and the benefits to
be derived by persons living in more distressed area(s) of the
applicant's target area.
(2) Applicants should provide data that address indicators of need
as follows:
(a) Poverty Rate (15 points)--data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for
both the target area(s) and the county; an application that compares
the local poverty rate in the following manner to the national average
at the time of submission will receive points under this section as
follows:
(i) Equal to but less than twice the national average = 5 points;
(ii) Twice but less than three times the national average = 10
points;
(iii) Three or more times the national average = 15 points.
(b) Unemployment (10 points)--for both the target area and county:
(i) Equal to but less than twice the national average = 2 points;
(ii) Twice but less than three times the national average = 4
points;
(iii) Three but less than four times the national average = 6
points;
(iv) Four but less than five times the national average = 8 points;
(v) Five or more times the national average = 10 points.
(c) Other indicators of social and/or economic decline that best
capture the applicant's local situation (5 points)--examples that could
be provided under this section are information on the community's
stagnant or falling tax base, including recent commercial or industrial
closings, housing conditions, such as the number and percentage of
substandard and/or overcrowded units, rent burden (defined as average
housing cost divided by average income) for both the target area and
county, local crime statistics, etc. To the extent that the applicant's
Consolidated Plan, its Analysis of Impediments to Fair Housing choice
(AI), and/or its Anti-Poverty Strategy identify the level of distress
in the community and the neighborhood in which the project is to be
carried out, references to such documents should be included in
preparing the response to this Factor.
(3) In rating applications under this Factor, HUD reserves the
right to consider sources of available objective data other than, or in
addition to, those provided by applicants, and to compare such data to
those provided by applicants and local crime statistics for both the
project site and the county, etc.
(a) HUD requires use of sound and reliable data (e.g., U.S. Census
data, State statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided.
(b) Updated Census data are available as follows for the listed
indicators:
(i) Unemployment rate--estimated monthly for counties, with a two-
month lag;
(ii) Population--estimated for incorporated places and counties,
through 1999;
(c) Poverty rate--estimated every two years, with a three-year lag,
with 1997 data being the most recent available.
(d) Demographics of Distress--Special Factors (10 points). Because
of the concern of HUD with meeting the needs of certain underserved
areas, you will be awarded a total of ten points if you are located in
or propose to serve one or more of the following populations, your
application demonstrates that 100 percent of the beneficiaries as
supported by RHED funds are one or more of the following populations,
and you specifically identify how they will be served, provided that
the proposed service area meets the definition of ``eligible rural
area'' as described in Section III(A)(2) of this NOFA:
(i) Areas with very small populations in non-urban areas (2,500
population or less);
(ii) Migrant and seasonal farmworkers;
(iii) Indian Tribes;
(iv) Colonias;
(v) Appalachia's Distressed Counties; or
(vi) the Lower Mississippi Delta Region (7 States and 219 counties/
parishes). For these underserved areas, you should ensure that the
populations that you serve and the documentation that you provide is
consistent with the information described in the above paragraphs under
this rating factor.
Rating Factor 3--Soundness of Approach (30 points)
This factor addresses the overall quality of your proposed
workplan,
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taking into account the project and the activities proposed to be
undertaken; the cost-effectiveness of your proposed program; and the
linkages between identified needs, the purposes of this program and
your proposed activities and tasks. In addition, this factor addresses
your ability to ensure that a clear linkage exists between innovative
rural housing and economic development. In assessing cost-
effectiveness, HUD will take into account staffing levels,
beneficiaries to be served, a timetable for delivery of products and
reports and anticipated products. HUD is also interested in applicants
becoming self-sustaining so that activities can continue in the future
without relying on further assistance from the Department. You will
receive a greater number of points if your workplan is consistent with
the purpose of the RHED program, your program goals and the resources
provided.
(a) (10 points) Management Plan. A clearly defined management plan
which identifies each of the projects and activities you will carry out
to further the objectives of this program; describes the linkage
between rural housing and economic development activities; and
addresses the needs identified in Factor 2, including needs that had
been previously identified in a statewide or local Analysis of
Impediments to Fair Housing Choice (AI) or Consolidated Plan. The
populations which were described in demographics that documented need
should be the same populations which will receive the primary benefit
of the activities, both immediately and in the long run. You should
address the timetable with measurable goals and objectives for carrying
out these activities; the method you will use for evaluating and
monitoring program progress on the activities and ensuring that the
activities will be completed on time and within your proposed budget
estimates. Applicants that have a clearly defined management plan and
which can produce results in less than 36 months will receive higher
rating points for this sub-factor. Your management plan should include
the budget breakout for each line item. You are required to provide
documented projected cost estimates from outside sources. Applicants
should submit their workplan on a spreadsheet showing each project,
activities under the project, and tasks (to the extent necessary or
appropriate) in your workplan with your associated budget estimate per
activity/task. Your workplan should provide the rationale for your
proposed activities and any assumptions used in determining your
project timeline and budget estimates. Failure to provide your
rationale may result in an application receiving zero points for lack
of clarity in the proposed management plan. Applicants that propose as
part of their workplan activities that address and support HUD's policy
priority areas for using technology advances in the construction or
design of homes produced with these funds, incorporates accessibility,
visitability and universal design principles in the design,
construction, or rehabilitation of home produced with these funds; or
creates and uses apprenticeship programs to create long term career
path opportunities for community residents, will receive higher rating
points under this sub-factor.
(b) (10 points) Expected Outcomes. HUD will be assessing outcomes
resulting from your proposed workplan for the likelihood it will result
in measurable and achievable outcomes that will alleviate or address
the needs described in Rating Factor 2. You must include in this sub-
factor a qualitative or quantitative description of estimated outcomes
in order to receive points for this sub-factor. Outcomes may be
described in terms of the estimated number of new units constructed or
units rehabilitated; jobs retained or created with accompanying living
wages; loans financed; individuals trained, counseled or assisted; and/
or number of persons on welfare or under-employed trained in a career
path or apprenticeship program. The exact nature of the expected
outcomes will vary according to your proposed workplan. Applicants that
can demonstrate clearly identified outcomes and the means for ensuring
that outcomes will be tracked and are likely to be achieved will
receive a greater number of points. Applicants that propose activities
to increase their capacity to carry out innovative rural housing and
economic development activities should include among their projected
outcomes performance measures for maintaining the financial health and
integrity of the organization. Your proposed workplan and budget should
demonstrate a decreasing amount of RHED program funds over the life of
your program as a percentage of the total operating budget and should
include alternate sources of funding for producing desired outcomes.
Applicants that demonstrate a reduced dependence on RHED funding over
the life of their award will receive a greater number of rating points
for this sub-factor.
(c) (10 points) Self-monitoring and Program Evaluation. Your
workplan will be evaluated to ensure that you have a mechanism for
monitoring and self-assessing your progress in meeting program goals
and objectives, ensuring that the integrity of the use of funds is in
accordance with OMB Cost Principles and record-keeping requirements and
the approved program budget. Therefore, your workplan should describe
and identify the specific steps that you will take to carry out a self-
monitoring function that meets these requirements. Applicants that
clearly define roles and responsibilities and steps to be taken to meet
this requirement will receive a greater number of rating points in the
evaluation.
Rating Factor 4--Leveraging Resources (10 points)
This factor addresses the extent to which applicants for any of the
two funding categories have obtained firm commitments of financial or
in-kind resources from other Federal, State, local, and private sources
in an amount of at least fifty percent (50%) of the total project
budget. For every RHED dollar anticipated, you should provide the
specific amount of dollars leveraged. In assigning points for this
criterion, HUD will consider the level of outside resources obtained
for cash or in-kind services that support activities proposed in your
application. Fewer points will be awarded depending on the extent of
the percentage of leveraging in comparison with the total project
budget. This criterion is applicable to both funding categories under
this NOFA. The level of outside resources for which commitments are
obtained will be evaluated based on their importance to the total
program. You must provide evidence of leveraging by including in the
application letters of firm commitment to participate from any entity,
including your own organization, that will be providing matching funds
to the project. Each commitment described in the narrative of this
factor must be in accordance with the definition of ``firm commitment''
as defined in Section III(A)(2) of this NOFA.
Rating Factor 5--Comprehensiveness and Coordination (5 points)
This factor addresses the extent to which your proposed program is
coordinated with other ongoing and related activities in the area you
propose to serve as well as your future strategy for continuing this
activity. The purpose of this factor is to ensure that whenever
possible, activities are not operated in isolation, but rather are
linked with related activities and organizations to
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improve the overall effectiveness of all efforts being undertaken as
part of your total effort. In evaluating this factor, HUD will consider
the extent to which you have coordinated your activities with other
known organizations, have participated or promoted participation in the
state or relevant jurisdiction's Consolidated Planning process and/or a
statewide or local Analysis of Impediments to Fair Housing Choice, and
have addressed your described need in a holistic and comprehensive
manner through linkages with other activities in the area or approved
plans and programs funded by other local organizations, state or local
governments, national non-profits or foundations. The more
comprehensive and relevant your activities are coordinated with other
ongoing and related innovative rural housing and economic development
activities in your service area, the more points you will receive.
(a) (3 points) Describe the coordination of your proposed plan of
activities or future strategies for this proposed project with other
groups or organizations in order to best complement and mutually
support others' ongoing efforts or programs.
(b) (2 points) Identify specific actions that have been taken or
will be taken to coordinate comprehensive solutions through meetings,
outreach efforts, information networks, planning processes and other
mechanisms with:
(i) Other HUD funded projects/activities; and
(ii) Other Federal, State or locally funded activities, including
those proposed or ongoing in the area.
EZ/EC Bonus Points (2 points)
HUD will award two bonus points to all applications that include
documentation stating that the proposed eligible activities/projects
will be located in and serve Federally designated Rural Empowerment
Zones or Enterprise Communities (Rural EZs/ECs). A listing of Federally
designated Rural EZs and ECs is available on the Internet at http://www.ezec.gov.
VI. Application Submission Requirements
(A) Form of Application. You must submit a separate and distinct
application for each funding category for which you are applying under
this NOFA. All pages of the application shall be numbered sequentially.
Your application must include an original and two copies of the items
listed below.
(B) Application Items. Your application must contain the items
listed in this section. These items include the standard forms,
certifications, and assurances listed in Section II(G) of the General
Section of the SuperNOFA that are applicable to this funding
(collectively, referred to as the ``standard forms''). The remaining
application items are forms (i.e., excluding such items as narratives),
referred to as the ``nonstandard'' forms, that can be found in the
Appendices to this program section of the SuperNOFA. The items are as
follows:
(1) A transmittal letter;
(2) A table of contents;
(3) A signed SF-424 (application form);
(4) A budget for all funds (Federal and Non-Federal) and a
breakdown of all Federal funds requested, in the format provided in the
Appendix to this NOFA;
(5) Documentation of funds pledged in support of Rating Factor 4--
``Leveraging Resources'' (which will not be counted in the 15 page
limitation);
(6) The required certifications (signed, as appropriate, and
attached as an Appendix);
(7) Acknowledgment of the Application Receipt form (submitted with
application and returned to you as verification of timely receipt).
(8) If you are a private nonprofit organization, a copy of your
organization's IRS ruling providing tax-exempt status under section 501
of the IRS Code of 1986, as amended.
(9) The attached forms specifying:
(a) Which category of funds, as described in Section II(C), you are
applying for. You must submit a separate and distinct application in
each category for which you applied;
(b) Which of the five definitions of the term ``rural area'' set
forth in Section III(A)(2) of this NOFA applies to the proposed service
area and accompanying documentation as indicated on the form; and
(c) Which special populations, as set forth in Rating Factor 2(d),
you intend to serve.
(10) The Environmental Review Assurance.
(11) Narrative Response to Factors for Award.
(a) You must describe your organization and the assignment of
responsibilities for the work to be carried out under the grant (Rating
Factor 1).
(b) You must describe the need and extent of the problem (Rating
Factor 2).
(i) If you propose to create a new organization or institution
under the capacity building funding category, you must provide evidence
documenting that no existing organization or institution exists which
serves the need identified in the area.
(c) You must submit a workplan which describes your soundness of
approach and the clear linkage between rural housing and economic
development (Rating Factor 3). In addressing this submission
requirement, you must:
(i) Describe the activities you propose to undertake to address the
needs which have been identified, the linkage between rural housing and
economic development, and describe the specific outcomes you expect to
achieve.
(ii) Include a management plan which identifies the specific
actions you will take to complete the proposed activities on time and a
budget in the format provided which explains the uses of both Federal
and non-Federal funds and the period of performance under the grant and
your ability to be self-sustaining, should you not be funded by HUD in
future RHED competitions.
(iii) Include a discussion of the process by which the work
accomplished with the grant will be evaluated to determine if the
objectives of the grant were met. Be specific regarding the
qualifications of the evaluator and the process to be used.
(d) You must identify the resources which will be leveraged by the
amount of this grant's funding that you are requesting and explain
their importance to the program (Rating Factor 4). To receive the
maximum number of points under Rating Factor 4 you must provide
evidence of firm commitments. The commitment can be contingent upon HUD
site approval following environmental review.
(e) You must describe the extent to which your program reflects a
coordinated, community based process of identifying needs and building
a system to address these needs (Rating Factor 5).
The total narrative response to all factors should not exceed 15
pages and must be submitted on 8.5" by 11" paper, using a 12 point
size, with lines double spaced and printed only on one side. Please
note that although submitting pages in excess of the page limit will
not disqualify your application, HUD will not consider or review the
information on any excess pages, which may result in a lower score or
failure to meet a threshold.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
Applications under this program NOFA are subject to the National
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Environmental Policy Act of 1969 and applicable related Federal
environmental authorities. (See 24 CFR part 50, as applicable). An
environmental review will be completed by HUD before the award of any
grant under this program.
IX. Authority
The Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, 2001 Pub. L.
106-377, approved October 27, 2000).
Appendix A
The non-standard forms, which follow are required for your RHED
application.
BILLING CODE 4210-32-P
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Notices
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Notices
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FUNDING AVAILABILITY FOR CONTINUUM OF CARE HOMELESS ASSISTANCE
PROGRAMS--SUPPORTIVE HOUSING PROGRAM (SHP), SHELTER PLUS CARE
(S+C), SECTION 8 MODERATE REHABILITATION SINGLE ROOM OCCUPANCY
PROGRAM FOR HOMELESS INDIVIDUALS (SRO)
Program Overview
Purpose of the Programs. The purpose of the Continuum of Care
Homeless Assistance Programs is to fund projects that will fill gaps in
locally developed Continuum of Care systems to assist homeless persons
to move to self-sufficiency and permanent housing.
Available Funds. Approximately $850 million.
Eligible Applicants. The chart in the Appendix A to this program
section of this SuperNOFA identifies the eligible applicants for each
of the three programs under the Continuum of Care.
Application Deadline. May 31, 2001.
Match. Yes.
Additional Information
If you are interested in applying for funding under any of the
Continuum of Care Homeless Assistance programs, please review carefully
the General Section of the SuperNOFA and the following additional
information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original
containing the signed documentation and two copies) is due on or before
12:00 midnight, Eastern time, on May 31, 2001 to the addresses shown
below.
See the General Section of this SuperNOFA for specific procedures
that you must follow for the form of application submissions (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications. To HUD Headquarters. Submit
your original completed application (the application with the original
signed documentation) to: Room 7270, Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410, Attention: Continuum of Care
Programs.
To the Appropriate CPD Field Office. Also submit two copies of your
completed application to the Community Planning and Development
Division of the appropriate HUD Field Office for your jurisdiction. The
HUD Field Office must receive the two copies of your application by the
deadline date as well. The determination, however, that your
application was received on time will be made solely on receipt of the
application at HUD Headquarters in Washington. Reviews will be based
upon the contents of the application submitted to HUD Headquarters.
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929 (voice) or 1-800-HUD-
2209 (TTY), or you may download an application by Internet at http://
www.HUD.gov.
For Further Information. You may contact the HUD Field Office
serving your area, at the telephone number shown in Appendix A to the
General Section of the SuperNOFA, or you may contact the Community
Connections Information Center at 1-800-998-9999 (voice) or 1-800-HUD-
2209 (TTY) or by Internet at: http://www.comcon.org/ccprog.html.
For Technical Assistance. Before the application deadline, HUD
staff will be available to provide you with general guidance. HUD
staff, however, cannot provide you with guidance in actually preparing
your application. HUD Field Office staff also will be available to help
you identify organizations in your community that are involved in
developing the Continuum of Care system. Following conditional
selection of applications, HUD staff will be available to assist
selected applicants in clarifying or confirming information that is a
prerequisite to the offer of a grant agreement or Annual Contributions
Contract by HUD. However, between the application deadline and the
announcement of conditional selections, HUD will accept no information
that would improve the substantive quality of your application
pertinent to HUD's funding decision.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
Approximately $850 million is available for this competition in FY
2001. Any unobligated funds from previous competitions or additional
funds that may become available as a result of deobligations or
recaptures from previous awards or budget transfers may be used in
addition to 2001 appropriations to fund applications submitted in
response to this program section of this SuperNOFA. The funds available
for the Continuum of Care program can be used under any of three
programs that can assist in creating community systems for combating
homelessness. The three programs are:
(1) Supportive Housing;
(2) Shelter Plus Care; and
(3) Section 8 Moderate Rehabilitation for Single Room Occupancy
Dwellings for Homeless Individuals.
The chart in the Appendix A to this program section of this
SuperNOFA summarizes key aspects of the programs, and also provides the
citations for the statutes and regulations that authorize these
programs. The regulations listed in the chart provide more detailed
descriptions of each of the programs.
As in previous funding availability announcements for the Continuum
of Care Homeless Assistance Programs, HUD will not specify amounts for
each of the three programs this year. Instead, the distribution of
funds among the three programs will depend largely on locally
determined priorities and overall demand. Local priorities
notwithstanding, due to Congressional action, not less than 30 percent
of this year's total Homeless Assistance Grants appropriation of $1.025
billion must be used for permanent housing projects. (See Sections
V(A)(4)(b) and V(A)(7) of this program section of the SuperNOFA for
additional information.) Since this permanent housing set-aside
requirement is expected to continue to be part of future competitions
and may affect project funding selections as described below, you are
strongly encouraged to begin planning as soon as possible for new
permanent housing projects to be included as part of your submission in
this and future competitions.
In addition, Congress has established a fund separate from the 2001
Homeless Assistance Grants appropriation for the purpose of renewing
for one year eligible Shelter Plus Care Program grants whose five-year
terms are expiring in FY2002 and Shelter Plus Care Program grants that
have been extended beyond their original five-year terms but which are
projected to run out of funds in FY 2002. For Shelter Plus Care Program
renewal grants expiring or, if having had its grant term extended,
running out of funds, during the period October 1 through December 31,
2002 (the first quarter of FY 2003), it is anticipated that the FY 2002
HUD appropriation will again establish a separate fund to renew them
non-competitively. However, if such a separate fund is not established
or is insufficient, then some or all of these
[[Page 12210]]
renewal grant requests will be included in and subject to all rules
pertaining to this competition. In order to meet the expressed
Congressional intent not to divorce these Shelter Plus Care renewals
from the accountability requirements that are needed to preserve the
financial integrity of the projects, and to ensure that these projects
continue to meet the needs of the homeless, all Shelter Plus Care
renewals must be submitted as part of a community's Continuum of Care
submission. However, these S+C renewal projects will not count against
your continuum's pro rata need amount. On the other hand, no S+C
renewal adjustment will be made to a Continuum of Care's pro rata need
amount since these projects are being funded outside of the
competition. Please be advised that Shelter Plus Care renewal
applications which are not submitted as part of either a
``consolidated'' or ``associated'' Continuum of Care application will
not be considered as eligible for funding. (See Section VI for a
description of the three options for submitting applications.)
Should Congress pass and the President sign legislation prior to
this year's grant announcement permitting eligible SHP permanent
housing component renewals selected for funding in the 2001 competition
to be funded non-competitively, HUD reserves the right to exercise this
authority. Should this authority be exercised, HUD will skip over the
SHP permanent housing renewals in choosing projects from Continuum of
Care priority lists for funding in this year's competition. These non-
competitively funded SHP permanent housing renewals will not count
against your continuum's pro rata need amount, thus increasing the
funds available for other projects. You should plan for this
eventuality when developing your Continuum of Care priority list. SHP
permanent housing renewal applications which are not submitted as part
of either a ``consolidated'' or ``associated'' Continuum of Care
application will not be considered as eligible for non-competitive
funding under this authority, should it be exercised.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. (1) Developing Continuum of Care Systems.
The purpose of the Continuum of Care Homeless Assistance Programs is to
fund projects that will fill gaps in locally developed Continuum of
Care systems to assist homeless persons to move to self-sufficiency and
permanent housing. The process of developing a Continuum of Care system
to assist homeless persons is part of the community's larger effort of
developing a Consolidated Plan. For a community to successfully address
its often complex and interrelated problems, including homelessness,
the community must marshall its varied resources--community and
economic development resources, social service resources, housing and
homeless assistance resources--and use them in a coordinated and
effective manner. The Consolidated Plan, including the Analysis of
Impediments to Fair Housing Choice, serves as the vehicle for a
community to comprehensively identify each of its needs and to
coordinate a plan of action for addressing them.
A Continuum of Care system consists of four basic components:
(a) A system of outreach and assessment for determining the needs
and conditions of an individual or family who is homeless;
(b) Emergency shelters with appropriate supportive services to help
ensure that homeless individuals and families receive adequate
emergency shelter and referral to necessary service providers or
housing finders;
(c) Transitional housing with appropriate supportive services to
help those homeless individuals and families who are not prepared to
make the transition to permanent housing and independent living; and
(d) Permanent housing, or permanent supportive housing, to help
meet the long-term needs of homeless individuals and families.
A Continuum of Care system is developed through a community-wide or
region-wide process involving nonprofit organizations (including those
representing persons with disabilities), government agencies, other
homeless providers, housing developers and service providers, private
businesses and foundations, and homeless or formerly homeless persons.
A Continuum of Care system should address the specific needs of each
homeless subpopulation: The jobless, veterans, persons with serious
mental illnesses, persons with substance abuse issues, persons with
HIV/AIDS, persons with multiple diagnoses, victims of domestic
violence, youth, and any others. The term ``multiple diagnoses'' may
include diagnoses of multiple physical disabilities or multiple mental
disabilities or a combination of these two types.
As an applicant, the community process you use in developing a
Continuum of Care system should include interested veteran service
organizations. To ensure that the Continuum of Care system addresses
the needs of homeless veterans, it is particularly important that you
involve veteran service organizations with specific experience in
serving homeless veterans. In addition, given the large number of
youths aging out of the Foster Care system each year who will be
homeless, you should seek to include persons knowledgeable on this
issue in the planning process.
Your application is more likely to be given a high score under the
Continuum of Care scoring factors if the application demonstrates the
achievement of three basic goals:
That you have provided maximum participation by non-profit
providers of housing and services; homeless and formerly homeless
persons; state and local governments and agencies; veteran service
organizations; organizations representing persons with disabilities;
the private sector; housing developers; foundations and other community
organizations.
That you have created, maintained and built upon a
community-wide inventory of housing and services for homeless families
and individuals; identified the full spectrum of needs of homeless
families and individuals; and coordinated efforts to fill gaps between
the current inventory and existing needs. This coordinated effort must
appropriately address all aspects of the continuum, especially
permanent housing.
That you have instituted a Continuum of Care-wide strategy
to coordinate homeless assistance with mainstream health, social
services and employment programs for which homeless individuals and
families may be eligible. These mainstream programs include Medicaid,
Children's Health Insurance Program, Temporary Assistance for Needy
Families, Food Stamps, and services funding through the Mental Health
Block Grant and Substance Abuse Block Grant, Workforce Investment Act
and the Welfare-to-Work grant program.
Should HUD determine, in its sole discretion, that sufficient
evidence exists to confirm that the entity responsible for convening
and managing the Continuum of Care process in a community has failed to
follow locally established or accepted procedures governing the conduct
of that process or has failed to provide for a fair process, including
a project priority selection process that gives equal consideration to
projects proposed by non profit organizations, HUD reserves the
authority to impose sanctions up to and
[[Page 12211]]
including a prohibition on that entity and the individuals comprising
that entity from participating in that capacity in the future. In
making this determination, HUD will consider as evidence court
proceedings and decisions, or the determinations of other independent
and impartial review bodies. This authority cannot be exercised until
after a description of procedural safeguards, including an opportunity
for comment and appeal, and the specific process and procedures for
imposing a prohibition or debarment, have been published in the Federal
Register.
In deciding the geographic area you will cover in your Continuum of
Care strategy, you should be aware that the single most important
factor in being awarded funding under this competition will be the
strength of your Continuum of Care strategy when measured against the
Continuum of Care rating factors described in this SuperNOFA. When you
determine what jurisdictions to include in your Continuum of Care
strategy area, include only those jurisdictions that are involved in
the development and implementation of the Continuum of Care strategy.
The more jurisdictions you include in the Continuum of Care
strategy area, the larger the pro rata need share that will be
allocated to the strategy area (as described in Section V(A)(4) of this
program section of the SuperNOFA). However, it would be a mistake to
include jurisdictions that are not fully involved in the development
and implementation of the Continuum of Care strategy since this would
adversely affect the Continuum of Care score. If you are a rural
county, you may wish to consider working with larger groups of
contiguous counties to develop a region-wide or multi-county Continuum
of Care strategy covering the combined service areas of these counties.
Since the basic concept of a Continuum of Care strategy is to
create a single, coordinated, inclusive homeless assistance system for
an area, the areas covered by Continuum of Care strategies should not
overlap. If your Continuum of Care strategy geographically overlaps to
the extent that it essentially competes with another, projects in the
application/Continuum of Care that receives the highest score out of
the possible 60 points for Continuum of Care will be eligible for up to
40 points under Need. Projects in the competing applications/Continuum
of Care with the less effective Continuum of Care strategy will be
eligible for only 10 points under Need. In no case will the same
geographical area be used more than one time in assigning Need points.
The local HUD Field Office can help you determine if any of the areas
proposed for inclusion by your Continuum of Care system is also likely
to be claimed under another Continuum of Care system in this
competition.
(2) Prioritizing. In HUD's view, project priority decisions are
best made through a local process, which includes nonprofit
organizations, and are key to the ultimate goal of reducing
homelessness. Again this year, you must list all projects proposed for
funding in priority order from the highest priority to the lowest.
Generally, this priority order will mean, for example, that if HUD has
funds available only to award 8 of 10 proposed projects, then it will
award funding to the first eight eligible projects listed, except as
may be necessary to achieve the 30 percent overall permanent housing
requirement--in which case higher priority non-permanent housing
projects may be skipped over to fund lower priority permanent housing
projects. Please be advised that since you are now able to closely
calculate your Continuum of Care's total pro rata need amount using
information provided to you from HUD, and now that you no longer need
to carry the large cost burden imposed by Shelter Plus Care five-year
renewals, the tiering of projects (splitting into two or more projects
by year or by units) on your priority list is no longer permitted.
To promote permanent housing, a special incentive is being provided
to Continuum of Care systems that place an eligible, new permanent
housing project in the number one priority slot on the priority list.
See Section V(A)(4)(b) of this program section of the SuperNOFA for a
description of this incentive.
HUD will use this priority list to award up to 40 points per
project under the ``Need'' scoring factors. Higher priority projects
will receive more points under Need than lower priority projects. A
project priority chart is included in the application kit and you
should complete and submit it. If you do not submit clear project
priority designations for the continuum, or if HUD, at its sole
discretion, cannot determine priority designations, then HUD will give
all projects the lowest score for Need.
Project renewals. If your Supportive Housing or Shelter Plus Care
grant will be expiring in calendar year 2002, or if your Shelter Plus
Care Program grant has been extended beyond its original five-year term
and is projected to run out of funds in FY 2002, you must apply under
this Continuum of Care program section of the SuperNOFA to get
continued funding.
Your local needs analysis process must consider the need to
continue funding for projects expiring in calendar year 2002, and you
must assign a priority to those SHP projects requesting competitive
renewal. HUD will not fund competitive renewals out of order on the
priority list except as may be necessary to achieve the 30 percent
overall permanent housing requirement. HUD reserves the authority to
use FY 2002 funds, if available, to conditionally select for one year
of funding lower-rated eligible SHP renewal projects that are assigned
40 need points in continuum of care systems that would not otherwise
receive funding for these projects.
Regardless of the priority assigned to expiring projects, you
should fully consider how persons currently being served by those
projects will continue to be served, and address this issue in your
gaps analysis. To the extent your community desires to have SHP
projects renewed, you should give them the top priorities on the
priority projects listing in the application. It is also important that
they and Shelter Plus Care non-competitive renewals meet minimum
project eligibility and capacity standards identified in this program
section of the SuperNOFA or they will be rejected from consideration
for either competitive or non-competitive funding.
For the renewal of a Supportive Housing Program project, you may
request funding for one (1), two (2) or three (3) years. For the
renewal of a Shelter Plus Care project, the grant term will be one (1)
year as specified by Congress. For S+C renewals, you may request up to
the amount determined by multiplying the number of units under lease at
the time of your application for renewal funding by the applicable
current Fair Market Rent(s) by 12 months, except that for Shelter Plus
Care grants having been awarded one-year of renewal funding in 2000,
the number of units requested for renewal this year may not exceed the
number of units funded in 2000. While full funding of existing grants
may be requested, there is no guarantee that the entire amount will be
awarded. As is the case with SHP, HUD will recapture Shelter Plus Care
grant funds remaining unspent at the end of the previous grant period
when it renews a grant. The one-year term of non-competitively awarded
Shelter Plus Care renewal projects may not be extended.
This program section of the SuperNOFA is not applicable to the
renewal of funding under the SRO program. For further guidance on SRO
[[Page 12212]]
renewals, please contact your local HUD Field Office.
As a project applicant, you are eligible to apply for renewal of a
grant only if you have executed a grant agreement for the project
directly with HUD. If you are a project sponsor or subrecipient who has
not signed such an agreement, you are not eligible to apply for renewal
of these projects. HUD will reject applications for renewal submitted
by ineligible applicants. If you have questions about your eligibility
to apply for project renewal, contact the local HUD field office. To be
considered an applicant when applying as part of a ``consolidated''
application, you must submit an originally signed HUD Form SF-424 and
the necessary certifications and assurances. (See Section VI for a
description of the three options for submitting an application.) Only
public housing authorities and private nonprofits are eligible
applicants for the Section 8 Moderate Rehabilitation for Single Room
Occupancy program. If you are a unit of general local government acting
as an applicant for a consolidated application and plan to include a
request for Section 8 SRO funds, you must have a public housing
authority or nonprofit listed as the Section 8 SRO applicant and they
must submit a signed HUD Form SF-424, along with all necessary
certifications and assurances applicable to the Section 8 SRO project.
(B) Eligible Applicants. See Appendix A.
(C) Eligible Activities. See Appendix A.
IV. Program Requirements
(A) Statutory and Regulatory Requirements. If your project is
selected for funding as a result of the competition, you will be
required to coordinate and integrate your homeless program with other
mainstream health, social services, and employment programs for which
homeless populations may be eligible, including Medicaid, Children's
Health Insurance Program, Temporary Assistance for Needy Families, Food
Stamps, and services funding through the Mental Health Block Grant and
Substance Abuse Block Grant, Workforce Investment Act and the Welfare-
to-Work grant program. In addition, as a condition for award, any
governmental entity serving as an applicant must agree to develop and
implement, to the maximum extent practicable and where appropriate,
policies and protocols for the discharge of persons from publicly
funded institutions or systems of care (such as health care facilities,
foster care or other youth facilities, or correction programs and
institutions) in order to prevent such discharge from immediately
resulting in homelessness for such persons. This condition for award is
intended to emphasize that States and units of general local government
are primarily responsible for the care of these individuals, and to
forestall attempts to use scarce McKinney-Vento Act funds to assist
such persons in lieu of State and local resources. Program specific
requirements follow:
(1) SRO Program. As an applicant, you need know that the following
limitations apply to the Section 8 SRO program:
Under section 8(e)(2) of the United States Housing Act of
1937, no single project may contain more than 100 assisted units;
Under 24 CFR 882.802, applicants that are private
nonprofit organizations must subcontract with a Public Housing
Authority to administer the SRO assistance;
Under section 8(e)(2) of the United States Housing Act of
1937 and 24 CFR 882.802, rehabilitation must involve a minimum
expenditure of $3,000 for a unit, including its prorated share of work
to be accomplished on common areas or systems, to upgrade conditions to
comply with the Housing Quality Standards.
Under section 441(e) of the McKinney-Vento Act and 24 CFR
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit
each year to take into account changes in construction costs. This cost
limitation applies to rehabilitation that is compensated for in a
Housing Assistance Payments Contract. For purposes of Fiscal Year 2001
funding, the cost limitation is raised from $17,850 to $18,200 per unit
to take into account increases in construction costs during the past
12-month period.
The SRO Program is subject to the Federal labor standards
provisions at 24 CFR Part 882, subpart H.
Individuals assisted through the SRO Program must meet the
definition of homeless individual found at Section 103 of the McKinney-
Vento Act.
(2) Shelter Plus Care/SRO Component. With regard to the SRO
component of the Shelter Plus Care program, if you are a State or a
unit of general local government, you must subcontract with a Public
Housing Authority to administer the Shelter Plus Care assistance. Also
with regard to this component, no single project may contain more than
100 units.
(3) Supportive Housing Program. Please be advised that where an
applicant for Supportive Housing Program funding is a State or unit of
general local government that utilizes one or more nonprofit
organizations to administer the homeless assistance project(s),
administrative funds provided as part of the SHP grant must be passed
on to the nonprofit organization(s) in proportion to the administrative
burden borne by them for the SHP project(s). HUD will consider States
or units of general local government that pass on at least 50 percent
of the administrative funds made available under the grant as having
met this requirement which was contained in the congressional
committees' report accompanying the FY 2001 HUD Appropriations Act.
This requirement does not apply to either the SRO Program, since no
administrative funds are provided as part of the grant, or to the S+C
Program, since paying the costs associated with the administration of
these grants is ineligible by regulation.
(B) Match. You must match Supportive Housing Program funds provided
for acquisition, rehabilitation, and new construction with an equal
amount of funds from other sources; for operating costs, since by law
SHP can pay no more than 75% of the total operating budget for
supportive housing, you must provide at least 25% of the annual
operating costs. In addition, you must provide a 25% match of all SHP
funding for supportive services. The cash source may be you, the
Federal Government, State and local governments, or private resources.
You must match rental assistance provided through the Shelter Plus Care
Program in the aggregate with supportive services.
(C) Linking Housing and Supportive Services. Many of the clients
who will be served by the HUD programs covered by this Continuum of
Care NOFA may need services in addition to housing. It is important
that potential grantees design programs which enhance access to those
needed services. While HUD recognizes that there are many ways to
ensure that clients receive the services they need, to the extent
possible, the Department encourages providers to develop housing
programs which do not require participation in services as a part of
their occupancy requirements while ensuring that, in the case of
Shelter Plus Care, the supportive service match requirement is met.
(D) Timeliness Standards. As an applicant, you are expected to
initiate your approved projects promptly. HUD may take action if you
fail to satisfy the following timeliness standards:
(1) Supportive Housing Program
HUD will deobligate SHP funds if you have not demonstrated
site control
[[Page 12213]]
within one (1) year after you were initially notified of the grant
award, as provided in 24 CFR 583.320(a), subject to the exceptions
noted in that regulation.
Except where HUD finds that delay was due to factors
beyond your control, HUD may deobligate SHP funds if you do not meet
the following additional timeliness standards:
--You must begin construction activities within eighteen (18) months
after initial notification of your grant award and complete them within
thirty-six (36) months after that notification.
--For activities that cannot begin until construction activities are
completed, such as supportive service or operating activities that will
be conducted within the building being rehabilitated or newly
constructed, you must begin these activities within three (3) months
after you complete construction.
--You must begin all activities that may proceed independent of
construction activities within twelve (12) months after initial
notification of your grant award.
(2) Shelter Plus Care Program Components Except SRO Component.
Except where HUD finds that delay was due to factors beyond your
control, HUD will deobligate S+C funds if you do not meet the following
timeliness standards:
For Tenant-based Rental Assistance, for Sponsor-based
Rental Assistance, and for Project-based Rental Assistance without
rehabilitation, you must start the rental assistance within twelve (12)
months of the initial announcement of the grant award.
For Project-based Rental Assistance with rehabilitation,
you must complete the rehabilitation within twelve (12) months of
initial notification of your grant award.
(3) SRO Program and SRO Component of the Shelter Plus Care Program.
For projects carried out under the SRO program and the SRO
component of the S+C program, the rehabilitation work must be completed
and the Housing Assistance Payments contract executed within twelve
(12) months of execution of the Annual Contributions Contract. HUD may
reduce the number of units or the amount of the annual contribution
commitment if, in HUD's determination, the Public Housing Authority
fails to demonstrate a good faith effort to adhere to this schedule.
V. Application Selection Process
(A) Review, Rating and Conditional Selection. HUD will use the same
review, rating, and conditional selection process for all three
programs (S+C, SRO, and SHP). The standard factors for award identified
in the General Section of this SuperNOFA have been modified in this
program section as described below. Only the factors described in this
program section--Continuum of Care and Need--will be used to assign
points. To review and rate applications, HUD may establish panels. In
order to obtain certain expertise and outside points of view, including
views from other Federal agencies, these panels may include persons not
currently employed by HUD. Two types of reviews will be conducted.
Paragraphs (1) and (2) below describe threshold reviews and paragraphs
(3) and (4) describe factors--Continuum of Care and Need--that will be
used to assign points. Up to 104 points (including bonus points and
points for the court-ordered consideration described in Section
III(C)(1) and (2) of the General Section of the SuperNOFA) will be
assigned using these factors.
(1) Applicant and sponsor eligibility and capacity. HUD will review
your capacity as the applicant and project sponsor to ensure the
eligibility and capacity standards in this section are met. If HUD
determines these standards are not met, the project will be rejected
from the competition. The eligibility and capacity standards are:
You must be eligible to apply for the specific program;
You must demonstrate ability to carry out the project(s).
With respect to each proposed project, this means that in addition to
knowledge of and experience with homelessness in general, the
organization carrying out the project, its employees, or its partners,
must have the necessary experience and knowledge to carry out the
specific activities proposed, such as housing development, housing
management, and service delivery;
If you or the project sponsors are current or past
recipients of assistance under a HUD McKinney-Vento Act program, there
must have been no delay in implementing projects exceeding applicable
program timeliness standards that HUD determines is within your or the
project sponsor's control, unresolved HUD finding, or outstanding audit
finding of a material nature regarding the administration of the
program; and
You and the project sponsors must be in compliance with
applicable civil rights laws and Executive Orders, and must meet the
threshold requirements of Section II(B) of the General Section of the
SuperNOFA.
(2) Project eligibility and quality. HUD will review projects to
determine if they meet the following eligibility and quality standards.
If HUD determines the following standards are not met by a specific
project or activity, the project or activity will be rejected from the
competition.
The population to be served must meet the eligibility
requirements of the specific program, as described in this program
section;
At least one of the activities for which assistance is
requested must be eligible under the specific program, as described in
the program regulations;
The housing and services proposed must be appropriate to
the needs of the persons to be served. HUD may find a project to be
inappropriate if:
--The type and scale of the housing or services clearly does not fit
the needs of the proposed participants;
--Participant safety in the proposed housing is not ensured;
--The housing or services are clearly designed to principally meet
emergency needs rather than helping participants achieve self-
sufficiency;
--Transportation and community amenities are not available and
accessible; or
--Housing accessibility for persons with disabilities is not provided
as required by applicable laws;
An SHP or S+C project renewal will be considered as having met this
requirement through its previously approved grant application.
The project must be cost-effective in HUD's opinion,
including costs associated with construction, operations, and
administration, with such costs not deviating substantially from the
norm in that locale for the type of structure or kind of activity;
Supportive services only projects, and all others, must
show how participants will be helped to access permanent housing and
achieve self-sufficiency. An SHP or S+C project renewal will be
considered as having met this requirement through its previously
approved grant application;
For the Section 8 SRO program, at least 25 percent of the
units to be assisted at any one site must be vacant at the time of
application. Tenants returning after having vacated their units during
the rehabilitation period are not eligible to receive rental assistance
under the SRO Program since they do not meet the McKinney-Vento Act
definition of homeless individual; and
For those projects proposed under the SHP innovative
category: Whether or not a project is considered innovative
[[Page 12214]]
will be determined on the basis that the particular approach proposed
is new within its geographic area, and can be replicated.
(3) Continuum of Care. HUD will award up to 60 points as follows:
(a) Process and Strategy. HUD will award up to 30 points based on
the extent to which your application demonstrates:
The existence of a coordinated and inclusive community
process, including organizational structure(s), for developing and
implementing a Continuum of Care strategy which includes nonprofit
organizations (such as veterans service organizations, organizations
representing persons with disabilities, and other groups serving
homeless persons), State and local governmental agencies, other
homeless providers, housing developers and service providers, private
foundations, local businesses and the banking community, and homeless
or formerly homeless persons; and
That a well-defined and comprehensive strategy has been
developed which addresses the components of a Continuum of Care system
(i.e., outreach, intake, and assessment; emergency shelter;
transitional housing; permanent and permanent supportive housing) and
that strategy has been designed to serve all homeless subpopulations in
the community (e.g., seriously mentally ill, persons with multiple
diagnoses, veterans, persons with HIV/AIDS), including those persons
living in emergency shelters, supportive housing for homeless persons,
or in places not designed for, or ordinarily used as, a regular
sleeping accommodation for human beings.
(b) Gaps and Priorities. HUD will award up to 20 points based on
the extent to which your application:
Describes the gap analysis performed, uses reliable
information and sources that are presented completely and accurately,
and establishes the relative priority of homeless needs identified in
the Continuum of Care strategy; and
Proposes projects that are consistent with the priority
analysis described in the Continuum of Care strategy, describes a fair
project selection process, explains how gaps identified through the
analysis are being addressed, and correctly completes the priority
chart.
When HUD reviews a community's Continuum of Care to determine the
points to assign, HUD will consider whether the community took its
renewal needs into account in preparing its project priority list. (See
discussion on renewals in Section III(A)(2) of this NOFA.)
(c) Supplemental Resources. HUD will award up to 10 points based on
the extent to which your application incorporates mainstream resources
and demonstrates leveraging of funds requested under this program
section of the SuperNOFA with other resources, including private, other
public, and mainstream services and housing programs. To achieve the
highest rating for this factor, applicants must evidence explicit
Continuum of Care-wide strategies to coordinate homeless assistance
with mainstream health, social services and employment programs for
which homeless populations may be eligible. These include Medicaid,
Children's Health Insurance Program, Temporary Assistance for Needy
Families, Food Stamps, and services funding through the Mental Health
Block Grant and Substance Abuse Block Grant, Workforce Investment Act
and the Welfare-to-Work grant program.
(d) EZ/EC bonus points. As provided for in Section III(C)(1) of the
General Section of this SuperNOFA, HUD will add a bonus of up to 2
points to the Continuum of Care score when: (1) At least one proposed
homeless assistance project will be located within the boundaries and/
or will principally serve the residents of a federal Empowerment Zone,
Enterprise Community, Enhanced Enterprise Community, or Strategic
Planning Communities (collectively ``EZ/EC''); and (2) if priority
placement will be given by the project(s) to homeless persons living on
the streets or in shelters within the EZ/EC, or whose last known
address was within the EZ/EC. In addition, and in order for a Continuum
of Care system to receive any of the bonus points, the applicant must
specifically state how it meets the requirements for the two EZ/EC
bonus points, and provide a narrative describing the extent of the
linkages and coordination between proposed projects and the EZ/EC.
Examples of such coordination include having common board or committee
membership (EZ/EC and Continuum of Care), and having EZ/EC resources
directed toward Continuum of Care activities. The greater the extent of
EZ/EC involvement in and coordination with the implementation strategy
for the Continuum of Care system and projects, the greater the
likelihood that bonus points will be awarded.
(e) Court-ordered consideration. Section III(C)(2) of the General
Section is applicable to this program.
(4) Need. HUD will award up to 40 points for need. There is a
three-step approach to determining the need scores to be awarded to
projects:
(a) Determining relative need: To determine the homeless assistance
need of a particular jurisdiction, HUD will use nationally available
data, including the following factors as used in the Emergency Shelter
Grants program: data on poverty, housing overcrowding, population, age
of housing, and growth lag. Applying those factors to a particular
jurisdiction provides an estimate of the relative need index for that
jurisdiction compared to other jurisdictions applying for assistance
under this program section of the SuperNOFA.
(b) Applying relative need: HUD will then apply that relative need
index to the total amount of funding estimated to be available under
this program section of the SuperNOFA to determine a jurisdiction's pro
rata need. However, in order to promote permanent housing for the
homeless, if a Continuum of Care's number one priority project
qualifies as an eligible, new permanent housing project, then the full
amount of that project's eligible activities, up to $500,000 will be
added to the final pro rata need amount for the Continuum. HUD also
reserves the right to adjust pro rata need, if necessary, to address
SHP project renewals and any Shelter Plus Care renewal projects funded
under competitive rules.
(c) Awarding need points to projects: Once the pro rata need is
established, it is applied against the priority project list in the
application. Starting from the highest priority project, HUD proceeds
down the list to award need points to each project. An eligible project
will receive the full 40 points for need if at least one half of its
requested amount falls within the pro rata need amount for that
Continuum of Care (COC). Thereafter, HUD proceeds further down the
priority project list and awards 15 points for need to each project if
at least one half of its requested amount falls within the ``second
tier'' of pro rata need amount for that Continuum of Care. The ``second
tier'' is the amount between the pro rata need and twice the pro rata
need for the COC. Remaining projects each receive 10 points. If
projects are not prioritized for the Continuum, then all projects will
receive 10 points for Need.
In the case of competing applications from a single jurisdiction or
service area, projects in the application that received the highest
score out of the possible 60 points for Continuum of Care are eligible
for up to 40 points under Need. Projects in the competing applications
with lower Continuum of
[[Page 12215]]
Care scores are eligible for only 10 points under Need.
(5) Ranking. HUD will add the score for Continuum of Care to the
Need score and EZ/EC bonus points, if any, to obtain a total score for
each project. The projects will then be ranked from highest to lowest
according to the total combined score.
(6) Conditional Selection and Adjustments to Funding.
(a) Conditional Selection. Whether a project is conditionally
selected, as described in Section V(B) below, will depend on its
overall ranking compared to others, except that HUD reserves the right
to select lower rated eligible projects in order to meet the 30 percent
overall permanent housing requirement. (See V(A)(7) for additional
selection information.)
When insufficient funds remain to fund all projects in the
competition having the same total score, HUD will first fund permanent
housing projects if necessary to achieve the 30 percent overall
permanent housing requirement. HUD will then break ties among the
remaining projects with the same total score by comparing scores
received by the projects for each of the following scoring factors, in
the order shown: Need, Overall Continuum of Care (COC) score, COC
Process and Strategy, COC Gaps and Priorities, and COC Supplemental
Resources. The final tie-breaking factor is the priority number of the
competing projects on the applicable COC priority list(s).
(b) Adjustments to Funding. The Secretary of HUD has determined
that geographic diversity is appropriate to carrying out homeless
assistance programs in an effective manner. HUD believes that
geographic diversity can be achieved best by awarding grants to as many
COCs as possible. To this end, in instances where any of the 50 States,
the District of Columbia, the Commonwealth of Puerto Rico, Guam, the
Northern Mariana Islands, the Virgin Islands, and American Samoa does
not have at least one funded COC, HUD reserves the right to fund
eligible project(s) receiving 40 Need points in the COC with the
highest total score in that jurisdiction. To qualify for funding, the
total score for these first tier projects on the COC priority list must
be at least 70 points. In the case of two or more COCs with the same
total score, HUD will use the tie-breaking rules described above. In
addition, if the highest priority project passing threshold
requirements within a COC fails to meet the criteria for receiving 40
Need points, HUD reserves the right to reduce the total requested
amount for that project to allow it to qualify for 40 Need points. HUD
may otherwise adjust funding of applications in accordance with the
provisions of Section III(E) of the General Section of the SuperNOFA.
In addition, HUD reserves the right to ensure that a project that is
applying for, and eligible for, selection under this competition is not
awarded funds that duplicate activities.
(7) Additional selection considerations. HUD also will apply the
limitations on funding described below in making conditional
selections.
In accordance with the appropriation for homeless assistance grants
in the Fiscal Year 2001 Appropriation Act for HUD (Pub.L. 106-377,
approved October 27, 2000; 114 Stat. 1441), HUD will use not less than
30 percent of the total FY 2001 Homeless Assistance Grants
appropriation to fund projects that meet the definition of permanent
housing. Projects meeting the definition of permanent housing for this
purpose are: (1) New Shelter Plus Care projects, (2) Section 8 SRO
projects, and (3) new and renewal projects designated as permanent
housing for homeless persons with disabilities under the Supportive
Housing Program, that, in addition, have been assigned at least 15 Need
points, and which are submitted as part of either a ``consolidated'' or
``associated'' Continuum of Care application receiving at least 20
points under the Continuum of Care scoring factor. However, no
Continuum of Care application may receive more than 20 percent of its
pro rata need, up to $3 million, for ``second-tier'' permanent housing
projects assigned 15 Need points that are selected for funding under
this procedure. (See Section V(A)(4)(c) for definition of ``second-
tier''.) Since the FY 2001 Homeless Assistance Grants appropriation is
$1.025 billion, not less than $307.5 million, plus carry over from the
FY 2000 competition, must be awarded to permanent housing projects
unless an insufficient number of approvable permanent housing projects
is submitted. This permanent housing funding requirement may result in
higher scoring non-permanent housing projects being skipped over to
fund lower scoring permanent housing projects or, within a continuum,
higher priority non-permanent housing projects being skipped over to
fund lower priority permanent housing projects. HUD will first skip
over new non-permanent housing projects when making project selections
in order to meet the 30 percent requirement. If the 30 percent
requirement has not been met after skipping over the new non-permanent
housing projects, then HUD will skip over non-permanent housing renewal
projects. In skipping over new non-permanent housing projects, HUD will
begin with the lowest rated, eligible new non-permanent project at the
funding line and continue up the ranking until the 30 percent
requirement is met. If HUD is required to skip over non-permanent
housing renewal projects, HUD will proceed in the same way.
In accordance with section 429 of the McKinney-Vento Act, HUD will
award Supportive Housing funds as follows: not less than 25 percent for
projects that primarily serve homeless families with children; not less
than 25 percent for projects that primarily serve homeless persons with
disabilities; and not less than 10 percent for supportive services not
provided in conjunction with supportive housing. After projects are
rated and ranked, based on the factors described above, HUD will
determine if the conditionally selected projects achieve these minimum
percentages. If not, HUD will skip higher-ranked projects in order to
achieve these minimum percentages.
In accordance with section 463(a) of the McKinney-Vento Act, as
amended by the Housing and Community Development Act of 1992, at least
10 percent of Shelter Plus Care funds will be awarded for each of the
four components of the program: Tenant-based Rental Assistance;
Sponsor-based Rental Assistance; Project-based Rental Assistance; and
Section 8 Moderate Rehabilitation of Single Room Occupancy Dwellings
for Homeless Individuals (provided there are sufficient numbers of
approvable projects to achieve these percentages). After projects are
rated and ranked, based on the factors described above, HUD will
determine if the conditionally selected projects achieve these minimum
percentages. If necessary, HUD will skip higher-ranked projects in
order to achieve these minimum percentages.
In accordance with section 455(b) of the McKinney-Vento Act, no
more than 10 percent of the assistance made available for Shelter Plus
Care in any fiscal year may be used for programs located within any one
unit of general local government. In accordance with section 441(c) of
the McKinney-Vento Act, no city or urban county may have Section 8 SRO
projects receiving a total of more than 10 percent of the assistance
made available under this program. HUD is defining the 10 percent
availability this fiscal year as $10 million for Shelter Plus Care and
$10 million for Section 8 SRO. However, if the amount awarded under
either of these two programs exceeds $100
[[Page 12216]]
million, then the amount awarded to any one unit of general local
government (for purposes of the Shelter Plus Care program) or city or
urban county (for the purposes of the SRO program) could be up to 10
percent of the actual total amount awarded for that program.
Lastly, HUD reserves the right to reduce the amount of a grant if
necessary to ensure that no more than 10 percent of assistance made
available under this program section of the SuperNOFA will be awarded
for projects located within any one unit of general local government or
within the geographic area covered by any one Continuum of Care. If HUD
exercises a right it has reserved under this program section of the
SuperNOFA, that right will be exercised uniformly across all
applications received in response to this program section of the
SuperNOFA.
(B) Action on Conditionally Selected Applications. HUD will notify
conditionally selected applicants in writing. As necessary, HUD will
subsequently request them to submit additional project information,
which may include documentation to show the project is financially
feasible; documentation of firm commitments for cash match;
documentation showing site control; information necessary for HUD to
perform an environmental review, where applicable; and such other
documentation as specified by HUD in writing to the applicant, that
confirms or clarifies information provided in the application. HUD will
notify SHP, SRO, S+C and S+C/SRO applicants of the deadline for
submission of such information. If an applicant is unable to meet any
conditions for fund award within the specified timeframe, HUD reserves
the right not to award funds to the applicant, but instead to either:
use them to select the next highest ranked application(s) from the
original competition for which there are sufficient funds available; or
add them to funds available for the next competition for the applicable
program.
VI. Application Submission Requirements
The application kit provides the application materials, including
Form SF-424 and certifications, that must be used in applying for
homeless assistance under this SuperNOFA. These application materials
substitute for the forms, certifications, and assurances listed in
Section II(G) of the General Section of the SuperNOFA (collectively,
the ``standard'' forms).
In addition to the required narratives, the items that you must
submit to HUD as part of the application for homeless assistance
funding are the following:
1. 2001 Application Summary Form
2. Continuum of Care and Project Exhibits
3. Gaps Analysis Form
4. Project Priorities Form
5. Project Leveraging Form
6. EZ/EC Certification
7. SF-424
8. Applicant Certifications
9. Consolidated Plan Certification(s)
The standard forms can be found in Appendix B to the General
Section of the SuperNOFA. The remaining forms (i.e., excluding such
items as narratives), referred to as the non-standard forms, can be
found in Appendix B to this program section of the SuperNOFA).
The application requires a description of the Continuum of Care
system and the proposed project(s). To ensure that no applicant is
afforded an advantage in the rating of the Continuum of Care element
(described in Section V(A)(3) above), HUD is establishing a limitation
of 25 pages, excluding required multiple page tables or charts but
including any attachments, on the length of Exhibit 1 of any
application submitted in response to this NOFA. HUD will not consider
the contents of any pages exceeding this limit when rating the
Continuum of Care element of any application. The application kit also
contains certifications that the applicant will comply with fair
housing and civil rights requirements, program regulations, and other
Federal requirements, and (where applicable) that the proposed
activities are consistent with the HUD-approved Consolidated Plan of
the applicable State or unit of general local government, including the
Analysis of Impediments to Fair Housing Choice and the Action Plan to
address these impediments. Projects funded under this SuperNOFA shall
operate in a fashion that does not deprive any individual of any right
protected by the Fair Housing Act (42 U.S.C. 3601-19), section 504 of
the Rehabilitation Act of 1973 (29 U.S.C. 794), the Americans with
Disabilities Act of 1990 (42 U.S.C. 12101 et seq.), Title VI of the
Civil Rights Act of 1964 (42 U.S.C. 2000d), Section 109 of the Housing
and Community Development Act of 1974 (42 U.S.C. 5301) or the Age
Discrimination Act of 1974 (42 U.S.C. 6101). Section II(D) of the
General Section of this SuperNOFA regarding Affirmatively Furthering
Fair Housing does not apply to the Continuum of Care Homeless
Assistance programs.
There are three options for submitting an application under this
program section of the SuperNOFA.
One: A ``Consolidated Application'' is submitted when a
jurisdiction (or a consortium of jurisdictions) submits a single
application encompassing a Continuum of Care strategy and containing
all the projects within that strategy for which funding is being
requested. Individual projects are contained within the one
consolidated application. Grant funding may go to one entity which then
administers all funded projects submitted in the application, or under
this option, grant funding may go to all or any of the projects
individually. Your application will specify the grantee for each
project.
Two: ``Associated Applications'' are submitted when applicants plan
and organize a single Continuum of Care strategy which is adopted by
project sponsors or operators who choose to submit separate
applications for projects while including the identical Continuum of
Care strategy. In this case, project funding would go to each
successful applicant individually and each would be responsible to HUD
for administering its separate grant.
Three: A ``Solo Application'' is submitted when an applicant
applies for a project exclusive of participation in any community-wide
or region-wide Continuum of Care development process.
Options one and two are not substantively different and will be
considered equally competitive. Applicants are advised that projects
that are not a part of a Continuum of Care strategy will receive few,
if any, points under the Continuum of Care rating factors.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications (See Section V of the General
Section).
VIII. Environmental, Local Resident Employment, and Relocation
Requirements
(A) Environmental Requirements. All Continuum of Care assistance is
subject to the National Environmental Policy Act and applicable related
Federal environmental authorities. Section 208 of Public Law 106-377
(114 Stat. 1441, approved October 27, 2000) amended Section 443 of the
Stewart B. McKinney-Vento Homeless Assistance Act to provide that for
purposes of environmental review, Continuum of Care projects shall be
treated as assistance for special projects that are
[[Page 12217]]
subject to Section 305(c) of the Multifamily Housing Property
Disposition Reform Act of 1994, and shall be subject to HUD's
regulations implementing that section. The effect of this provision is
that environmental reviews for Continuum of Care activities are to be
completed by responsible entities (States or units of general local
government) in accordance with 24 CFR Part 58, whether or not the
applicant is itself a State or a unit of general local government.
Applicants (such as PHAs or nonprofit organizations) that are not
States or units of general local government must request the unit of
general local government to perform the environmental review. This
statutory provision supersedes those portions of 24 CFR 582.230 and
583.230 that provide for automatic HUD environmental review in the case
of application from such entities. With this exception, conditional
selection of projects under the Continuum of Care Program is subject to
the environmental review requirements of 24 CFR 582.230, 583.230, and
882.804(c), as applicable. Recipients may not commit or expend any
Continuum of Care assistance or nonfederal funds on project activities
(other than those listed in 24 CFR 58.34 or 58.35(b)) until HUD has
approved a Request for Release of Funds and environmental certification
from the responsible entity. The expenditure or commitment of Continuum
of Care assistance or nonfederal funds for such activities prior to
this HUD approval may result in the denial of assistance for the
project under consideration.
(B) Local Resident Employment. To the extent that any housing
assistance (including rental assistance) funded through this program
section of the SuperNOFA is used for housing rehabilitation (including
reduction and abatement of lead-based paint hazards, but excluding
routine maintenance, repair, and replacement) or housing construction,
then it is subject to section 3 of the Housing and Urban Rehabilitation
Act of 1968, and the implementing regulations at 24 CFR part 135.
Section 3, as amended, requires that economic opportunities generated
by certain HUD financial assistance for housing and community
development programs shall, to the greatest extent feasible, be given
to low- and very low-income persons, particularly those who are
recipients of government assistance for housing, and to businesses that
provide economic opportunities for these persons.
(C) Relocation. The SHP, S+C, and SRO programs are subject to the
requirements of the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (URA). These requirements
are explained in HUD Handbook 1378, Tenant Assistance, Relocation and
Real Property Acquisition. Any person or family that moves, even
temporarily, as a direct result of acquisition, rehabilitation or
demolition for a project that is assisted through one of these programs
(whether or not HUD funded the acquisition, rehabilitation or
demolition) is entitled to relocation assistance. Displacement that
results from leasing a unit in a structure may also trigger relocation
requirements. Relocation assistance can be expensive. To avoid
unnecessary costs, it is important to provide occupants with timely
information notices, including a general information notice to be sent
at the time the application is submitted to HUD. HUD Handbook 1378
contains guideform information notices. The HUD field office can
provide a copy of the handbook and copies of appropriate information
booklets to be provided to occupants. Accordingly, if the site is
occupied, the applicant should contact the HUD field office in the
planning stage to obtain advice, including help in estimating the cost
of required relocation assistance.
IX. Authority
The Supportive Housing Program is authorized by title IV, subtitle
C, of the Stewart B. McKinney-Vento Homeless Assistance Act (McKinney-
Vento Act), 42 U.S.C. 11381. Funds made available under this program
section of the SuperNOFA for the Supportive Housing Program are subject
to the program regulations at 24 CFR part 583.
The Shelter Plus Care program is authorized by title IV, subtitle
F, of the McKinney-Vento Act, 42 U.S.C. 11403. Funds made available
under this program section of the SuperNOFA for the Shelter Plus Care
program are subject to the program regulations at 24 CFR part 582.
The Section 8 Moderate Rehabilitation Program for Single Room
Occupancy Dwellings for Homeless Individuals (SRO) is authorized by
section 441 of the McKinney-Vento Act, 42 U.S.C. 11401. Funds made
available under this NOFA for the SRO program are subject to the
program regulations at 24 CFR part 882, subpart H.
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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FUNDING AVAILABILITY FOR THE HOUSING OPPORTUNITIES FOR PERSONS WITH
AIDS (HOPWA) PROGRAM
Program Overview
Purpose of the Program. To provide States and localities with the
resources and incentives to devise long-term comprehensive strategies
for meeting the housing and related supportive service needs of persons
with HIV/AIDS and their families.
Available funds. Approximately $25,542,000 (and under a related
part of this SuperNOFA, up to $2,580,000 for technical assistance for
the HOPWA program). As required by statute, the renewal of existing
grants that will be expiring in 2001 or 2002, will be given priority in
selection for funding as provided in Part A of the HOPWA section of
this notice; if funds remain, new proposals will be selected under Part
B.
Eligible Applicants. (1) States, units of general local government,
and nonprofit organizations for grants for Special Projects of National
Significance (SPNS) grants.
(2) States and units of general local government may apply for
projects under the Long-Term category of grants, if activities will
serve areas that were not eligible for HOPWA formula allocations in
Fiscal Year 2001. Appendix C in this program section of the SuperNOFA
identifies the formula areas.
Application Deadline. April 24, 2001 for renewal requests under
Part A; and June 13, 2001 for new proposal under Part B.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
Part A. Renewal of Existing Grants that are Expiring
I. General Policies on Renewals--Purpose
Under the provisions of the HUD Appropriation Act for FY2001, the
Secretary is required to renew all expiring grants that were funded
under prior HOPWA competitions, if the grant meets all program
requirements, before awarding funds for new grants and activities under
the HOPWA competition.
II. Eligibility of Applicants and Activities
To implement this new requirement, HUD provides the following
guidance to existing HOPWA competitive grantees:
(A) Eligible Applicant for Renewals. To be eligible, the applicant
must be the same entity, State, local government or nonprofit
organization that was selected for funding in the prior competition.
The project should also continue with the same project sponsors,
although HUD will consider the merits for changing a project sponsor if
the new sponsor evidences the capacity to enhance the project
operations or improve responsiveness to clients. Such examples for
changing a project sponsor may be that a new project sponsor has
greater capacity to conduct program activities, a prior project sponsor
is no longer in operation or has merged with another entity, or HUD
approved such a sponsor change through a grant amendment.
(B) Definition of Expiring Grant. The HOPWA grant must be expiring
in the Federal Fiscal Year 2001 or 2002 and the project will not have
sufficient funds to continue activities in 2002, if not awarded
additional Federal funds. All funds awarded in an existing HOPWA
competitive grant must be expended during the Federal Fiscal Year 2001
or 2002 (as measured by reimbursements filed with HUD under the
financial system, PAS). In addition, if the grant expired in the
Federal Fiscal Year 2000 or earlier, i.e. all funds were expended (as
measured by PAS) by September 30, 2000, or only a residual amount that
is less than one percent of the amount of the prior grant remains, you
are not eligible to apply for renewal funding under this notice.
(C) Eligible Renewal Activities. The activities to be renewed must
be on-going forms of support for HOPWA-eligible persons, such as rental
assistance, short-term rent, mortgage and utility payments, operating
costs for housing facilities, such as community residences and SRO
dwellings, leasing, maintenance costs, supportive service costs,
housing information services, and resource identification/technical
assistance for community residences activities. If a prior grant was
awarded funds for the acquisition of a site or building, for new
construction or for rehabilitation costs, these capital development
activities are not on-going or available for additional sites and
funding for these cannot be renewed under Part A. Projects that seek to
undertake additional capital development activities or to add funding
for new HOPWA activities, such as operating costs and services, must
apply under Part B as a new project.
(D) Amount of Renewals. Renewal projects may only request renewal
funds for continuing a previously approved project at the same level of
housing and/or services provided in the previous grant. Proposals to
expand or significantly alter a funded-project must apply under Part B
for new projects for the new activities or the expanded part of the
project. The level of renewal funding must not exceed an amount that is
comparable (i.e. not more than 120% of an activity) or may be less than
the amount originally awarded by HUD for the HOPWA activity, including
any amendments affecting this amount that were approved by HUD prior to
FY2001. As an applicant for renewal funding, you must specify the
annual amount needed to continue each activity and specify the number
of years, up to three, for your request by completing the HOPWA Renewal
Budget Form (Appendix A). You should describe your plan for continued
operations in the Executive Summary section of your application,
including any significant reduction to your prior award level. HUD will
allow you to request up to the same amount as previously awarded per
activity, with the allowance that projects may add up to 20 percent
more by activity, except that activity costs may not exceed $1,200,000
in total. The limits on administrative costs, three percent for
grantees and seven percent for project sponsors, continue to apply. In
addition, renewal grantees may add, or HUD may add, up to $50,000 to
the renewal award for the purpose of the collection of data on program
outcomes.
(E) Ineligible Prior Grants. Grants awarded under the 1992-1995
HOPWA competitions are not eligible to seek renewals as these projects
were required to operate and complete activities under the requirement
that funds be used within three years of the grant agreement. Grants
selected in 1996 were required to operate and complete activities
before the end of Fiscal Year 2000. Similarly, these 1996 grants are
not eligible for renewal, unless the grantee documents that HUD
approved a grant extension of the project that would allow for its
continued operations in the Federal Fiscal Year 2001 or 2002.
It is HUD's expectation that Part A renewals will be awarded to
HOPWA grants that were awarded funds in 1997, 1998 and 1999. Such
projects should be in operation and expect to complete activities in
the Federal Fiscal Year 2001 or 2002 to qualify for renewal.
[[Page 12226]]
(F) Failing or Weak Performance. Grantees that were subject to
deobligation or other sanctions by HUD or that evidence weak
performance in carrying out activities will not be eligible for renewal
grants. HUD will consider that weak performance is evidenced if there
are unresolved monitoring findings during the active competitive
period, from the date of this notice until the selection of grants, or
other HUD knowledge of unresolved problems, for example, that planned
activities remain delayed in their implementation, a significant number
of units are vacant, or annual progress reports were not filed with HUD
at the time of the due date for renewals, or significant citizen
complaints are unresolved or not responded to with justified reasons.
HUD will also consider that weak performance is evident if more than 50
percent of grant funds remain unexpended at that beginning of the month
for the due date for renewals (as measured by reimbursements filed with
HUD's financial system, PAS).
III. Selection Criteria and Process
(A) Selection Process. The Department will select for funding all
renewal requests from applicants that meet program requirements and
pass a threshold review for a need for renewal to the degree that funds
are available. In the case that the amount requested for renewal is
less than the amount available under this notice, HUD will apply the
remaining funds to new projects that will be selected under Part B. If
the amount of the request for renewal activities is greater than the
amount made available by this notice, HUD will select all of the
approvable applications and allocate awards to each based on a prorata
reduction to the amount available under this notice to ensure that all
eligible and performing renewal projects receive funding that allows
their continued operation.
(B) Selection Criteria and Application Contents. Renewal applicants
must comply with the requirements noted above in Part A, Section II,
for example in establishing the amount of their request to continue
approved activities for one to three additional years, and meet the due
date requirement. Applicants must also use the Need for Renewal
narrative to demonstrate program performance in carrying out activities
in a timely manner, in response to client needs, in meeting program
requirements, such as filing annual progress reports, and in meeting
benchmarks that were established by the notice for their original
grant. Further, the applicant must provide the documentation of any
amendment or other program adjustment that was approved by HUD prior to
2001, in carrying out the previously approved activities. HUD will
review all renewal applications based on the following criteria:
(1) Eligibility: HUD will review your eligibility to apply for
renewal funding under this program as described above under Part A,
Section II, Eligibility of Applicants and Activities.
(2) Organizational Capacity: If a new project sponsor is added, HUD
will review the project sponsor's capacity to conduct program
activities as described under Rating Factor 1: Capacity of Applicant
and Project Sponsors and Relevant Organizational Experience (Part B,
Section V).
(3) Need for Renewal: HUD will conduct a threshold review on your
need for renewal, as described below in Part A, Section III(D), and how
this project has operated with measurable progress. A project will pass
this threshold if it demonstrates measurable progress. Measurable
progress is defined as not failing or not evidencing weak performance
in (i) meeting performance benchmarks, as appropriate, in program
development and operation, (ii) meeting project goals and objectives,
such as, that the number of persons assisted is comparable to the
number that was planned at the time of the application, (iii)
submitting timely performance reports, and; (iv) expending over 50% of
prior funding at the beginning of the month for the due date for
renewals (as measured by reimbursements filed with HUD's financial
system, PAS.).
(4) Threshold Requirements: HUD will also review your application
to ensure that your project meets the standard eligibility threshold
requirements as described in Part B, Section V(A) of this program NOFA.
Such as, completing the Consolidated Plan Certification.
Applicants are requested to submit the following information:
(1) The renewal application should include the items A (SF-424) and
F (Statutory Certifications) as described under Part B, Section VI,
Application Submission Requirements.
(2) Executive Summary and Synopsis: On no more than five (5) double
spaced pages, please provide an Executive Summary of the renewal
project. In the Executive Summary, please provide the name of the
grantee and any project sponsors. Include at the beginning of the
Executive Summary a two to three sentence synopsis of the renewal
project.
(3) Narrative Statements. Your application must include the
following narrative statements:
(a) Organizational Capacity Narrative: If a new project sponsor(s)
is added to the proposal, please describe the capacity of the project
sponsor(s) to conduct program activities as described under Rating
Factor 1: Capacity of Applicant and Project Sponsors and Relevant
Organizational Experience (Part B, Section V). Please provide this
information on no more than three double-spaced typed pages. If you are
adding more than one Project Sponsor, you may add two (2) additional
pages per Project Sponsor.
(b) Need for Renewal Narrative: Please address the following on no
more than five (5) double-spaced pages. Please demonstrate the need for
renewal funding and how this project has operated with measurable
progress. Measurable progress is defined as not failing or not
evidencing weak performance in (i) meeting performance benchmarks, as
appropriate, in program development and operation, (ii) meeting project
goals and objectives, such as, that the number of persons assisted is
comparable to the number that was planned at the time of the
application, (iii) submitting timely performance reports; (iv)
expending over 50% of prior funding at the beginning of the month for
the due date for renewals (as measured by reimbursements filed with
HUD's financial system, PAS.). Additionally, you should complete the
HOPWA Need for Renewal Chart, as described below in Part A, Section
III(C) and found in Appendix A.
(4) HOPWA Renewal Budget: Please complete the HOPWA Renewal Budget
Form (Appendix A). See Part A, Section II(D), Amount of Renewals, for
details on renewal funding.
(5) HOPWA Renewal Project Form (Appendix A). Complete the form
including the following:
(a) Project Sponsor: You must identify any organization that will
receive HOPWA funds as a project sponsor and the amount of funds to be
received.
(b) Non-profit Status: If not previously submitted to HUD through
the prior HOPWA application or if a change occurred in non-profit
status, non-profit grantees or project sponsors must submit
documentation verifying your non-profit status, as outlined under Part
B, Section III, Eligible Applicants and Project Sponsors, in this
program section of the SuperNOFA.
(c) Service Areas. Your application must identify the area(s) in
which you are proposing to offer housing and other assistance.
[[Page 12227]]
After your entire application is assembled, please mark each
exhibit with an appropriately numbered tab and number every page of the
application sequentially. Complete the HOPWA Renewal Application
Checklist found in Appendix A to this program section of the SuperNOFA.
Attached the HOPWA Renewal Application Checklist to the front of your
application.
(C) Need for Renewal. The application must demonstrate that prior
grant funds will expire in the Federal Fiscal year 2001 or 2002. You
must complete the HOPWA Need for Renewal Chart (Appendix A), as
described below:
Line 1. Indicate the amount of the prior HOPWA award: ________
Line 2. Indicate the amount expended as of 9-30-00: ________
Line 3. Subtotal: subtract line 2 from line 1: ________
Line 4. Indicate the amount to be expended in FY2001: ________
Line 5. Indicate the amount to be expended in FY2002: ________
Line 6. Subtotal: subtract lines 4 and 5 from line 3: ________
Notes: If the subtotal on Line 6 is greater than zero, you are
not eligible to apply for renewal funding under this notice. Also
note that continued use of prior funds may require that you file an
extension request with the area CPD Field Office. Further if the
subtotal on Line 3 is zero or a residual amount that is less than
one percent of the amount on Line 1, you are not eligible to apply
for renewal funding under this notice. In reviewing the information
that you provide in this chart, HUD will determine your eligibility
for renewal funding based on financial records for reimbursement of
expenditures that are filed under HUD's financial system (PAS).
(D) Example of potential renewal request, XYZ Nonprofit. In this
case, a 1998 grant to the XYZ nonprofit involved the award of HOPWA
competitive funds for a community residence for persons living with
AIDS (PLWAs), with $300,000 for acquisition of the residence, $200,000
for facility operations, $250,000 for supportive services and $100,000
planned for rental assistance for clients who transition out of the
facility, and grant administration $25,500 (total of $875,500). Under
this notice, the following is eligible for renewal funding for XYZ:
Facility operations, supportive services, rental assistance, grant
administration, data collection on project outcomes (added). Funds for
additional acquisition are not eligible for renewal. Also, if the site
now needs rehabilitation, the grantee must apply under Part B for a new
project for that activity or seek other public or private funding. To
calculate the amount for this renewal request, XYZ could ask for these
maximum amounts or less to continue for three more years:
Facility Operations--base of $200,000 + 20% for renewal grant =
$240,000
Supportive Services--$250,000 + 20% = 300,000
Rental assistance--$100,000 + 20% = 120,000
Subtotal for renewal funding: 660,000
Grantee administrative costs (3%) based on subtotal: 19,800
Data collection on outcomes--(added): 50,000
Total potential amount for renewal request for XYZ: $729,800
Notes: Alternatively, XYZ may have found that clients did not
leave and the rental assistance component is too large, based on
actual utilization. XYZ should have requested HUD approval to
reassign the excess rental assistance amount to some other eligible
activity, such as maintenance and repair costs, prior to FY2001 and
provide a copy of this documentation in its application. If in this
alternative example, only $20,000 is needed, than the amendment to
move $80,000 to repair costs could have been filed with the area HUD
office. In this alternative example, the XYZ request must be
adjusted downward based on the actual experience of this grant and
the subtotal, administrative cost, and total would be decreased,
accordingly. The reassigned $80,000 in repair costs would not be
eligible for a renewal request.
IV. Additional Renewal Information
(A) Application Kits, Further Information, and Technical
Assistance. You must send your renewal application on or before 12:00
midnight, Eastern Time, consistent with the specific due date for
renewal applications as stated in the Program Overview section of this
program NOFA, to HUD Headquarters. See the General Section of this
SuperNOFA for specific procedures governing the form of application
submission (e.g., mailed applications, express mail, overnight
delivery, or hand carried). In addition, please see Part B, Section I
for the following information: address and instructions for submitting
renewal applications, application kits, technical assistance, and
technical assistance broadcasts. Please note HOPWA renewal information
will be provided along with HOPWA competitive program information in
the HOPWA Application Kit.
(B) Award Modifications. See Part B, Section II(B) for a
description of the process for award modifications.
(C) Availability of Other Funds and Use of Technical Assistance.
Applicants seeking renewal are encouraged to read Part B, Section IV(D)
on the availability of formula funding. In addition, the paragraphs
addressing (E) the availability of HOPWA technical assistance and (F)
the prohibition on the use of TA funds to draft applications apply to
renewal applications.
(D) Applicable Provisions of Part B. The following sections of Part
B of this program NOFA apply to applicants of renewal funding: Part B,
Section VII (Corrections to Deficient Applications), Section VIII
(Other Requirements), and Section IX (Authority).
Part B. New Projects
If funds remain after the selection of renewal grants under Part A,
HUD will consider applications under this part.
I. Application Kits, Further Information, and Technical Assistance
Where to Send Your Application. You must send your application on
or before 12:00 midnight, Eastern time, consistent with the specific
due date for new projects as stated in the Program Overview of this
program NOFA, to HUD Headquarters.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original signed application and three copies. Submit the
original application and one copy to: Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 7251, Washington, DC 20410.
The original application submitted to HUD headquarters is considered
the official application.
Submit the additional two (2) copies of your application to the
area CPD Field Office or Offices that serve the area in which
activities are proposed. For multi-state efforts you must submit two
copies of your application to the Field Office that serves your main
office. The list of addresses for area CPD Field Offices is provided as
Appendix B of this program section of this SuperNOFA. If you propose
nationwide activities, you must send all copies to the HUD headquarters
office. When submitting your applications, please refer to HOPWA, and
include your name, mailing address (including zip code), facsimile,
email , and telephone number (including area code).
For Application Kits. Although you may begin working on your
application with the materials provided in this program section of the
SuperNOFA and its appendixes, for an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929 (1-800-483-8929).
Persons with hearing or speech impairments may call the
[[Page 12228]]
Center's TTY number at 1-800-HUD-2209 (1-800-483-2209). The application
kit also will be available on the Internet through the HUD web site at
http://www.hud.gov/grants.
For Further Information and Technical Assistance. You may call the
HUD Field Office serving your area, at the telephone number shown in
the application kit for this program, or you may contact the Office of
HIV/AIDS Housing, HUD at (202) 708-1934. HUD staff may assist with
program questions, but may not assist in preparing your application.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
Approximately $ 25,542,000 is being made available for funding
under this program section of the SuperNOFA. Additional funds may be
awarded if funds are recaptured, deobligated, appropriated or otherwise
made available during the fiscal year.
(A) Maximum Grant Amounts. The maximum amount that you may receive
is $1,200,000 for program activities (e.g., activities that directly
benefit low-income persons living with HIV/AIDS and their families),
irrespective of the number of applications that you submit. You may
also add-on up to 3 percent of this program activities amount for
grantee administrative costs and, if your program involves project
sponsors, add-on up to 7 percent of the amount that they receive for
their administrative costs. In addition, up to $50,000 may be requested
to collect data on project outcomes. HUD reserves the right to reduce
the amount requested for data collection on project outcomes in
relation the amount requested for program activities. Additionally,
after rating each application HUD reserves the right to add up to
$50,000 to a HOPWA application for the purposes of the collection of
data on program outcomes, if an applicant fails to request this level
of funding for this activity.
(B) Award Modifications. See the General Section of this SuperNOFA
for information with regard to adjustments to funding. HUD also
reserves the right to ensure that activities funded under the FY 2001
Continuum of Care will not duplicate activities funded under this
competition.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. Funds under this program are to be used to
support the Department's national goal of increasing the availability
of decent, safe, and affordable housing in American communities. The
statutory purpose of the HOPWA program is ``for meeting the housing
needs of persons'' with HIV/AIDS and their families and planned
activities must address this purpose. HOPWA funds projects to provide
housing and related supportive services for low-income persons with
HIV/AIDS and their families under two categories of assistance:
(1) Grants for Special Projects of National Significance (SPNS)
that, due to their innovative nature or their potential for
replication, are likely to serve as effective models in addressing the
housing and related supportive service needs of low-income persons
living with HIV/AIDS and their families. Under this program section of
the SuperNOFA, HUD will set-aside up to 40% of the funds allocated to
SPNS to projects targeting underserved populations as defined in
Section (D); and
(2) Grants for projects that are part of Long-Term Comprehensive
Strategies (Long-Term) which provide housing and related supportive
services for low-income persons living with HIV/AIDS and their families
in areas that are not eligible for HOPWA FY 2001 formula allocations
found in Appendix C of this program section of this SuperNOFA.
(B) Eligible Applicants and Project Sponsors. (1) States, units of
general local government, and nonprofit organizations may apply for
grants for Special Projects of National Significance;
(2) States and units of general local government may apply for
grants for projects under the Long-Term category of grants, if proposed
activities will serve areas that were not eligible to receive HOPWA
formula allocations in Fiscal Year 2001. A list of the formula areas
and a list of the areas not eligible to receive HOPWA Formula funds,
can be found in Appendix C of this program section of this SuperNOFA.
Nonprofit organizations are not eligible to apply directly for the
Long-Term grants but may serve as a project sponsor for an eligible
State or local government grantee. You must identify your project
sponsors in your application. Project Sponsors can not be identified at
a later date through such processes as an RFP or other selection
process.
(3) Nonprofit organizations must have appropriate credentials, in
accordance with HOPWA regulations at 24 CFR 574.3. If you are a
nonprofit organization, to be an eligible applicant or project sponsor,
you must either:
--Have, by the application due date, an IRS ruling that grants you tax
exempt status under section 501(c)(3) of the Internal Revenue Code; or
--Provide documentation that shows that your organization satisfies the
criteria in the statutory definition of nonprofit organization in 42
U.S.C. 12902(13).
The statutory definition reads:
The term ``nonprofit organization'' means any nonprofit
organization (including a State or locally chartered, nonprofit
organization) that-- (i) is organized under State or local laws; (ii)
has no part of its net earnings inuring to the benefit of any member,
founder, contributor, or individual; (iii) complies with standards of
financial accountability acceptable to the Secretary; and (iv) has
among its purposes significant activities related to providing services
or housing to persons with acquired immunodeficiency syndrome or
related diseases.
HUD interprets the use of the term ``related diseases'' in this
definition to include HIV infection.
Adequate documentation of nonprofit status includes the following:
(a) In lieu of an IRS exemption for nonprofits in Puerto Rico, a
ruling from the Treasury Department of the Commonwealth of Puerto Rico
granting income tax exemption under section 101 of the Income Tax Act
of 1954, as amended (13 LPRA 3101);
(b) In lieu of documentation under section 501(c)(3), documentation
of an IRS ruling of tax exempt status under section 501(c)(4), (6),
(7), (9), or (19);
(c) Documentation of satisfying the statutory criteria by
submitting the following four items:
(i) Certification by an appropriate official of the jurisdiction
under whose laws the nonprofit organization was organized that your
organization was so organized and is in good standing;
(ii) Documentation that your organization is a certified United Way
member agency or other documentation that shows that no inurement of
benefits to the managers of your organization occurs;
(iii) Documentation from a CPA or Public Accountant that your
organization has a functioning accounting system that is operated in
accordance with generally acceptable accounting principles or that a
qualifying entity is designated for that activity, or the United Way
member agency certification noted in item (ii); and
[[Page 12229]]
(iv) A certified copy of your nonprofit organization's articles of
incorporation, by-laws, statement of purposes, board of director's
resolution or a similar document that includes a provision
demonstrating its purpose regarding significant activities for persons
living with HIV/AIDS.
If your organization does not provide the requested documentation,
you are not eligible to receive funds and serve as the grantee or as a
project sponsor. However, you may collaborate with eligible nonprofit
organizations or with a government agency that applies for the grant
and assist them, for example, in planning for the proposed activities,
identifying needs in your community and identifying clients who will be
assisted. In addition, you may do work under contract with a grantee
for services funded by this grant.
(C) Eligible Activities. (1) The following eligible activities are
subject to standards and limitations found in 24 CFR part 574.
(a) Housing information services (including fair housing
counseling).
(b) Project-based or tenant-based rental assistance.
(c) New construction of a community residence or SRO dwelling.
(d) Acquisition, rehabilitation, conversion, lease or repair of
facilities to provide housing and services.
(e) Operating costs for housing.
(f) Short-term rent, mortgage and utility payments to prevent
homelessness.
(g) Supportive services. Many of the clients who will be served by
the HUD program covered by this NOFA may need services in addition to
housing. It is important that you design programs which enhance access
to those needed services, including access to health-care, AIDS drug
assistance, and other services funded through the Ryan White CARE Act
or other Federal, State, local or private funds. While HUD recognizes
that there are many ways to ensure that clients receive the services
they need, to the extent possible, the Department encourages you to
develop housing programs which do not require participation in services
as a part of your or your project sponsor's tenancy requirements.
(h) Administrative expenses (see limits for grantees and sponsors).
(i) Resource identification to establish, coordinate and develop
housing assistance resources and technical assistance in establishing
and operating a community residence. HUD will not select under this
notice an application that is primarily directed at providing these
activities, since national HOPWA technical assistance funds are being
made available under the Community Development Technical Assistance
(CDTA) part of this notice for this purpose. You may propose a resource
identification or technical assistance component in your application,
if the amount of funds designated for these activities are less than 20
percent of the proposed program activity costs; and
(j) As authorized by the statute, you may propose other activities
in your application, if approved by HUD, including data collection on
project outcomes, as described below in paragraph (2). HUD will not
approve proposals that depend on future decisions on how funds are to
be used, for example, a proposal to establish a local request-for-
proposal process to select activities or project sponsors. You must
identify your project sponsors at the time of the application.
(2) You may request up to $50,000 to collect information and report
to HUD, or a third party designated by HUD, on project outcomes. If you
requested these funds, you must propose data collection activities in
your application. The persons who will conduct these activities may
include an expert third-party. Project outcome activities include:
(a) Defining monitoring questions that will be addressed and
examined during the project period;
(b) Specifying outcome measures;
(c) Developing instruments to assess project outcomes and systems
outcomes;
(d) Training project staff in the collection of data;
(e) Monitoring data collection activities to assure that
submissions are complete and accurate, including data coding and entry;
(f) Summarizing data collected; and
(g) Preparing reports summarizing findings, including the standard
HOPWA Annual Progress Report.
(D) Targeting Resources to Underserved Populations. The Department
has been advised by persons living with HIV/AIDS, HIV/AIDS housing
providers, and national organizations, of the continuing disparity in
accessing health-care and HIV/AIDS treatment among underserved
populations, such as, racial and ethnic minority populations, women,
persons living in rural areas, youth and post-incarcerated populations.
One example of this disparity is found in our experience in assisting
HIV-infected young people. A report from the Office of National AIDS
Policy, Youth and HIV/AIDS 2000: A New American Agenda, released on
October 2, 2000, notes that:
Beyond medical care, stable housing is one of the most important
parts of the safety net for persons living with HIV and AIDS and
their families. Youth who are homeless or who run away from home are
at greater behavioral risk of HIV infection. Youth who are infected
with HIV are more likely to be able to follow complex treatment
regimens if they have a reliable address where they can be reached
by care providers, a safe place to keep medications, refrigeration
for drugs that require it, and other necessities that many of us
take for granted. * * * [T]wo tragic realities have not changed.
Some 20,000 young people are still becoming infected every year, and
most of them are not receiving the medical care they need. The
programs that provide HIV prevention, care and support services to
youth must be broader in vision, larger in scope, and better
coordinated.
The report also recommended that ``Federal agencies should use
existing resources to expand youth-specific initiatives.''
The Department encourages you to develop an initiative on youth
under this notice. In an effort to meet this need to reach and serve
persons who are part of populations that have been underserved by past
efforts and to diversify the number and type of organizations that have
traditionally received HOPWA funding, the Department is encouraging
collaborations among community-based organizations for providing
housing assistance and/or technical assistance to better serve
underserved populations on a national, regional, or local level.
Collaborations pair grantees and a project sponsor(s) that are
experienced in developing or operating housing facilities and housing
assistance programs with community-based organizations, serving as
project sponsors, that provide services or use culturally-sensitive
efforts to reach persons in underserved communities, but may have
little or no experience in meeting the housing needs of persons living
with HIV/AIDS. This team approach is expected to: (1) strengthen the
organization--improve capacity to develop, operate, manage, and
evaluate housing assistance programs for persons living with HIV/AIDS;
(2) serve underserved populations--help reach underserved populations
in areas that lack housing and health care infrastructure; and (3)
increase planning--develop holistic community approaches to better
coordinate housing and related services in communities impacted by HIV
and AIDS. Note: All assistance provided to targeted underserved
communities must be in accordance with the requirements of the Fair
Housing Act. In order to support these collaborations and to encourage
[[Page 12230]]
new collaborations to receive HOPWA funding, up to 40% of the funds
targeted toward SPNS applications will be awarded to applications with
these collaborations to serve underserved populations and HUD reserves
the right to include in these awards at least one application that
targets unmet needs in an underserved youth population.
To be considered as a collaboration, in your application you must:
(1) Identify and evidence the experience of all collaborating
organizations, either as grantee or project sponsor(s), as detailed
under Rating Factor 1 of this program section of the SuperNOFA in the
Capacity of the Applicant and Project Sponsors and Relevant
Organizational Experience section of your application;
(2) Identify the underserved population and evidence in the
Description of Unmet Need section of your application as detailed under
Rating Factor 2 that substantial housing and related service needs of
the identified underserved population living with HIV/AIDS and their
families are not being met in the area. For the purposes of this
program NOFA, the Department has defined underserved populations as
low-income populations living with HIV/AIDS and their families, such as
racial or ethnic minority groups, women, persons living in rural areas,
youth, post-incarcerated populations, or other underserved groups as
determined by your service area, whose housing and related service
needs are not currently being met in the service area. To meet the
program definition of underserved group, you must show the unmet need
in the provision of housing and related supportive services for the
identified underserved population in your service area by presenting
reliable statistics and data sources (i.e. Census, health department
statistics, research, scientific studies, and Needs Analysis of
Consolidated Plan and/or Continuum of Care documentation). HUD will
consider your presentation of statistics and data sources based on
soundness and reliability and the specificity of information to the
underserved population and the area to be served; and
(3) Evidence the method, by which your plans will, as defined
above, strengthen the organization, serve underserved populations,
increase planning, and support fair housing in the Soundness of
Approach section of your application as detailed under Rating Factor 3
of this program section of the SuperNOFA.
If HUD determines that the application fails to meet the above
considerations, the application will not be considered for funding
under the 40 percent of SPNS funds allocated for collaborative projects
targeting underserved populations. HUD will consider the application
under the remaining SPNS category.
IV. Program Requirements
(A) Performance Measures and Project Goals and Objectives. You must
use HUD's required performance measures that will show your
accomplishments in using HOPWA funds to expand the housing options that
benefit low-income persons with HIV/AIDS and their families. You may
also establish individual goals and objectives for your proposal. They
should be specific, achievable and measured within set time periods.
Your individual goals and objectives should result in possible findings
on the successes and lessons learned in undertaking your activities
that would be shared with other communities. In designing your
proposal, please use the following:
(1) Required HOPWA national performance goal. Your proposed
activities must increase the amount of housing assistance and related
supportive services to low-income persons living with HIV/AIDS and
their families to enable them to achieve housing stability and access
to health-care and related supportive services.
(2) Measure your performance. After each year of operation, you
must report on the number of short-term and permanent housing units
that were provided with HOPWA funding, and number of additional persons
served with related supportive services. HUD will measure your progress
and achievements in evaluating your performance on your HOPWA grant.
Examples of reporting performance measures are:
(a) In your community over the last year, a transitional housing
facility providing 5 units of housing was operated with HOPWA funds.
Residents also received drug and/or alcohol abuse treatment and
counseling by qualified staff. During that year, ten persons resided in
the facility and benefited from the intense on-site assistance, which
also included helping them develop and follow a plan to find permanent
housing and continue treatment after leaving the facility, including
monthly phone contacts or visits by staff; and
(b) Over the last 12 months, a nonprofit organization distributed
tenant-based rental assistance vouchers to 15 households within your
three-county metropolitan area. The vouchers provided for on-going
housing assistance (up to three years) and the program advised the
clients on tenant-landlord issues and arranged for housing quality
standard inspections of the apartments selected. A case manager who is
funded under the Ryan White CARE Act program, advised the tenants and
helped them access health-care and other services from providers in
this community. During this year, 22 persons received permanent housing
assistance with HOPWA funds and for three of these families who were
unable to find housing within 30 days, additional efforts were made and
an appropriate apartment was located and used.
(B) Performance Benchmarks. Funds received under this competition
are expected to be expended within 3 years following the effective date
of a grant agreement. You will be expected to meet the following
performance benchmarks:
(1) If you acquire or lease a site, you are required to gain site
control within one year of your selection (i.e, one year from the date
of the signing of your selection letter by HUD);
(2) If you propose to use HOPWA funds to undertake rehabilitation
or new construction activities, you are required to begin the
rehabilitation or construction within 18 months of your selection and
to complete that activity within 3 years from the date of your
selection letter by HUD; and
(3) You are requested to provide an initial report to the Field
Office and the Headquarters on the startup of the planned activities
within six months of your selection. Please outline any accomplishments
in implementing the funds along with identifying any barriers or issues
for which the Department may provide assistance.
Except as noted in paragraph (2) for rehabilitation or construction
activities, you must begin to operate your program within one year from
your selection. If a selected project does not meet the appropriate
performance benchmark, HUD reserves the right to cancel or withdraw the
grant funds.
(C) Descriptive Budget. You must provide a description of each of
your requested budget items and how the funds will be used, including
each amount of requested funding for you and your project sponsors, and
a description of how each line item will relate to eligible HOPWA
activities as defined in Section III(C), of this program section of the
SuperNOFA. You are expected to match requested funds to specific goals
and objectives in your project. See Appendix D of this program section
of the SuperNOFA.
(D) Availability of FY 2001 Formula Allocations. You are also
encouraged to consider seeking funds for your
[[Page 12231]]
proposed activities under the formula component of the HOPWA program
and from other resources that are made available in communities. Ninety
(90) percent of the HOPWA program is allocated by formula and recipient
States and cities are required to consult with the public on designing
the use of these funds. In FY2001, a total of $229.372 million was
allocated by formula to the qualifying cities for 71 eligible
metropolitan statistical areas (EMSAs) and to 34 eligible States for
areas outside of EMSAs. All HOPWA formula grants are available as part
of the jurisdiction's Consolidated Plan, which also includes the
Community Development Block Grant, HOME Investment Partnerships
program, and Emergency Shelter Grants. Plans are developed through a
public process that assesses area needs, creates a multiple-year
strategy and proposes an action plan for use of Federal funds and other
community resources in a coordinated and comprehensive manner.
Information on consolidated planning, including HOPWA formula programs
and descriptions of previously awarded competitive grants, is available
on the HUD HOME Page at www.hud.gov.
(E) Availability of National HOPWA Technical Assistance. If you are
interested in providing technical assistance activities with HOPWA
funds, submit an application for funds under the Community Development
Technical Assistance (CDTA) part of this notice, which is published
elsewhere in this SuperNOFA. The CDTA notice provides up to $2,580,000
in HOPWA funds to organizations for technical assistance support on a
national or regional basis.
(F) Seeking Technical Assistance in Developing a HOPWA Application.
HOPWA TA providers may not provide technical assistance in the drafting
of responses to HUD's NOFA due to the unfair advantage such assistance
gives to one organization over another. If HUD determines that HOPWA
technical assistance has been used to draft a HOPWA application, HUD
reserves that right to reject the application for funding.
V. Application Selection Process
(A) HOPWA Application Reviews. HUD will review your HOPWA
application to ensure that:
(1) Your application meets the threshold requirements found in the
General Section of the SuperNOFA;
(2) A Certification of Consistency with Consolidated Plans is
provided as an appendix to the General Section of the SuperNOFA. Under
the HOPWA program, proposed activities that are located in a
jurisdiction are required to be consistent with the jurisdiction's
current, approved Consolidated Plan, including the Analysis of
Impediments to Fair Housing choice and the Action Plan to address these
impediments, except that this certification is not required for
projects that propose to undertake activities on a national basis; and
(3) You are currently in compliance with the Federal requirements
contained in 24 CFR part 574, subpart G, ``Other Federal
Requirements.''
(B) The HOPWA Competition. This national competition will involve
the review, rating, and selection of HOPWA applications under each of
the two categories of assistance Special Projects of National
Significance (SPNS) and Long-Term Comprehensive Strategies (Long-Term)
in areas that do not qualify for HOPWA formula allocations.
(C) Procedures for the Rating of Applications. HUD will rate all
HOPWA applications based on the criteria listed below.
(D) Factors For Award Used to Evaluate and Rate Applications. The
factors for rating and ranking your application, and the maximum points
for each factor, are provided below. The points awarded for the factors
total 100. In addition, bonus points for projects in EZ/EC areas and by
the City of Dallas may be available under Section III(C)(2) of the
General Section of this SuperNOFA apply to this competition. After
rating, all applications will be placed in the rank order of their
final score for selection within the appropriate category of
assistance.
Rating Factor 1: Capacity of the Applicant and Project Sponsors and
Relevant Organizational Experience (20 Points)
Please address the following factor on not more than five (5)
double-spaced, typed pages. For each project sponsor, you may add two
additional pages under this section. This factor addresses the extent
to which you and any project sponsor has the organizational resources
necessary to successfully implement your proposed activities in a
timely manner. If you will be using project sponsor(s) in your project,
you must identify each project sponsor in your application. HUD will
award up to 20 points based on your and any project sponsor's ability
to develop and operate your proposed program, such as housing
development, management of housing facilities or units, and service
delivery, in relation to which entity is carrying out an activity.
(1) With regard to both you and any project sponsor(s), HUD will
consider:
(a) Past experience and knowledge in serving persons with HIV/AIDS
and their families;
(b) Past experience and knowledge in programs similar to those
proposed in your application;
(c) Experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes; and
(d) Past experience as measured by expenditures and measurable
progress in achieving the purpose for which funds were provided.
(2) In reviewing the elements of paragraph (1), HUD will consider
the extent to which your proposal demonstrates:
(a) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants and
contractors in planning and managing the kind of activities for which
you are requesting funds. You and any project sponsor will be judged in
terms of recent, relevant and successful experience of staff to
undertake eligible program activities, including experience and
knowledge in serving persons with HIV/AIDS and their families.
(b) Your and/or the sponsor's experience in managing complex
interdisciplinary programs, especially those involving housing and
community development programs directly relevant to the work activities
proposed and carrying out grant management responsibilities.
(c) If you and/or the sponsor received funding in previous years in
the program area for which you are currently seeking funding, you and
your sponsor's past experience will be evaluated in terms of the
ability to attain demonstrated measurable progress in the
implementation of your grant awards. Measurable progress is defined as:
(i) Meeting performance benchmarks, as applicable, in program
development and operation;
(ii) Meeting project goals and objectives, such as, that the number
of persons assisted was comparable to the number that was planned at
the time of application;
(iii) Submitting timely performance reports; and
(iv) Expending prior funding as outlined in the prior proposal with
no outstanding audit or monitoring issues.
Rating Factor 2: Need/Extent of the Problem (20 Points)
Please address the following factor on not more than five (5)
double-spaced, typed pages. This factor addresses the extent to which
there is a need for
[[Page 12232]]
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. Up to 20 points will be
awarded for this factor.
(1) (5 Points) AIDS Cases. Up to five of these points will be
determined by the relative numbers of AIDS cases and per capita AIDS
incidence within your service area, in metropolitan areas of over
500,000 population and in areas of a State outside of these
metropolitan areas, in the State for proposals involving state-wide
activities, and in the nation for proposals involving nation-wide
activities. Your application must define a planned service area. To
determine these points, HUD will obtain AIDS surveillance information
from the Director of the Centers for Disease Control and Prevention.
(2) (5 Points) Description of Unmet Need. Up to five of these
points will be determined by the extent to which there is a need for
funding eligible activities in the area to be served. To receive the
highest ratings in this factor, you must demonstrate that substantial
housing and related service needs of low-income persons living with
HIV/AIDS and their families are not being met in the area and that
reliable statistics and data sources (i.e. Census, health department
statistics, research, scientific studies, and Needs Analysis of
Consolidated Plan and/or Continuum of Care documentation) show this
unmet need. To receive the highest number of points, you also must show
that your jurisdiction's Consolidated Plan and Analysis of Impediments
to Fair Housing Choice, Continuum of Care Homeless Assistance plans (if
homeless persons are to be served), and comprehensive HIV/AIDS housing
plans are applicable and identify the level of the problem and the
urgency of the need. Urgent and unmet needs may be demonstrated, as
follows:
(a) If you apply for a proposed Special Project of National
Significance, you must describe a need that is not currently addressed
by other projects or programs in the area. Also describe any unresolved
or emerging issues and the need to provide new or alternative forms of
assistance that, if provided, would enhance your area's programs for
housing and related care for persons living with HIV/AIDS and their
families; or
(b) If you apply for a project that is part of a Long-Term
Comprehensive Strategy in an area that does not receive a HOPWA formula
allocation, you must describe the need that is not currently addressed
by other projects or programs in the area. You must also describe any
unresolved or emerging issues and/or the need to provide forms of
assistance that enhance the community's strategy for providing housing
and related services to eligible persons.
HUD will consider your presentation of statistics and data sources
based on soundness, reliability and the specificity of information to
the target population and the area to be served. If you propose to
serve a subpopulation of eligible persons on the basis that these
persons have been traditionally and are currently underserved (e.g.,
persons with multiple disabilities including AIDS), your application
must document the need for this targeted effort through statistics and
data sources that support the need of this population in your service
area.
(3) (5 Points) Need in Non-Formula Areas. Within the points
available under this criterion, HUD will award five points, if your
SPNS application proposes to serve clients in an area that does not
qualify for HOPWA formula allocation.
(4) (5 Points) Highest Rated in a State or the Nation (for
nationwide activities). After the other rating factors have been
determined, HUD will award five of the points to help achieve greater
geographic diversity in funding activities within a variety of States.
Under this criterion, five points will be awarded to the highest rated
SPNS and Long-term applications in each State and to the highest rated
SPNS application among the applications that propose nationwide
activities.
Rating Factor 3: Soundness of Approach: Responsiveness and Model
Qualities (40 Points)
Please address the following factor on not more than fifteen (15)
double-spaced, typed pages and include the HOPWA Budget Forms following
this section. This factor addresses the method by which your plan meets
your identified needs. HUD will award up to 40 points based on the
extent to which your plan evidences a sound approach in its
responsiveness to the persons that you will be assisting and how it
offers model qualities in providing supportive housing opportunities
for low-income persons living with HIV/AIDS and their families, when
compared to other applications and projects funded under previous HOPWA
competitions. The points will be awarded as follows:
(1) Responsiveness (20 Points). HUD will award up to 20 points
based on how well your project plan responds to the unmet needs of the
target population including the specific needs that you identified
under the Need Criterion with specific goals and objectives for
providing housing and related supportive services for people living
with HIV/AIDS and their families. To receive the highest ratings in
this element, you must offer a plan that evidences the following:
(a) Your project's goals and objectives. You must describe your
project's goals and objectives and how you will measure how the project
is performing under the required HOPWA performance goal, i.e.
increasing the amount of housing assistance and related supportive
services to low-income persons living with HIV/AIDS and their families
to enable them to achieve housing stability and access to health-care
and supportive services. You are encouraged to review Part B, Section
IV(A), Performance Measures and Project Goals and Objectives of this
Notice of Funds Available (NOFA) when developing your goals and
objectives. To receive the highest rating your goals should address:
(i) The projected numbers of persons to be served through each
activity for each year of your program;
(ii) The projected number of housing units to be provided through
your project, (unless you are proposing supportive service only
activities) and;
(iii) The specific organizations that will provide housing either
through an agreement with your organization or through funding from
your project.
(b) Your plans for accomplishing these goals and objectives. You
must demonstrate your methodology for achieving these goals and
objectives by describing the service delivery model that you intend to
implement and explain how you will integrate the following items:
(i) Housing. You must demonstrate how the housing needs of clients
will be addressed by including: (A) the type and number of units of
housing to be provided and/or made more appropriate if currently
available in the community; (B) the names of the project sponsors and/
or organizations providing housing including their roles and
responsibilities; (C) the connection of any emergency or transitional
housing in obtaining and maintaining permanent housing; (D) any
appropriate site features, including accessibility, visitability, and
access to other community amenities; (E) ensuring clients and their
families have access to health care and other supportive services; (F)
demonstrating how tenants' rights will be observed and addressed by
providing safe, decent, and affordable housing through such activities
as the delivery of maintenance services, security services, and
consistency with local and national fair housing laws; (G)
demonstrating clients
[[Page 12233]]
participation in decision making in project operation and management.
(ii) Supportive Services. You must describe how the supportive
service needs of clients will be addressed from HOPWA or other sources
by including: (A) the type of supportive services that will be offered
and/or how services will be accessed and coordinated; (B) the names of
the organizations providing the supportive services; (C) the connection
of these services in helping clients obtain and/or maintain housing;
(D) the roles and responsibilities of project sponsors and other
organizations in undertaking these activities. If you propose to use
more than 10% of your HOPWA funds for supportive services, emergency or
transitional housing activities, to receive the highest number of
rating points, you must address how you will meet your clients'
permanent housing needs with HOPWA funds or funds from other sources.
You can fulfill this commitment by allocating funds for housing
vouchers for HOPWA clients or developing permanent housing with this
grant or other sources.
(2) Model Qualities (20 Points). HUD will award up to 20 points
based on your service delivery model plan and how well it addresses the
ongoing housing and supportive service needs within a replicable
operational framework. To receive the highest ratings in this factor,
you must offer a plan that evidences a permanent housing arrangement
and the following:
(a) Operational Procedures. You must describe your program's
outreach, intake, and assessment procedures, as well as how clients
will link to services and (if necessary) housing funded from other
sources and how your project provides for consistent monitoring of all
clients. You must include within this description how a client moves
through the program from intake, assessment, service delivery, and
finally to termination or linkage to other services.
(b) Project Management and Oversight. You must describe your method
for coordinating the project sponsors' services whether for housing or
related supportive services with your staff and volunteers, and any
other organizations in order to benefit the clients; identify staff
members who are responsible for described housing and supportive
service tasks; and the ability of your operations to be self-sustaining
beyond the life of this grant.
(c) Evaluation. Evaluation is defined as your method for collecting
data on HUD program goals related to housing and related supportive
services, as well as, your project's unique goals and objectives. HUD
will assess your method for reviewing this data and other information
on the program's operations and your basis for making relative
adjustments based on outcomes and lessons learned from operation of
your activities. HUD will provide a greater number of points for
programs which will serve as a national model and which provide for the
dissemination of information from the lessons learned from your
proposed activities.
(d) Innovative Qualities. If you propose a new program, or an
alternative method of meeting the needs of your clients, you should
describe the innovative qualities of your activities. HUD will rate
your applications higher if your justification for these innovations
provide strong evidence that they will yield qualities that will
benefit or expand our knowledge in offering assistance to persons
living with HIV/AIDS and their families, when compared to other
applications and HOPWA projects funded in the past. In order to learn
about innovative qualities of previously funded and on-going HOPWA
projects, please review the HOPWA Executive Summaries for all HOPWA
formula and competitive grantees at http://www.hud.gov/cpd/hopwahom.html.
(e) Descriptive Budget. HUD will rate your budget in describing (i)
how each amount of requested funding for you and your project sponsors
will be used; (ii) how each line item will relate to eligible HOPWA
activities as defined in Part B, Section III(C), of this program
section of the SuperNOFA; and (iii) how specific line items match with
the goals and objectives in your project. You must complete the HOPWA
Project Budget Form as described in Part B, Section VI(E). Please note
that only the forms are required and an additional narrative under the
Model Qualities Section is not required.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure community resources
which can be combined with HUD's program resources to achieve program
purposes. HUD will award up to 10 points based on the extent to which
resources from other public or private sources have been committed at
the time of application, to support your project. To achieve the
highest ratings for this factor, you must evidence commitments of
leveraged resources that match or exceed the amount of HOPWA funds that
are requested, but not including funds designated for data collection.
In establishing leveraging, HUD will not consider other HOPWA-
funded activities, entitlement benefits inuring to eligible persons, or
conditioned commitments that depend on future fund-raising or actions.
In assessing the use of acceptable leveraged resources, HUD will
consider the likelihood that State and local resources will be
available and continue during the operating period of your grant. In
evaluating this factor HUD will also consider:
(1) The extent to which you document leveraged resources, such as
funding and/or in-kind services from governmental entities, private
organizations, resident management organizations, educational
institutions, or other entities to achieve the purposes of the project
for which you are requesting HOPWA funds.
(2) The extent to which the documented resources evidence that you
have partnered with other entities to make more effective use of
available public or private resources. Partnership arrangements may
include funding or in-kind services from local governments or
government agencies, nonprofit or for-profit entities, private
organizations, educational institutions, or other entities that are
willing to partner with you on proposed activities, or partnering with
other program funding recipients to make more effective use of
resources within the geographic area covered by your award.
To receive highest leveraging points, you must document the cash
value of leveraged resources pledged to your project(s). Appropriate
language is described below:
(i) Applicant or Third Party Cash Resources. If this proposal is
funded, (applicant name or third party name) commits $(amount) (of its
own funds, if applicant, or to applicant name, if third party) for
(type of activity) to be made available to the HOPWA program. These
funds will be available from (date) to (date). (Signature and Title of
authorized representative and date)
(ii) Non-Cash Resources. If this proposal is funded,
(organization's name) commits to make available (type of resource)
valued at $(amount) to the HOPWA program proposed by (applicant name).
These resources will be made available to the HOPWA program from (date)
to (date). (Signature and Title of authorized representative and date)
The donation of a third party professional service should be valued at
the professional's customary charge. The value of materials to be
contributed to the project by a third party or by the applicant may
also be counted as leveraging.
(iii) Volunteer Time. If this proposal is funded, (name of the
organization or of self), commits to provide (number of
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hours) of volunteer time from (date) to (date) to provide (type of
activity) to the HOPWA program proposed by (applicant name). The total
value of these services, based on $10.00 per hour, is $(amount).
(Signature and Title, and date) Time to be contributed to the project
by volunteers should be valued at $10.00 per hour. In the case of
individuals volunteering their time directly to the applicant, the
applicant should list itself as the organization.
(iv) Contribution of a Building. If this proposal is funded,
(applicant name) pledges the building at (site address) to the HOPWA
program. The building has a fair market value of $(amount). A licensed
independent real estate appraiser made this assessment which is based
on comparable properties in the area. (Signature of applicants
authorized representative and date) Ownership of a building or portion
of a building to be used in the project may be counted as leveraging.
The fair market value of the building or portion of the building being
contributed may be counted. Do not send an appraisal to HUD, but keep
documentation of fair market value on file. The contribution of land
(as a leveraged resource for new construction) should be treated the
same as contribution of a building. You will need to keep documentation
of the fair market value on file, particularly if it is improved land
and you wish to include the value of the improvements in the
contribution.
(v) Contribution of a Building to be Acquired with HOPWA Funds. If
this proposal is funded, (applicant name) commits the building at (site
address) for the HOPWA program. The building has a fair market value of
$(amount). A licensed independent real estate appraiser made this
assessment which is based on comparable properties in the area. The
HOPWA request for the building is $(amount). Therefore, the
contribution is the difference between the fair market value and the
HOPWA request, or $(amount). (Signature of applicants authorized
representative and date) The difference between the documented fair
market value and the portion paid for with HOPWA funds may be counted
as leveraging. Maintain documentation of fair rental value on file.
(vi) Contribution of Leasehold Interest. If this proposal is
funded, (applicant name) commits the leasehold interest at (site
address) for the HOPWA program. The fair rental value of this site is
$(amount) annually, and at constant value will amount to $(amount) over
(term of the lease, up to three years). An appropriate independent
third party made this assessment which is based on comparable
properties in the area. The total leasing cost over the term of the
lease to be paid with HOPWA funds is $(amount). Therefore, the
contribution is the difference between the HOPWA leasing cost and the
fair rental value, or $(amount). (Signature of applicants authorized
representative and date) The difference between the fair rental value
(for a term up to three years) and the cost of the lease to be paid for
with HOPWA funds may be counted as leveraging.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
Please address the following factor on not more than five (5)
double-spaced, typed pages. This factor addresses the extent to which
you coordinated the specific proposal with other known organizations,
consulted prospective clients or persons with HIV/AIDS in designing
your proposal, participates or promotes participation in the
jurisdiction's Consolidated Planning process, and in a community's
Continuum of Care Homeless Assistance planning process (if homeless
persons are to be served by proposed activities), and is working
towards addressing a need in a holistic and comprehensive manner
through linkages with other activities in the community. HUD will award
up to 10 points based on your proposal's comprehensiveness and
coordination. In order to ensure that resources are used to their
maximum effect within the community, it is important that you be
involved in HUD's planning processes for community development and
homeless assistance resources. If you, your sponsors, or others
partnering with you have been involved in these processes, you should
describe that involvement under this factor.
HUD will consider the extent to which your activities were planned
with community involvement in a larger community or regional plans
which links the provision of health care, supportive services, and
housing. Also, how planned activities are proposed to be carried out
with HOPWA funds and other resources in order to provide a
comprehensive and responsive range of housing and related supportive
services to meet the changing needs of persons with HIV/AIDS. Your
proposal should demonstrate that housing is provided in conjunction
with the client's access to health-care and other supportive services
in the area to be served, including assistance provided under the Ryan
White CARE Act programs.
In evaluating this factor, HUD will consider the extent to which
you demonstrate you have:
(1) Coordinated your proposed activities with those of other groups
or organizations prior to submission, to best complement, support, and
coordinate all known activities; and if funded, the specific steps you
will take to share information on solutions and outcomes with others.
You should describe any written agreements, memoranda of understanding
in place, or that will be in place after award.
(2) Been actively involved in your community's Continuum of Care
Homeless Assistance planning process (if homeless persons are to be
served by proposed activities), and/or the jurisdiction's Consolidated
Planning process established to identify and address a need/problem
that is related to the activities you propose to undertake.
In the case of technical assistance providers, you will be
evaluated on the specific steps you will take to work with recipients
of technical assistance services to inform them of, and get them
involved in, the community's Continuum of Care Homeless Assistance
planning process and/or the jurisdiction's Consolidated Planning
process, as applicable. HUD will review more favorably your application
if you can demonstrate you are active or are working with recipients of
technical assistance to get them involved in local and State planning
processes.
(3) Developed linkages, or specific steps you will take to develop
linkages with other activities, programs or projects through meetings,
information networks, planning processes, or other mechanisms, to
coordinate your activities so solutions are holistic and comprehensive,
including linkages with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and (b) Other activities funded by
the Federal, State, or local government, including those proposed or
on-going in the community.
(E) Selection of HOPWA Awards. Whether your HOPWA application is
conditionally selected will depend on your overall ranking compared to
other applications within each of the two categories of assistance. HUD
will select applications in rank order in each category of assistance
to the extent that funds are available, except as noted below. In
allocating amounts to the categories of assistance, HUD reserves the
right to ensure that sufficient funds are available for the selection
of at least one application with the highest ranking
[[Page 12235]]
under each category of assistance. In selecting projects that target
resources to underserved populations as outlined in Part B, Section
III(D) in this program section of the SuperNOFA, HUD will ensure that
up to (40) percent of the funds awarded for Special Projects of
National Significance (SPNS) grants are awarded to applications with
collaborations to serve underserved populations and HUD reserves the
right to include in these awards at least one application that targets
unmet needs in an underserved youth population.
If there is an insufficient request by applicants for funds
targeting underserved populations, HUD will use remaining funds for the
next highest ranked SPNS Applications in rank order.
HUD reserves the right to achieve greater diversity in the
selection of applications by selecting the highest rated application in
a State where no applicant has been the recipient of any prior HOPWA
competitive grant or formula allocation over a higher rated application
in a State that has received prior HOPWA funding. In selecting a lower
rated application, HUD will not select an application that is rated
below 50 points.
In the event of a tie between applications in a category of
assistance, HUD reserves the right to break the tie: by selecting the
proposal that increases geographic diversity as defined in the prior
paragraph; and, if greater geographic diversity is not achievable, by
selecting the proposal that was scored higher on a rating criterion in
the following order: Soundness of Approach: Responsiveness and Model
Qualities (Rating Factor 3); Comprehensiveness and Coordination (Rating
Factor 5); the Capacity of the Applicant and Relevant Organizational
Experience (Rating Factor 1); the Need/Extent of the Problem (Rating
Factor 2); and Leveraging Resources (Rating Factor 4).
HUD will notify you in writing if you are conditionally selected.
You may be notified subsequently of any modification made by HUD, the
additional project information necessary for grant award, and the date
of deadline for submission of the required information. In the event
that a conditionally-selected applicant is unable to meet any
conditions for fund award within the specified, HUD reserves the right
not to award funds to the applicant, but use those funds to make awards
to the next highest rated applications in this competition; to restore
amounts to a funding request that had been reduced in this competition;
or to add amounts to funds available for the next competition.
VI. Application Submission Requirements
Your HOPWA application must contain the following items in the
order shown below. The standard forms can be found in Appendix B to the
General Section of the SuperNOFA.
The remaining application items that are forms (i.e., excluding
such items as narratives, letters), referred to as the ``non-standard
forms'' can be found as Appendix D to this program section of the
SuperNOFA: The items are as follows:
(A) Application for Federal Assistance (Form SF-424). You should
complete Items 1 through 18 with the following additions:
Item 5--Add e-mail address of the contact person;
Item 7--The applicable letters are ``A'' for State; ``B, C, or D''
for a unit of local government; or ``N'' for Nonprofit;
Item 9--Enter U.S. Department of Housing and Urban Development or
HUD if not preprinted
Item 10--Enter 14--21 and the title ``Housing Opportunities for
Persons with AIDS Program'' or ``HOPWA'' for the Catalogue of Federal
Domestic Assistance;
Item 15--You must complete the budget on HUD-SF-424M and the HOPWA
Project Budget Form. Please make sure that both the Total Amount on
HUD-SF-424M and the ``Total Budget'' section on the HOPWA Project
Budget Form are the same. In the event that the total budgets are in
conflict, HUD will refer to the HOPWA Project Budget form.
Item 16--Check ``No''.
(B) Executive Summary and Synopsis. Please provide a two to three
sentence synopsis of the proposed program, followed by an Executive
Summary of the proposed project on no more than two double-spaced,
typed pages. HUD will use this as a summary if your project is chosen
for funding. In your abstract, include your organization's name and the
name of any project sponsor.
(C) Narrative Statements. Your application must include narrative
statements that address each of the Factors for Award found at Part B,
Section V(D) of this program section of the SuperNOFA. Respond to each
factor within the stated page limits and do not use a font size smaller
than 12 point. Applications failing to submit any of the narrative
statements will be rated as zero during the rating process.
(D) Proposed HOPWA Project Information Form. See Appendix D in
program section of SuperNOFA. Complete the form including the
following:
(1) Project Sponsors. You must identify any organization that will
receive HOPWA funds as a project sponsor and the amount of funds to be
received.
(2) Non-profit Status. Non-profit grantees or project sponsors must
submit documentation verifying your non-profit status, as outlined
under Part B, Section III, Eligible Applicants and Project Sponsors, in
this program section of the SuperNOFA.
(3) Service Areas. Your application must identify the area(s) in
which you are proposing to offer housing and other assistance.
(E) Budget. You must complete the HOPWA Project Budget Form found
in Appendix D of this program section of the SuperNOFA which lists the
amount of requested HOPWA funds designated for each type of HOPWA-
eligible activity. For more information, please see Part B, Section
IV(C), Program Requirements, and Paragraph (2)(e) of Rating Factor 3,
Soundness of Approach.
(F) Statutory Certifications. HOPWA applicants are not required to
provide the forms, certifications, and assurances listed in the General
Section of the SuperNOFA unless stated below. Additionally, the
requirement to Affirmatively Further Fair Housing does not apply to the
HOPWA program. The following certifications are required by law for
funding and should be included with your application. All
certifications and forms, except those found in the General Section of
the SuperNOFA, are included in the appendixes to the program section of
this SuperNOFA.
(1) Consolidated Plan Certification. Except as stated below, you
must include a Consolidated Plan (hereafter called the plan)
certification from the applicable State or local government official
responsible for submitting the appropriate plan. If your project will
be carried out on a national basis or will be located on a reservation
of an Indian tribe, Guam, the Virgin Islands, American Samoa, or the
Northern Mariana Islands you are not required to include a Consolidated
Plan certification with your application. This certification must be
signed by the authorizing official from the State or local government.
(See the General Section of the SuperNOFA.)
(2) Certifications. The following certifications are required as
stated in Section II(G) of the General Section of the SuperNOFA: HUD-
50070, Certification of Drug-Free Workplace;
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and SF-LLL, Disclosure of Lobbying Activities (if applicable).
(3) HOPWA Applicant Certifications. The required HOPWA
certifications cover the following items: (i) fair housing and non-
discrimination; (ii) uniform relocation assistance; (iii) environmental
law and authorities; (iv) continued use periods for structures
assisted; and (v) debarred, suspended and ineligible principals
requirements. (See Appendix D to this program section of the
SuperNOFA.)
(4) Certification of Consistency with EZ/EC Strategic Plan. This
may be submitted as directed in the General Section of the SuperNOFA.
(5) HUD-2880, Applicant/Recipient Disclosure Update Report. This
must be signed by you the applicant.
After your entire application is assembled, please mark each
exhibit with an appropriately numbered tab and number every page of the
application sequentially. Complete the HOPWA Application Checklist
found in Appendix D to this program section of the SuperNOFA. Attach
the HOPWA Application Checklist to the front of your application.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Other Requirements
(A) Environmental Requirements. All HOPWA assistance is subject to
the National Environmental Policy Act and applicable related Federal
environmental authorities. In accordance with Section 856(h) of the
AIDS Housing Opportunities Act, as added by Section 203 (c) of Public
Law 106-377 (114 Stat. 1441, approved October 27, 2000), environmental
reviews for HOPWA activities are to be completed by responsible
entities (including units of general local government, States, Indian
tribes and Alaska Native villages) in accordance with 24 CFR Part 58.
Applicants or grantees that are not States or units of general local
government must request, the unit of general local government to
perform the environmental review. This statutory provision supersedes
the environmental provisions in the HOPWA regulation at 24 CFR 57.510.
HOPWA grantees and project sponsors may not commit or expend any grant
of nonfederal funds on project activities (other than those listed in
24 CFR 58.34 or 58.35 (b)) until HUD has approved a Request for Release
of Funds and environmental certification from the responsible entity.
The expenditure or commitment of HOPWA or nonfederal funds for such
activities prior to this HUD approval may result in the denial of
assistance for the project under consideration.
(B) Local Resident Employment (Section 3 Requirements). For grants
in excess of $200,000, to the extent that any housing assistance funded
through this program section of the SuperNOFA is used for housing
rehabilitation (including reduction and abatement of lead-based paint
hazards, but excluding routine maintenance, repair, and replacement) or
housing construction, then it is subject to section 3 of the Housing
and Urban Rehabilitation Act of 1968,as amended, and the implementing
regulations at 24 CFR part 135. Section 3 requires that economic
opportunities generated by certain HUD financial assistance for housing
and community development programs shall, to the greatest extent
feasible, be given to low-and very low-income persons, particularly
those who are recipients of government assistance for housing, and to
businesses that provide economic opportunities for these persons.
(C) Lead-Based Paint Requirement. The grantee and program sponsor
must comply with the existing requirements of the Lead Based Paint
Poisoning Prevention Act (42 U.S.C. 4821-4846) and implementing
regulations at 24 CFR part 35, as applicable.
IX. Authority
This program is authorized under the AIDS Housing Opportunity Act
(42 U.S.C. 12901). The regulations for HOPWA are found at 24 CFR part
574.
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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FUNDING AVAILABILITY FOR SECTION 202 SUPPORTIVE HOUSING FOR THE
ELDERLY PROGRAM (SECTION 202 PROGRAM)
Program Overview
Purpose of the Program. This program provides supportive housing
for very low-income persons 62 years of age or older.
Available Funds. Approximately $495.9 million.
Eligible Applicants. Private nonprofit organizations and nonprofit
consumer cooperatives (see Section III(B) of this NOFA). (See Section
IX of this NOFA for information regarding the formation of the Owner
corporation).
Eligible Activities. New construction, rehabilitation, or
acquisition of housing with or without rehabilitation (see Section
III(C) of this NOFA).
Application Deadline. May 25, 2001.
Match Requirements. No.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit your completed applications on or
before 6:00 pm, local time, on May 25, 2001, at the address shown
below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your completed
application (an original and four copies) to the Director of the
appropriate Multifamily Hub Office or Multifamily Program Center as
listed in Appendix A to the Section 811 program section of this
SuperNOFA with the following exceptions:
1. Applications for projects proposed to be located within the
jurisdiction of the Seattle, Washington and the Anchorage, Alaska
Offices must be submitted to the Portland, Oregon Office.
2. Applications for projects proposed to be located within the
jurisdiction of the Sacramento, California Office must be submitted to
the San Francisco, California Office.
3. Applications for projects proposed to be located within the
jurisdiction of the Cincinnati, Ohio Office must be submitted to the
Columbus, Ohio Office.
4. Applications for projects proposed to be located within the
jurisdiction of the Washington, DC Office must be submitted to the
Baltimore, Maryland Office.
The application kit also includes a listing of the Multifamily Hubs
and Program Centers, their addresses and telephone numbers, including
TTY numbers. This information is also available from HUD's SuperNOFA
Information Center at 1-800-HUD-8929 and from the Internet through the
HUD web site at http://www.hud.gov. Persons with hearing or speech
impairments may call the Center's TTY number at 1-800-HUD-2209.
For Application Kits. For an application kit and any supplemental
materials, please call HUD's SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-HUD-2209. When requesting an application kit,
please refer to the Section 202 Program and provide your name, address
(including zip code), and telephone number (including area code). The
application kit also will be available on the Internet through the HUD
web site at http://www.hud.gov and from the appropriate Multifamily Hub
or Multifamily Program Center.
For Further Information and Technical Assistance. You may contact
the appropriate Multifamily Hub Office or Multifamily Program Center,
Evelyn Berry at HUD Headquarters at (202) 708-2866, or access the
Internet at http://www.hud.gov.
HUD encourages minority organizations to participate in this
program and strongly recommends that prospective applicants attend the
local HUD Office workshop. At the workshops, HUD will explain
application procedures and requirements as well as address concerns
such as local market conditions, building codes and accessibility
requirements, historic preservation, floodplain management,
displacement and relocation, zoning, and housing costs. If you are
interested in attending the workshop, make sure that your name, address
and telephone number are on the appropriate HUD Office's mailing list
so that you will be informed of the date, time and place of the
workshop. Persons with disabilities should call the appropriate HUD
Office to ensure that any necessary arrangements can be made to enable
your attendance and participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office
if you have any questions concerning the submission of applications to
that particular office and to request any materials distributed at the
workshop.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
For FY 2001, $495,915,966 is available for capital advances for the
supportive housing for the elderly program. The FY 2001 HUD
Appropriations Act (HUD Appropriations Act) provides $679,000,000 for
capital advances, including amendments to capital advance contracts,
for supportive housing for the elderly as authorized by section 202 of
the Housing Act of 1959, and for project rental assistance, and
amendments to contracts for project rental assistance, for supportive
housing for the elderly under section 202(c)(2) of the Housing Act of
1959. Of this amount, $500,000 shall be transferred to the Working
Capital Fund for the development and maintenance of information
technology systems.
In accordance with the waiver authority provided in the HUD
Appropriations Act, the Secretary is waiving the following statutory
and regulatory provision: the term of the project rental assistance
contract is reduced from 20 years to 5 years. HUD anticipates that at
the end of the contract terms, renewals will be approved subject to the
availability of funds. In addition to this provision, HUD will reserve
project rental assistance contract funds based on 75 percent rather
than on 100 percent of the current operating cost standards for
approved units in order to take into account the average tenant
contribution toward rent.
The allocation formula used for Section 202 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY 2001 formula consists of one data element: a
measure of the number of one and two person renter households with
incomes at or below HUD's Very-low Income Limit (50 percent of area
median family income, as determined by HUD, with an adjustment for
household size), which have housing deficiencies. The counts of elderly
renter households with housing deficiencies were taken from a special
tabulation of the 1990 Decennial Census. The formula focuses the
allocation on targeting the funds based
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on the unmet needs of elderly renter households with housing problems.
Under Section 202, 85 percent of the total capital advance amount
is allocated to metropolitan areas and 15 percent to nonmetropolitan
areas. In addition, each HUD Office jurisdiction receives sufficient
capital advance funds for a minimum of 20 units in metropolitan areas
and 5 units in nonmetropolitan areas. The total amount of capital
advance funds to support these minimum set-asides are subtracted from
the respective (metropolitan or nonmetropolitan) total capital advance
amounts available. The remainder is fair shared to each HUD Office
jurisdiction whose fair share exceeds the minimum set-aside based on
the allocation formula fair share factors described below. NOTE: The
allocations for metropolitan and nonmetropolitan portions of the
Multifamily Hub or Program Center jurisdictions reflect the most
current definitions of metropolitan and nonmetropolitan areas, as
defined by the Office of Management and Budget.
A fair share factor is developed for each metropolitan and
nonmetropolitan portion of each local HUD Office jurisdiction by
dividing the number of renter households for the jurisdiction by the
total number of rental households in the United States. The resulting
percentage for each local HUD Office jurisdiction is then adjusted to
reflect the relative cost of providing housing among the HUD Office
jurisdictions. The adjusted needs percentage for the applicable
metropolitan or nonmetropolitan portion of each jurisdiction is then
multiplied by the respective total remaining capital advance funds
available nationwide.
Based on the allocation formula, HUD has allocated the available
capital advance funds as shown on the following chart:
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III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. HUD provides capital advances and
contracts for project rental assistance in accordance with 24 CFR part
891. Capital Advances may be used for the construction or
rehabilitation of a structure, or acquisition of a structure with or
without rehabilitation (including structures from the Federal Deposit
Insurance Corporation (formerly held by the Resolution Trust
Corporation (FDIC/RTC)). Capital Advance funds bear no interest and are
based on development cost limits published in this SuperNOFA. Repayment
of the capital advance is not required as long as the housing remains
available for occupancy by very low-income elderly persons for at least
40 years.
Project rental assistance contract (PRAC) funds are used to cover
the difference between what the residents pay for rent and the HUD-
approved expense to operate the project. Project Rental Assistance
Contract funds may also be used to provide supportive services and to
hire a service coordinator in those projects serving the frail elderly
residents. The supportive services must be appropriate to the category
or categories of frail elderly residents to be served.
(B) Eligible Applicants. Private nonprofit organizations and
nonprofit consumer cooperatives are the only eligible applicants under
this Section 202 Program. Neither a public body nor an instrumentality
of a public body is eligible to participate in the program.
A Sponsor or Co-sponsor may not apply for more than 200 units of
housing for the elderly in a single Hub or more than 10 percent of the
total units allocated to all HUD Offices. Also, no single application
may propose more than the number of units allocated to a HUD office or
125 units, whichever is less. Reservations for projects will not be
approved for fewer than 5 units. Affiliated entities that submit
separate applications are considered to be a single entity for the
purpose of these limits.
(C) Eligible Activities. Section 202 capital advance funds must be
used to finance the development of housing through new construction,
rehabilitation, or acquisition of housing with or without
rehabilitation. Capital advance funds may also be used in combination
with other non-Section 202 funding sources to develop additional units
for a mixed-finance or mixed-used project. Project Rental Assistance
funds are provided to cover the difference between the HUD-approved
operating costs and the amount the residents pay (each resident pays 30
percent of adjusted income) as well as to provide supportive services
to frail elderly residents. In projects principally serving the frail
elderly, eligible costs include the salary of a service coordinator.
Note: For purposes of approving Section 202 capital advances,
HUD will consider proposals involving mixed-financing or a mixed-use
purpose for additional units. However, you must obtain funds to
assist the additional units with other than PRAC funds. HUD will not
provide PRAC funds for non-Section 202 units.
(D) Ineligible Activities. Section 202 funds may not be used for
nursing homes, infirmaries, medical facilities, mobile home projects,
community centers, headquarters for organizations for the elderly,
nonhousekeeping accommodations, or refinancing of sponsor-owned
facilities without rehabilitation.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, as an applicant, you must comply with the
following requirements:
(A) Statutory and Regulatory Requirements. You must comply with all
Section 202 Program statutory and regulatory requirements, as listed in
Sections III, IV and X of this program section of the SuperNOFA.
(B) HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have
an agreement to coordinate the administration of the agencies'
respective rental assistance programs. As a result, HUD is required to
notify RHS of applications for housing assistance it receives. This
notification gives RHS the opportunity to comment if it has concerns
about the demand for additional assisted housing and possible harm to
existing projects in the same housing market area. HUD will consider
RHS' comments in its review and application selection process.
(C) Development Cost Limits. (1) The following development cost
limits, adjusted by locality as described in Section IV(C)(2) of this
program section of the SuperNOFA, below, will be used to determine the
capital advance amount to be reserved for projects for the elderly:
(a) The total development cost of the property or project
attributable to dwelling use (less the incremental development cost and
the capitalized operating costs associated with any excess amenities
and design features you must pay for) may not exceed:
Nonelevator structures:
$41,238 per family unit without a bedroom;
$47,548 per family unit with one bedroom;
$57,344 per family unit with two bedrooms;
For elevator structures:
$43,398 per family unit without a bedroom;
$49,748 per family unit with one bedroom;
$60,493 per family unit with two bedrooms.
(b) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the accessibility requirements of Sec. 891.120(b);
and the project design and cost standards of Sec. 891.120 and
Sec. 891.210.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in
Section IV(C)(1) of this program section of the SuperNOFA, above, by up
to 140 percent in any geographic area where the cost levels require,
and may increase the development cost limits by up to 160 percent on a
project-by-project basis. This increase may include covering additional
costs to make dwelling units accessible through rehabilitation.
(b) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands, or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits provided in Section
IV(C)(1) of this program section of the SuperNOFA, above, the amount of
the capital advances may be increased to compensate for such costs. The
increase may not exceed the limits established under this section
(including any high cost area adjustment) by more than 50 percent.
(D) Minimum Capital Investment. Selected nonprofit organizations
must provide a minimum capital investment of one-half of one percent of
the HUD-approved capital advance amount, not to exceed $10,000 in
accordance with Sec. 891.145, with the following exception. If you, as
Sponsor or Co-Sponsor, have one or more Section 202 or one or more
Section 811 project(s) under reservation, construction, or management
in two or more different HUD geographical regions (Hubs), the minimum
capital investment shall be one half of one percent of the HUD-approved
capital advance amount, not to exceed $25,000.
(E) Economic Opportunities for Low and Very Low-Income Persons
(Section
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3). You must comply with section 3 of the Housing and Urban Development
Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very
Low Income Persons), and its implementing regulations at 24 CFR part
135. You must ensure that training, employment and other economic
opportunities shall, to the greatest extent feasible, be directed
toward low- and very low-income persons, particularly those who are
recipients of government assistance for housing and to business
concerns which provide economic opportunities to low and very low
income persons. To comply with section 3 requirements, you are required
to certify that you will strongly encourage your general contractor and
subcontractors to participate in local apprenticeship programs or
training programs registered with or certified by the Department of
Labor's Bureau of Apprenticeship and Training or recognized State
Apprenticeship Agency (see section VI(B)(7)(k)(ii) of this program
section of the SuperNOFA).
(F) Applicability of Acquisition of Sites under the Uniform
Relocation Assistance and Real Property Acquisition Act of 1970, as
amended. The acquisition of sites, with or without existing structures,
is subject to the Uniform Relocation Assistance and Real Property
Acquisition Act of 1970, as amended (URA). However, you are exempt from
complying with the site acquisition requirements of the URA if you do
not have the power of eminent domain and prior to entering into a
contract of sale, option to purchase or any other method of obtaining
site control, you inform the seller of the land (1) that you do not
have the power of eminent domain and, therefore, you will not acquire
the property if negotiations fail to result in an amicable agreement,
and (2) of the estimate of the fair market value of the property. An
appraisal is not required to meet this requirement, however, your files
must include an explanation, with reasonable evidence, of the basis for
the estimate.
V. Application Selection Process
(A) Review for Curable Deficiencies. HUD will screen all
applications received by the deadline for curable deficiencies. A
curable deficiency is a missing Exhibit or portion of an Exhibit that
will not affect the rating of the application. The following is a list
of the deficiencies that will be considered curable in a Section 202
application:
Exhibits
(1) Form 92015-CA (Application Form)*
(2)(a) Articles of Incorporation*
(b) By-laws\*\
(c) IRS tax exemption ruling\*\
(4)(c)(ii) Energy efficiency
(d)(i) Evidence of site control
(d)(ii) Evidence site is free of limitations, restrictions or
reverters
(d)(iii) Evidence of permissive zoning
(d)(vi) Phase I Environmental Site Assessment
(d)(vii) Letter from State Historic Preservation Officer (SHPO)
(5) Applications submitted to other Offices
(6) Relocation
(7)(a) Standard Form 424, Application for Federal Assistance*
(b) HUD-50070, Certification of a Drug-free Workplace
(c) Form-HUD 50071, Certification of Payments to Influence Federal
Transactions and Standard Form-LLL, Disclosure of Lobbying Activities
(d) Form-HUD 2880, Applicant/Recipient Disclosure/Update Report
(e) Form-HUD 2992, Certification Regarding Debarment and Suspension
(f) Executive Order 12372 Certification
(g) Form-HUD 2991, Certification of Consistency with Consolidated
Plan
(h) Conflict of Interest Resolution
(i) Resolution for Commitment to Project*
(k) Combined Certifications
The HUD Office will notify you in writing if your application is
missing any of the exhibits or portions of exhibits and you will be
given 14 days from the date of the HUD notification to submit the
information required to cure the noted deficiencies. The items
identified by an asterisk (*) must be dated on or before the
application deadline date.
(B) Rating. HUD will review and rate your application in accordance
with the Application Selection Process in the General Section of this
SuperNOFA with the following exception. HUD will not reject your
application based on technical review without notifying you of that
rejection with all the reasons for rejection, and providing you an
opportunity to appeal. You will have 14 calendar days from the date of
HUD's written notice to appeal a technical rejection to the HUD office.
If the rejection is due to the nonsubmission of the following exhibits
because of the failure of a third party to provide information under
the control of the third party but outside your control (e.g., by
contract), and you were not provided the opportunity to cure the
deficiency during the curable deficiency period, you can submit the
information required to cure the deficiency during the 14 calendar day
appeal period:
(1) Exhibit 4(d)(iii), Evidence of permissive zoning, and/or
(2) Exhibit 7(g), Form-HUD 2991, Certification of Consistency with
the Consolidated Plan.
The information required to cure the above identified deficiencies
includes the deficient Exhibit and documentation showing that the
information had been requested from the third party at least 45 days
prior to the application deadline date.
The HUD office will make a determination on an appeal before making
its selection recommendations. All applications will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the rating factors
in Section V(D) of this Section 202 Program section of the SuperNOFA.
(C) Ranking and Selection Procedures. Applications submitted in
response to the advertised metropolitan allocations or nonmetropolitan
allocations that have a total base score (without the addition of EC/EZ
bonus points) of 60 points or more and meet all of the applicable
threshold requirements of Section II(B) of the General Section of the
SuperNOFA will be eligible for selection, and HUD will place them in
rank order per metropolitan or nonmetropolitan allocation. These
applications, after adding any bonus points for EC/EZ, will be selected
based on rank order, up to and including the last application that can
be funded out of each HUD office's metropolitan or nonmetropolitan
allocation. HUD offices must not skip over any applications in order to
select one based on the funds remaining. After making the initial
selections in each allocation area, however, HUD may use any residual
funds to select the next rank-ordered application by reducing the
number of units by no more than 10 percent, rounded to the nearest
whole number, provided the reduction will not render the project
infeasible. For this purpose, however, HUD will not reduce the number
of units in projects of five units or less.
Once this process has been completed, HUD offices may combine their
unused metropolitan and nonmetropolitan funds in order to select the
next ranked application in either category, using the unit reduction
policy described above, if necessary.
After the offices have funded all possible projects based on the
process above, combined metropolitan and
[[Page 12277]]
nonmetropolitan residual funds from all HUD Offices in each Multifamily
Hub will be combined. These funds will be used first to restore units
to projects reduced by HUD offices based on the above instructions.
Second, additional applications within each Multifamily Hub will be
selected in rank order with only one application selected per HUD
Office. More than one application may be selected per HUD Office if
there are no approvable applications in other HUD Offices within the
Multifamily Hub. This process will continue until there are no more
approvable applications within the Multifamily Hub that can be selected
with the remaining funds. Applications may not be skipped over to
select one based on funds remaining. However, HUD may use any remaining
residual funds to select the next rank-ordered application by reducing
the number of units by no more than 10 percent rounded to the nearest
whole number, provided the reduction will not render the project
infeasible or result in the project being less than five units.
Funds remaining after these processes are completed will be
returned to Headquarters. HUD Headquarters will use these residual
funds first to fund Mercy Charities Housing California, Cathedral City,
California, in the jurisdiction of the HUD Los Angeles HUB, a FY 2000
Section 202 application which was not funded due to HUD error. Second,
HUD Headquarters will use these funds to restore units to projects
reduced by HUD offices as a result of the instructions for using their
residual funds. Finally, HUD Headquarters will use these funds for
selecting applications based on field offices' rankings beginning with
the highest rated application nationwide. However, after restoring
units to projects where necessary, priority will be given to those
applications for projects in non-metropolitan areas, if necessary to
meet the statutory requirement pertaining to Section 202 funding in
non-metropolitan areas. Only one application will be selected per HUD
office from the national residual amount. If there are no approvable
applications in other HUD offices, the process will begin with the
selection of the next highest rated application nationwide. This
process will continue until all approvable applications are selected
using the available remaining funds.
(D) Factors For Award Used To Evaluate and Rate Applications. HUD
will rate applications that successfully complete technical processing
using the Rating Factors set forth below and in accordance with the
application submission requirements identified in Section VI(B) below.
The maximum number of points an application may receive under this
program is 102. This includes two EZ/EC bonus points, as described in
the General Section of the SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (25 Points)
This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner. Submit information responding to this
factor in accordance with Application Submission Requirements in
paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of
this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to develop and operate the
proposed housing on a long-term basis, considering the following:
(a) (15 points) The scope, extent, and quality of your experience
in providing housing or related services to those proposed to be served
by the project and the scope of the proposed project (i.e., number of
units, services, relocation costs, development, and operation) in
relationship to your demonstrated development and management capacity
as well as your financial management capability; and
(b) (10 points) The scope, extent, and quality of your experience
in providing housing or related services to minority persons or
families as well as your ties to the community at large and to the
minority and elderly communities in particular. For purposes of this
program section of the SuperNOFA, ``minority'' means the basic racial
and ethnic categories for Federal statistics and administrative
reporting, as defined in OMB's Statistical and Policy Directive No. 15.
(See 62 FR 58782, October 30, 1997.).
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area. Submit information responding to this factor in accordance
with Application Submission Requirements in paragraphs (B)(4)(a) and
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a
determination by the HUD Office. In making this determination, HUD will
consider your evidence of need in the area, as well as other economic,
demographic, and housing market data available to the HUD office. The
data could include information on the number of existing Federally
assisted housing units (HUD and RHS) for the elderly in the area and
current occupancy in such facilities; Federally assisted housing for
the elderly under construction or for which fund reservations have been
issued; and in accordance with an agreement between HUD and the RHS,
comments from the RHS on the demand for additional assisted housing and
the possible harm to existing projects in the same housing market area.
The Department will also review more favorably those applications which
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how your proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposal. There must be a clear relationship between your proposed
activities, the community's needs and purposes of the program funding
for your application to receive points for this factor. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d) and
(B)(4)(e) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider the following:
(a) (15 points) The proximity or accessibility of the site to
shopping, medical facilities, transportation, places of worship,
recreational facilities, places of employment, and other necessary
services to the intended occupants; adequacy of utilities and streets;
freedom of the site from adverse environmental conditions; compliance
with site and neighborhood standards (24 CFR 891.125(a), (d) and (e));
(b) (10 points) The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minority
elderly persons/families, and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c)
[[Page 12278]]
by examining relevant data in your application or in the HUD Office.
Where appropriate, HUD may visit the site.
(i) The site will be deemed acceptable if it increases housing
choice and opportunity by:
--Expanding housing opportunities in non-minority neighborhoods (if
located in such a neighborhood); or
--Contributing to the revitalization of and reinvestment in minority
neighborhoods, including improvement of the level, quality and
affordability of services furnished to minority elderly. You should
refer to the Site and Neighborhood Standards provisions of the
regulations governing the Section 202 Supportive Housing for the
Elderly program (24 CFR 891.125(b) and (c)) when considering sites for
your project.
(ii) For the purpose of this competition, the term ``minority
neighborhood (area of minority concentration)'' is defined as one where
any one of the following statistical conditions exists:
--The percentage of persons of a particular racial or ethnic minority
is at least 20 points higher than the minority's or combination of
minorities' percentage in the housing market as a whole; or,
--The neighborhood's total percentage of minority persons is at least
20 points higher than the total percentage of minorities for the
housing market as a whole; or,
--In the case of a metropolitan area, the neighborhood's total
percentage of minority persons exceeds 50 percent of its population.
The term ``nonminority area'' is defined as one in which the minority
population is lower than 10 percent.
(c) (3 points) The extent to which your proposed design will meet
the special physical needs of elderly persons;
(d) (3 points) The extent to which the proposed size and unit mix
of the housing will enable you to manage and operate the housing
efficiently and ensure that the provision of supportive services will
be accomplished in an economical fashion;
(e) (3 points) The extent to which the proposed design of the
housing will accommodate the provision of supportive services that are
expected to be needed, initially and over the useful life of the
housing, by the category or categories of elderly persons the housing
is intended to serve;
(f) (3 points) The extent to which the proposed supportive services
meet the identified needs of the anticipated residents; and
(g) (3 points) The extent to which you demonstrate that the
identified supportive services will be provided on a consistent, long-
term basis.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources which can be combined with HUD's program resources to achieve
program purposes. Submit information responding to this factor in
accordance with Application Submission Requirements in paragraphs
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the
SuperNOFA.
(a) (5 points) The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project; and
(b) (5 points) The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, and your demonstrated ability to enlist volunteers and
raise local funds.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in the community's Consolidated Planning process, and are
working toward addressing a need in a holistic and comprehensive manner
through linkages with other activities in the community. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h)
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(a) (4 points) Your involvement of elderly persons, particularly
minority elderly persons, in the development of the application, and
your intent to involve elderly persons, particularly minority elderly
persons, in the development and operation of the project;
(b) (2 points) The extent to which you coordinated your application
with other organizations to complement and/or support the proposed
project;
(c) (2 points) The extent to which you demonstrated that you have
been actively involved, or if not currently active, the steps you will
take to become actively involved in the community's Consolidated
Planning process to identify and address a need/problem that is related
in whole or part, directly or indirectly to the proposed project;
(d) (2 points) The extent to which you developed or plan to develop
linkages with other activities, programs or projects related to the
proposed project to coordinate your activities so solutions are
holistic and comprehensive; and
Bonus Points
(2 bonus points) Location of proposed site in an EZ/EC area, as
described in the General Section of this SuperNOFA. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in paragraph (B)(7)(j) of Section
VI of this program section of the SuperNOFA.
VI. Application Submission Requirements
(A) Application. Your application must include all of the
information, materials, forms, and exhibits listed in Section VI(B) of
this program section of the SuperNOFA (unless you were selected for a
Section 202 fund reservation within the last three funding cycles). If
you qualify for this exception, you are not required to submit the
information described in Sections VI(B)(2)(a), (b), and (c) of this
program section of the SuperNOFA (Exhibits 2.a., b., and c. of the
application kit), which are the articles of incorporation, (or other
organizational documents), by-laws, and the IRS tax exemption,
respectively. If there has been a change in any of these documents
since your previous HUD approval, you must submit the updated
information in your application. HUD offices will verify your
indication of previous HUD approval by checking the project number and
approval status with the appropriate HUD Office based on the
information submitted in response to Section VI(B)(2) below.
In addition to this relief of paperwork burden in preparing
applications, you will be able to submit information and exhibits you
have previously prepared for prior applications under Section 202,
Section 811, or other funding programs. Examples of exhibits that may
be readily adapted or amended to decrease the burden of application
preparation include, among others, those on previous participation in
the Section 202 or Section 811 Programs, your experience in provision
of housing and services, supportive services plan, community ties, and
experience serving minorities.
(B) General Application Requirements. Your application must contain
the items listed in this Section VI(B). These items include the
standard forms, certifications, and assurances listed in the General
Section of the SuperNOFA that are applicable to this funding
(collectively referred to as the ``standard forms''). The standard
forms
[[Page 12279]]
can be found in Appendix B to the General Section of the SuperNOFA. The
remaining application items that are forms (i.e., excluding such items
as narratives), referred to as the ``non-standard forms'' can be found
as Appendix B to this program section of the SuperNOFA. The items are
as follows:
(1) Form HUD-92015-CA, Application for Section 202 Supportive
Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a
private nonprofit organization or nonprofit consumer cooperative,
including the following:
(2)(a) Articles of Incorporation, constitution, or other
organizational documents;
(2)(b) By-laws;
(2)(c) IRS tax exemption ruling (this must be submitted by you and
each Co-Sponsor, including churches). A consumer cooperative that is
tax exempt under State law, has never been liable for payment of
Federal income taxes, and does not pay patronage dividends may be
exempt from the requirement set out in the previous sentence if it is
not eligible for tax exemption.
Note: If you received a section 202 fund reservation within the
last three funding cycles, you are not required to submit the
documents described in paragraphs (2)(a), (2)(b), and (2)(c), above.
Instead, you must submit the project number of the latest
application selected and the HUD office to which it was submitted.
If there have been any modifications or additions to the subject
documents, indicate such, and submit the new material.
(3) A description of your purpose, community ties, and experience,
including the following:
(3)(a) A description of your purpose, current activities and how
long you have been in existence;
(3)(b) A description of your ties to the community at large and to
the minority and elderly communities in particular;
(3)(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.);
(3)(d) Letters of support for your organization and for the
proposed project from organizations familiar with the housing and
supportive services needs of the elderly that you expect to serve in
the proposed project;
(3)(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
and/or supportive services facilities that you have sponsored, owned,
and/or operated; your past or current involvement in any programs other
than housing that demonstrates your management capabilities (including
financial management) and experience; your experience in serving the
elderly, including elderly persons with disabilities, and/or families
and minorities; and the reasons for receiving any increases in fund
reservations for developing and/or operating previously funded Section
202 or Section 811 projects. The description should include data on the
facilities and services provided, the racial/ethnic composition of the
populations served, if available, and information and testimonials from
residents or community leaders on the quality of the activities.
Examples of activities that could be described include housing
counseling, nutrition and food services, special housing referral,
screening and information projects.
(3)(f) A description, if applicable, of your efforts to involve
elderly persons, including minority elderly persons, in the development
of the application, as well as your intent to involve elderly persons
in the development and operation of the project.
(3)(g) A description of the steps you took to identify and
coordinate your application with other organizations to complement and/
or support the proposed project as well as the steps you will take, if
funded, to share information on solutions and outcomes relative to the
development of the proposed project.
(3)(h) A description of your involvement in the community's
Consolidated Planning process including:
(3)(h)(i) An identification of the lead/facilitating agency that
organizes/administers the process;
(3)(h)(ii) An identification of the Consolidated Plan issue areas
in which you participate;
(3)(h)(iii) Your level of participation in the process, including
active involvement with any neighborhood-based organizations,
associations, or any committees that support programs and activities
that enhance projects or the lives of residents of the projects, such
as the one proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning process.
(Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(3)(i) A description of the linkages that you have developed or
plan to develop with other related activities, programs or projects in
order that the development of the project provides a comprehensive and
holistic solution to the needs of the target population.
(4) Project information, including the following:
(4)(a) Evidence of need for supportive housing. Such evidence would
include a description of the category or categories of elderly persons
the housing is intended to serve and evidence demonstrating sustained
effective demand for supportive housing for that population in the
market area to be served, taking into consideration the occupancy and
vacancy conditions in existing Federally assisted housing for the
elderly (HUD and RHS; e.g., public housing); State or local data on the
limitations in activities of daily living among the elderly in the
area; aging in place in existing assisted rentals; trends in
demographic changes in elderly population and households; the numbers
of income eligible elderly households by size, tenure, and housing
condition; the types of supportive services arrangements currently
available in the area; and the use of such services as evidenced by
data from local social service agencies or agencies on aging. Also, a
description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the project.
(4)(b) A description of how the proposed project will benefit the
target population and the community in which it will be located.
(4)(c) A description of the project, including the following:
(4)(c)(i) A narrative description of the building design, including
a description of the number of units with bedroom distributions, any
special design features, amenities, and/or community space, and how
this design will facilitate the delivery of services in an economical
fashion and accommodate the changing needs of the residents over the
next 10-20 years.
Note: If these community spaces, amenities, or features would
not comply with the project design and cost standards of 24 CFR
891.120 and the special project standards of 24 CFR 891.210, you
must state your ability and willingness to contribute both the
incremental development cost and continuing operating cost
associated with the community spaces, amenities, or features;
(4)(c)(ii) A description of whether and how the project will
promote energy efficiency, and, if applicable, innovative construction
or rehabilitation methods or technologies to be used that will promote
efficient construction.
(4)(c)(iii) If applicable, a description of any plans and the
actions you have taken to create a mixed-finance/mixed-use project by
developing additional
[[Page 12280]]
units (i.e., in addition to the Section 202 units) with the use of
Section 202 capital advance funds in combination with other funding
sources. Specify the number of Section 202 units and the number of
additional units from non-Section 202 funding sources. Provide copies
of any letters you have sent seeking outside funding for the non-
Section 202 units and any responses thereto. You also must demonstrate
your ability to proceed with the development of a Section 202 project
that will not involve mixed-financing or a mixed-use purpose, as
proposed in your application, in the event you are later unable to
obtain the necessary outside funding or HUD disapproves your proposal
for mixed-financing or a mixed-use.
Note: Approval of the Section 202 capital advance will not
necessarily be approval of the mixed-finance/mixed-use proposal. If
approved for a reservation of capital advance funds, you will be
required to submit, after reservation of capital advance funds, a
detailed proposal outlining how you will fund both development and
operation of the additional units in accordance with HUD
instructions that will be issued later. Based on the strength of
your organization and HUD's prior experience with your projects, as
well as your outline of your intentions, at time of making the fund
reservation, HUD will determine whether you will be permitted to
submit a mixed-finance/mixed-use proposal at a later time. Only
those Sponsors that indicate in their application for a fund
reservation an intention to propose additional units will be
eligible to submit, at a later time, a mixed-finance/mixed-use
proposal for additional units. (A mixed-finance/mixed-use project,
as used here, does not include the development of Section 202 units
using secondary/supplemental financing or the development of a
mixed-use project in which the Section 202 units are mortgaged
separately from the other uses of the structure).
(4)(d) Evidence that the Sponsor has site control and permissive
zoning, including the following:
(4)(d)(i) Acceptable evidence of site control is limited to any one
of the following:
(A) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be at least 50 years;
(B) Contract of sale for the site which is free of any limitations
affecting ability to deliver ownership to you after you receive and
accept a notice of Section 202 capital advance. The only condition for
closing on the sale can be your receipt and acceptance of the capital
advance. The contract of sale cannot require closing on a date earlier
than the Section 202 closing.
(C) Option to purchase or for a long-term leasehold which must
remain in effect for six months from the date on which the applications
are due, and must state a firm price binding on the seller. The only
condition on which the option may be terminated is if you are not
awarded a fund reservation. The option must be renewable at the end of
the six months option period.
(D) Where the proposed site is subject to a mortgage under a HUD
program (e.g., an earlier 202 or an FHA insured mortgage), you must
submit evidence that consent to release of the site from that mortgage
has been obtained or has been requested from HUD and from the
mortgagee, if other than HUD.
(E) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 202 capital advance.
Where HUD determines that time constraints of the funding round will
not permit all of the required official actions (e.g., approval of
Community Planning Boards) that are necessary to convey publicly-owned
sites, a letter in the application from the mayor or director of the
appropriate local agency indicating that conveyance or leasing of the
site is acceptable without imposition of additional covenants or
restrictions and only contingent on the necessary approval action. Such
a letter commitment will be considered sufficient evidence of site
control.
Note: For this funding cycle, New York City-owned sites that are
designated as community gardens will not meet site control
requirements due to litigation involving those sites.
(4)(d)(ii) Whether you have title to the site, a contract of sale,
an option to purchase, or are acquiring the site from a public body,
you must provide evidence (a title policy or other acceptable evidence)
that the site is free of any limitations, restrictions, or reverters
which could adversely affect the use of the site for the proposed
project for the 40-year capital advance period under HUD's regulations
and requirements (e.g., reversion to seller if title is transferred).
If the title evidence contains restrictions or covenants, copies of
such covenants or restrictions must be submitted with the application.
If the site is subject to any such limitations, restrictions, or
reverters, the application will be rejected. Purchase money mortgages
that will be satisfied from capital advance funds are not considered to
be limitations or restrictions that would adversely affect the use of
the site. If the contract of sale or the option agreement contains
provisions that allow a Sponsor not to purchase the property for
reasons such as environmental problems, failure of the site to pass
inspection, or the appraisal is less than the purchase price, then such
provisions are not objectionable and a Sponsor is allowed to terminate
the contract of sale or the option agreement.
Note: A proposed project site may not be acquired or optioned
from a General Contractor (or its affiliate) that will construct the
section 202 project or from any other development team member.
(4)(d)(iii) Evidence that the project as proposed is permissible
under applicable zoning ordinances or regulations, or a statement of
the proposed action required to make the proposed project permissible
and the basis for your belief that the proposed action will be
completed successfully before the submission of the firm commitment
application (e.g., a summary of the results of any requests for
rezoning and/or the procedures for obtaining special or conditional use
permits on land in similar zoning classifications and the time required
for such rezoning, or preliminary indications of acceptability from
zoning bodies, etc.);
(4)(d)(iv) A narrative topographical and demographic description of
the suitability of the site and area, and how the site will promote
greater housing opportunities for minority elderly and elderly persons
with disabilities, thereby affirmatively furthering fair housing;
(NOTE: You can best demonstrate your commitment to affirmatively
furthering fair housing by describing how your proposed activities will
assist the jurisdiction in overcoming impediments to fair housing
choice identified in the applicable jurisdictions's Analysis of
Impediments to Fair Housing Choice (AI), which is a component of the
jurisdiction's Consolidated Plan, or any other planning document that
addresses fair housing issues. The applicable Consolidated Plan and AI
may be the Community's, the County's, or the State's, to which input
should have been provided by local community organizations, agencies in
the community, and residents of the community. Alternatively, a
document that addresses fair housing issues and remedies to barriers to
fair housing in the community that was previously prepared by a local
planning, or similar organization, may be used. Applicable impediments
could include the need for
[[Page 12281]]
improved housing quality and services for elderly minority families,
lack of affirmative marketing and outreach to minority elderly persons,
and the need for quality eldercare services within areas of minority
concentration when compared with the type and quality of similar
services and housing in nonminority areas.
(4)(d)(v) A map showing the location of the site and the racial
composition of the neighborhood, with the area of racial concentration
delineated;
(4)(d)(vi) A Phase I Environmental Site Assessment (ESA), in
accordance with the American Society for Testing and Material (ASTM)
Standards E 1527-97, as amended. The Phase I ESA must be completed and
submitted with the application. In order for the Phase I ESA to be
acceptable, it must have been completed, or updated, no earlier than
six months prior to application deadline date. Therefore, it is
important that you start the Phase I ESA process as soon after
publication of this SuperNOFA as possible.
If the Phase I ESA indicates the possible presence of contamination
and/or hazards, you must decide whether to continue with this site or
choose another site. Should you choose another site, the same Phase I
ESA process identified above must be followed for the new site. NOTE:
You are not limited to acquiring properties from the FDIC/RTC. However,
if the property is to be acquired from the FDIC/RTC, include a copy of
the FDIC/RTC prepared Transaction Screen Checklist or Phase I ESA, and
applicable documentation, per the FDIC/RTC Environmental Guidelines.
If you choose to continue with the original site on which the Phase
I ESA indicated contamination or hazards, you must undertake a detailed
Phase II Environmental Site Assessment (ESA) by an appropriate
professional. If the Phase II ESA reveals site contamination, the
extent of the contamination and a plan for clean-up of the site must be
submitted to the local HUD office. The plan for clean-up must include a
contract for remediation of the problem(s) and an approval letter from
the applicable Federal, State, and/or local agency with jurisdiction
over the site. In order for the application to be considered for review
under this FY 2001 funding competition, you must submit this
information to the local HUD office on or before June 25, 2001.
Note: This could be an expensive undertaking. You must pay for
the cost of any clean-up and/or remediation.
(4)(d)(vii) A letter from the State Historic Preservation Officer
(SHPO) indicating whether the proposed site has any historical
significance. If you cannot obtain a letter from the SHPO due to the
SHPO not responding to your request or the SHPO responding that it
cannot or will not comply with the requirement, you must submit the
following:
(A) A letter indicating that you attempted to get the required
letter from the SHPO but that the SHPO either had not responded to your
request or would not honor or recognize your request;
(B) A copy of your letter to the SHPO requesting the required
letter; and,
(C) A copy of the SHPO's response, if available.
(4)(e) Provision of supportive services in the proposed facility:
(4)(e)(i) A detailed description of the supportive services
proposed to be provided to the anticipated occupancy;
(4)(e)(ii) A description of public or private sources of assistance
that reasonably could be expected to fund the proposed services;
(4)(e)(iii) The manner in which such services will be provided to
such persons (i.e., on or off-site), including whether a service
coordinator will facilitate the adequate provision of such services,
and how the services will meet the identified needs of the residents.
NOTE: You may not require residents, as a condition of occupancy, to
accept any supportive service.
(4)(e)(iv) A description of how the residents will be afforded
opportunities for employment.
(5) A list of the applications, if any, that you have submitted or
are planning to submit to any other HUD office in response to this
announcement of Section 202 Program funding availability or the
announcement of Section 811 Program (Supportive Housing for Persons
with Disabilities) funding availability, published elsewhere in this
SuperNOFA. Indicate by HUD office, the proposed location by city and
State, and the number of units requested for each application. Include
a list of all FY 2000 and prior year projects to which you are the
Sponsor that have not been finally closed. Such projects must be
identified by project number and HUD office.
(6) A statement that:
(6)(a) Identifies all persons (families, individuals, businesses,
and nonprofit organizations), by race/minority group, and status as
owners or tenants, occupying the property on the date of submission of
the application for a capital advance;
(6)(b) Indicates the estimated cost of relocation payments and
other services;
(6)(c) Identifies the staff organization that will carry out the
relocation activities; and
(6)(d) Identifies all persons that have moved from the site within
the past 12 months.
Note: If any of the relocation costs will be funded from sources
other than the section 202 capital advance, you must provide
evidence of a firm commitment of these funds. When evaluating
applications, HUD will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation, construction, and other
project costs).
(7) Certifications and Resolutions. In addition to the
certifications and assurances listed in the General Section of this
SuperNOFA with the exception of SF-424A, SF-424B, SF-424C, SF-424D,
HUD-424M and the OMB Circulars which are not required, you are required
to submit signed copies of the following:
(7)(a) Standard Form 424. Application for Federal Assistance and
indication of whether you are delinquent on any Federal debt. (See
instructions for submitting this form in the Consolidated Application
Submission section of the General Section of the SuperNOFA.)
(7)(b) Drug-Free Workplace (HUD-50070). Certification to provide a
drug-free workplace.
(7)(c) Payments to Influence Federal Transactions (HUD-50071) and
Standard Form LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any Federal
transactions and disclosure of those activities, if applicable.
(7)(d) Applicant/Recipient Disclosure/Update Report, including
Social Security Numbers and Employee Identification Numbers, (HUD-
2880). A disclosure of assistance from other government sources
received in connection with the project.
(7)(e) Certification Regarding Debarment and Suspension (HUD-2992)
(24 CFR 24.510). A certification attesting to the eligibility of your
principals.
(7)(f) Executive Order 12372 Certification. A certification that
you have submitted a copy of your application, if required, to the
State agency (single point of contact) for State review in accordance
with Executive Order 12372.
(7)(g) Certification of Consistency with the Consolidated Plan
(Plan), Form HUD-2991, for the jurisdiction in which the proposed
project will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the State, or by the
unit of general local government if the project
[[Page 12282]]
will be located within the jurisdiction of the unit of general local
government authorized to use an abbreviated strategy, and if it is
willing to prepare such a Plan.
All certifications must be made by the public official responsible
for submitting the Plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth in this program section of the SuperNOFA. The Plan regulations
are published in 24 CFR part 91.
(7)(h) A certified Board Resolution that no officer or director of
the Sponsor or Owner has or will have any financial interest in any
contract with the Owner or in any firm or corporation that has or will
have a contract with the Owner, including a current listing of all duly
qualified and sitting officers and directors by title, and the
beginning and ending dates of each person's term.
(7)(i) A certified Board Resolution, acknowledging the
responsibilities of sponsorship, long-term support of the project(s),
your willingness to assist the Owner to develop, own, manage, and
provide appropriate services in connection with the proposed project,
and that it reflects the will of your membership. Also, the resolution
shall indicate your willingness to fund the estimated start-up
expenses, the Minimum Capital Investment (one-half of one-percent of
the HUD-approved capital advance, not to exceed $10,000, if
nonaffiliated with a National Sponsor; one-half of one-percent of the
HUD-approved capital advance, not to exceed $25,000, for all other
Sponsors;), and the estimated cost of any amenities or features (and
operating costs related thereto) that would not be covered by the
approved capital advance.
(7)(j) Certification of Consistency with the EZ/EC Strategic Plan
HUD-2990). A certification that the project is consistent with the EZ/
EC strategic plan, is located within the EZ/EC, and serves EZ/EC
residents.
(7)(k) Sponsor's Combined Certifications.
(7)(k)(i) Certification in Connection with the Development and
Operation of a Section 202 Project. A certification of compliance with
the requirements of the Fair Housing Act, Title VI of the Civil Rights
Act, the Age Discrimination Act of 1975, the affirmative fair housing
marketing requirements of 24 CFR part 200, subpart M and the
implementing regulations at 24 CFR part 108, and other applicable
Federal, State and local laws prohibiting discrimination and promoting
equal opportunity including affirmatively furthering fair housing.
(7)(k)(ii) Section 3 of the Housing and Urban Development Act of
1968 (12 U.S.C. 1701u). Certification of Compliance with Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and
implementing regulations at 24 CFR part 135. Certification that you
will strongly encourage your general contractor and subcontractors to
participate in local apprenticeship programs or training programs
registered with or certified by the Department of Labor's Bureau of
Apprenticeship and Training or recognized State Apprenticeship Agency.
(7)(k)(iii) Design and Cost Standards. Certification of Compliance
with HUD's Section 202 project design and cost standards (24 CFR
891.120 and 891.210), the Uniform Federal Accessibility Standards (24
CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's
implementing regulations at 24 CFR part 8, and for covered multifamily
dwellings designed and constructed for first occupancy after March 13,
1991, the design and construction requirements of the Fair Housing Act
and HUD's implementing regulations at 24 CFR part 100, and the
Americans with Disabilities Act of 1990;
(7)(k)(iv) Acquisition and Relocation. Certification of Compliance
with the acquisition and relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended (49 CFR part 24 and 24 CFR part 891.155(e));
(7)(k)(v) Formation of Owner Corporation. Certification that you
will form an ``Owner'' (24 CFR 891.205) after issuance of the capital
advance; cause the Owner to file a request for determination of
eligibility and a request for capital advance, and provide sufficient
resources to the Owner to insure the development and long-term
operation of the project, including capitalizing the Owner at firm
commitment processing in an amount sufficient to meet its obligations
in connection with the project;
(7)(k)(vi) Supportive Services. Certification that you will not
require residents to accept any supportive services as a condition of
occupancy; and,
(7)(k)(vii) Davis-Bacon. Certification of compliance with the
Davis-Bacon requirements and the Contract Work Hours and Safety
Standards Act.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR part 50, all Section 202 assistance is
subject to the National Environmental Policy Act of 1969 and applicable
related Federal environmental authorities. The environmental review
provisions of the Section 202 Program regulations are in 24 CFR
891.155(b).
IX. Formation of Owner Corporation for Development of Section 202
Projects and for Section 202 Projects Involving Mixed-Financing or
a Mixed-Use Purpose
Applicant eligibility for purposes of applying for a Section 202
fund reservation under this NOFA has not changed; i.e., all Section 202
Sponsors and Co-Sponsors must be private nonprofit organizations and
nonprofit consumer cooperatives. However, the Owner corporation, when
later formed by the Sponsor, may be (1) a single-purpose private
nonprofit organization that has tax-exempt status under Section
501(c)(3) or Section 501(c)(4) of the Internal Revenue Code of 1986,
(2) nonprofit consumer cooperative, OR (3) for purposes of developing a
mixed-finance/mixed-use project for developing additional units over
and above the Section 202 units, a for-profit limited dividend
organization with a nonprofit entity as the sole general partner.
X. Authority
The Section 202 Supportive Housing for the Elderly Program is
authorized by section 202 of the Housing Act of 1959 (12 U.S.C. 1701q).
See section 801 of the Cranston-Gonzalez National Affordable Housing
Act (Pub. L. 101-625; approved November 28, 1990); the Housing and
Community Development Act of 1992 (Pub. L. 102-550; approved October
28, 1992), the Rescissions Act (Pub. L. 104-19; enacted on July 27,
1995); and the American Homeownership and Economic Opportunity Act of
2000 (Pub. L. 106-569; approved December 27, 2000).
Appendix A--Addresses for Submitting Applications
Please see Appendix A to the Section 811 Program Section of this
SuperNOFA. Submit your completed application (an original and four
copies) to the Director of the appropriate Multifamily Hub Office or
Multifamily Program Center as listed in Appendix A to the Section
811 program section of this SuperNOFA with the following exceptions:
1. Applications for projects proposed to be located within the
jurisdiction of the Seattle, Washington and the Anchorage, Alaska
Offices must be submitted to the Portland, Oregon Office.
[[Page 12283]]
2. Applications for projects proposed to be located within the
jurisdiction of the Sacramento, California Office must be submitted
to the San Francisco, California Office.
3. Applications for projects proposed to be located within the
jurisdiction of the Cincinnati, Ohio Office must be submitted to the
Columbus, Ohio Office.
4. Applications for projects proposed to be located within the
jurisdiction of the Washington, DC Office must be submitted to the
Baltimore, Maryland Office.
Appendix B
The non-standard forms, which follow, are required for your
Section 202 Program application.
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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FUNDING AVAILABILITY FOR THE SECTION 811 PROGRAM OF SUPPORTIVE
HOUSING FOR PERSONS WITH DISABILITIES (SECTION 811 PROGRAM)
Program Overview
Purpose of the Program. This program provides funding for
supportive housing for very low-income persons with disabilities who
are at least 18 years old. (Please note that funding for a related
program, Mainstream Housing Opportunities for Persons with
Disabilities, is found elsewhere in this SuperNOFA.)
Available Funds. Approximately $121.2 million.
Eligible Applicants. Nonprofit organizations that have a section
501(c)(3) tax exemption from the Internal Revenue Service (See Section
III(A) of this NOFA). (See Section IX of this NOFA for information
regarding the formation of the Owner corporation.)
Eligible Activities. New construction, rehabilitation, or
acquisition of housing (see Section III(C) of this NOFA).
Application Deadline. May 25, 2001.
Match Requirements. No.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Submit your completed application on or
before 6:00 pm, local time, on May 25, 2001, at the address shown
below.
See the General Section of this SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Submit your completed
application (an original and four copies) to the Director of the
appropriate Multifamily Hub Office or Multifamily Program Center as
listed in Appendix A to this program section of the SuperNOFA with the
following exceptions:
1. Applications for projects proposed to be located within the
jurisdiction of the Seattle, Washington and the Anchorage, Alaska
Offices must be submitted to the Portland, Oregon Office.
2. Applications for projects proposed to be located within the
jurisdiction of the Sacramento, California Office must be submitted to
the San Francisco, California Office.
3. Applications for projects proposed to be located within the
jurisdiction of the Cincinnati, Ohio Office must be submitted to the
Columbus, Ohio Office.
4. Applications for projects proposed to be located within the
jurisdiction of the Washington, DC Office must be submitted to the
Baltimore, Maryland Office.
The application kit also includes a listing of the Multifamily Hubs
and Program Centers, their addresses and telephone numbers, including
TTY numbers. This information is also available from HUD's SuperNOFA
Information Center at 1-800-HUD-8929 and from the Internet through the
HUD web site at http://www.hud.gov. Persons with hearing or speech
impairments may call the Center's TTY number at 1-800-HUD-2209.
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information Center at 1-800-
HUD-8929. Persons with hearing or speech impairments may call the
Center's TTY number at 1-800-HUD-2209. When requesting an application
kit, please refer to the Section 811 Program and provide your name,
address (including zip code), and telephone number (including area
code). The application kit also will be available on the Internet
through the HUD web site at http://www.hud.gov and from the appropriate
Multifamily Hub Office or Multifamily Program Center.
For Further Information and Technical Assistance. You may contact
the appropriate Multifamily Hub Office or Multifamily Program Center,
Gail Williamson at HUD Headquarters at (202) 708-2866, or access the
Internet at http://www.hud.gov.
HUD encourages minority organizations to participate in this
program and strongly recommends prospective applicants attend the local
HUD Office workshop. At the workshops, HUD will explain application
procedures and requirements, as well as address concerns such as local
market conditions, building codes and accessibility requirements,
historic preservation, floodplain management, displacement and
relocation, zoning, and housing costs. If you are interested in
attending the workshop, make sure that your name, address and telephone
number are on the appropriate HUD Office's mailing list so that you
will be informed of the date, time and place of the workshop. Persons
with disabilities should call the appropriate HUD Office to assure that
any necessary arrangements can be made to enable their attendance and
participation in the workshop.
If you cannot attend the workshop, call the appropriate HUD Office
if you have any questions regarding the submission of applications to
that particular office and to request any materials distributed at the
workshop.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.
II. Amount Allocated
For FY 2001 $121,249,712 for capital advances is available for the
Section 811 Program of Supportive Housing for Persons with
Disabilities. The FY 2001 HUD Appropriations Act (HUD Appropriations
Act) provides $217,000,000 for capital advances, including amendments
to capital advance contracts; for supportive housing for persons with
disabilities, as authorized by section 811 of the National Affordable
Housing Act of 1990 (NAHA); and for project rental assistance,
including amendments to contracts for project rental assistance, for
supportive housing for persons with disabilities under section 811 of
the NAHA. Of this amount, $500,000 shall be transferred to the Working
Capital Fund for the development and maintenance of information
technology systems.
Twenty-five percent (25%) of the $217,000,000 or $54.25 million is
being set aside for tenant-based rental assistance for persons with
disabilities administered through public housing agencies (PHAs) and
nonprofit organizations under the Mainstream Housing Opportunities for
Persons with Disabilities Program which is found elsewhere in this
SuperNOFA.
In accordance with the waiver authority provided in the HUD
Appropriations Act, the Secretary is waiving the following statutory
and regulatory provision: The term of the project rental assistance
contract is reduced from 20 years to 5 years. HUD anticipates that at
the end of the contract terms, renewals will be approved subject to the
availability of funds. In addition to this provision, HUD will reserve
project rental assistance contract funds based on 75 percent rather
than on 100 percent of the current operating cost standards for
approved units in order to take into account the average tenant
contribution toward rent.
[[Page 12304]]
The allocation formula used for Section 811 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY 2001 formula consists of two data elements
from the 1990 Decennial Census: (1) the number of non-institutionalized
persons age 16 or older with a work disability and a mobility or self-
care limitation and (2) the number of non-institutionalized persons age
16 or older having a mobility or self-care limitation but having no
work disability.
A work disability is defined as a health condition that had lasted
for 6 or more months which limited the kind (restricted the choice of
jobs) or amount (not able to work full time) of work a person could do
at a job or business. A mobility limitation is defined as a health
condition that lasted for 6 or more months, making it difficult for the
person to go outside the home alone. This includes outside activities,
such as shopping or visiting a doctor's office. A self-care limitation
is defined as a health care limitation that had lasted for 6 or more
months which made it difficult for the person to take care of his/her
own personal needs such as dressing, bathing, or getting around inside
the home. Temporary (short term) problems such as broken bones that are
expected to heal normally are not considered problems.
Under the Section 811 Program, each HUD Office jurisdiction
receives sufficient capital advance funds for a minimum of 10 units.
The total amount of capital advance funds to support this minimum set-
aside is then subtracted from the total capital advance available. The
remainder is fair shared to each HUD Office jurisdiction whose fair
share would exceed the set-aside based on the allocation formula fair
share factors described below.
The fair share factors were developed by taking the sum of the
number of persons in each of the two elements for each state, or state
portion, of each local HUD Office jurisdiction as a percent of the sum
of the two data elements from the Decennial Census, described above,
for the total United States. The resulting percentage for each local
HUD Office is then adjusted to reflect the relative cost of providing
housing among the local HUD Office jurisdictions. The adjusted needs
percentage for each local HUD Office is then multiplied by the total
amount of capital advance funds available nationwide.
The Section 811 capital advance funds have been allocated, based on
the formula above, to 51 local HUD Offices as shown on the following
chart:
BILLING CODE 4210-32-P
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III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. HUD provides capital advances and
contracts for project rental assistance in accordance with 24 CFR part
891. Capital advances may be used to construct, rehabilitate, or
acquire structures (including structures from the Federal Deposit
Insurance Corporation (formerly held by the Resolution Trust
Corporation) (FDIC/RTC)), to be developed into a variety of housing
options described in Section III(C) below. Capital advance funds may
also be used in combination with other non-Section 811 funding sources
to develop additional units for amixed-finance or mixed-use project,
provided that the additional units: (1) do not exceed the project size
limits for the type of project proposed (unless a request for an
exception to the project size limits is requested and approved by HUD),
or (2) will house people who do not have a disability. Capital advance
funds bear no interest and are based on development cost limits
published in this SuperNOFA. Repayment of the capital advance is not
required as long as the housing remains available for at least 40 years
for occupancy by very low-income persons with disabilities. Project
rental assistance contract (PRAC) funds are used to cover the
difference between the tenants' contributions toward rent (30 percent
of adjusted income) and the HUD-approved cost to operate the project.
Note: For purposes of approving Section 811 capital advances,
HUD will consider proposals involving mixed-financing or a mixed-use
purpose for additional units. However, you must obtain funds to
assist the additional units with other than PRAC funds. HUD will not
provide PRAC funds for non-Section 811 units.
(B) Eligible Applicants. Nonprofit organizations with a section
501(c)(3) tax exemption from the Internal Revenue Service are the only
eligible applicants for this program. A Sponsor or Co-sponsor may not
apply for more than 70 units of housing or 4 projects (whichever is
less) for persons with disabilities in a single Hub. In addition, a
Sponsor or Co-sponsor may not apply for more units in a given HUD
Office than allocated for the Section 811 program in that HUD Office,
or for more than 10 percent of the total units allocated in all HUD
offices. A single application must propose at least five units, not
necessarily in one structure if the project will be an independent
living project and two units if the project will be a group home.
Affiliated entities that submit separate applications are considered a
single entity for the purpose of these limits.
(C) Eligible Activities. The types of housing that can be developed
with Section 811 capital advance funds include independent living
projects, dwelling units in multifamily housing developments,
condominium and cooperative housing and small group homes.
(D) Ineligible Activities. Section 811 funds may not be used for
any of the following:
(1) Nursing homes, infirmaries and medical facilities;
(2) Transitional housing facilities;
(3) Manufactured housing facilities;
(4) Intermediate care facilities;
(5) Community centers, with or without special components for use
by persons with disabilities;
(6) Sheltered workshops and centers for persons with disabilities;
(7) Headquarters for organizations for persons with disabilities;
and
(8) Refinancing of Sponsor-owned facilities without rehabilitation.
IV. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, you must comply with the following
requirements:
(A) Statutory Requirements and Regulatory Requirements. You must
comply with all statutory and regulatory requirements listed in
Sections III, IV and X of this program section of the SuperNOFA.
(B) HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have
an agreement to coordinate the administration of the agencies'
respective rental assistance programs. As a result, HUD is required to
notify RHS of applications for housing assistance it receives. This
notification gives RHS the opportunity to comment if it has concerns
about the demand for additional assisted housing and possible harm to
existing projects in the same housing market area. HUD will consider
RHS comments in its review and application selection process.
(C) Development Cost Limits. (1) The following development cost
limits, adjusted by locality as described in Section IV(C)(2) below,
must be used to determine the capital advance amount reserved for
projects for persons with disabilities:
(a) For independent living projects and dwelling units in
multifamily housing developments, condominium and cooperative housing:
The total development cost of the project attributable to dwelling use
(less the incremental development cost and the capitalized operating
costs associated with any excess amenities and design features you will
pay for) may not exceed:
Non-elevator structures:
$41,238 per family unit without a bedroom;
$47,548 per family unit with one bedroom;
$57,344 per family unit with two bedrooms;
$73,400 per family unit with three bedrooms;
$81,770 per family unit with four bedrooms.
For elevator structures:
$43,398 per family unit without a bedroom;
$49,748 per family unit with one bedroom;
$60,493 per family unit with two bedrooms;
$78,257 per family unit with three bedrooms;
$85,902 per family unit with four bedrooms.
(b) For group homes only:
Type of Disability
------------------------------------------------------------------------
Chronic
# Residents Physical/ mental
developmental illness
------------------------------------------------------------------------
2.......................................... $166,022 $160,262
3.......................................... 178,533 172,340
4.......................................... 191,045 183,069
5.......................................... 203,556 193,798
6.......................................... 216,054 204,527
------------------------------------------------------------------------
(c) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the minimum group home requirements of 24 CFR
891.310(a) (if applicable); the accessibility requirements of 24 CFR
891.120(b) and 891.310(b); and the project design and cost standards of
24 CFR 891.120.
(2) Increased development cost limits.
(a) HUD may increase the development cost limits set forth in
Section IV(C)(1) of this program section of the SuperNOFA by up to 140
percent in any geographic area where the cost levels require, and may
increase the development cost limits by up to 160 percent on a project-
by-project basis. This increase may include covering additional costs
to make dwelling units accessible through rehabilitation.
(b) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits
[[Page 12309]]
provided in Section IV(C)(1) of this program section of the SuperNOFA,
the amount of capital advances may be increased to compensate for such
costs. The increase may not exceed the limits established under this
section (including any high cost area adjustment) by more than 50
percent.
(c) For group homes only, HUD Offices may approve increases in the
development cost limits in Section IV(C)(1)(b), above, in areas where
you can provide sufficient documentation that high land costs limit or
prohibit project feasibility. An example of acceptable documentation is
evidence of at least three land sales which have actually taken place
(listed prices for land are not acceptable) within the last two years
in the area where your project is to be built. The average cost of the
documented sales must exceed ten percent of the development cost limit
for your project in order for an increase to be considered.
(D) Sites. (1) NAHA requires you to provide in your application
either:
(a) Evidence of site control, or
(b) A reasonable assurance that you will have control of a site
within six months of notification of fund reservation.
(2) Accordingly, if you have control of a site at the time you
submit your application, you must include evidence of such as described
in Section VI(B)(4)(d)(i) of this program section of the SuperNOFA
relative to site control and in the application kit. If you do not have
site control, you must provide the information required in Section
VI(B)(4)(d)(x) of this program section of the SuperNOFA relative to
identification of a site and in the application kit for identified
sites as a reasonable assurance that site control will be obtained
within six months of fund reservation notification.
(3) Under Criterion (a) of Rating Factor 3 in Section V(D), below,
related to your proposed site, your application has the potential of
earning 17 points. Criterion (a)(i) is related to site approvability
and is worth a maximum of 7 points. Five points for Criterion (a)(ii)
will be awarded if your project will represent an integrated housing
model (e.g., condominium units scattered within one or more buildings
or non-contiguous independent living units on scattered sites).
Criterion (a)(iii) which is worth five points for site control will be
awarded as outlined in Section IV(D)(5) below. Regardless of whether
you submit evidence of site control or have identified a site without
obtaining control of the site, the site will be evaluated based on its
proximity or accessibility to shopping, medical facilities,
transportation, places of worship, recreational facilities, places of
employment and other necessary services to the intended tenants.
(4) To meet the ``proximity'' or ``accessibility'' test, you must
demonstrate that community services and amenities described above are
either near or accessible to the residents. Sites where the community
services and amenities described above are either near or accessible to
the residents other than solely by a project residence or private
vehicle will be rated more favorably than sites where residents must
depend upon the project residence or private vehicle to access such
community services and amenities. Your application will also be
evaluated to determine whether it complies with the site and
neighborhood standards in 24 CFR 891.125.
(5) Criterion (a)(iii) relates to the existence of legally
acceptable site control. If you:
(a) Submit evidence of site control for all proposed sites in your
application,
(b) The evidence is determined to be legally acceptable for all of
the sites, and
(c) All of the sites are approvable (i.e., receive a score of 1 or
higher for Criterion (a)(i), your application will receive 5 points for
Criterion (a)(iii).
(6) If your application contains evidence of site control where
either the evidence or the site is not approvable, your application
will not be rejected provided you indicate in your application that you
are willing to seek an alternate site and provide an assurance that
site control will be obtained within six months of fund reservation
notification.
(E) Supportive Services. You are required to include a Supportive
Services Plan and a certification from the appropriate State or local
agency that the provision of services identified in your Supportive
Services Plan is well designed to address the individual health, mental
health and other needs of persons with disabilities who will live in
your proposed project. Section VI(B)(4)(e) of this program section of
the SuperNOFA, below, outlines the information that must be in the
Supportive Services Plan. You must submit one copy of your Supportive
Services Plan to the appropriate State or local agency well in advance
of the application submission deadline date for the State or local
agency to review your Supportive Services Plan (Exhibit 4(e) of the
application kit) and complete the Supportive Services Certification
(Exhibit 7(l) of the application kit) and return it to you so that you
can include it in the application you submit to HUD.
(1) HUD will reject your application if the supportive services
certification:
(i) Is not submitted with your application and is not submitted to
HUD within the 14-day cure period; or
(ii) Indicates that the provision of supportive services is not
well designed to address the individual health, mental health and other
needs of persons with disabilities who will live in your project; or
(iii) Indicates that the provision of supportive services will not
enhance independent living success or promote the dignity of the
persons with disabilities who will live in your proposed project.
(2) In addition, if the agency completing the certification will be
a major funding or referral source for your proposed project or be
responsible for licensing the project, HUD will reject your application
if either the agency's supportive services certification indicates--or,
where the agency fails to complete item 3 or 4 of the certification,
HUD determines that:
(i) You failed to demonstrate that supportive services will be
available on a consistent long-term basis; and/or
(ii) The proposed housing is not consistent with State or local
agency plans/policies addressing the housing needs of people with
disabilities.
Any prospective resident of a Section 811 project who believes he/
she needs supportive services must be given the choice to be
responsible for acquiring his/her own services or to take part in your
Supportive Services Plan which must be designed to meet the individual
needs of each resident. Residents or applicants may not be required to
accept any supportive service as a condition of occupancy or admission.
(F) Project Size Limits. (1) Independent living project--The
minimum number of units that can be applied for in one application is
five; not necessarily in one structure. The maximum number of persons
with disabilities that can be housed in an independent living project
is 18.
(2) Exceptions--If you are submitting an application for an
independent living project with site control, you may request an
exception to the above project size limit by providing the information
required in Section VI(B)(4)(d)(ix) in this program section of the
SuperNOFA, below, and in the application kit. Not more than 25 percent
of any amounts for capital advances or project rental assistance will
be used for independent living projects that exceed 24 units.
(3) Group home--The minimum number of persons with disabilities
that can reside in a group home is two, and
[[Page 12310]]
the maximum number is six. Only one person per bedroom is allowed,
unless two residents choose to share one bedroom or a resident
determines he/she needs another person to share his/her bedroom.
(G) Minimum Capital Investment. Selected nonprofit organizations
must provide a minimum capital investment of one-half of one percent of
the HUD-approved capital advance amount not to exceed a maximum of
$10,000 in accordance with 24 CFR 891.145.
(H) Economic Opportunities for Low and Very Low Income Persons. You
must comply with section 3 of the Housing and Urban Development Act of
1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very Low
Income Persons) and its implementing regulations at 24 CFR part 135. To
comply, you must ensure that training, employment and other economic
opportunities are directed, to the greatest extent feasible, toward low
and very low income persons, particularly those who are recipients of
government assistance for housing; and to business concerns which
provide economic opportunities to low and very low income persons. To
comply with section 3 requirements, you are required to certify that
you will strongly encourage the general contractor and subcontractors
to participate in local apprenticeship programs or training programs
registered with or certified by the Department of Labor's Bureau of
Apprenticeship and Training or recognized State Apprenticeship Agency
(see section VI(B)(7)(k)(ii) of this program section of the SuperNOFA).
(I) Applicability of Acquisition of Sites under the Uniform
Relocation Assistance and Real Property Acquisition Act of 1970, as
amended. The acquisition of sites, with or without existing structures,
is subject to the Uniform Relocation Assistance and Real Property
Acquisition Act of 1970, as amended (URA). However, you are exempt from
complying with the site acquisition requirements of the URA if you do
not have the power of eminent domain and prior to entering into a
contract of sale, option to purchase or any other method of obtaining
site control, you inform the seller of the land (1) that you do not
have the power of eminent domain and, therefore, you will not acquire
the property if negotiations fail to result in an amicable agreement,
and (2) of the estimate of the fair market value of the property. An
appraisal is not required to meet this requirement, however, your files
must include an explanation, with reasonable evidence of the basis for
the estimate.
(J) Accessibility. If you intend to construct, substantially
rehabilitate, or acquire, with or without rehabilitation, structures to
be used as housing for persons with disabilities, you should note 24
CFR 891.310, which requires that your project meets accessibility
requirements. In addition, you should note that 24 CFR 8.4(b)(5)
prohibits the selection of a site or location which has the purpose or
effect of excluding persons with disabilities from the Federally
assisted program or activity. Thus, if you choose an existing
structure, make sure that it can be made accessible without resulting
in an infeasible project.
V. Application Selection Process
(A) Review for Curable Deficiencies. You should ensure that your
application is complete before submitting it to the appropriate HUD
office. HUD will screen all applications received by the deadline to
determine if there are any curable deficiencies. A curable deficiency
is a missing Exhibit or portion of an Exhibit that will not affect the
rating of your application. The following is a list of the only
deficiencies that will be considered curable in a Section 811
application:
Exhibits
(1) Form 92016-CA (Application Form)*
(2)(a) Articles of Incorporation*
(b) By-laws*
(c) IRS tax exemption ruling*
(c)(ii) Energy efficiency
(d)(vii) Letter from the State Historic Preservation Officer (SHPO)
(d)(viii) Seek alternate site
(d)(ix) Exception to project size limits
(5) Applications submitted to other offices
(6) Relocation
(7)(a) Standard Form 424, Application for Federal Assistance*
(b) Form HUD-50070, Certification of a Drug-Free Workplace
(c) Form HUD-50071, Certification of Payments to Influence Federal
Transactions and Standard Form-LLL, Disclosure of Lobbying Activities
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report
(e) Form HUD-2992, Certification Regarding Debarment and Suspension
(f) Executive Order 12372 Certification
(g) Form HUD-2991, Certification of Consistency with Consolidated
Plan
(h) Conflict of Interest Resolution
(i) Resolution for Commitment to Project*
(k) Combined Certifications
(l) Supportive Services Certification
(m) Lead-Based Paint Certification
(n) Certification for Single Room Occupancy in Section 811 Group
Homes (if project will include a group home)
The HUD Office will notify you in writing if your application is
missing any of the above exhibits or portions of exhibits and will give
you 14 days from the date of the notification to submit the information
required to cure the noted deficiencies. The items identified by an
asterisk (*) must be dated on or before the application deadline date.
(B) Rating. HUD will review and rate your application in accordance
with the Application Selection Process in the General Section of this
SuperNOFA with the following exception. HUD will not reject your
application based on technical review without notifying you of the
rejection with all the reasons for rejection and providing you an
opportunity to appeal. You will have 14 calendar days from the date of
HUD's written notice to appeal a technical rejection to the HUD Office.
If the rejection is due to the nonsubmission of the following exhibits
because of the failure of a third party to provide information under
the control of the third party but outside your control (e.g., by
contract), and you were not provided the opportunity to cure the
deficiency during the curable deficiency period, you can submit the
information required to cure the deficiency during the 14 calendar day
appeal period:
(1) Exhibit 7(g), Form HUD-2991, Certification of Consistency with
the Consolidated Plan; and/or
(2) Exhibit 7(l), Certification for Provision of Supportive
Services.
The information required to cure the above identified deficiencies
includes the deficient Exhibit and documentation showing that the
information had been requested from the third party at least 45 days
prior to the application deadline date.
The HUD Office will make a determination on an appeal before making
its selection recommendations. Your application(s) will be either rated
or technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, your application will be rated according to the
Rating Factors in Section V(D) below.
(C) Ranking and Selection Procedures. Applications that have a
total base score of 60 points or more (without the addition of EC/EZ
bonus points) and meet all of the applicable threshold requirements of
Section II(B) of the
[[Page 12311]]
General Section of the SuperNOFA will be eligible for selection and
will be placed in rank order. HUD will select applications, after
adding any bonus points for EC/EZ, based on rank order, up to and
including the last application that can be funded out of each HUD
Office's allocation. HUD Offices must not skip over any applications in
order to select one based on the funds remaining. After making the
initial selections, however, HUD may use any residual funds to select
the next rank-ordered application by reducing the number of units by no
more than 10 percent rounded to the nearest whole number, provided the
reduction will not render the project infeasible. For this purpose,
however, HUD will not reduce the number of units in projects of five
units or less.
After this process is completed, residual funds from all HUD
Offices within each Multifamily Hub will be combined. First, these
funds will be used to restore units to projects reduced by HUD Offices
based on the above instructions. Second, additional applications within
each Multifamily Hub will be selected in rank order with only one
application selected per HUD Office. More than one application may be
selected per HUD Office if there are no approvable applications in
other HUD Offices within the Multifamily Hub. This process will
continue until there are no more approvable applications within the
Multifamily Hub that can be selected with the remaining funds.
Applications may not be skipped over to select one based on funds
remaining. However, HUD may use any remaining residual funds, to select
the next rank-ordered application by reducing the number of units by no
more than 10 percent rounded to the nearest whole number, provided the
reduction will not render the project infeasible or result in the
project being less than 5 units.
Funds remaining after these processes are completed will be
returned to Headquarters. HUD will use these residual funds first to
fund United Cerebral Palsy of LA and Ventura, in the jurisdiction of
the Los Angeles Multifamily Program Center, a FY 2000 application which
was not funded due to HUD error. Second, HUD Headquarters will use
these funds to restore units to projects reduced by HUD Offices as a
result of the instructions for using their residual funds. Finally, HUD
Headquarters will use these funds for selecting applications based on
field offices' rankings, beginning with the highest rated application
nationwide. Only one application will be selected per HUD Office from
the national residual amount, excluding the Los Angeles Multifamily
Program Center, already funded. If there are no approvable applications
in other HUD Offices, the process will begin again with the selection
of the next highest rated application nationwide. This process will
continue until all approvable applications are selected using the
available remaining funds.
(D) Factors For Award Used To Evaluate and Rate Applications. HUD
will rate applications that successfully complete technical processing
using the Rating Factors set forth below and in accordance with the
application submission requirements in Section VI(B) below. The maximum
number of points an application may receive under this program is 102.
This includes two (2) EZ/EC bonus points, as described in the General
Section of this SuperNOFA.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (25 Points)
This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner. Submit information responding to this
factor in accordance with Application Submission Requirements in
paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of
this program section of the SuperNOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to develop and operate the
proposed housing on a long-term basis, considering the following:
(a) (12 points) The scope, extent, and quality of your experience
in providing housing or related services to those proposed to be served
by the project and the scope of the proposed project (i.e., number of
units, services, relocation costs, development, and operation) in
relationship to your demonstrated development and management capacity
as well as your financial management capability;
(b) (8 points) The scope, extent, and quality of your experience in
providing housing or related services to minority persons or families
as well as your ties to the community at large and to the minority and
disability communities in particular. For purposes of this program
section of the SuperNOFA, ``minority'' means the basic racial and
ethnic categories for Federal statistics and administrative reporting,
as defined in OMB's Statistical and Policy Directive No. 15. (See 62 FR
58782, October 30, 1997.)
(c) (5 points) You have experience in developing integrated housing
(e.g., condominium units scattered within one or more buildings or non-
contiguous independent living units on scattered sites).
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area. Submit information responding to this factor in accordance
with Application Submission Requirements in paragraphs (B)(4)(a) and
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In
evaluating this factor, HUD will consider:
The extent of the need for the project in the area based on a
determination by the HUD Office. In making this determination, HUD will
consider your evidence of need in the area, as well as other economic,
demographic, and housing market data available to the HUD Office. The
data could include the availability of existing comparable subsidized
housing for persons with disabilities and current occupancy in such
housing, comparable subsidized housing for persons with disabilities
under construction or for which fund reservations have been issued,
and, in accordance with an agreement between HUD and RHS, comments from
RHS on the demand for additional comparable subsidized housing and the
possible harm to existing projects in the same housing market area. The
Department also will review more favorably those applications which
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how the proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and effectiveness of your
proposal. There must be a clear relationship between the proposed
activities, the community's needs and purposes of the program funding
for your application to receive points for this factor. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d), and
(B)(4)(e) of
[[Page 12312]]
Section VI of this program section of the SuperNOFA. In evaluating this
factor, HUD will consider the following:
(a)(i) (7 points) Site approvability--The proximity or
accessibility (other than by sole means of a project residence or
private vehicle) of the site to shopping, medical facilities,
transportation, places of worship, recreational facilities, places of
employment, and other necessary services to the intended tenants;
adequacy of utilities and streets, and freedom of the site from adverse
environmental conditions (based on site visit for site control projects
only); and compliance with site and neighborhood standards in 24 CFR
891.125(a), (d), and (e);
(a)(ii) (5 points) Integrated model--If your project will be an
integrated model as described in Section IV(D) above, your application
will receive 5 points for this Criterion.
(a)(iii) (5 points) Site control--If your application contains
legally acceptable site control for all proposed sites and all of the
proposed sites are approvable (i.e., receive a score of 1 or higher on
Criterion (a)(i)), your application will receive 5 points for site
control;
(b) (8 points) The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minorities and
persons with disabilities and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c) by
examining relevant data in your application or in the HUD Office. If
appropriate, HUD may visit the site.
(i) The site will be deemed acceptable if it increases housing
choice and opportunity by:
--Expanding housing opportunities in non-minority neighborhoods (if
located in such a neighborhood); or
--Contributing to the revitalization of and reinvestment in minority
neighborhoods, including improvement of the level, quality and
affordability of services furnished to minority persons with
disabilities. You should refer to the Site and Neighborhood Standards
provisions of the regulations governing the Section 811 Supportive
Housing Program (24 CFR 891.125(b) and (c)) when considering sites for
your projects.
(ii) For the purpose of this competition, the term ``minority
neighborhood (area of minority concentration)'' is defined as one where
any one of the following statistical conditions exists:
--The percentage of persons of a particular racial or ethnic minority
is at least 20 points higher than the minority's or combination of
minorities' percentage in the housing market as a whole; or,
--The neighborhood's total percentage of minority persons is at least
20 points higher than the total percentage of minorities for the
housing market area as a whole; or
--In the case of a metropolitan area, the neighborhood's total
percentage of minority persons exceeds 50 percent of its population.
The term ``nonminority area'' is defined as one in which the minority
population is lower than 10 percent.
(c) (5 points) The extent to which the proposed design of the
project, including both the exterior and interior design, will meet the
individual needs of persons with disabilities the housing is expected
to serve;
(d) (5 points) The extent to which the proposed design of the
project and its placement in the neighborhood will facilitate the
integration of the residents into the surrounding community and promote
the ability of the residents to live as independently as possible; and
(e) (5 points) At least 51% of your board members are persons with
disabilities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to secure other community
resources which can be combined with HUD's program resources to achieve
program purposes. Submit information responding to this factor in
accordance with Application Submission Requirements in paragraphs
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the
SuperNOFA.
(a) (5 points) The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project; and
(b) (5 points) The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, developing integrated housing models and your
demonstrated ability to enlist volunteers and raise local funds.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which you coordinated your
activities with other known organizations, participate or promote
participation in the community's Consolidated Planning process, and are
working towards addressing a need in a holistic and comprehensive
manner through linkages with other activities in the community. Submit
information responding to this factor in accordance with Application
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h),
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
(a) (4 points) You involved persons with disabilities (including
minority persons with disabilities) in the development of the
application, and will involve persons with disabilities (including
minority persons with disabilities) in the development and operation of
the project;
(b) (2 points) The extent to which you coordinated your application
with other organizations (including local independent living centers; a
list of such can be obtained from the local HUD Office) to complement
and/or support the proposed project;
(c) (2 points) The extent to which you demonstrated that you have
been actively involved, or if not currently active, the steps you will
take to become actively involved in the community's Consolidated
Planning process to identify and address a need/problem that is related
in whole or part, directly or indirectly to the proposed project; and
(d) (2 points) The extent to which you developed or plan to develop
linkages with other activities, programs (for example, the Mainstream
Housing Opportunities for Persons with Disabilities Program) or
projects related to the proposed project to coordinate your activities
so solutions are holistic and comprehensive.
Bonus Points
(2 bonus points) Location of proposed site in an EZ/EC area, as
described in the General Section of this SuperNOFA. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in paragraph (B)(7)(j) of Section
VI of this program section of the SuperNOFA.
VI. Application Submission Requirements
(A) Application. Your application must include all of the
information, materials, forms, and exhibits listed in Section VI(B) of
this program section of the SuperNOFA (unless you were selected for a
Section 811 fund reservation within the last three funding cycles). If
you qualify for this exception, you are not required to submit the
information described in Section VI(B)(2)(a), (b), and (c), below, of
this program section of the SuperNOFA (Exhibits 2.a., b., and c. of the
application kit), which are the articles of
[[Page 12313]]
incorporation (or other organizational documents), by-laws, and the IRS
tax exemption, respectively. If there has been a change in any of these
documents since your previous HUD approval, you must submit the updated
information in your application. The HUD Office will verify your
indication of previous HUD approval by checking the project number and
approval status with the appropriate HUD Office based on information
submitted in Section VI(B)(2) below.
In addition to this relief of paperwork burden in preparing
applications, you are able to use information and exhibits previously
prepared for prior applications under Section 811, Section 202, or
other funding programs. Examples of exhibits that may be readily
adapted or amended to decrease the burden of application preparation
include, among others, those on previous participation in the Section
202 or Section 811 programs, your experience in the provision of
housing and services, supportive services plans, community ties, and
experience serving minorities.
(B) General Application Requirements. Your application must contain
the items listed in this Section VI(B). These items include the
standard forms, certifications, and assurances listed in the General
Section of the SuperNOFA that are applicable to this funding
(collectively referred to as the ``standard forms''). The standard
forms can be found in Appendix B to the General Section of the
SuperNOFA. The remaining application items that are forms (i.e.,
excluding such items as narratives), referred to as the ``non-standard
forms'' can be found as Appendix B to this program section of the
SuperNOFA. The items are as follows:
Note: You may apply for a scattered site project in one
application
(1) Form HUD-92016-CA, Application for Section 811 Supportive
Housing Capital Advance.
(2) Evidence of your and each Co-Sponsor's legal status as a
nonprofit organization, including the following:
(2)(a) Articles of Incorporation, constitution, or other
organizational documents;
(2)(b) By-laws;
(2)(c) IRS section 501(c)(3) tax exemption ruling (this must be
submitted by you and all Co-Sponsors, including churches).
Note: If you received a section 811 fund reservation within the
last three funding cycles, you are not required to submit the
documents described in paragraph (2)(a), (2)(b), and (2)(c), above.
Instead, you must submit the project number of the latest
application selected and the HUD office to which it was submitted.
If there have been any modifications or additions to the subject
documents, incicate such, and submit the new material.
(2)(d) The number of people on your board and the number of those
people who have disabilities.
(3) A description of your purpose, community ties, and experience,
including the following:
(3)(a) A description of your purpose, current activities and how
long you have been in existence;
(3)(b) A description of your ties to the community at large and to
the minority and disability communities in particular;
(3)(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.);
(3)(d) Letters of support for your organization and for the
proposed project from organizations familiar with the housing and
supportive services needs of the persons with disabilities that you
expect to serve in the proposed project (e.g., the local center for
independent living, the Statewide Independent Living Council);
(3)(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
(including integrated housing developments) and/or supportive services
facilities that you have sponsored, owned, and/or operated; your past
or current involvement in any programs other than housing that
demonstrates your management capabilities (including financial
management) and experience, and your experience in serving persons with
disabilities and minorities; and the reasons for receiving any
increases in fund reservations for developing and/or operating any
previously funded Section 811 or Section 202 projects. The description
should include data on the facilities and services provided, the
racial/ethnic composition of the populations served, if available, and
information and testimonials from residents or community leaders on the
quality of the activities. Examples of activities that could be
described include housing counseling, nutrition and food services,
special housing referral, screening and information projects.
(3)(f) A description, if applicable, of your efforts to involve
persons with disabilities (including minority persons with
disabilities) and the local center for independent living in the
development of your application and in the development and operation of
the project.
(3)(g) A description of the steps you took to identify and
coordinate your application with other organizations to complement and/
or support your proposed project as well as the steps you will take, if
funded, to share information on solutions and outcomes relative to the
development of your proposed project.
(3)(h) A description of your involvement in the community's
Consolidated Planning process, including:
(3)(h)(i) An identification of the lead/facilitating agency that
organizes/administers the process;
(3)(h)(ii) An identification of the Consolidated Plan issue areas
in which you participate;
(3)(h)(iii) Your level of participation in the process, including
active involvement with any neighborhood-based organizations,
associations or any committees that support programs and activities
that enhance projects, or the lives of residents of projects, such as
the one proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning process.
(Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(3)(i) A description of the linkages that you have developed or
plan to develop with other related activities, programs (for example,
the Mainstream Housing Opportunities for Persons with Disabilities
Program) or projects in order that the development of the project
provides a comprehensive and holistic solution to the needs of the
target population.
(4) Project information including the following:
(4)(a) Evidence of need for supportive housing. Such evidence would
include a description of the proposed population and evidence
demonstrating sustained effective demand for supportive housing for the
proposed population in the market area to be served, taking into
consideration the occupancy and vacancy conditions in existing
comparable subsidized housing for persons with disabilities, State or
local needs assessments of persons with disabilities in the area, the
types of supportive services arrangements currently available in the
area, and the use of such services as evidenced by data from local
social service agencies. Also, a description of how information in the
community's Analysis of Impediments to Fair Housing Choice
[[Page 12314]]
was used in documenting the need for the project.
(4)(b) A description of how the proposed project will benefit the
target population and the community in which it will be located;
(4)(c) A description of the project, including the following:
(4)(c)(i) A narrative description of the building(s) including the
number and type of structure(s), number of units with bedroom
distribution if independent living units (including dwelling units in
multifamily housing developments, condominiums and cooperatives),
number of bedrooms if group home, number of residents with
disabilities, and any resident manager per structure; an identification
of all community spaces, amenities, or features planned for the housing
and a description of how the spaces, amenities, or features will be
used, and the extent to which they are necessary to accommodate the
needs of the proposed residents. If these community spaces, amenities,
or features would not comply with the project design and cost standards
of Sec. 891.120 and the special project standards of Sec. 891.310, you
must demonstrate your ability and willingness to contribute both the
incremental development cost and continuing operating cost associated
with the community spaces, amenities, or features; and a description of
how the design of the proposed project will promote the integration of
the residents into the surrounding community and the ability of the
residents to live as independently as possible; and
(4)(c)(ii) A description of whether and how the project will
promote energy efficiency, and, if applicable, innovative construction
or rehabilitation methods or technologies to be used that will promote
efficient construction.
(4)(c)(iii) If applicable, a description of any plans and the
actions you have taken to create a mixed-finance/mixed-use project by
developing additional units (i.e., in addition to the Section 811
units) with the use of Section 811 capital advance funds in combination
with other funding sources. See Section III.A. for further informaiton
regarding the additional units. sepcify the number of Section 811 units
and the number of additional units from non-Section 811 funding
sources. Provide copies of any letters you have sent seeking outside
funding for the non-Section 811 units and any responses thereto. You
must also demonstrate your ability to proceed with the development of a
Section 811 project that will not involve mixed-financing or a mixed-
use purpose, as proposed in your application, in the event you are
later unable to obtain the necessary outside funding, or HUD
disapproves your proposal for mixed-financing or mixed-use.
Note: Approval of the Section 811 capital advance will not
necessarily be approval of the mixed-finance/mixed-use proposal. If
approved for a reservation of capital advance funds, you will be
required to submit, after reservation of capital advance funds, a
detailed proposal outlining how you will fund both development and
operation of the additional units in accordance with HUD
instructions that will be issued later. Based on the strength of
your organization and HUD's prior experience with your projects, as
well as your outline of your intentions, at time of making the fund
reservation, HUD will determine whether you will be permitted to
submit a mixed-finance/mixed-use proposal at a later time. Only
those Sponsors that indicate in their application for a fund
reservation an intention to propose additional units will be
eligible to submit, at a later time, a mixed-finance/mixed-use
proposal for additional units. (A mixed-finance/mixed-use project,
as used here, does not include the development of Section 811 units
using secondary/supplementary financing or the development of a
mixed-use project in which the Section 811 units are mortgage
separately from the other uses of the structure).
(4)(d) Evidence of control of an approvable site, OR identification
of a site for which you provide a reasonable assurance that you will
obtain control within 6 months from the date of fund reservation (if
you are approved for funding).
Site control--If you are submitting an application with site
control, you must submit the following:
(4)(d)(i) Acceptable evidence that you have site control, which is
limited to any one of the following:
(A) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be at least 50 years;
(B) Contract of sale for the site which is free of any limitations
affecting ability to deliver ownership to you after you receive and
accept a notice of Section 811 capital advance. The only condition for
closing on the sale can be your receipt and acceptance of the capital
advance. The contract of sale cannot require closing on a date earlier
than the Section 811 closing.
(C) Option to purchase or for a long-term leasehold which must
remain in effect for six months from the date on which the applications
are due and must state a firm price binding on the seller. The only
condition on which the option may be terminated is if you are not
awarded a fund reservation. The option must be renewable at the end of
the six month option period.
(D) Where the proposed site is subject to a mortgage under a HUD
program (e.g., an earlier Section 811 or an FHA-insured mortgage), you
must submit evidence that consent to release of the site from the
mortgage has been obtained or has been requested from HUD and from the
mortgagee, if other than HUD.
(E) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 811 capital advance.
If HUD determines that time constraints of the funding round will not
permit you to obtain all of the required official actions (e.g.,
approval of Community Planning Boards) that are necessary to convey
publicly-owned sites, you may include in your application a letter from
the mayor or director of the appropriate local agency indicating that
conveyance or leasing of the site is acceptable without imposition of
additional covenants or restrictions, and only contingent on the
necessary approval action. Such a letter commitment will be considered
sufficient evidence of site control.
Note: For this funding cycle, New York City-owned sites that are
designated as community gardens will not meet site control
requirements due to litigation involving those sites.
(4)(d)(ii) Whether you have title to the site, a contract of sale,
an option to purchase or are acquiring a site from a public body, you
must provide evidence (a title policy or other acceptable evidence)
that the site is free of any limitations, restrictions, or reverters
which could adversely affect the use of the site for the proposed
project for the 40-year capital advance period under HUD's regulations
and requirements (e.g., reversion to seller if title is transferred).
If the title evidence contains restrictions or covenants, copies of the
restrictions or covenants must be submitted with the application. If
the site is subject to any such limitations, restrictions, or
reverters, the site will be rejected. Purchase money mortgages that
will be satisfied from capital advance funds are not considered to be
limitations or restrictions that would adversely affect the use of the
site. If the contract of sale or option agreement contains provisions
that allow a Sponsor not to purchase the property for reasons such as
environmental problems, failure of the site to pass inspection, or the
appraisal is less than the purchase price, then such provisions are not
objectionable
[[Page 12315]]
and a Sponsor is allowed to terminate the contract of sale or the
option agreement.
Note: A Proposed Project Site May not be Acquired or Optioned
From a General Contractor (or its Affiliate) That Will Construct the
Section 811 Project or From any Other Development Team Member.
(4)(d)(iii) Evidence that your project as proposed is permissible
under applicable zoning ordinances or regulations, or a statement of
the proposed action required to make your proposed project permissible.
You must provide the basis for your belief that the proposed action
will be completed successfully before the submission of the firm
commitment application (e.g., a summary of the results of any requests
for rezoning on land in similar zoning classifications and the time
required for such rezoning, the procedures for obtaining special or
conditional use permits on land in similar zoning classifications and
the time required for such rezoning, or preliminary indications of
acceptability from zoning bodies, etc.). NOTE: You should be aware that
under certain circumstances the Fair Housing Act requires localities to
make reasonable accommodations to their zoning ordinances or
regulations to offer persons with disabilities an opportunity to live
in an area of their choice. If you are relying upon a theory of
reasonable accommodation to satisfy the zoning requirement, then you
must clearly articulate the basis for your reasonable accommodation
theory.
(4)(d)(iv) A narrative topographical and demographic description of
the suitability of the site and area as well as a description of the
area surrounding the site, the characteristics of the neighborhood, how
the site will promote greater housing opportunities for minorities and
persons with disabilities thereby affirmatively furthering fair
housing. (NOTE: You can best demonstrate your commitment to
affirmatively furthering fair housing by describing how proposed
activities will assist the jurisdiction in overcoming impediments to
fair housing choice identified in the applicable jurisdiction's
Analysis of Impediments to Fair Housing Choice (AI), which is a
component of the jurisdiction's Consolidated Plan, or any other
planning document that addresses fair housing issues. The applicable
Consolidated Plan and AI may be the Community's, the County's, or the
State's, to which input should have been provided by local community
organizations, agencies in the community, and residents of the
community. Alternatively, a document that addresses fair housing issues
and remedies to barriers to fair housing in the community that was
previously prepared by a local planning, or similar organization, may
be used. Applicable impediments could include a lack of units that are
accessible to persons with disabilities, a lack of transportation
services or other assistance that would serve persons with
disabilities, or the need for improved housing quality and services for
all persons with disabilities.
(4)(d)(v) A map showing the location of the site and the racial
composition of the neighborhood, with the area of racial concentration
delineated;
(4)(d)(vi) A Phase I Environmental Site Assessment (ESA), in
accordance with the American Society for Testing and Material (ASTM)
Standards E 1527-97, as amended, in order for the application to be
considered as an application with site control. The Phase I ESA must be
completed and submitted with the application. In order for the Phase I
ESA to be acceptable, it must have been completed or updated no earlier
than six months prior to the application deadline date. The Phase I
study is not a curable deficiency for the Section 811 Program.
Therefore, it is important that you start the Phase I ESA process as
soon after publication of this SuperNOFA as possible.
If the Phase I ESA indicates the possible presence of contamination
and/or hazards, you must decide whether to continue with this site or
choose another site. Should you choose another site, the same Phase I
ESA process identified above must be followed for the new site. NOTE:
You are not limited to acquiring properties from the FDIC/RTC. However,
if the property is to be acquired from the FDIC/RTC, include a copy of
the FDIC/RTC prepared Transaction Screen Checklist or Phase I ESA, and
applicable documentation, per the FDIC/RTC Environmental Guidelines.
If you choose to continue with the original site on which the Phase
I ESA indicated contamination or hazards, you must undertake a detailed
Phase II ESA by an appropriate professional. If the Phase II ESA
reveals site contamination, the extent of the contamination and a plan
for clean-up of the site must be submitted to the local HUD Office. The
plan for clean-up must include a contract for remediation of the
problem(s) and an approval letter from the applicable Federal, State,
and/or local agency with jurisdiction over the site. In order for your
application to be considered as an application with site control you
must submit this information to the local HUD Office on or before June
25, 2001.
Note: This Could be an Expensive Undertaking. You Must pay for
the Cost of any Clean-Up and/or Remediation.
(4)(d)(vii) A letter from the State Historic Preservation Officer
(SHPO) indicating whether the proposed site(s) has any historical
significance. If you cannot obtain a letter from the SHPO due to the
SHPO not responding to your request or the SHPO responding that it
cannot or will not comply with the requirement, you must submit the
following:
(A) A letter indicating that you attempted to get the required
letter from the SHPO but that the SHPO either had not responded to your
request or would not honor or recognize your request;
(B) A copy of your letter to the SHPO requesting the required
letter; and
(C) A copy of the SHPO's response, if available.
(4)(d)(viii) A statement that you are willing to seek a different
site if the preferred site is unapprovable and that site control will
be obtained within six months of notification of fund reservation.
(4)(d)(ix) If you are requesting an exception to the project size
limits found in Section IV(F) of this program section of the SuperNOFA
(for independent living projects only), describe why the site was
selected and demonstrate the following:
(A) People with disabilities have indicated their preference to
live in housing with as many units/people as proposed for your project;
(B) The increased number of units/people is warranted by the market
conditions in the area in which the project is to be located.
(C) Your project is compatible with other residential development
and the population density of the area in which your project is to be
located;
(D) The increased number of people will not prohibit their
successful integration into the community;
(E) Your project is marketable in the community;
(F) The size of your project is consistent with State and/or local
policies governing similar housing for the proposed population; and
(G) A statement that you are willing to have your application
processed at the project size limit should HUD not approve the
exception.
Site identified--If you have identified a site, but do not have it
under control, you must submit the following information:
(4)(d)(x) A description of the location of the site, including its
street address, its unit number (if condominium), neighborhood/
community characteristics (to include racial and
[[Page 12316]]
ethnic data), amenities, adjacent housing and/or facilities, and how
the site will promote greater housing opportunities for minorities and
persons with disabilities thereby affirmatively furthering fair
housing. You can best demonstrate your commitment to affirmatively
furthering fair housing by describing how your proposed activities will
assist the jurisdiction in overcoming impediments to fair housing
choice identified in the community's AI or any other planning document
that addresses fair housing issues. Examples of the applicable
impediments include the need for improved housing quality and services
for minority persons with disabilities and the need for quality
services for persons with disabilities within the type and quality of
similar services and housing in minority areas;
(4)(d)(xi) A description of the activities undertaken to identify
the site, as well as what actions must be taken to obtain control of
the site, if approved for funding;
(4)(xii) An indication as to whether the site is properly zoned. If
it is not, an indication of the actions necessary for proper zoning and
whether these can be accomplished within six months of fund reservation
award, if approved for funding;
(4)(d)(xiii) A status of the sale of the site; and
(4)(d)(xiv) An indication as to whether the site would involve
relocation.
Note: If an application is submitted without evidence of site
control and does not provide a specific street address for the
identified site(s) (e.g, only an indication that the project will be
developed in a particular part of town but a site(s) has not been
chosen) the application will be rejected.
(4)(e) A supportive services plan (a copy of which must be sent to
the appropriate State or local agency as instructed in Section IV(E) of
this program section of the SuperNOFA) that includes:
(4)(e)(i) A detailed description of whether the housing is expected
to serve persons with physical disabilities, developmental
disabilities, chronic mental illness or any combination of the three.
Include how and from whom/where persons will be referred to and
accepted for occupancy in the project.
(4)(e)(ii) Information concerning limitation of occupancy, if
applicable. You may, with the approval of the Secretary, limit
occupancy within housing developed under this program section of the
SuperNOFA to persons with disabilities who have similar disabilities
and require a similar set of supportive services in a supportive
housing environment. However, the Owner must permit occupancy by any
qualified person with a disability who could benefit from the housing
and/or services provided, regardless of the person's disability. If you
are requesting approval to limit occupancy in your proposed project(s),
you must submit the following:
(A) A description of the population of persons with disabilities to
which occupancy will be limited;
(B) An explanation of why it is necessary to limit occupancy of the
proposed project(s) to the population described in (4)(e)(ii) above.
This should include but is not limited to:
--An explanation of how limiting occupancy to a subcategory of persons
with disabilities promotes the goals of the Section 811 Program; and,
--An explanation of why the housing and/or service needs of this
population cannot be met in a more integrated setting.
(C) A description of your experience in providing housing and/or
supportive services to the proposed occupants; and
(D) A description of how you will ensure that the occupants of the
proposed project(s) will be integrated into the neighborhood and
surrounding community.
(4)(e)(iii) A detailed description of the supportive service needs
of the persons with disabilities that the housing is expected to serve.
(4)(e)(iv) A list of community service providers, including those
that are consumer-controlled, and letters of intent to provide services
to residents of the proposed project(s) from as many potential service
providers as possible. You must make this list available to any
residents who wish to be responsible for acquiring their own supportive
services. However, a provider may not require residents to accept any
particular service.
(4)(e)(v) The evidence of each service provider's capability and
experience in providing such supportive services (applicable even if
you will be the service provider);
(4)(e)(vi) Identification of the extent of State and/or local
agency involvement in the project (i.e., funding for the provision of
supportive services, referral of residents, or licensing the project).
If there will be any State or local agency involvement, a description
of the State or local agency's philosophy/policy concerning housing for
the population to be served and a demonstration that your application
is consistent with State or local plans and policies governing the
development and operation of housing for the same disabled population;
(4)(e)(vii) If you will be making any supportive services available
to the residents or will be coordinating the availability of any
supportive services, a letter providing:
(A) A description of the supportive services that you will make
available to the residents or, if you will be coordinating the
availability of any supportive services, a description of the
supportive service(s) and how the coordination will be implemented;
(B) An assurance that any supportive services that you will make
available to the residents will be based on their individual needs; and
(C) A commitment to make the supportive services available or
coordinate their availability for the life of the project.
(4)(e)(viii) A description of how the residents will be afforded
opportunities for employment.
(4)(e)(ix) An indication as to whether the project will include a
unit for a resident manager; and
(4)(e)(x) A statement that you will not condition occupancy on the
resident's acceptance of any supportive services.
(5) A list of the applications, if any, that you have submitted or
are planning to submit to any other HUD Office in response to this
announcement of section 811 Program funding availability or the
announcement of funding availability for the Section 202 Program of
Supportive Housing for the Elderly, published elsewhere in this
SuperNOFA. Indicate, by HUD Office, the number of units requested and
the proposed location by city and State for each application. Include a
list of all FY 2000 and prior year projects to which you are a party,
identified by project number and HUD Office, which have not been
finally closed.
(6) A statement that:
(6)(a) Identifies all persons (families, individuals, businesses,
and nonprofit organizations) by race/minority group and status as
owners or tenants occupying the property on the date of submission of
the application for a capital advance;
(6)(b) Indicates the estimated cost of relocation payments and
other services;
(6)(c) Identifies the staff organization that will carry out the
relocation activities; and
(6)(d) Identifies all persons that have moved from the site within
the last 12 months. (This requirement applies to applications with site
control only. Sponsors of applications with identified sites that are
selected will be required to submit this information at a later date
once they have obtained site control.)
Note: If any of the relocation costs will be funded from sources
other than the Section 811 Capital Advance, you must provide
evidence of a firm commitment of these
[[Page 12317]]
funds. When evaluating applications, HUD will consider the total
cost of proposals (i.e., cost of site acquisition, relocation,
construction and other project costs).
(7) Certifications and Resolutions. In addition to the
certifications and assurances listed in the General Section of this
SuperNOFA with the exception of SF-424A, SF-424B, SF-424C, SF-424D and
the OMB Circulars which are not required, you are required to submit
signed copies of the following:
(7)(a) Standard Form 424. Application for Federal Assistance and
indication of whether you are delinquent on any Federal debt. (See
instructions for submitting this form in the Consolidated Application
Submissions section of the General Section of the SuperNOFA.)
(7)(b) Drug-Free Workplace (HUD-50070). Certification to provide a
drug-free workplace.
(7)(c) Payments to Influence Federal Transactions (HUD-50071) and
Standard Form LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any Federal
transactions and disclosure of those activities, if applicable.
(7)(d) Applicant/Recipient Disclosure/Update Report, including
Social Security Numbers and Employee Identification Numbers, (HUD-
2880). A disclosure of assistance from other government sources
received in connection with the project.
(7)(e) Certification Regarding Debarment and Suspension (HUD-2992)
(24 CFR 24.510)--a certification attesting to the eligibility of your
principals.
(7)(f) Executive Order 12372 Certification. A certification that
you have submitted a copy of your application, if required, to the
State agency (single point of contact) for State review in accordance
with Executive Order 12372.
(7)(g) Certification of Consistency with the Consolidated Plan
(Plan) (Form HUD-2991) for the jurisdiction in which the proposed
project will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the State, or by the
unit of general local government if the project will be located within
the jurisdiction of the unit of general local government authorized to
use an abbreviated strategy, and if it is willing to prepare such a
Plan.
All certifications must be made by the public official responsible
for submitting the Plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth in this program section of the SuperNOFA. The Plan regulations
are published in 24 CFR part 91.
(7)(h) A certified Board Resolution that no officer or director of
the Sponsor or Owner has or will have any financial interest in any
contract with the Owner or in any firm or corporation that has or will
have a contract with the Owner, including a current listing of all duly
qualified and sitting officers and directors by title and the beginning
and ending dates of each person's term.
(7)(i) A Certified Board Resolution acknowledging responsibilities
of sponsorship, long-term support of the project(s), your willingness
to assist the Owner to develop, own, manage and provide appropriate
services in connection with the proposed project, and that it reflects
the will of your membership. Also, it shall indicate your willingness
to fund the estimated start-up expenses, the Minimum Capital Investment
(one-half of one-percent of the HUD-approved capital advance, not to
exceed $10,000), and the estimated cost of any amenities or features
(and operating costs related thereto) that would not be covered by the
approved capital advance.
(7)(j) Certification of Consistency with the EZ/EC Strategic Plan
(HUD-2990). A certification that the project is consistent with the EZ/
EC strategic plan, is located within the EZ/EC, and serves EZ/EC
residents.
(7)(k) Sponsor's Combined Certifications.
(7)(k)(i) Certification in Connection with the Development and
Operation of a Section 811 Project. A certification of compliance with
the requirements of the Fair Housing Act, Title VI of the Civil Rights
Act, the Age Discrimination Act of 1975, the affirmative fair housing
marketing requirements of 24 CFR part 200, subpart M, and the
implementing regulations at 24 CFR part 108, and other applicable
Federal, State and local laws prohibiting discrimination and promoting
equal opportunity including affirmatively furthering fair housing.
(7)(k)(ii) Section 3 of the Housing and Urban Development Act of
1968 (12 U.S.C. 1701u). Certification of Compliance with Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and
implementing regulations at 24 CFR part 135. Certification that you
will strongly encourage your general contractor and subcontractors to
participate in local apprenticeship programs or training programs
registered with or certified by the Department of Labor's Bureau of
Apprenticeship and Training or recognized State Apprenticeship Agency.
(7)(k)(iii) Design and Cost Standards. Certification of Compliance
with HUD's Section 811 project design and cost standards (24 CFR
891.120 and 891.310), the Uniform Federal Accessibility Standards (24
CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's
implementing regulations at 24 CFR part 8, and for covered multifamily
dwellings designed and constructed for first occupancy after March 13,
1991, the design and construction requirements of the Fair Housing Act
and HUD's implementing regulations at 24 CFR part 100, and the
Americans with Disabilities Act of 1990.
(7)(k)(iv) Acquisition and Relocation. Certification of Compliance
with the acquisition and relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970 (49 CFR part 24 and 24 CFR part 891.155(e)).
(7)(k)(v) Formation of Owner Corporation. Certification that you
will form an ``Owner'' (24 CFR 891.305) after issuance of the capital
advance; cause the Owner to file a request for determination of
eligibility and a request for capital advance, and provide sufficient
resources to the Owner to insure the development and long-term
operation of the project, including capitalizing the Owner at firm
commitment processing in an amount sufficient to meet its obligations
in connection with the project.
(7)(k)(vi) Supportive Services. Certification that you will not
require residents to accept any supportive services as a condition of
occupancy; and,
(7)(k)(vii) Davis-Bacon. Certification of compliance with the
Davis-Bacon requirements and the Contract Work Hours and Safety
Standards Act.
(7)(l) Supportive Services Certification. A certification from the
appropriate State or local agency identified in the application kit
indicating whether the:
(7)(l)(i) Provision of supportive services is well designed to
serve the needs of persons with disabilities the housing is expected to
serve;
(7)(l)(ii) The provision of supportive services will enhance
independent living success and promote the dignity of those who will
access your proposed project;
(7)(l)(iii) Supportive services will be available on a consistent,
long-term basis; and
(7)(l)(iv) Proposed housing is consistent with State or local plans
and policies addressing the housing needs of people with disabilities
if the State or
[[Page 12318]]
local agency will provide funding for the provision of supportive
services, refer residents to the project or license the project. (The
name, address, and telephone number of the appropriate agency will be
identified in the application kit and can also be obtained from the
appropriate HUD Office.)
(7)(m) Certification that you will comply with the requirements of
the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and
implementing regulations at 24 CFR part 35.
(7)(n) Single Occupancy Bedrooms in Group Homes. Certification that
if you are developing a group home, all bedrooms will be occupied be
one person with a disability unless that person chooses to share his/
her bedroom with another person with a disability or determines that
he/she/ needs another person to share his/her bedroom.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
In accordance with 24 CFR part 50, all Section 811 assistance is
subject to the National Environmental Policy Act of 1969 and applicable
related Federal environmental authorities. The environmental review
provisions of the Section 811 Program regulations are in 24 CFR
891.155(b).
IX. Formation of Owner Corporation for Development of Section 811
Projects and for Section 811 Projects Involving Mixed-Financing or
a Mixed-Use Purpose
Applicant eligibility for purposes of applying for a Section 811
fund reservation under this NOFA has not changed; i.e., all Section 811
Sponsors and Co-Sponsors must be nonprofit organizations. However, the
Owner corporation, when later formed by the Sponsor, may be (1) a
single-purpose nonprofit organization that has tax-exempt status under
Section 501(c)(3) of the Internal Revenue Code of 1986 OR (2) for
purposes of developing a mixed-finance/mixed-use project for developing
additional units over and above the Section 811 units, a for-profit
limited dividend organization with the nonprofit entity as the sole
general partner.
X. Authority
Section 811 of the Cranston-Gonzalez National Affordable Housing
Act (Pub. L. 101-625, approved November 28, 1990), as amended by the
Housing and Community Development Act of 1992) (Pub. L. 102-550,
approved October 28, 1992); the Rescissions Act (Pub. L. 104-19,
approved July 27, 1995); and the America Homeownership and Economic
Opportunity Act of 2000 (Pub. L. 106-569, approved December 27, 2000)
authorized a new supportive housing program for persons with
disabilities, and replaced assistance for persons with disabilities
previously covered by section 202 of the Housing Act of 1959 (section
202 continues, as amended by section 801 of the NAHA, and the HCD Act
of 1992, to authorize supportive housing for the elderly).
APPENDIX A--Local HUD Offices
Notes: (1) The first line of the mailing address for all offices
is Department of Housing and Urban Development. Telephone numbers
listed are not toll-free.
(2) Applications for projects proposed to be located within the
jurisdiction of the Seattle, Washington and the Anchorage, Alaska
Offices must be submitted to the Portland, Oregon Office.
(3) Applications for projects proposed to be located within the
jurisdiction of the Sacramento, California Office must be submitted
to the San Francisco, California Office.
(4) Applications for projects proposed to be located within the
jurisdiction of the Cincinnati, Ohio Office must be submitted to the
Columbus, Ohio Office.
(5) Applications proposed to be located within the jurisdiction
of the Washington, DC Office must be submitted to the Baltimore,
Maryland Office.
HUD--BOSTON HUB
HARTFORD OFFICE
One Corporate Center, 19th Floor, Hartford, CT 06103-3220, (860)
240-4800, TTY Number: (860) 240-4665.
BOSTON OFFICE
Room 301, Thomas P. O'Neill, Jr., Federal Building, 10 Causeway
Street, Boston, MA 02222-1092, (617) 994-8500, TTY Number: (617)
565-5453.
MANCHESTER OFFICE
Norris Cotton Federal Building, 275 Chestnut Street, Manchester, NH
03101-2487, (603) 666-7681, TTY Number: (603) 666-7518.
PROVIDENCE OFFICE
Sixth Floor, 10 Weybosset Street, Providence, RI 02903-2808, (401)
528-5230, TTY Number: (401) 528-5403.
HUD--NEW YORK HUB
NEW YORK OFFICE
26 Federal Plaza, New York, NY 10278-0068, (212) 264-8000, TTY
Number: (212) 264-0927.
HUD--BUFFALO HUB
BUFFALO OFFICE
Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787.
HUD--PHILADELPHIA HUB
PHILADELPHIA OFFICE
The Wanamaker Building, 100 Penn Square East, Philadelphia, PA
19107-3380, (215) 656-0600, TTY Number: (215) 656-3452.
CHARLESTON OFFICE
Suite 708, 405 Capitol Street, Charleston, WV 25301-1795, (304) 347-
7000, TTY Number: (304) 347-5332.
NEWARK OFFICE
Thirteenth Floor, One Newark Center, Newark, NJ 07102-5260, (973)
622-7900, TTY Number: (973) 645-3298.
PITTSBURGH OFFICE
339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-2515, (412) 644-
6428, TTY Number: (412) 644-5747.
HUD--BALTIMORE HUB
BALTIMORE OFFICE
Fifth Floor, City Crescent Building, 10 South Howard Street,
Baltimore, MD 21201-2505, (410) 962-2520, TTY Number: (410) 962-
0106.
RICHMOND OFFICE
The 3600 Centre, 3600 West Broad Street, Richmond, VA 23230-4920,
(804) 278-4500, TTY Number: (804) 278-4501.
HUD--GREENSBORO HUB
GREENSBORO OFFICE
Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055.
COLUMBIA OFFICE
Strom Thurmond Federal Building, 1835-45 Assembly Street, Columbia,
SC 29201-2480, (803) 765-5592, TTY Number: (803) 253-3071.
HUD--ATLANTA HUB
ATLANTA OFFICE
40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-2806, (404)
331-5001, TTY Number: (404) 730-2654.
SAN JUAN OFFICE
Edificio Administracion de Terrenos, 171 Carlos Chardon Avenue,
Suite 301, San Juan, PR 00918-0903, (787) 766-5400, TTY Number:
(787) 776-5609.
LOUISVILLE OFFICE
601 West Broadway, P.O. Box 1044, Louisville, KY 40201-1044, (502)
582-5251, TTY Number: 1-800-648-6056.
KNOXVILLE OFFICE
Third Floor, John J. Duncan Federal Building, 710 Locust Street,
Knoxville, TN 37902-2526, (423) 545-4384, TTY Number: (423) 545-
4559.
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NASHVILLE OFFICE
Suite 200, 235 Cumberland Bend, Nashville, TN 37228-1803, (615) 736-
5213, TTY Number: (615) 736-2886.
HUD--JACKSONVILLE HUB
JACKSONVILLE OFFICE
Suite 2200, Southern Bell Tower, 301 West Bay Street, Jacksonville,
FL 32202-5121, (904) 232-2626, TTY Number: (904) 232-2631.
BIRMINGHAM OFFICE
Medical Forum Building, 950 22nd St., North, Suite 900, Birmingham,
AL 35203-5301, (205) 731-2630, TTY Number: (205) 731-2624.
JACKSON OFFICE
Suite 910, Doctor A.H. McCoy Federal Building, 100 West Capitol
Street, Jackson, MS 39269-1096, (601) 965-4700, TTY Number: (601)
965-4171.
HUD--CHICAGO HUB
CHICAGO OFFICE
Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
Chicago, IL 60604-3507, (312) 353-5680, TTY Number: (312) 353-5944.
INDIANAPOLIS OFFICE 151
North Delaware Street, Indianapolis, IN 46204-2526, (317) 226-6303,
TTY Number: (317) 226-7081.
HUD--DETROIT HUB
DETROIT OFFICE
Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit,
MI 48226-2592, (313) 226-7900, TTY Number: (313) 226-6899.
GRAND RAPIDS OFFICE
Trade Center Building, 50 Louis Street, NW, Third Floor, Grand
Rapids, MI 49503-2648, (616) 456-2100, TTY Number: (616) 456-2159.
HUD--COLUMBUS HUB
COLUMBUS OFFICE
200 North High Street, 7th Floor, Columbus, OH 43215-2499, (614)
469-2540, TTY Number: (614) 469-6694.
CLEVELAND OFFICE
Renaissance Building, 1350 Euclid Avenue, Suite 500, Cleveland, OH
44115-1815, (216) 522-4058, TTY Number: (216) 522-2261.
HUD--MINNEAPOLIS HUB
MINNEAPOLIS OFFICE
220 Second Street, South Minneapolis, MN 55401-2195, (612) 370-3000,
TTY Number: (612) 370-3186.
MILWAUKEE OFFICE
Suite 1380, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue,
Milwaukee, WI 53203-2289, (414) 297-3214, TTY Number: (414) 297-23.
HUD--FT. WORTH HUB
LITTLE ROCK OFFICE
Suite 900, TCBY Tower, 425 West Capitol Avenue, Little Rock, AR
72201-3488, (501) 324-5931, TTY Number: (501) 324-5931.
NEW ORLEANS OFFICE
Ninth Floor, Hale Boggs Federal Building, 501 Magazine Street, New
Orleans, LA 70130-3099, (504) 589-7200, TTY Number: (504) 589-7279.
FT. WORTH OFFICE
801 Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905, (817)
978-5965, TTY Number: (817) 978-5595.
HOUSTON OFFICE
Suite 200, Norfolk Tower, 2211 Norfolk, Houston, TX 77098-4096,
(713) 313-2274, TTY Number: (713) 834-3274.
SAN ANTONIO OFFICE
Washington Square, 800 Dolorosa Street, San Antonio, TX 78207-4563,
(210) 475-6800, TTY Number: (210) 475-6885.
HUD--GREAT PLAINS
DES MOINES OFFICE
Room 239, Federal Building, 210 Walnut Street, Des Moines, IA 50309-
2155, (515) 284-4512, TTY Number: (515) 284-4728.
KANSAS CITY OFFICE
Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972.
OMAHA OFFICE
Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 68154-
3955, (402) 492-3100, TTY Number: (402) 492-3183.
SAINT LOUIS OFFICE
Third Floor, Robert A. Young Federal Building, 1222 Spruce Street,
St. Louis, MO 63103-2836, (314) 539-6583, TTY Number: (314) 539-
6331.
OKLAHOMA CITY OFFICE
500 West Main Street, Suite 400, Oklahoma City, OK 73102-2233, (405)
553-7401, TTY Number: 1-800-877-8339.
HUD--DENVER HUB
DENVER OFFICE
633 17th Street, Denver, CO 80202-3607, (303) 672-5440, TTY Number:
(303) 672-5248.
HUD--SAN FRANCISCO HUB
PHOENIX OFFICE
Suite 1600, Two Arizona Center, 400 North 5th Street, Phoenix, AZ
85004-2361, (602) 379-4434, TTY Number: (602) 379-4464.
SAN FRANCISCO OFFICE
Philip Burton Federal Building and U.S. Courthouse, 450 Golden Gate
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6550, TTY Number: (415) 436-6594.
HONOLULU OFFICE
Suite 500, 7 Waterfront Plaza, 500 Ala Moana Boulevard, Honolulu, HI
96813-4918, (808) 522-8185, TTY Number: (808) 522-8193.
HUD--LOS ANGELES HUB
LOS ANGELES OFFICE
611 West 6th Street, Suite 800, Los Angeles, CA 90017-3106, (213)
894-8000, TTY Number: (213) 894-8133.
HUD--SEATTLE HUB
PORTLAND OFFICE
400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-1632,
(503) 326-2561, TTY Number: (503) 326-3656
APPENDIX B
The non-standard forms, which follow, are required for your
Section 811 Program application
BILLING CODE 4210-32-P
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Notices
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Notices
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[[Page 12341]]
FUNDING AVAILABILITY FOR THE ASSISTED LIVING CONVERSION PROGRAM
(ALCP) FOR ELIGIBLE MULTIFAMILY HOUSING PROJECTS
Program Overview
Purpose of the Program. The purpose of this program is to provide
grants for the conversion of some or all of the dwelling units in an
eligible project into assisted living facilities (ALFs) for frail
elderly persons.
Available Funds. Approximately $75 million for conversion of
eligible multifamily projects to ALFs. $50 million under Fiscal Year
2001 Appropriation Act and $25 million in carryover funds).
Eligible Applicants. Only nonprofit project owners of eligible
developments (as described in Section III of this NOFA) may apply for
and become the recipient of a grant.
Application Due Dates. June 21, 2001 for applications to convert
eligible multifamily development to ALFs.
February 26, 2001 through June 21, 2001 for applications from
nonprofit owners to convert unused or underutilized commercial
properties to ALFs. (See additional information on application due
dates in ``Application Due Date'' of Section I below.)
Match. None required.
Additional Information
I. Application Due Date, Application Kits, and Technical Assistance
Application Due Date. If you are an eligible project owner applying
to convert your eligible multifamily assisted housing development to an
ALF, your completed application (one original and four copies) is due
on or before 6:00 pm, local time, on June 21, 2001, at the address
shown below. If you are a nonprofit organization applying to convert an
unused or underutilized commercial property to an ALF, your completed
application (one original and four copies) will be accepted on or
before 6:00 pm, local time, beginning on February 26, 2001, and ending
on June 21, 2001, at the address shown below.
See the General Section of the SuperNOFA for specific procedures
governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Addresses for Submitting Applications. The official place for
receipt of your application is ONLY in the appropriate Multifamily Hub
Office. Submit an original and four copies of the ALCP application to
the Director of the appropriate HUD Multifamily Hub Office, as listed
in Appendix A of this NOFA, with jurisdiction over your development.
Appendix B to this NOFA lists the 18 Multifamily Hubs with the
Program Centers under them, to facilitate applicants knowing the
correct location to send the application.
For Application Kits, Further Information, and Technical
Assistance. For Application Kits. You may obtain an ALCP application
kit and supplemental information by calling the SuperNofa Information
Center at (voice) 1-800-HUD-8929 (1-800-483-8929). Persons with hearing
or speech impairment may call the Center's TTY number at 1-800-HUD-
2209. Please be sure to provide your name, address (including zip
code), and telephone number (including area code). The application kit
is also available on the Internet through the HUD web site at http://www.hud.gov.
Note: There is a separate application kit for service
coordinator funds (which is necessary for those needing to enhance
or add service coordination per Section III(B)(14) of this NOFA).
For Further Information and Technical Assistance. You should
contact the Multifamily Hub where you will be mailing your ALCP
Application. (Please refer to Hub telephone numbers in Appendix A.)
You also may contact Aretha Williams, Director, Grant Policy and
Management Division, Room 6138, at (202)-708-2866 x2480 or Faye Norman,
Housing Project Manager at (202) 708-2866 x2482 for questions regarding
the ALF process. This is not a toll free number. Ms. Williams can be
reached, by e:mail, at ``aretha_m. [email protected]'' and Ms Norman at
``[email protected]. Both Ms. Williams and Ms. Norman are located
at the Department of Housing and Urban Development, 451 Seventh Street,
SW, Washington, DC 20410.
If you have a hearing or speech impairment, you may access the
telephone number via TTY by calling the Federal Information Relay
Service at 1-800-877-8339.
II. Amount Allocated
This NOFA makes available approximately $75,000,000 ($67,500,000
for the physical conversion of eligible multifamily assisted housing
projects or portions of projects to ALFs and $7,500,000 for the
conversion of up to 3 unused or underutilized commercial properties to
ALFs). The FY 2001 funding of $50 million is in the Departments of
Veterans Affairs and Housing and Urban Development, and Independent
Agencies Appropriations Act. The $75 million includes $25 million in
carryover funds. The allocation formula used for the ALCP to fair share
the $67,500,000 reflects demographic characteristics of age and
incidence of frailty that would be expected for program participants.
The Fiscal Year (FY) 2001 formula consists of three data elements from
the 1990 decennial census:
(1) The number of non-institutional elderly population aged 75
years or older with a self-care limitation,
(2) The number of non-institutional elderly population aged 75 or
older with a mobility limitation, and,
(3) The number of the non-institutional elderly population aged 75
or older with both a mobility limitation and a self-care limitation.
The data were taken from the 1990 Census Special Tabulation on Aging,
STP-14, sponsored by the Administration on Aging, U.S. Department of
Health and Human Services.
A mobility limitation is defined as a health condition that has
lasted for six (6) or more months, making it difficult for the person
to go outside the home alone. This includes outside activities such as
shopping or visiting the doctor's office. A self-care limitation is
defined as a health care limitation that has lasted for six (6) months
or more which makes it difficult for the person to take care of his/her
own personal needs such as dressing, bathing, or getting around in the
home.
A fair share factor for each state was developed by taking the sum
of the three elements within each state as a percentage of the sum of
the three elements for the total United States. The resulting
percentage for each state was then adjusted to reflect the relative
difference in the cost of providing housing among the states. The total
of the grant funds available ($67.5 million) was multiplied by the
adjusted fair share percentage for each state, and the resulting funds
for each state were totaled for each Hub.
The ALCP grant funds fair share allocations, based on the formula
above, to the 18 multifamily Hubs are as shown on the following chart:
Fiscal Year Allocation 2001 for the Assisted Living Conversion Program
(ALCP) of Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
HUB Grant authority
------------------------------------------------------------------------
Boston............................................... $4,004,982
Buffalo.............................................. 1,916,188
New York City........................................ 4,394,919
Philadelphia......................................... 7,727,208
Baltimore............................................ 2,669,073
Greensboro........................................... 2,781,980
Atlanta.............................................. 4,763,164
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Jacksonville......................................... 6,167,612
Chicago.............................................. 4,904,037
Columbus............................................. 2,572,294
Detroit.............................................. 2,371,122
Minneapolis.......................................... 2,333,387
Fort Worth........................................... 5,244,696
Kansas City.......................................... 4,052,235
Denver............................................... 1,325,512
Los Angeles.......................................... 4,108,700
San Francisco........................................ 4,072,910
Seattle.............................................. 2,089,981
------------------
Total............................................ 67,500,000
------------------------------------------------------------------------
III. Program Description; Eligible and Ineligible Applicants,
Developments, and Activities
(A) Program Description. Assisted living facilities (ALF) are
designed to accommodate frail elderly persons and people with
disabilities who need certain support services (e.g., assistance with
eating, bathing, grooming, dressing and home management activities).
ALFs must provide support services such as personal care,
transportation, meals, housekeeping, and laundry. Frail elderly person
means an individual 62 years of age or older who is unable to perform
at least three activities of daily living (ADLs) as defined by the
regulations for HUD's Section 202 Program (Supportive Housing for the
Elderly) at 24 CFR 891.205.
Assisted living is defined in section 232(b)(6) of the National
Housing Act (12 U.S.C. 1715w). The ALCP provides funding for the
physical costs of converting some or all of the units of an eligible
multifamily development into an ALF, including the unit configuration,
common and services space and any necessary remodeling, consistent with
HUD or the State's statute/regulations (whichever is more stringent).
Typical funding will cover basic physical conversion of existing
project units, common and services space. There must be sufficient
community space to accommodate a central kitchen or dining facility,
lounges, recreation and other multiple-areas available to all residents
of the project, or office/staff spaces in the ALF. When food is
prepared at an off-site location, the preparation area of the facility
must be of sufficient size to allow for the installation of a full
kitchen, if necessary. You must provide supportive services for the
residents either directly or through a third party. Your application
must include a firm commitment for the supportive services to be
offered within the ALF as part of the application. You may charge
assisted living residents for meals and/or service fees. Residents may
contract with third party agencies directly for nursing, therapy or
other services not offered by the ALF.
(B) Program Requirements. The following program requirements apply:
(Note: For applications requesting funds to convert commercial
facilities, except (3), (8)(a) and (b), and (12):
(1) Your ALF facility must be licensed and regulated by the State
(or if there is no State law providing such licensing and regulation,
by the municipality or other subdivision in which the facility is
located). Each assisted living unit must include its own kitchen,
bathroom, living/dining area (1 bedroom unit) or bedroom/living/dining
area (efficiency unit) and must meet the state and/or local licensing,
building, zoning and other requirements for an ALF.
(2) Your ALF must be available to qualified elderly persons and
persons with disabilities, consistent with the rules and payment plans
of the State, who need and want the supportive services in order to
remain independent and avoid premature institutionalization.
(3) Your ALF's residents must be tenants or residents of the
multifamily project and must comply with the requirements applicable to
the project. Thus, you cannot charge additional rent over what is
charged to residents in the non-ALF portion of the project. All
admissions to the ALF must be through the applicable project admissions
office. However, persons accepted into the ALF also must sign an ALF
admissions agreement which shall be an addendum to the applicable
project lease.
(4) At a minimum, your ALF must provide room, board (as defined in
Section III(B)(6)) of this NOFA) and continuous protective oversight
(CPO). CPO involves a range of activities and services that may include
such things as awareness by management and staff of the occupant's
condition and location as well as an ability to intervene in a crisis
for dependent and relatively independent occupants on a 24-hour basis.
The two occupant groups in an ALF are:
(a) Independent Occupants: Awareness by management and staff of the
occupant's condition and whereabouts as well as the availability of
assistance for the occupants as needed.
(b) Dependent occupants: Supervision of nutrition, assistance with
medication and continuous responsibility for the occupants' welfare.
(5) Anyone moving into an ALF unit must agree to accept as a
condition of occupancy the board and services required for the purpose
of complying with state and local law and regulation. However,
occupancy in an ALF unit may not be conditioned on receipt of other
services or board not required by state or local requirements.
(6) Your ALF must offer three meals per day to each resident.
(a) Residents in projects which were originally constructed without
kitchens in their units must take such meals as required by their
mandatory meals agreement, or by the state's mandated requirements if
more stringent (e.g., 2 meals, 2 snacks daily).
(b) Residents whose apartments have kitchens must take at least the
number of meals a day provided by the facility, per their mandatory
meals requirement, or as required by state or local rules, if more
stringent. If the facility does not have a mandatory meals plan, then
state and local rules govern.
In either case, ALF management must coordinate meals requirements
with the needs of residents who are out part of the day, e.g., in day
care. The meals program may not be operated at a profit by the project
owner.
(7) Your ALF's operation must be part of the project owner's
management organization. Some or all of its functions may be contracted
out. The ALF must predicate its budget on a two-tiered structure under
which board and supportive service income and expenses must be
maintained separately and independently from the regular income and
expenses of the applicable project. The two components of ALF costs
are:
(a) Charges/payment for board, which may be on a sliding scale or
any other equitable fee system; and
(b) Charges/payment for necessary supportive services, which may
include a combination of resident fees, Medicaid and/or other third
party payments.
(8) Priority admissions for ALF units are as follows:
(a) Current residents desiring an ALF unit and meeting the program
requirements (no resident can be required to accept an ALF unit).
(b) Qualified individuals or families needing ALF services who are
already on the project's waiting list;
(c) Qualified individuals or families in the community needing ALF
services wanting to be added to the project's waiting list; and
Note: Qualified physically disabled non-elderly persons needing
assisted living services are eligible to occupy these units on the
same basis as elderly persons, except for
[[Page 12343]]
section 202 PRAC projects and unused/underutilized commercial
properties.
(9) The management of the project must set up a separate waiting
list for ALF units. ALF units must be for eligible residents who meet
the admissions/discharge requirements as established for assisted
living by State and local licensing, or HUD frailty requirements under
24 CFR 891.205 if more stringent.
(10) Costs of meals and supportive services are NOT covered by this
HUD grant. These items must be paid for through other sources, e.g., a
mix of resident fees and/or third party providers. Evidence of third
party commitment(s) must be included as part of the application. (See
Section IV(B) of this NOFA.) The assisted living supportive services
program must promote independence and provide personal care assistance
based on individual needs in a home-like environment (see Section
VI(B)(8)(b) through (c) of this NOFA).
(11) Upon receipt of a grant under this program, all project owners
participating in the ALCP must provide a Declaration of Restrictive
Covenants (DRC), which will be recorded with the land, to retain the
low income character of the housing, and to maintain the project
(including the ALF), as a moderate, low, or very low income facility
(as appropriate) for at least 20 years beyond the current 40-to-50 year
term of the mortgage loan or capital advance. Recipients of grant funds
to convert unused or underutilized commercial property must provide a
DRC for at least 20 year or for the term of the mortgage on the
property whichever is longer.
(12) This program does NOT allow permanent displacement of any
resident living in the project at the time the application was
submitted to HUD. (HUD will only provide temporary relocation costs for
current tenants if they must vacate their unit while conversion work is
underway (normal temporary relocation costs include increases in rent,
reconnection of telephones, moving costs and appropriate out-of-pocket
expenses)).
(13) The ALCP requires service coordination responsible for linking
the ALF to services in the community which are available to low income
persons. All projects funded under this NOFA must have sufficient
service coordination in place, or request additional funds if
appropriate, to ensure that services meeting licensing requirements are
available to ALF residents on an ongoing basis. Service coordination
must be described in the application (see Section VI(B)(8)(b) through
(c) of this NOFA). If you need to enhance an existing service
coordination program or add one where it does not exist, you may apply
for funding through the Service Coordinator NOFA, published elsewhere
in this SuperNOFA , and attach a copy of the Form HUD 424M so
indicating the request to the ALCP application. Alternatively, you may
show evidence that funding for the enhanced service coordination is
provided by other sources and indicate such funding on the HUD Form
424M which is exhibit 10(c) of your ALF application. If you are funded
under this NOFA and requested new or enhanced service coordination you
will be funded first under the service coordinator NOFA.
Note: If you are a Section 202 PRAC project owner or an owner
with unused or underutilized commercial properties, you are NOT
eligible to request funding under the service coordinator NOFA.
Section 202 PRAC owners can pay for the service coordinator out of
PRAC funds.
In addition to above requirements, the following applicable
guidelines are stated:
(a) The ALF must be staffed either directly or through coordination
with local agencies, depending on state regulations or local
requirements. These may also serve non-ALF residents of the project on
a time available and appropriate fee basis.
(b) The ALF may cater to the special needs of residents depending
on the condition or diagnosis, such as Alzheimer's disease. If it does
so, the design/environment of such facilities must accommodate those
needs, e.g., dementia special care unit. However, the ALF CANNOT
provide a service it is not licensed by the State or locality to
provide.
Note 1: Owners of section 202/PRAC projects are reminded that
they may include a PRAC payment of up to $15/unit/month not to
exceed 15% of the total program cost, consistent with 24 CFR
891.225(b)(2) to cover part of the cost of meals and/or supportive
services for frail elderly residents, including residents of the
ALF.
Note 2: Training for ALF staff is an eligible project cost under
existing operating procedures.
For further information on ALFs, please refer to Handbook 4600.1,
CHG-1, ``Mortgage Insurance for Residential Care Facilities,'' Chapter
13. This Handbook and recent ALF program Notices are accessible through
HUDCLIPS on HUD's web site. The URL for the HUDCLIPS Database Selection
Screen is http://www.hudclips.org/subscriber/cgi/legis.cgi. These
notices are in the Handbooks and Notices--Housing Notices database.
Enter only the number without the letter prefix (e.g., 99-16) in the
``Document number'' to retrieve the program notice.
For further guidance on service coordinators, please refer to
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's
Handbook,'' which is also available through the HUDCLIPS database.
(C) Eligible Applicants. Only nonprofit owners of eligible
multifamily assisted housing developments specified in Section 683(2)
(B), (C), (D), (E), and (F) of the Housing and Community Development
Act of 1992 and nonprofit owners of an unused or underutilized
commercial property are eligible for funding. To be eligible, project
owners must meet the following criteria where applicable:
(1) Must be in compliance with your Loan Agreement, Capital Advance
Agreement, Regulatory Agreement, Housing Assistance Payment contract,
Project Rental Assistance Contract, Rent Supplement or LMSA contract,
or any other HUD grant or contract document.
(2) Must be in compliance with all fair housing and civil rights
laws, statutes, regulations, and executive orders as enumerated in 24
CFR 5.105(a). See Section V(B) of this NOFA for further explanation.
Note: If your eligibility status changes during the course of
the grant term, making it ineligible to receive the grant (e.g.,
prepayment of mortgage, sale/TPA of property, or opting out of a
Section 8 Housing Assistance Payment (HAP) contract), HUD retains
the right to terminate the grant and recover funds made available
through this NOFA.
(D) Eligible Developments. (1) Section 202 projects, Section 202
projects receiving rental assistance under Section 8, and Section 202
projects receiving project rental assistance under Section 202(C)(2).
Rural housing projects assisted under Section 515 of the Housing Act of
1949 receiving Section 8 rental assistance are also included as are
projects receiving project-based rental assistance. Projects receiving
project-based rental among others, housing constructed, substantially
rehabilitated or receiving moderate rehabilitation assistance under
Section 8. Also included are housing financed by a below-market
interest rate loan or insured mortgage under Section 221(d)(3) of the
National Housing Act of housing insured, assisted or held by HUD or a
State or State Agency under Section 236 of the National Housing Act
that have been in occupancy for no less than five years since the date
of the HUD-2485 Form ``permission to occupy'' permit and have completed
Final Closing. Your project must:
[[Page 12344]]
(a) Meet HUD's Uniform Physical Conditions Standards at 24 CFR part
5, subpart G. Meeting these standards as described, means that the
project, based on the most recent Real Estate Assessment Center (REAC)
physical inspection report and responses thereto, must have a
``satisfactory'' rating as evidenced by a score of 60 or better or a
HUD-approved and on schedule repair plan for developments scoring less
than 60. Additionally, the project must have no uncorrected and
outstanding Exigent Health and Safety violations. Finally, the project
must not have on file a management review with a rating of ``minimally
satisfactory'' or ``unsatisfactory'' with open and unresolved findings.
(b) Have a residual receipts account separate from the Reserve for
Replacement account, or agree to establish this account as a condition
for getting the award(s).
(2) Unused and underutilized commercial properties.
(E) Ineligible Applicants. (1) Owners of developments designed
specifically for people with disabilities.
(2) Owners of Section 232 developments.
(3) Property management companies and agents of property management
companies.
(4) Limited dividend partnerships.
(F) Eligible Conversion Activities. Eligible activities are:
(1) Retrofitting to meet Section 504 accessibility requirements,
minimum property standards for accessibility and/or building codes and
health and safety standards for ALFs in that jurisdiction. Examples are
items such as addition of:
(a) Sprinkler systems;
(b) An elevator or upgrades thereto;
(c) Lighting upgrades;
(d) Major physical or mechanical systems of projects necessary to
meet local code or assisted living requirements;
(e) Upgrading to accessible units for the ALF with moveable
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures,
closets, hardware and grab bars, widening of doors, etc.
(f) Upgrades to safety and emergency alert systems;
(g) Addition of hallway railings; and,
(h) Medication storage and work stations;
(2) Retrofitting to add, modify and/or outfit common space, office
or related space for ALF staff including a service coordinator and file
security, and/or a central kitchen/dining facility to support the ALF
function (e.g., outfit lounge/common space/dining furniture, kitchen
equipment for cooking/serving and dishware).
(3) Retrofitting to upgrade a regular unit to an accessible unit
for a person/family with disabilities who is being displaced from an
accessible unit in the portion of the project that is being converted
to the ALF, where another accessible unit is not available.
(4) Temporary relocation; (Not applicable to commercial property)
(5) Consultant, architectural and legal fees, and,
(6) Vacancy payments not more than 30 days after conversion to an
ALF.
(G) Ineligible Activities. You may not use funds available through
this NOFA to:
(1) Add additional dwelling units to the existing project; (Not
Applicable to commercial property)
(2) Pay the costs of any of the necessary direct supportive
services needed to operate the ALF;
(3) Purchase or lease additional land;
(4) Rehabilitate (see definition at 24 CFR 891.105) the project for
needs unrelated directly to the conversion of units and common space
for assisted living;
(5) Use the ALCP to reduce the number of accessible units in the
project that are not part of the ALF; (Not applicable to commercial
property);
(6) Permanently relocate any resident out of the project; and,
(7) Increase the management fee.
IV. Program Requirements
Each applicant must comply with the following requirements:
(A) Statutory, Regulatory,and Other Program Requirements. You must
comply with all applicable statutory requirements to the projects
specified in Section 202(b) and statutory requirements under Section
232(b)(6). Please note that all ALCP projects must conform to the 500-
year flood plain limitation (See Section VII of this NOFA.)
Construction of ALCP units is considered a ``critical action'' for
purposes of the flood plain requirement.
Excess Residual Receipts (over $500/unit) and Reserve for
Replacement (R4R) funds (over $1000/unit) in Project Accounts that are
not approved for another use at the time of application to HUD under
this NOFA are considered available funds and must be applied towards
the cost of conversion activities. Before making this determination,
however, HUD staff will consider the extent of repair/replacement needs
indicated in the most recent REAC physical inspection and not yet
approved and any ongoing commitments such as non-grant-based service
coordinator or other funding, where existing, deduct the estimated
costs of such items from the R4R and residual receipts balances to
determine the extent of available residual receipts and R4R funds for
the ALCP. (This paragraph is not applicable to commercial properties.)
If funded, you must also file a HUD Form-2530 for all construction
contractors, architects, consultants, and service provider
organizations under direct contract with you that will be engaged under
this NOFA and comply with all State and local licensing, zoning and
building code requirements.
(B) Meals and Supportive Services. You must develop and submit a
Supportive Services Plan (SSP) for the services and coordination of the
supportive services which will be offered in the ALF to the appropriate
State or local organization(s) which are expected to provide those
supportive services. (See Section VI(B)(8) of this NOFA below, for the
information which must be in the SSP.) You must submit one copy of your
SSP to each appropriate State or local service funding organizations
well in advance of the application deadline, for appropriate review.
The State or local funding organization(s) must return the SSP to you
with appropriate comments and indication of funding commitment, which
you will then include with the application you submit to HUD.
You must ALSO submit the SSP to the appropriate organization(s)
which license ALFs in your jurisdiction. The licensing agency(ies) must
approve your plan, and must also certify that the ALF and the proposed
supportive services identified in your SSP, are consistent with local
statute and regulations and well designed to serve the needs of the
frail elderly and people with disabilities who will reside in the ALF
portion of your project.
Finally, you must also submit an agreement to pursue appropriate
ALF licensing in a timely manner.
(C) Minimum Size Limits for an ALF. An ALF must be economically
feasible. Consistent with HUD Handbook 4600.1, CHG-1, the minimum size
for an ALF is five units.
(D) Economic Opportunities for Low and Very Low income Persons
(Section 3). You must comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low Income Persons), and its implementing regulations at
24 CFR part 135. You must ensure that training, employment and other
economic opportunities shall, to the greatest extent feasible, be
directed toward low and very low income persons, particularly those who
are recipients of government assistance for housing and to business
concerns
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which provide economic opportunities to low and very low income persons
and including people with disabilities.
(E) Compliance with Fair Housing and Civil Rights Laws. If you, the
applicant (a) have been charged with a systemic violation of the Fair
Housing Act by the Secretary alleging ongoing discrimination; (b) are
the defendant in a Fair Housing Act lawsuit filed by the Department of
Justice alleging an ongoing pattern or practice of discrimination; or
(c) have received a letter of noncompliance findings under Title VI of
the Civil Rights Act of 1964, section 504 of the Rehabilitation Act of
1973, or section 109 of the Housing and Community Development Act of
1974, your application will not be evaluated under this NOFA if, the
charge, lawsuit, or letter of findings has not been resolved to the
satisfaction of the Department before the application deadline, HUD's
decision regarding whether a charge, lawsuit, or a letter of findings
has been satisfactorily resolved will be based upon whether appropriate
actions have been taken to address allegations of ongoing
discrimination in the policies or practices involved in the charge,
lawsuit, or letter of findings.
(F) Additional Nondiscrimination Requirements. As you will be
converting some of your project to an ALF, you should note that 24 CFR
891.120(b) requires you to meet all accessibility requirements.
Additionally, you must comply with the section 504 regulations at 24
CFR part 8, the Americans with Disabilities Act and the regulations at
24 CFR part 36, as applicable.
V. Application Selection Process
(A) Review for Curable Deficiencies. You should ensure that your
application is complete before submitting it to HUD.
HUD will screen all applications received by the deadline for
curable deficiencies. With respect to correction of deficient
applications, HUD may not, after the application due date and
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider
any unsolicited information an applicant may want to provide. HUD may
contact an applicant to clarify an item in the application or to
correct technical deficiencies. Please note, however, that HUD may not
seek clarification of items or responses that improve the substantive
quality of a response to any selection factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants. Examples of curable
(correctable) technical deficiencies include failure to submit the
proper certifications or failure to submit an application that contains
an original signature by an authorized official. In each case, under
this NOFA, the appropriate HUD Multifamily Hub Office will notify you
in writing by describing the clarification or technical deficiency. You
must submit clarifications or corrections of technical deficiencies in
accordance with the information provided by the Hub Office within 14
calendar days of the date of receipt of the HUD notification. (If the
due date falls on a Saturday, Sunday, or Federal holiday, your
correction must be received by HUD on the next day that is not a
Saturday, Sunday, or Federal holiday.) If the deficiency is not
corrected within this time period, HUD will reject the application as
incomplete, and it will not be considered for funding. The following is
a list of the deficiencies that will be considered curable in ALCP
applications:
Exhibits
(1)(a) Application Summary Sheet
*(b) Articles of Incorporation, or certification of Articles of
Incorporation
*(c) By-laws, or certification of by-laws
3--Evidence of occupancy for at least five years (Not applicable to
commercial facilities)
5(c)--Original project plans
5(h)--Relocation (Not applicable to commercial property)
7--Evidence of Permissive Zoning
8(g)--Support Letters from Governmental Agencies that License ALFs
(10) Certifications and Forms
(a) Standard Form 424, Application for Federal Assistance
(b) Standard Form 424D, Assurances Construction Programs
(c) Form HUD 424M, Federal Assistance Funding Matrix
(d) Form HUD-50070, Drug-free Workplace
(e) Form HUD-50071, Payments to Influence Federal Transactions and
Standard Form-LLL, Disclosure of Lobbying Activities
(f) Form HUD 2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employment Identification numbers
(g) Form HUD-2992, Certification Regarding Debarment and Suspension,
(h) Form HUD-2991, Certification of Consistency with the Consolidated
Plan (Plan), for the Jurisdiction in which the Proposed ALF will be
located.
(i) Executive Order 12372 Certification, a certification that you have
submitted a copy of your application, if required, to the State agency
(single point of contact) for State review in accordance with Executive
Order 12372.
(j) Certification of Residual Receipts Account
(k) Conflict of Interest Certification
(l) Certification for ALF
(m) Combined Certification
The appropriate Hub Office will notify you in writing if your
application is missing any of the exhibits listed above and you will be
given 14 days from the date of receipt of the HUD notification to
submit the information required to cure the noted deficiencies. The
exhibits identified by an asterisk (*) must be dated on or before the
application deadline date. If not so dated the application will be
rejected.
After the completeness review, HUD staff will review your
application to determine whether the application meets the threshold
requirements listed below. Only if your application meets all the
threshold requirements is it eligible to be rated and ranked.
(B) Threshold Review. In order to pass threshold, you must:
(1) Be in compliance with all fair housing and civil rights laws,
statutes, regulations, and executive orders as enumerated in 24 CFR
5.105(a), and as noted earlier in this NOFA under Sections III(B)(2)
and IV(E).
(2) Be an eligible applicant.
(3) Not request more funds than advertised.
(4) Additionally, HUD will also reject your application if the SSP
and/or commitment and support letter(s) from the appropriate funding
organizations and the appropriate licensing agency(ies):
(i) Are not submitted with your application;
(ii) Indicate that the ALF units, facilities, meals and supportive
services to be provided are not designed to meet the special needs of
the residents who will reside in the ALF as defined in this NOFA,
(iii) Do not show commitment for funding the meals and supportive
services proposed; or
(iv) Indicate that the project as proposed will not meet the
licensing requirements of the appropriate State/local agency(ies).
(C) Review Panels. The Office of Housing's Multifamily Hubs will
establish panels to review all eligible applications that have passed
threshold. The panels may include knowledgeable persons not currently
employed by HUD.
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(D) Rating of Applications. (See paragraph below for selection of
applications for commercial properties)
HUD staff teams will review and rate ALCP applications in
accordance with the Ranking and Selection procedures (see Section V(E)
of this NOFA below). All applications will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the rating selection
factors in Section V(F) of this NOFA. HUD reserves the right to reduce
the amount requested in the application if any proposed components are
ineligible or if the cost of items is not deemed reasonable.
HUD will NOT reject an ALCP application based on technical review
without notifying you of that rejection with all the reasons for the
rejection, and providing you an opportunity to appeal. As discussed
above, you will have 14 calendar days from the date of HUD's written
notice to appeal a technical rejection to the Multifamily Hub where the
applications were sent originally. HUD staff will make a determination
on an appeal before finalizing selection recommendations.
(E) Ranking and Selection Procedures. ((E)(1)-(4) not applicable to
applicants of commercial properties)
Applications submitted in response to this NOFA that are eligible,
pass threshold and have a total score of 70 points (or more) are
eligible for ranking and selection. (Except applications for conversion
of commercial properties with a score of at least 70 points will not be
ranked but will be submitted to HUD Headquarters for selection.)
(1) Hub staff teams will be established for ALCP review in each Hub
to do the application ratings (see Section V(D) above). See list of
Hubs in Appendix A of this NOFA.
(2) From within this rank order, Hub staff teams in each of the 18
Hubs will select the highest ranking applications from within that Hub
in order, that can be funded from within the dollars available.
(3) After making the initial selections, however, Hubs may use any
residual funds to select the next rank-ordered application by reducing
the dollars requested by no more than 10 percent (10%) and reducing the
number of units proposed, but in no case reducing the number of units
below the financial threshold feasibility of five ALF units.
(4) Funds remaining after these processes are completed will be
returned to HUD Headquarters. HUD will use these funds to restore units
to any project reduced as a result of using the residual grant funds in
a Hub. Secondly, HUD will use these funds for selecting one or more
additional applications based on the Hubs rating and rankings,
beginning with the highest rated application within the 18 Hubs. Only
one application will be selected per Hub from the national residual
amount. If there are no approvable applications in other Hubs, the
process will begin again with the selection of the next highest rated
application within the remaining Hubs. This process will continue until
all approvable applications are selected using the available remaining
funds. If there is a tie score between two or more applications, and
there are insufficient residual funds to cover all tied applications,
HUD Headquarters staff will choose the winning application(s) by
lottery and/or reduction of grant requests consistent with the
instructions above.
(5) Up to 3 applications will be selected using the $7.5 million
set-aside to provide grant funds to nonprofit applicants proposing to
convert unused or underutilized commercial property into assisted
living. HUD Multifamily Hubs will review applications for commercial
properties for completeness and compliance with the eligibility
criteria set forth in Section III of this NOFA. Hub staff will forward
applications to Headquarters providing the application was received by
the deadline date, meets all eligibility criteria, proposes reasonable
costs for eligible activities, and includes all technical corrections
by the designated deadline date. Headquarters will select no more than
3 applications on a first-come, first-served basis that can be funded
within the $7,500,000 available. Since applications are due from
February 26, 2001, to June 21, 2001, selections may be announced and
published in the Federal Register prior to June 21, 2001.
Note: Only applications that can be fully funded will be
selected. If an application that cannot be fully funded is selected,
it will be discarded and another application selected until an
applicant is selected that is within the available remaining funds.
Any remaining funds after this selection process will be returned to
the funds allocated for eligible multifamily assisted projects.
(F) Factors For Award Used To Evaluate and Rate Applications. HUD
will rate ALCP applications that successfully complete technical
processing using the Rating Factors set forth below and in accordance
with the application submission requirements identified in Section
VI(B) of this NOFA, below. The maximum number of points an application
may receive under this program is 100.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (15 Points)
This factor addresses your capacity to carry out the conversion in
a timely, cost-conscious and effective manner. It also reviews your
experience with the supportive services which the ALF intends to
provide to elderly residents, especially in such areas as meals, 24-
hour staffing and on-site health care. Submit information responding to
this factor in accordance with Application Submission Requirements in
Section VI(B)(5)(a), (8)(h), and (2)(d) of this NOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to carry out a successful
conversion of the project and to implement the plan to deliver the
supportive services on a-long term basis, considering the following:
(1) (7 points) The practicality of your plan and timetable to carry
out the physical conversion of the development to the ALF.
(2) (8 points) Your past experience in providing or arranging for
supportive services either on or off site for those who are frail. (If
you are applying to convert an unused or underutilized commercial
facility to assisted living and you do not own or operate a project
with frail elderly residents, you must provide information on any past
experience in providing or arranging supportive services for those who
are frail.) Examples are: Meals delivered to apartment of resident or
in a congregate setting (1 point), arranging for or providing personal
care (2 points), providing 24-hour staffing (1 point), providing or
making available on-site preventive health care (2 points) and other
support services (1 point).
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which the conversion is needed
by the categories of elderly persons and persons with disabilities that
the ALF is intended to serve (very low income elderly persons and
people with disabilities who have limitations in three or more
activities of daily living). The application must provide evidence of
current needs among project residents (not applicable to applications
proposing to convert unused or underutilized commercial facilities) and
needs of potential residents in the housing market area for such
persons including economic and demographic information on very-low
income frail
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elderly and people with disabilities and information on current
assisted living resources in the market area.
The factor also addresses your inability to fund the repairs or
conversion activities from existing financial resources. In making this
determination, HUD will consider project financial information or the
organization's financial information for unused or underutilized
commercial facilities. The Department will also review more favorably
those applications which establish a connection between the proposed
ALF and the community's Analysis of Impediments to Fair Housing Choice
(AI) or other planning document that analyzes fair housing issues and
is prepared by a local planning or similar organization. Submit
information responding to this factor in accordance with Application
Submission Requirements in Section VI(B)(4)(a) through (d), (2)(c) and
(9)(a) through (c) of the NOFA. In evaluating this factor, HUD will
consider:
(1) (10 points) The need for assisted living among the elderly and
disabled residents of the project taking into consideration those
currently in need and the depth of future needs given aging in place.
(Not applicable to applications to convert unused or underutilized
commercial facilities to assisted living).
(2) (5 points (15 points for applications to convert unused or
underutilized commercial facilities to assisted living.)) The need for
assisted living among very-low income elderly persons and people with
disabilities in the housing market area.
(3) (10 points) Insufficient funding for any needed conversion
work, as evidenced by the project's financial statements and
specifically the lack of excess reserve for replacement dollars (R4R)
and residual receipts. If the available R4R and residual receipts are
less than 10% of the total funds needed--10 points; if the available
R4R and residual receipts are 10-50% of need = 5 points; and, if the
available R4R and residual receipts are 51% or more of the total funds
of needed = 0 points). For commercial properties, if the available
working capital exceeds 10 percent of the total conversion = 5 points;
if the working capital is less than 10 percent of the total conversion
= 10 points.
Rating Factor 3: Soundness of Approach (25 Points)
This factor addresses the quality and effectiveness of your
proposal in addressing the proposed conversion, effectiveness of
service coordination and management planning and the meals and
supportive services which the ALF intends to provide. There must be a
relationship between the proposed activities, the project's and the
community's needs and purposes of the program funding for your
application to receive points for this factor. Submit information
responding to this factor in accordance with Application Submission
Requirements in Section VI(B)(5)(b) through (e) and (h) and (7) and
(B)(8))(a) through (e) and (g) and (h) of this NOFA.
In evaluating this factor, HUD will consider the following:
(1) (7 points) The extent to which the proposed ALF design will
meet the special physical needs of frail elderly persons or persons
with disabilities expected to be served at reasonable cost (consider
the ALF design: meets needs = 7 points; ALF design partially meets
needs = 3 points; and ALF design does not meet needs = 0 points).
(2) (7 points) The extent to which the ALF's proposed management
and operational plan ensures that the provision of both meals and
supportive services planned will be accomplished over time. (Consider
ALF design/management plan: meets needs of management operations = 7
points; ALF design/management plan partially meets needs of management
operations = 3 points; and ALF design/management plan does not meet
needs of management operations = 0 points.)
(3) (5 points) The extent to which the proposed supportive services
meet the anticipated needs of the frail elderly and disabled residents
(consider Yes = 5 points; partially meets needs = 3 points; and, does
not meet needs = 0 points); and
(4) (5 points) The extent to which the service coordination
function is addressed and explained as onsite and sufficient, onsite
and augmented or new, and addresses the ongoing procurement of needed
services for the residents of the ALF (does meet = 5 points, partially
meets = 3 points, does not meet = 0 points).
(5) (1 point) The extent to which there is an operating philosophy
which promotes the autonomy and independence of the frail elderly
persons it is intended to serve (is fully addressed = 1 point, no or
not addressed = 0 points).
Rating Factor 4: Leveraging Resources (30 Points)
This factor addresses your ability to secure other community
resources which can be combined with HUD's grant funds to achieve
program purposes. For the ALCP to succeed, you MUST generate local
funding for the necessary supportive services to operate the ALF. HUD
also encourages local funding for some of necessary conversion work, or
other work needed in the project (e.g., general modernization) which is
NOT specifically linked to the ALF).
Submit information responding to this factor in accordance with
Application Submission Requirements in Section VI(B)(5)(f), (g), and
(B)(8)(f) of this NOFA.
(1) (25 points) The extent to which there are commitments for the
funding needed for the meals and the supportive services planned for
the ALF and that the total cost of the estimated budget of the ALF is
covered. Consider 90% or more commitment for the total budget with no
more than 10% general support = 25 points; 80-89.9% or more commitment
for the total budget with no more than 20% general support = 17 points;
65-79.9% firm commitment with no more than 35% general support = 12
points; 40-64.9% firm commitment for the total budget with no more than
60% general commitment = 7 points; less than 40% firm commitment for
the total budget with no more than 60% general support = 0 points.
(2) (3 points) The extent of local organizations' support which is
firmly committed to providing at least 50 percent of the total cost of
ALF conversion (consider 50% or more = 3 points, 20-49.9% = 2 points,
and under 20% = 0 points).
(3) (2 points) The extent of local organizational support which is
firmly committed to providing funds for additional repair or retrofit
necessary for the project NOT specifically directed to activities
eligible under this NOFA (consider yes = 2 points, no = 0 points).
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which you have evidenced
general support for conversion by participating in your community's
Consolidated Planning Process, involving the residents in the planning
(not applicable to applications proposing to convert unused or
underutilized commercial facilities) and are working toward addressing
the need in a holistic and comprehensive manner through linkages with
other activities in the community. Submit information responding to
this factor in accordance with Application Submission Requirements in
Section VI(B)(2)(a) through (d) of this NOFA.
(1) (3 points) The involvement of project residents (including
minority residents) or their representatives, in the
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development of the ALCP application, and your intent to involve
residents, in the development and operation of the project and in
relocation planning (Minus one (-1) point if not addressed); (If you
are applying to convert an unused or underutilized commercial facility
to assisted living, provide information on the involvement of elderly
persons in the development of the ALCP application, and your intent to
involve residents, in the development and operation of the project.)
(2) (1 point) The extent to which you demonstrated that you have
been actively involved (or if not currently active, the steps you will
take to become actively involved) in your community's Consolidated
Planning/AI processes to identify and address a need/problem that is
related in whole or part, directly or indirectly to the proposed
project;
(3) (1 point) The extent to which you developed linkages with the
community at large and the elderly and minority communities in
particular and with other activities, programs or projects related to
the proposed project to coordinate your activities so solutions are
holistic and comprehensive.
VI. Application Submission Requirements
(A) Application--General. Your application must include all of the
information, materials, forms, and exhibits listed in Section VI(B). In
cases where your (i) articles of incorporation and (ii) by-laws have
NOT changed since the project was originally approved by HUD, self-
certification to that effect--that the documents on file with HUD are
current--is sufficient. Items in Section VI(B) for which self-
certification of currency is possible are denoted by a ``**''.
In addition to the relief of paperwork burden in preparing
applications, you will not have to submit certain new/recent
information and exhibits you have previously prepared. See individual
item descriptions, below to identify such items. An example of such an
item may be the FY 2000 Annual Financial Statement.
(B) General Application Requirements.
(1) Application Summary for the Assisted Living Conversion Program
and Evidence that you are a private non-profit organization or
nonprofit consumer cooperative and have the legal ability to operate an
ALF program, per the following:
(a) Articles of Incorporation, constitution, or other
organizational documents, or self-certification of these documents, if
there has been no change in the Articles since they were originally
filed with HUD;**
(b) By-laws, (for non-profits) or self-certification of by-laws, if
there has been no change in the by-laws since they were originally
filed with HUD;**
(2) A description of your community ties and established linkages.
(a) A description of your links to the community at large and to
the minority and elderly communities in particular; and
(b) A description of your efforts to involve elderly persons,
including minority elderly persons and persons with disabilities in:
(i) The development of the application,
(ii) The development of the ALF operating philosophy,
(iii) Review of the application prior to submission to HUD; and
(iv) Your intent to involve elderly persons in the operation of the
project or not.
Also, demonstrate that you made the application available to the
residents of the project (in their language(s)) AND requested and
considered comments from them (in their language(s)). Applicants of
converted commercial facilities should indicate that the application
will be made available to the residents of the project in their
language(s) and will request and consider comments from them in their
language(s).
(c) A description of your involvement in your community's
Consolidated Planning and Analysis of Impediments to Fair Housing (AI)
processes including:
(i) An identification of the lead/facilitating agency(ies) that
organizes/administers the processes;
(ii) A listing of the Consolidated Plan/AI issue areas in which you
participate;
(iii) The level of your participation in the processes, including
active involvement with any neighborhood-based organizations,
associations, or any committees that support programs and activities
that enhance projects or the lives of residents of the projects, such
as the one proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning and AI
processes. (Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(d) A description of the linkages that you have developed with
other related activities, programs or projects in order that the
development of the project provides a comprehensive and holistic
solution to the needs of the target population.
(3) Evidence of your project being in occupancy for at least five
years as of the date of application to HUD. (Not applicable to
commercial facilities)
(4) A market analysis of the need for the proposed ALF units,
including information from both the project and the housing market,
containing:
(a) Evidence of need for the ALF by current project residents: (Not
applicable to commercial facilities)
(i) A description of the demographic characteristics of the elderly
residents currently living in the project, including the current number
of residents, distribution of residents by age and sex, an estimate of
the number of residents with frailties/limitations in activities of
daily living and an estimate of the number of residents in need of
assisted living services. (Not applicable to commercial facilities)
(ii) A description of the services which are currently available to
the residents and/or provided on or off-site and what services are
lacking; (Not applicable to commercial facilities)
(b) Evidence of the need for ALF units by very low income elderly
and disabled households in the market area; a description of the trend
in elderly and disabled population and household change; data on the
demographic characteristics of the very low income elderly in need of
assisted living services (age, race, sex, household size and tenure)
and extent of residents with frailty/limitations in existed federally-
assisted housing for the elderly (HUD and Rural Housing Service): and
an estimate of the very low income elderly and disabled in need of
assisted living taking into consideration any available State or local
data.
(c) A description of the extent, types and availability and cost of
alternate care and services locally, such as: home health care, adult
day care, housekeeping services, meals programs, visiting nurses, on-
call transportation services, health care and providers of supportive
services who address the needs of the local low income population.
(d) A description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the ALF (covering items in Section VI(B)(4)(a) and (b) of this NOFA).
(5) A description of the physical ALF conversion, including the
following:
(a) How you propose to carry out the physical conversion (including
a timetable and relocation planning).
(b) A short narrative stating the number of units, special design
features, community and office space/storage, dining and kitchen
facility and staff
[[Page 12349]]
space and the physical relationship to the rest of the project. Also,
you must describe how this design will facilitate the delivery of
services in an economical fashion and accommodate the changing needs of
the residents over at least the next 10 years.
(c) A copy of the original plans for all units and other areas of
the development which will be included in the conversion. (If you are
applying to convert an unused or underutilized commercial facility to
assisted living, provide a copy of the original plans of the facility).
(d) A description of the conversion must clearly address the
following accessibility issues: All door openings must have a minimum
clear opening of 32"; and, all bathrooms and kitchens must be
accessible to and functional for persons in wheelchairs, according to
the ``Uniform Federal Accessibility Standards.''
(e) Architectural sketches of the conversion to a scale of \1/4\
inch to one foot (\1/4\" = 1'-0") that indicate the following:
(i) All doors being widened;
(ii) Typical kitchen and bathroom reconfiguration: show all
wheelchair clearances, wall reinforcing, grab bars and elevations of
counters and work surfaces;
(iii) Bedroom/living/dining area modification, if needed;
(iv) Any reconfigured common space;
(v) Added/reconfigured office and storage space;
(vi) Monitoring stations, and
(vii) The kitchen and dining facility.
All architectural modifications must meet section 504 and ADA
requirements as appropriate.
(f) A budget showing at least estimated costs for materials,
supplies, fixtures and labor for each of the items listed in Section
VI(B)(5)(e), items i through vii, above.
(g) Include firm commitment letters with specific dollar amounts
from appropriate organization(s) for conversion needs (within the scope
of the ALF conversion NOFA) which will be supported by non-HUD funding.
(h) A description of any relocation of current tenants including a
statement that: (Not applicable to commercial property applicants)
(i) Indicates the estimated cost of temporary relocation payments
and other related services.
(ii) Identifies the staff organization that will carry out the
relocation activities; and
(iii) Identifies all tenants that will have to be temporarily moved
to another unit within the development OR from the development during
the period that the physical conversion of the project is under way.
Note: If any of the relocation costs will be funded from sources
other than the ALCP grant, you must provide evidence of a firm
commitment of these funds. When evaluating applications, HUD will
consider the total cost of proposals (i.e., cost of conversion,
temporary relocation, service coordinator and other project costs).
(6) A description of any retrofit or renovation which will be done
at the project (with third party funds) that is separate and distinct
from the ALF conversion. With such description, attach firm commitment
letters from third party organizations in specific dollar amounts which
will cover the cost of any work outside the scope of this NOFA.
(7) Evidence of permissive zoning, showing that the modifications
to include the ALF into the project as proposed are permissible under
applicable zoning ordinances or regulations, or a statement of the
proposed action required to make the proposed project permissible and
the basis for your belief that the proposed action will be completed
successfully within six months of the date of grant award by HUD. e.g.,
a summary of the results of any requests for rezoning and/or the
procedures for obtaining special or conditional use permits on land in
similar zoning classifications and the time required for such rezoning,
or preliminary indications of acceptability from zoning bodies, etc.);
(8) A supportive services plan (SSP), a copy of which must be
submitted to the appropriate state and/or local agency as instructed in
Section IV(B) of this NOFA. For those applicants needing to contact
state Medicaid offices, a list is provided on the Internet at
``www.hcfa.gov/medicaid/scon1.htm''. The fifth character from the end
is the numeral ``1'', not the letter ``l''. The SSP must include:
(a) A description of the supportive services needed for the frail
elderly the ALF is expected to serve. This must include at least (i)
meals and such other supportive services required locally or by the
State, and (ii) such optional services or care to be offered on an ``as
needed'' basis.
Examples of both mandatory and optional services (which will vary
from state to state) are: two meals and two snacks or three meals
daily; 24-hour protective oversight; personal care; housekeeping
services; personal counseling and transportation.
(b) A description of how you will provide the supportive services
to those who are frail and have disabilities (i.e., on or off-site or
combination of on or off-site), including an explanation of how the
service coordination role will facilitate the adequate provision of
such services to ALF residents, and how the services will meet the
identified needs of the residents. Also indicate how you intend to fund
the service coordinator role.
(c) A description of how the operation of your ALF will work.
Address (i) general operating procedures, (ii) ALF philosophy and how
it will promote the autonomy and independence of the frail elderly and
persons with disabilities, (iii) what will the service coordination
function will do and the extent to which this function already exists,
or will be augmented or new, (iv) ALF staff training plans, and (v) the
degree to which and how the ALF will relate to the day-to-day
operations of the rest of the project.
(d) The monthly individual rate for board and supportive services
for the ALF listing the total fee and components of the total fee for
the items required by State or local licensing AND list the appropriate
rate for any optional services you plan to offer to the ALF residents.
Provide an estimate of the total annual costs of the required board and
supportive services you expect to provide and an estimate of the amount
of optional services you expect to provide.
(e) List who will pay for the board and supportive services, e.g.,
$____for meals by sponsor, $____ for housekeeping services by city
government; $____ for personal care by State Department of Health;
$____ for ____ by state ____ program; $____ in fees by tenants; and,
$____ by____.
The amounts and commitments from both tenants and/or providers must
equal the estimated amounts necessary to cover the monthly rates for
the number of people expected to be served. If you include tenant fees
in the proposal, list and show any proposed scaling mechanism. All
amounts committed/collected must equal the annualized cost of the
monthly rates calculated by the expected percentage of units filled.
(f) A support/commitment letter from EACH listed proposed funding
source per paragraph (e), above, for the planned meals and supportive
services listed in the application. The letter must cover the total
planned annual commitment (and multiyear amount total, if different),
length of time for the commitment, and the amounts payable for each
service covered by the provider/paying organization. There must be a
letter from EACH participating organization listed in Section
VI(B)(8)(e) of this NOFA, above.
[[Page 12350]]
(g) A support letter from EACH governmental agency(ies) which
provides licensing for ALFs in that jurisdiction.
(h) A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. (If you are
applying to convert an unused to underutilized commercial facility to
assisted living, provide information on your relevant experience in
arranging for and/or delivering supportive services to frail elderly
persons). The description should include any supportive services
facilities owned/operated; your past or current involvement in any
project-based programs that demonstrates your management capabilities.
The description should include data on the facilities and specific
meals and/or supportive services provided on a regular basis, the
racial/ethnic composition of the populations served, if available, and
information and testimonials from residents or community leaders on the
quality of the services.
Note: If a funds request for service coordination for the ALF
and/or the whole project is included as part of this application,
the Form HUD-424M, indicating the dollars requested must be attached
as Exhibit 10(c). Do NOT attach the whole service coordinator
application.
(9) A description of your project's resources: (Not applicable to
applicants of commercial property--(9)(a)-(b))
(a) A copy of the most recent project Repair and Replacement (R4R)
account statement, and an R4R analysis showing plans for its use over
the next five years, and any approvals received from the HUD field
office to date
(b) A copy of the most recent Residual Receipts Account statement.
Indicate any approvals for the use of such receipts from the field
office for over $500/unit.
(c) Annual Financial Statement (AFS). If your FY 2001 AFS was due
to REAC more than 120 days BEFORE the due date June 21, 2001 for this
application, in the interest of reducing work burden, only include the
date that it was sent to REAC. If the AFS was due to REAC 120 days or
less from the due date (June 21, 2001) of this application, you MUST
include a paper copy. For commercial properties, the most recent
financial statement or annual report.
(10) Forms, Certifications and Resolutions. The following exhibits,
forms, certifications and assurances are required:
(a) Standard Form 424, Application for Federal Assistance and
indication of whether you are delinquent on any federal debt.
(b) Standard Form 424D, Assurances, Construction Programs
(c) Form HUD-424M, Federal Assistance Funding Matrix.
(d) Form HUD-50070, Drug-free Workplace. Certification to provide a
drug-free workplace.
(e) Form HUD-50071, Payments to Influence Federal Transactions and
Standard Form-LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any federal
transactions and disclosure of these activities, if applicable.
(f) Form HUD-2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employment Identification numbers. A
disclosure of assistance from other government sources received in
connection with the project.
(g) Certification Regarding Debarment and Suspension (HUD-2992) (24
CFR 24.510).
(h) Form HUD-2991, Certification of Consistency with the
Consolidated Plan (Plan), for the jurisdiction in which the proposed
ALF will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the State, or by the
unit of general local government if the project will be located within
the jurisdiction of the unit of general local government authorized to
use an abbreviated strategy, and if it is willing to prepare such a
Plan.
All certifications must be made by the public official responsible
for submitting the plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth herein. The Plan regulations are published in 24 CFR part 91.
(i) Executive Order 12372 Certification. A certification that you
have submitted a copy of your application, if required, to the State
agency (single point of contact) for State review in accordance with
Executive order 12372.
(j) Certification of Residual Receipts Account. If you do not have
an existing residual receipts account you must agree to set up one as
soon as there is surplus cash available, as a condition of getting this
grant award.
(k) A certified Board Resolution that no officer or director of the
Owner has or will have any financial interest in any contract with the
Owner or in any firm or corporation that has or will have a contract
with the Owner, including a current listing of all duly qualified and
sitting officers and directors by title, and the beginning and ending
dates of each person's term.
(l) Certification for ALF. Certification that you agree to apply
for an ALF license with due diligence and in a timely fashion (and that
the conversion will NOT be a nursing home or an Intermediate Care
facility).
(m) Owner's Combined Certifications.
(i) A certification of compliance with the requirements of the Fair
Housing Act, Title VI of the Civil Rights Act, the Age Discrimination
Act of 1975, Section 3 of the Housing and Urban Development Act of 1968
(12 U.S.C. 1701u) and the implementing regulations at 24 CFR part 135,
the affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M and the implementing regulations at 24 CFR part 108, and
other applicable Federal, State and local laws prohibiting
discrimination and promoting equal opportunity including affirmatively
furthering fair housing, and other certifications listed in the
application.
(ii) Certification of Compliance with section 232 of the National
Housing Act, as applicable, the Uniform Federal Accessibility Standards
(24 CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's
implementing regulations at 24 CFR part 8, and the design and
construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100, and the Americans with
Disabilities Act of 1990 for all portions of the development physically
affected by this proposal;
(iii) Davis-Bacon. Certification of compliance with the Davis-Bacon
requirements and the Contract Work Hours and Safety Standards Act as
applied to this program. While it has been determined that Davis-Bacon
does not apply statutorily to the ALCP, the Department has
administratively determined that Davis-Bacon standards and overtime
rates in accordance with the Contract Work Hours and Safety Standards
Act will be adhered to in any ALCP conversion grant in which the total
cost of the physical conversion to an ALF (and including any additional
renovation work undertaken at the same time) is $500,000 or more (this
includes ALCP grant funds, owner funds, or any third party funds loaned
or granted in support of the conversion or other renovation for the
project associated with this grant), AND in which the ALF portion of
the project is 12 units or more.
VII. Environmental Requirements
Your ALCP application is subject to the National Environmental
Policy Act
[[Page 12351]]
of 1969 and applicable related Federal environmental authorities. (See
24 CFR part 50, as applicable.) An environmental review will be
completed by HUD before the award of any grant under this program.
Pursuant to 24 CFR Part 55, ALCP projects are critical actions for
purposes of floodplain management review.
VIII. Authority
The Assisted Living Conversion Program is authorized by Title V,
section 522 of the FY 2000 Departments of Veteran's Affairs, HUD and
Independent Agencies Appropriations Act, 2000 (12 U.S.C. 1701q-2).
Appendix A.--HUD Field Office List for Mailing Assisted Living
Conversion Program Applications
HUD--Boston Hub
Boston Office
Room 301, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway
Street, Boston, MA 02222-1092, (617) 565-5234, TTY Number: (617)
565-5453
HUD--New York Hub
New York Office
26 Federal Plaza--32nd Floor, New York, NY 10278-0068, (212) 264-
8000, TTY Number: (212) 264-0927
HUD--Buffalo Hub
Buffalo Office
Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787
HUD--Philadelphia Hub
Philadelphia Office
The Wanamaker Building, 100 Penn Square East, Philadelphia, PA
19107-3380, (215) 656-0600, TTY Number: (215) 656-3452
HUD--Baltimore Hub
Baltimore Office
Fifth Floor, City Crescent Building, 10 South Howard Street,
Baltimore, MD 21201-2505, (410) 962-2520, TTY Number: (410) 962-0106
HUD--Greensboro Hub
Greensboro Office
Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055
HUD--Atlanta Hub
Atlanta Office
40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-2806, (404)
331-5001, TTY Number: (404) 730-2654
HUD--Jacksonville Hub
Jacksonville Office
Suite 2200, Southern Bell Tower, 301 West Bay Street, Jacksonville,
FL 32202-5121, (904) 232-2626, TTY Number: (904) 232-2631
HUD--Chicago Hub
Chicago Office
Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
Chicago, IL 60604-3507, (312) 353-5680, TTY Number: (312) 353-5944
HUD--Detroit Hub
Detroit Office
Patrick V. McNamara Federal Building, 477 Michigan Avenue--17th
Floor, Detroit, MI 48226-2592, (313) 226-7900, TTY Number: (313)
226-6899
HUD--Columbus Hub
Columbus Office
200 North High Street, 7th Floor, Columbus, OH 43215-2499, (614)
469-5737, TTY Number: (614) 469-6694
HUD--Minneapolis Hub
Minneapolis Office
220 Second Street, South, Minneapolis, MN 55401-2195, (612) 370-
3000, TTY Number: (612) 370-3186
HUD--Ft. Worth Hub
Ft. Worth Office
801 N. Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905,
(817) 978-9000, TTY Number: (817) 978-9273
HUD--Kansas City Hub
Kansas City Office
Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972
HUD--Denver Hub
Denver Office
633 17th Street, Denver, CO 80202-3607, (303) 672-5440, TTY Number:
(303) 672-5248
HUD--San Francisco Hub
San Francisco Office
Philip Burton Federal Building and U.S. Courthouse, 450 Golden Gate
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6550, TTY Number: (415) 436-6594
HUD--Los Angeles Hub
Los Angeles Office
611 West 6th Street, Suite 800, Los Angeles, CA 90017-3106, (213)
894-8000, TTY Number: (213) 894-8133
HUD--Seattle Hub
Seattle Office
Seattle Federal Office Building, 909 1st Avenue, Suite 200, Seattle,
WA 98104-1000, (206) 220-5101, TTY Number: (206) 220-5185
Note: The first line of the mailing address for all offices is
the U.S. Department of Housing and Urban Development. Telephone
numbers listed are not toll free.
Appendix B
HUD--Boston Hub
Hartford Office
One Corporate Center, 19th Floor, Hartford, CT 06103-3220, (860)
240-4800, TTY Number: (860) 240-4665
Boston Office
Room 375, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway
Street, Boston, MA 02222-1092, (617) 565-5234, TTY Number: (617)
565-5453
Manchester Office
Norris Cotton Federal Building, 275 Chestnut Street, Manchester, NH
03101-2487, (603) 666-7681, TTY Number: (603) 666-7518
Providence Office
Sixth Floor, 10 Weybosset Street, Providence, RI 02903-2808, (401)
528-5230, TTY Number: (401) 528-5403
HUD--New York Hub
New York Office
26 Federal Plaza, New York, NY 10278-0068, (212) 264-8000, TTY
Number: (212) 264-0927
HUD--Buffalo Hub
Buffalo Office
Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787
HUD--Philadelphia Hub
Philadelphia Office
The Wanamaker Building, 100 Penn Square East, Philadelphia, PA
19107-3380, (215) 656-0600, TTY Number: (215) 656-3452
Charleston Office
Suite 708, 405 Capitol Street, Charleston, WV 25301-1795, (304) 347-
7000, TTY Number: (304) 347-5332
Newark Office
Thirteenth Floor, One Newark Center, Newark, NJ 07102-5260, (973)
622-7900, TTY Number: (973) 645-3298
Pittsburgh Office
339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-2515, (412) 644-
6428, TTY Number: (412) 644-5747
HUD--Baltimore Hub
Baltimore Office
Fifth Floor, City Crescent Building, 10 South Howard Street,
Baltimore, MD 21201-2505, (410) 962-2520, TTY Number: (410) 962-0106
Washington, DC Office
820 First Street, NE, Suite 300, Washington, D.C. 20002-4205, (202)
275-9200, TTY Number: (202) 275-0772
Richmond Office
The 3600 Centre, 3600 West Broad Street, Richmond, VA 23230-4920,
(804) 278-4500, TTY Number: (804) 278-4501
[[Page 12352]]
HUD--Greensboro Hub
Greensboro Office
Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055
Columbia Office
Strom Thurmond Federal Building, 1835-45 Assembly Street, Columbia,
SC 29201-2480, (803) 765-5592, TTY Number: (803) 253-3071
HUD--Atlanta Hub
Atlanta Office
Richard B. Russell Federal Building, 75 Spring Street, S.W., Suite
600, 40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-3388
2806, (404) 331-5136 5001, TTY Number: (404) 730-2654
San Juan Office
Edificio Administracion de Terrenos, 171 Carlos Chardon Avenue,
Suite 301, San Juan, PR 00918-0903, (787) 766-5400, TTY Number:
(787) 776-5609
Louisville Office
601 West Broadway, P.O. Box 1044, Louisville, KY 40201-1044, (502)
582-5251, TTY Number: 1-800-648-6056
Knoxville Office
Third Floor, John J. Duncan Federal Building, 710 Locust Street,
Knoxville, TN 37902-2526, (423) 545-4384, TTY Number: (423) 545-4559
Nashville Office
Suite 200, 251 Cumberland Bend, Nashville, TN 37228-1803, (615) 736-
5213, TTY Number: (615) 736-2886
HUD--Jacksonville Hub
Jacksonville Office
Suite 2200, Southern Bell Tower, 301 West Bay Street, Jacksonville,
FL 32202-5121, (904) 232-2626, TTY Number: (904) 232-2631
Birmingham Office
Suite 300, Beacon Ridge Tower, 600 Beacon Parkway, West, Birmingham,
AL 35209-3144, (205) 290-7617, TTY Number: (205) 290-7624
Jackson Office
Suite 910, Doctor A.H. McCoy Federal Building, 100 West Capitol
Street, Jackson, MS 39269-1096, (601) 965-4700, TTY Number: (601)
965-4171
HUD--Chicago Hub
Chicago Office
Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
Chicago, IL 60604-3507, (312) 353-5680, TTY Number: (312) 353-5944
Indianapolis Office
151 North Delaware Street, Indianapolis, IN 46204-2526, (317) 226-
6303, TTY Number: (317) 226-7081
HUD--Detroit Hub
Detroit Office
Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit,
MI 48226-2592, (313) 226-7900, TTY Number: (313) 226-6899
Grand Rapids Office
Trade Center Building, 50 Louis Street, NW, Third Floor, Grand
Rapids, MI 49503-2648, (616) 456-2100, TTY Number: (616) 456-2159
HUD--Columbus Hub
Columbus Office
200 North High Street, 7th Floor, Columbus, OH 43215-2499, (614)
469-5737, TTY Number: (614) 469-6694
Cleveland Office
Renaissance Building, 1350 Euclid Avenue, Suite 500, Cleveland, OH
44115-1815, (216) 522-4058, TTY Number: (216) 522-2261
HUD--Minneapolis Hub
Minneapolis Office
220 Second Street, South, Minneapolis, MN 55401-2195, (612) 370-
3000, TTY Number: (612) 370-3186
Milwaukee Office
Suite 1380, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue,
Milwaukee, WI 53203-2289, (414) 297-3214, TTY Number: (414) 297-1423
HUD--Ft. Worth Hub
Little Rock Office
Suite 900, TCBY Tower, 425 West Capitol Avenue, Little Rock, AR
72201-3488, (501) 324-5931, TTY Number: (501) 324-5931
New Orleans Office
Ninth Floor, Hale Boggs Federal Building, 501 Magazine Street, New
Orleans, LA 70130-3099, (504) 589-7200, TTY Number: (504) 589-7279
Ft. Worth Office
801 N. Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905,
(817) 978-9000, TTY Number: (817) 978-9273
Houston Office
Suite 200, Norfolk Tower, 2211 Norfolk, Houston, TX 77098-4096,
(713) 313-2274, TTY Number: (713) 834-3274
San Antonio Office
Washington Square, 800 Dolorosa Street, San Antonio, TX 78207-4563,
(210) 475-6800, TTY Number: (210) 475-6885
HUD--Great Plains
Des Moines Office
Room 239, Federal Building, 210 Walnut Street, Des Moines, IA 50309-
2155, (515) 284-4512, TTY Number: (515) 284-4728
Kansas City Office
Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972
Omaha Office
Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 68154-
3955, (402) 492-3100, TTY Number: (402) 492-3183
Saint Louis Office
Third Floor, Robert A. Young Federal Building, 1222 Spruce Street,
St. Louis, MO 63103-2836, (314) 539-6583, TTY Number: (314) 539-6331
Oklahoma City Office
500 West Main Street, Suite 400, Oklahoma City, OK 73102-2233, (405)
553-7401, TTY Number: 1-800-877-8339
HUD--Denver Hub
Denver Office
633 17th Street, Denver, CO 80202-3607, (303) 672-5440, TTY Number:
(303) 672-5248
HUD--San Francisco Hub
Phoenix Office
Suite 1600, Two Arizona Center, 400 North 5th Street, Phoenix, AZ
85004-2361, (602) 379-4434, TTY Number: (602) 379-4464
San Francisco Office
Philip Burton Federal Building and U.S. Courthouse, 450 Golden Gate
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6550, TTY Number: (415) 436-6594
Honolulu Office
Suite 500, 7 Waterfront Plaza, 500 Ala Moana Boulevard, Honolulu, HI
96813-4918, (808) 522-8185, TTY Number: (808) 522-8193
HUD--Los Angeles Hub
Los Angeles Office
611 West 6th Street, Suite 800, Los Angeles, CA 90017-3106, (213)
894-8000, TTY Number: (213) 894-8133
HUD--Seattle Hub
Portland Office
400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-1632,
(503) 326-2561, TTY Number: (503) 326-3656
Note: The first line of the mailing address for all offices is
the U. S. Department of Housing and Urban Development. Telephone
numbers listed are not toll free.
Appendix C
The non-standard forms required for the ALCP application.
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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[[Page 12363]]
FUNDING AVAILABILITY FOR SERVICE COORDINATORS IN MULTIFAMILY
HOUSING
Program Overview
Purpose of the Program. The purpose of this Service Coordinator
program is to allow multifamily housing owners to assist elderly
individuals and people with disabilities living in HUD-assisted housing
and in the surrounding area to obtain needed supportive services from
the community, in order to enable them to continue living as
independently as possible in their own homes.
Available Funds. Approximately $24.2 million.
Eligible Applicants. Only owners of eligible developments may apply
for and become the recipient of grant funds. Property management
companies may administer grant programs but are not eligible
applicants. See Section III for more detailed eligibility criteria.
Application Deadline: June 21, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application (an original and
two copies) is due on or before 6:00 pm, local time, on June 21, 2001
at the address shown below.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Addresses for Submitting Applications. Appendix A to this program
section contains a list of HUD Field Offices where you must send your
application by the deadline. Please address your application to the
Director, Multifamily Housing Hub or Program Center in your local HUD
Field Office. You should not submit any copies of your application to
HUD Headquarters.
For Application Kits. For an application kit, please call the
SuperNOFA Information Center at 1-800-HUD-8929. If you have a hearing
or speech impairment, please call the Center's TTY number at 1-800-HUD-
2209. When requesting an application kit, please refer to the
Multifamily Housing Service Coordinator Program and provide your name,
address (including zip code) and telephone number (including area
code). An application kit also will be available on the Internet at
http://www.hud.gov/grants.
For Further Information and Technical Assistance. You may contact
your local HUD Field Office staff for questions you have regarding this
program section of the SuperNOFA and your application kit. Please
contact the Multifamily Housing Resident Initiatives Specialist or
Service Coordinator contact person in your local Office. If you are an
owner of a Section 515 development, contact the Multifamily HUB or
Multifamily Program Center in the HUD Field Office that normally
provides asset management to that development. If you have a question
that the Field staff are unable to answer, please call Carissa Janis,
Housing Project Manager, Office of Housing Assistance and Grants
Administration, Department of Housing and Urban Development, 451
Seventh Street, SW, Room 6146, Washington, DC 20410; (202) 708-2866,
extension 2487. (This number is not toll free). If you are hearing or
speech impaired, you may access this number via TTY by calling the
Federal Information Relay Service at 1-800-877-8339.
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD web site at http://www.hud.gov/grants.
II. Amount Allocated
(A) Available Funding. This NOFA makes available approximately $
24.2 million in Fiscal Year (FY) 2001 funding from the $50 million
provided in the Housing for Special Populations account in the
Departments of Veterans Affairs and Housing and Urban Development, and
Independent Agencies Appropriations Act, 2001 (Pub.L. 106-377, 114
Stat. 1441, approved October 27, 2000).
The amount of available funds has decreased from last year, due to
an additional funding action required to correct a HUD error in
processing FY 2000 applications. Ten eligible applications submitted to
the Denver Multifamily Hub Office were not included in HUD
Headquarters' final database of FY 2000 eligible applications. Had they
been correctly included, they would have been selected to receive an
award. To correct this error, HUD will fund the following ten
applications from the current allocation, prior to making new awards:
----------------------------------------------------------------------------------------------------------------
Recipient name Development name City, State Grant amt.
----------------------------------------------------------------------------------------------------------------
The Salvation Army, a California The Salvation Army Denver, CO................. $56,427
Corporation. Westminster.
Adams Silvercrest..........
Redi Corporation......................... Redi II-V.................. Denver, CO................. 113,709
Sage Tower Retirement Apartments......... Sage Tower Retirement Billings, MT............... 43,566
Apartments.
Skyline Lodge, Inc....................... Skyline Lodge.............. Choteau , MT............... 62,603
Missoula Manor Homes..................... Missoula Manor Homes....... Missoula, MT............... 103,055
Denver Metro Village, Inc................ Metro Manor................ Denver, CO................. 146,430
Martha's Terrace Housing Corporation..... Martha's Terrace Apartments Magna, UT.................. 39,262
Multi-Ethnic East Housing Corporation.... Preston Place.............. Salt Lake City, UT......... 72,914
Multi-Ethnic East Housing Corporation.... Multi-Ethnic Senior Citizen Salt Lake City, UT......... 112,175
Housing.
Converse County Senior Housing, Inc...... Payne Plaza................ Douglas , WY............... 44,308
------------
Total................................ ........................... ........................... 794,449
----------------------------------------------------------------------------------------------------------------
HUD will use the remaining $25 million appropriated this year to
provide one-year extensions to expiring Service Coordinator and
Congregate Housing Services Program grants.
HUD will first fund Service Coordinator costs in applications
selected to receive an Assisted Living Conversion Program (ALCP) grant
award. The Department estimates that approximately $5 million will be
needed to fund these programs. The actual amount will be based upon
demand and the number of applications that meet threshold criteria in
both the ALCP and Service Coordinator programs. HUD will set-aside the
[[Page 12364]]
requested amount of ALCP/Service Coordinator funds prior to conducting
the national lottery. Any funds not used for ALCP Service Coordinator
programs will revert to the lottery to fund all other eligible
applications submitted under this NOFA.
In FY 2000, HUD awarded 259 grants for a total of $28,374,263.
Three of the 259 grants were awarded to ALCP grant recipients, for a
total of $504,931.
(B) Maximum Grant Award. There is no maximum grant amount. The
grant amount you request must be consistent with the staffing
guidelines provided in the application kit and your proposed salary
must be supported by evidence of comparable salaries in your area.
(C) Reduction of Requested Grant Amounts. You may be awarded an
amount less than requested if:
(1) HUD determines that some elements of your proposed action plan
are ineligible for funding;
(2) Insufficient amounts remain under the allocation to fund the
full amount you requested, and HUD determines that partial funding is a
viable option; or
(3) HUD determines that a reduced grant would prevent duplicative
Federal funding.
(D) Alternative Funding for Service Coordinators. Owners may
request processing under Housing's Management Agent Handbook 4381.5,
REVISION-2, CHANGE-2, Chapter 8. This Handbook provides procedures for
requesting funding for a coordinator using residual receipts, the
budget-based rent increase process, contract rents adjusted by the
Annual Adjustment Factor (AAF) or the Project Rental Assistance
Contract (PRAC). Section 8 approvals must be consistent with current
policy. Your local HUD Field Office staff may approve budget-based
funding for a Service Coordinator at any time, as long as available
funds in your budget allow for this increase. You are not required to
apply for these grant funds prior to seeking budget-based funding for a
Service Coordinator.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The Service Coordinator Program provides
funding for the employment and support of service coordinators in
insured and assisted housing developments that are designed for the
elderly and persons with disabilities and continue to operate as such.
Service coordinators help residents obtain supportive services from the
community that are needed to enable independent living and aging in
place.
A service coordinator is a social service staff person hired or
contracted by the development's owner or management company. The
coordinator is responsible for assuring that elderly residents,
especially those who are frail or at risk, and those non-elderly
residents with disabilities are linked to the supportive services they
need to continue living independently in that development. All services
should meet the specific desires and needs of the residents themselves.
The service coordinator may not require any elderly individual or
person with a disability to accept any specific supportive service(s).
You may want to review the Management Agent Handbook 4381.5
REVISION-2, CHANGE-2, Chapter 8 for further guidance on service
coordinators. This Handbook is accessible through HUDCLIPS on HUD's web
site at http://www.hudclips.org. The Handbook is in the Handbooks and
Notices--Housing Notices database. Enter the Handbook number in the
``Document Number'' field to retrieve the Handbook.
As was the case in FY 2000, there is no minimum unit number for
eligible developments. In proposing a Service Coordinator program at a
small development, however, you must be careful to conform to the
hiring guidelines provided in the application kit. Funding is also
allowed to augment current Service Coordinator programs and to continue
programs in cases where current or previous funding sources are no
longer available. Please refer to Sections III.D and III.F, below.
The American Homeownership and Economic Opportunity Act of 2000
(signed December 27, 2000) expanded the scope of the Service
Coordinator program. This Act now allows owners of eligible
developments to provide service coordination to low-income elderly or
disabled families living in the vicinity of the development. You have
the option to serve such community residents as a part of your proposed
program to provide coordination to current residents of an eligible
development. The objective of this expanded authority is to help
additional low-income elderly and disabled individuals age in place and
live independently as long as possible in their current homes. Any
reference in this program NOFA or in the application kit to elderly or
disabled residents of a development shall be construed to include low-
income elderly or disabled families living in the vicinity of such a
development.
(B) Eligible Applicants and Developments
To be eligible for funding, you must meet all of the applicable
threshold requirements of Section II(B) of the General Section of the
SuperNOFA and must be owners of developments assisted under the
following programs:
(a) Section 202 and 202/8,
(b) Existing Section 8 project-based and moderate rehabilitation
developments (including Rural Housing Service (RHS) Section 515/8 and
Section 221(d)(4)),
(c) Section 221(d)(3) below-market interest rate, and 236
developments that are insured or assisted.
(2) Additionally, developments listed in paragraphs 1 (a), (b), and
(c) are eligible only if they meet the following criteria:
(a) Have frail or at-risk elderly residents and/or non-elderly
residents with disabilities who together total at least 25 percent of
the building's residents.
(b) Are designed for the elderly or persons with disabilities and
continue to operate as such. This includes any building within a mixed-
use development that was designed for occupancy by elderly persons or
persons with disabilities at its inception and continues to operate as
such, or consistent with title VI, subtitle D of the Housing and
Community Development Act of 1992. If not so designed, a development in
which the owner gives preferences in tenant selection (with HUD
approval) to eligible elderly persons or persons with disabilities, for
all units in that development.
(c) You have completed Final Closing on the development.
(d) Are current in mortgage payments or are current under a workout
agreement.
(e) Meet HUD's Uniform Physical Conditions Standards (codified in
24 CFR part 5, subpart G), based on the most recent physical inspection
report and responses thereto, as evidenced by a score of 60 or better
or an approved plan for developments scoring less than 60.
(f) Are in compliance with their regulatory agreement, HAP
Contract, and other outstanding directives.
(g) Section 202 developments must have a residual receipts account
separate from the Repair and Replacement account, or agree to establish
this account. This requirement does not apply to Sections 8, 221(d)(3)
below-market interest rate, or 236 developments.
(h) Owners using the AAF rent increase process or who are profit-
motivated must provide certification that rental and other income from
the
[[Page 12365]]
development are insufficient to pay for a service coordinator.
If your eligibility status changes during the course of the grant
term, making you ineligible to receive a grant (e.g. due to prepayment
of mortgage, sale of property, or opting out of a Section 8 Housing
Assistance Payment (HAP) contract), HUD has the right to terminate your
grant.
(4) If you are applying for an Assisted Living Conversion Program
(ALCP) grant, you may apply for new or augmented Service Coordinator
costs to serve Assisted Living residents and/or all residents of your
development.
(C) Ineligible Applicants and Developments. (1) Property management
companies, area agencies on aging, and other like organizations are not
eligible applicants for Service Coordinator funds. Such agents may
prepare applications and sign application documents if they provide
written authorization from the owner corporation as part of the
application. In such cases, the owner corporation must be indicated on
all forms and documents as the funding recipient.
(2) Developments not designed for the elderly or disabled or those
no longer operating as such.
(3) Section 221(d)(4) developments without project-based Section 8
assistance.
(4) Section 202/811 developments with a PRAC. Owners of Section 202
PRAC developments may obtain funding by requesting an increase in their
PRAC payment consistent with Handbook 4381.5 REVISION-2, CHANGE-2,
Chapter 8.
The American Homeownership and Economic Opportunity Act of 2000
provides authority for Section 202 PRACs to receive Service Coordinator
grants as described in this program NOFA and separate from their PRAC
funding. However, PRAC funds are a readily accessible funding source
for Service Coordinators in Section 202 PRAC developments. Including
the Service Coordinator in the PRAC development's operating budget also
provides a more stable and permanent source of funding. For these
reasons, the Department has chosen to limit funding available through
this program NOFA to those eligible housing developments (listed in
section III.B(1) of this NOFA) that do not have a readily available
source of funding for this position.
There is no statutory authority for service coordinators in Section
811 developments.
(D) Eligible Activities. (1) Service Coordinator Program grant
funds may be used to pay for the salary, fringe benefits, and related
administrative costs of employing a service coordinator. Administrative
costs may include, but are not limited to, purchase of furniture,
office equipment and supplies, computer hardware and software, Internet
service, training, quality assurance, travel, and utilities.
(2) You may use funds to augment a current Service Coordinator
program, by increasing the hours of a currently employed Service
Coordinator, or hiring an additional Service Coordinator or aide on a
part-or full-time basis.
(3) You may use funds to continue a Service Coordinator program
that has previously been funded through other sources. In your
application, you must provide evidence that this funding source has
already ended or will discontinue within six months following the
application deadline date and that no other funding mechanism is
available to continue the program. This applies only to funding sources
other than the subsidy awards provided by the Department through
program Notices beginning in FY 1992. HUD currently provides one-year
extensions to these subsidy awards through a separate funding action.
(4) You may propose reasonable costs associated with setting up a
confidential office space for the Service Coordinator. Such expenses
must be one-time only administrative start-up costs. Such costs may
involve acquisition, leasing, rehabilitation, or conversion of space.
HUD Field Office staff must approve both the proposed costs and
activity and must perform an environmental assessment on such proposed
work prior to grant award.
(5) You may provide service coordination to low-income elderly or
disabled families living in the vicinity of an eligible development.
(E) Ineligible Activities. (1) You may not use funds available
through this NOFA to replace currently available funding from other
sources for a service coordinator or for some other staff person who
performs service coordinator functions.
(2) Owners with existing service coordinator subsidy awards may not
apply for renewal or extension of those programs under this NOFA.
(3) Congregate Housing Services Program (CHSP) grantees may not use
these funds to meet statutory program match requirements and may not
use these funds to replace current CHSP program funds to continue the
employment of a service coordinator.
(4) The cost of application preparation is not eligible.
(5) Grant funds cannot be used to increase a project's management
fee.
(6) You cannot hire an additional part of full-time Service
Coordinator for the sole purpose of serving low-income elderly or
disabled families who live in the vicinity of your development.
IV. Program Requirements
In addition to the requirements listed in Section II of the General
Section of this SuperNOFA, you must also meet the requirements in
Section IV of this program section of the SuperNOFA. These requirements
apply to all activities, programs, and functions used to plan, budget,
and evaluate the work funded under your program.
(A) Administrative Costs. HUD has the right to reduce the proposed
costs if they appear unreasonable or inappropriate.
(B) Term of Funded Activities. The grant term is three years.
Grants will be renewable subject to the availability of funds.
(C) Subgrants and Subcontracting. You may directly hire a Service
Coordinator or you may contract with a qualified third party to provide
this service.
(D) Forms, Certifications, and Assurances. See the General Section
of the SuperNOFA for the applicable forms, certifications, and
assurances that you must submit. This includes a certification that you
are in compliance with Federal Civil Rights laws, as specified in
Section II(G)(7) of the General Section of this SuperNOFA.
(E) Affirmatively Furthering Fair Housing. You must comply with
Section II(D) of the General Section of this SuperNOFA.
V. Application Selection Process
(A) General. Service Coordinator Program grant funds will not be
awarded through a rating and ranking process. Instead, HUD will hold
one national lottery for all approvable applications forwarded from
Multifamily HUB or Multifamily Program Centers (a list of these offices
is found in the Appendix to this notice).
(B) Threshold Eligibility Review. HUD Multifamily Field Office
staff will review applications for completeness and compliance with the
eligibility criteria set forth in Section III of this NOFA. Field
Office staff will forward application information to Headquarters for
entry into the lottery if the application was received by the deadline
date, meets all eligibility criteria, proposes reasonable costs for
eligible activities, and includes all technical corrections by the
designated deadline date.
``Reasonable costs'' are generally those that are consistent with
salaries
[[Page 12366]]
and administrative costs of similar programs in the jurisdiction of the
HUD Field Office.
(C) Service Coordinators in ALCP projects. The Department will
first fund approved Service Coordinator requests in ALCP applications
selected to receive an ALCP award. HUD estimates that approximately $5
million will be needed to fund these programs. Any funds not used for
ALCP Service Coordinator programs will revert to the national lottery.
(D) The Lottery. HUD staff will use a computer program to randomly
select applications. HUD will fully fund as many applications as
possible with the given amount of funds. If funds remain after fully
funding as many applications as possible, HUD will offer to partially
fund the next application chosen in the lottery, in order to use the
entire allocation of funds.
VI. Application Submission Requirements
(A) Single Applications. (1) You may submit one application for one
or more developments that your corporation owns.
(2) You may submit more than one application to a single Field
Office, if you wish to increase your chances of selection in the
lottery. Each application must propose a stand-alone program and the
development(s) must all be located in the same Field Office
jurisdiction.
(3) If you wish to apply on behalf of developments located in
different Field Office jurisdictions, you must submit a separate
application to each Field Office.
(B) Joint Applications. You may join with one or more other
eligible owners to share a Service Coordinator and submit a joint
application. In the past, joint applications have been used by small
developments who joined together to hire and share a part or full-time
Service Coordinator.
(C) There is no maximum grant amount. The grant amount you request
must be consistent with the staffing guidelines provided in the
application kit and your proposed salary must be supported by evidence
of comparable salaries in your area.
(D) Application Submission Requirements for ALCP Applicants. If you
are an ALCP applicant and you request new or additional Service
Coordinator costs specifically for your proposed Assisted Living
Program, you must submit an application containing all required
documents and information listed in this NOFA. In addition, you must
submit a HUD-424-M ``Federal Assistance Funding Matrix and
Certifications'' with your ALCP application, which indicates the amount
of funds you are requesting to cover Service Coordinator costs. HUD
Field Office staff will review both applications simultaneously.
ALCP applicants must submit all the required items in the Service
Coordinator application listed in Section VI(E) of this NOFA. You may
provide a copy of all standard forms in your Service Coordinator
application. If you do not provide either an original or copy of these
forms, your Service Coordinator application will be incomplete.
If you currently do not have a Service Coordinator working at the
development proposed in your ALCP application and your ALCP application
is selected to receive an ALCP award, HUD will fund a Service
Coordinator to serve either ALCP residents only or all residents of the
development dependent upon your request. If your development currently
has a Service Coordinator, you may request additional hours for the
Service Coordinator to serve the Assisted Living residents. If you
request additional hours, you must specify the number of additional
hours per week and provide an explanation based on the anticipated
needs of the Assisted Living residents. Provide this explanation in
your ALCP application as instructed in the ALCP NOFA.
If you request Service Coordinator funding to serve all residents
of your development, your request can be entered into the national
lottery if your ALCP application is not selected to receive an award.
You will be able to indicate this request in the application materials.
Owners applying for ALCP grants may also submit separate Service
Coordinator applications for entry into the lottery for other eligible
developments they own and that are not included in their ALCP
application.
(E) Your application must contain the items listed in this Section
VI(E). These items include the standard forms, certifications, and
assurances listed in the General Section of the SuperNOFA that are
applicable to this funding (collectively, referred to as the ``standard
forms''). The standard forms can be found in Appendix B to the General
Section of the SuperNOFA. The remaining application items that are
forms (i.e., excluding such items as narratives, letters), referred to
as the ``non-standard forms'' can be found as Appendix B to this
program section of the SuperNOFA. The items are as follows:
Standard Forms
(1) Standard Form for Application for Federal Assistance (SF-424)
(which includes civil rights/fair housing certification);
(2) Federal Assistance Funding Matrix and Certifications (HUD-
424M);
(3) Standard Form for Assurances--Non-Construction Programs (SF-
424B);
(4) Drug Free Workplace Certification (HUD-50070);
(5) Certification of Payments to Influence Federal Transactions
(HUD-50071) and if engaged in lobbying, the Disclosure Form Regarding
Lobbying (SF-LLL):
(6) Applicant/Recipient Disclosure/Update Report Form (HUD-2880);
(7) Certification Regarding Debarment and Suspension (HUD-2992),
and
(8) Acknowledgment of Application Receipt (HUD-2993)
Other Application Items
All applications for funding under the Service Coordinator Program
must contain the following documents and information:
(1) Transmittal letter and request, using the designated format
provided in the application kit.
(2) (If applicable) Lead agency letter format.
(3) Evidence of comparable salaries in local area.
(4) If quality assurance is included in the proposed budget, a
justification and explanation of how this work will be performed.
(5) If you propose to serve low-income elderly or disabled families
living in the vicinity of the development(s) included in your
application, a narrative description of your plan.
(6) (If applicable) Evidence that prior funding sources for your
development's Service Coordinator program are no longer available or
will expire on or before December 21, 2001.
(7) A bank statement showing the current residual receipts or
surplus cash balance in the development's account.
(8) Applicant Data Input Form.
(9) Service Coordinator Certifications. This includes
certifications that you, the applicant, will comply with the following:
(a) The requirements of the Fair Housing Act, Title VI of the Civil
Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, and
the Age Discrimination Act of 1975, and that you will affirmatively
further fair housing; and
(b) The nondiscrimination in employment requirements of Title VII
of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.), the Equal
Pay Act (29
[[Page 12367]]
U.S.C. 206(d)), the Age Discrimination in Employment Act of 1967 (29
U.S.C. 621 et seq.), Title IX of the Education Amendments Act of 1972,
and Titles I and V of the Americans with Disabilities Act of 1990 (42
U.S.C. 12101 et seq).
(10)(a) Certification from an Independent Public Accountant or the
cognizant government auditor stating that the financial management
system employed by the applicant meets proscribed standards for fund
control and accountability required by HUD regulations at 24 CFR parts
84 and 85.
(b) Owners applying on behalf of developments using the AAF must
also provide certification from the auditor that the development's
rental or other income is insufficient to pay the costs of employing a
Service Coordinator.
(11) Applicant checklist.
VII. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VIII. Environmental Requirements
It is anticipated that most activities under this program are
categorically excluded from NEPA and related environmental authorities
under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant funds will be
used to cover the cost of any activities which are not exempted from
environmental review requirements--such as acquisition, leasing,
construction, or building rehabilitation, HUD will perform an
environmental review to the extent required by 24 CFR part 50, prior to
grant award.
IX. Authority
Section 808 of the Cranston-Gonzalez National Affordable Housing
Act (Pub. L. 101-625, approved November 28, 1990), as amended by
sections 671, 674, 676, and 677 of the Housing and Community
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992),
and section 851 of the American Homeownership and Economic Opportunity
Act of 2000 (Pub. L. 106-569, approved December 27, 2000).
Appendix A--HUD Field Office List for Mailing Service Coordinator
Applications
Alabama
Multifamily Housing Program Center, HUD--Birmingham Office, 600
Beacon Parkway West, Rm. 300, Birmingham, AL 35209-3144, OFC Phone:
(205) 290-7611, FAX: (205) 290-7632
Alaska
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
Arizona
Multifamily Housing Program Center, HUD Phoenix Office, 400 North
Fifth Street, Suite 1600, Phoenix, AZ 85004-2361, OFC Phone: (602)
379-4434, FAX: (602) 379-3985
Arkansas
Multifamily Housing Program Center, HUD Little Rock Office, 425 West
Capitol Avenue #900, Little Rock, AR 72201-3488, OFC Phone: (501)
324-5401, FAX: (501) 324-6142
California
Multifamily Housing Hub, HUD--San Francisco Office, 450 Golden Gate
Avenue, PO Box 36003, San Francisco, CA 94102-3448, OFC Phone: (415)
436-6505, FAX: (415) 436-8996
Los Angeles Multifamily Hub, 611 West Sixth Street, Suite 800, Los
Angeles, CA 90017, OFC Phone: (213) 894-8000 x 3634, Fax: (213) 894-
8255
Colorado
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 11th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Connecticut
Multifamily Housing Program Center, HUD--Hartford Office, One
Corporate Center, 19th floor, Hartford, CT 06103-3220, OFC Phone:
(860) 240-4800 Ext. 3068, FAX: (860) 240-4850
Delaware
Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427
District of Columbia
Multifamily Housing Program Center, HUD Washington, DC Office, Suite
300, 820 First Street, NE., Washington, DC 20012-4205, OFC Phone:
(202) 275-9200, FAX: (202) 275-9212
Florida
Multifamily Housing Hub, HUD--Jacksonville Office, 301 West Bay
Street, Suite 2200, Jacksonville, FL 32202-5121, OFC Phone: (904)
232-1777 x2144, FAX: (904) 232-2731
Georgia
Multifamily Housing Hub, HUD--Atlanta Office, Five Points Plaza
Building, 40 Marietta Street, S.W., Atlanta, Georgia 30303-2806, OFC
Phone: (404) 331-4976, FAX: (404) 331-4028
Hawaii
Multifamily Housing Program Center, HUD Honolulu Office, 7
Waterfront Plaza, 500 Ala Moana Blvd. #500, Honolulu, HI 96813-4918,
OFC Phone: (808) 522-8185 Ext. 244, FAX: (808) 522-8194
Idaho
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
Illinois
Multifamily Housing Hub, HUD--Chicago Office, Ralph Metcalfe Federal
Building, 77 West Jackson Boulevard, Chicago, IL 60604-3507, OFC
Phone: (312) 353-6236 Ext. 2202, FAX: (312) 886-2729
Indiana
Multifamily Housing Program Center, HUD Indianapolis Office, 151
North Delaware Street, Suite 1200, Indianapolis, IN 46204-2526, OFC
Phone: (317) 226-6303, FAX: (317) 226-7308
Iowa
Multifamily Housing Program Center, HUD Des Moines Office, 210
Walnut Street, Room 239, Des Moines, IA 50309-2155, OFC Phone: (515)
284-4736, FAX: (515) 284-4743
Kansas
Multifamily Housing Hub, HUD Kansas City Office, 400 State Avenue,
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844,
FAX: (913) 551-5469
Kentucky
Multifamily Housing Program Center, HUD--Louisville Office, 601 West
Broadway, PO Box 1044, Louisville, KY 40201-1044, OFC Phone: (502)
582-6124, FAX: (502) 582-6547
Louisiana
Multifamily Housing Program Center, HUD New Orleans Office, Hale
Boggs Bldg.--501 Magazine Street, 9th Floor, New Orleans, LA 70130-
3099, OFC Phone: (504) 589-7236, FAX: (504) 589-6834
Maine
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697
Maryland
Multifamily Housing Hub, HUD Baltimore Office, 5th Floor, 10 South
Howard Street, Baltimore, MD 21201-2505, OFC Phone: (410) 962-2520
Ext. 3474, FAX: (410) 962-1849
Massachusetts
Multifamily Housing Hub, HUD--Boston Office, O'Neil Federal
Building, 10 Causeway Street, Rm. 375, Boston, MA 02222-1092, OFC
Phone: (617) 565-5162, FAX: (617) 565-6557
Michigan
Multifamily Housing Hub, HUD Detroit Office, 477 Michigan Avenue,
Detroit, MI 48226-2592, OFC Phone: (313) 226-7900, FAX: (313) 226-
5611
Multifamily Housing Program Center, HUD Grand Rapids, Trade Center
Building, 50 Louis Street, N.W., Grand Rapids, MI 49503-2648, OFC
Phone: (616) 456-2100, FAX: (616) 456-2191
Minnesota
Multifamily Housing Hub, HUD Minneapolis Office, 220 Second Street,
South,
[[Page 12368]]
Minneapolis, MN 55401-2195, OFC Phone: (612) 370-3051 Ext. 0, FAX:
(612) 370-3090
Mississippi
Multifamily Housing Program Center, HUD Jackson Office--McCoy
Federal Building, 100 W. Capitol Street, Room 910, Jackson, MS
39269-1096, OFC Phone: (601) 965-4738, FAX: (601) 965-4773
Missouri
Multifamily Housing Hub, HUD Kansas City Office, 400 State Avenue,
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844,
FAX: (913) 551-5469
Multifamily Housing Program Center, HUD St. Louis Office, Robert A.
Young Federal Building, 1222 Spruce Street--Third Floor, St. Louis,
MO 63103-2836, OFC Phone: (314) 539-6382, FAX: (314) 539-6356
Montana
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Nebraska
Multifamily Housing Program Center, HUD Omaha Office, 10909 Mill
Valley Road, Suite 100, Omaha, NE 68154-3955, OFC Phone: (402) 492-
3113, FAX: (402) 492-3184
Nevada
Multifamily Housing Program Center, HUD Las Vegas Office, 333 N.
Rancho Drive--Atrium Bldg. Suite 700, Las Vegas, NV 89106-3714, OFC
Phone: (702) 388-6525, FAX: (702) 388-6244
New Hampshire
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697
New Jersey
Multifamily Housing Program Center, HUD--Newark Office--13th Floor,
One Newark Center, Newark, NJ 07102-5260, OFC Phone: (973) 622-7900
Ext. 3400, FAX: (973) 645-2271
New Mexico
Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX:
(817) 978-5520
New York
Multifamily Housing Hub, HUD--New York Office, 26 Federal Plaza--
Room 3214, New York, NY 10278-0068, OFC Phone: (212) 264-0777 Ext.
3713, FAX: (212) 264-1277
Multifamily Housing Hub, HUD--Buffalo Office, Lafayette Court, 5th
Floor, 465 Main Street, Buffalo, NY 14203-1780, OFC Phone: (716)
551-5755 Ext. 5509, FAX: (716) 551-3252
North Carolina
Multifamily Housing Hub, HUD Greensboro Office--Koger Building, 2306
West Meadowview Road, Greensboro, NC 27407, OFC Phone: (336) 547-
4034, FAX: (336) 547-4121
North Dakota
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Ohio
Multifamily Housing Hub, HUD Columbus Office, 200 North High Street,
Columbus, OH 43215-2499, OFC Phone: (614) 469-5737, Ext. 8111, FAX:
(614) 469-2432
Multifamily Housing Program Center, HUD Cincinnati Office, 525 Vine
Street, Suite 700, Cincinnati, OH 45202-3188, OFC Phone: (513) 684-
2350, FAX: (513) 684-6224
Multifamily Housing Program Center, HUD Cleveland Office, 1350
Euclid Avenue, Suite 500, Cleveland, OH 44115-1815, OFC Phone: (216)
522-4058 Ext. 7000, FAX: (216) 522-4067
Oklahoma
Multifamily Housing Program Center, HUD Oklahoma City Office, 500 W.
Main Street, Suite 400, Oklahoma City, OK 73102-2233, OFC Phone:
(405) 553-7410, FAX: (405) 553-7406
Oregon
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
Pennsylvania
Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427
Multifamily Housing Program Center, HUD Pittsburgh Office, 339 Sixth
Avenue--Sixth Floor, Pittsburgh, PA 15222-2515, OFC Phone: (412)
644-6639, FAX: (412) 644-5872
Puerto Rico
Multifamily Housing Program Center, HUD Caribbean Office, 171 Carlos
E. Chardon Avenue, San Juan, PR 00918-0903, OFC Phone: (787) 766-
5401, FAX: (787) 766-5522
Rhode Island
Multifamily Housing Program Center, HUD--Providence Office, 10
Weybosset Street, Sixth Floor, Providence, RI 02903-2808, OFC Phone:
(401) 528-5230, FAX: (401) 528-5097
South Carolina
Multifamily Housing Program Center, HUD Columbia Office, 1835
Assembly Street, Columbia, SC 29201-2480, OFC Phone: (803) 765-5162,
FAX: (803) 253-3043
South Dakota
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Tennessee
Multifamily Housing Program Center, HUD--Knoxville Office, 710
Locust Street, SW, Knoxville, TN 37902-2526, OFC Phone: (423) 545-
4411, FAX: (423) 545-4578
Multifamily Housing Program Center, HUD--Nashville Office, 251
Cumberland Bend Drive, Suite 200, Nashville, TN 37228-1803, OFC
Phone: (615) 736-5748, FAX: (615) 736-2018
Texas
Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX:
(817) 978-5520
Multifamily Housing Program Center, HUD Houston Office, 2211
Norfolk, #200, Houston, TX 77098-4096, OFC Phone: (713) 313-2274
Ext. 7015, FAX: (713) 313-2319
Multifamily Housing Program Center, HUD San Antonio Office, 800
Dolorosa, San Antonio, TX 78207-4563, OFC Phone: (210) 475-6831,
FAX: (210) 472-6897
Utah
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Vermont
Multifamily Housing Program Center, HUD--Manchester Office, Norris
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697
Virginia
Multifamily Housing Hub, HUD Richmond Office, 3600 West Broad
Street, Richmond, VA 23230-4920, OFC Phone: (804) 278-4500 Ext.
3146, FAX: (804) 278-4613
Washington
Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite
190, MS-0AHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext.
3250, FAX: (206) 220-5206
West Virginia
Multifamily Housing Program Center, HUD--Charleston Office, 405
Capitol Street, Suite 708, Charleston, WV 25301-1795, OFC Phone:
(304) 347-7000 Ext. 103, FAX: (304) 347-7050
Wisconsin
Multifamily Housing Program Center, HUD Milwaukee Office, 310 West
Wisconsin Avenue, Room 1380, Milwaukee, WI 53203-2289, OFC Phone:
(414) 297-3214 Ext. 8662, FAX: (414) 297-3204
Wyoming
Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303)
672-5153
Appendix B
The non-standard forms required for the Service Coordinators in
Multifamily Housing application follow:
BILLING CODE 4210-32-P
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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FUNDING AVAILABILITY FOR MAINSTREAM HOUSING OPPORTUNITIES FOR
PERSONS WITH DISABILITIES (MAINSTREAM PROGRAM)
Program Overview
Purpose of the Program. The purpose of this program is to provide
vouchers under the Housing Choice Voucher Program to enable persons
with disabilities (elderly and non-elderly) to rent affordable private
housing.
Available Funds. Approximately $54.1 million in five-year budget
authority for approximately 1,900 vouchers is available to public
housing agencies (PHAs) and nonprofit disability organizations.
Applications are also being invited from PHAs for one-year budget
authority funding (non-Section 811 funds) that HUD anticipates may be
available for the Mainstream Program in FY 2001. Specifically, any
portion of the $40 million in one-year budget authority contained in FY
2001 appropriations related to designated housing plans; preferences in
occupancy for the elderly in certain types of Section 8 project-based
developments; or restrictions in occupancy to elderly only in certain
types of Section 202, Section 221(d)(3), or Section 236 developments
remaining unobligated and not needed to fund approvable applications
under these programs will be added to the approximately $54.1 million
in five-year budget authority available under this announcement. This
one-year budget authority will be used only for non-elderly disabled
families.
Eligible Applicants. PHAs and nonprofit disability organizations
that provide services to disabled families are eligible to apply for
the $54.1 million in five-year budget authority for applications
submitted in FY 2001. While PHAs and nonprofit disability organizations
are eligible to apply for the $54.1 million in five-year budget
authority available under this announcement, only PHAs are eligible to
apply for the one-year budget authority that may also be available
under this announcement {see Section II(A) of this announcement
regarding the possibility of one-year funding also being available for
the Mainstream Program}. Indian Housing Authorities (IHAs), Indian
tribes and their tribally designated housing entities are not eligible
to apply because the Native American Housing Assistance and Self-
Determination Act of 1996 does not allow HUD to enter into new housing
choice voucher (Section 8) annual contributions contracts (ACC) with
IHAs after September 30, 1997.
The vouchers that HUD will provide under this announcement must be
made available to eligible disabled families regardless of their type
of disability. (See the definition of disabled family in Section IV(E)
of this announcement.) The Mainstream Program vouchers must not be
issued by the administering agency on the basis of any preference
system favoring any particular type of disability over another, nor
shall the vouchers be issued solely on the basis of an administering
agency's waiting list which is based on that agency's having heretofore
served only certain types of disabled persons. The Housing Choice
Voucher Program regulations provide at 24 CFR 982.207(c) that a PHA may
give preference for admission of families that include a person with
disabilities; however, the PHA may not give preference for admission of
persons with a specific disability. This regulatory requirement is also
applicable to nonprofit disability organizations who receive funding
under this announcement as such organizations must comply with the
regulatory requirements applicable to the Housing Choice Voucher
Program.
Application Deadline. July 20, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under the Mainstream
Program, please review carefully the General Section of this SuperNOFA
and the following additional information.
I. Application Due Date, Application Kits, Further Information and
Technical Assistance
Application Due Date. Submit your completed application (an
original and one copy) to HUD on or before 12:00 midnight, Eastern
time, on July 20, 2001.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (i.e., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of one original and one copy. Submit your original application
and one copy to: Michael Diggs, Director, Grants Management Center,
Department of Housing and Urban Development, 501 School Street, SW,
Suite 800, Washington, DC 20024. Applications which are hand carried or
sent via overnight delivery service should be delivered to this
address. The Grants Management Center is the official place of receipt
for all applications in response to this announcement of funding
availability. Your application will be accepted at this address until
6:00 pm, Eastern time, on the application deadline.
After 6:00 pm on the application deadline date, applications will
be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street,
SW, Washington, DC 20410, until 12:00 midnight Eastern time.
A copy of the application is not required to be submitted to the
local HUD Field Office. For ease of reference, the term ``local HUD
Field Office'' will be used in this announcement to mean the local HUD
Field Office Hub and the local HUD Field Office Program Center. A
listing of HUD Field Offices is attached to the General Section of this
SuperNOFA.
For Application Kits. An application kit is not necessary for
submitting an application in response to this announcement. This
announcement contains all the information necessary for the submission
of your application for voucher funding for the Mainstream Program.
For Further Information and Technical Assistance. Prior to the
application due date, you may contact George C. Hendrickson, Housing
Program Specialist, Room 4216, Office of Public and Assisted Housing
Delivery, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410; telephone (202) 708-1872, ext. 4064.
Subsequent to application submission, you may contact the Grants
Management Center at (202) 358-0338. (These are not toll-free numbers.)
Persons with hearing or speech impairments may access these numbers via
TTY (text telephone) by calling the Federal Information Relay Service
at 1-800-877-8339 (this is a toll-free number).
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at
www.hud.gov.
II. Amount Allocated
(A) Available Funding for Mainstream Program. Approximately $54.1
million in five-year funding is available for approximately 1,900
vouchers. This allocation is consistent with the FY 2001 HUD
Appropriations Act. The FY 2001 HUD Appropriations Act provides that
the Secretary of HUD may designate up to 25 percent of the amounts
earmarked for capital advances including amendments to the capital
advance contracts for supportive
[[Page 12374]]
housing for persons with disabilities as authorized by section 811 of
the Cranston-Gonzalez National Affordable Housing Act (NAHA), for
project rental assistance, for amendments to contracts for project
rental assistance and supportive services associated with the housing
of persons with disabilities as authorized by section 811 of NAHA. The
FY 2001 HUD Appropriations Act made $217 million available for the
Section 811 Program. The $54.1 million made available to applicants
under this Mainstream Program funding announcement is no more than 25
percent of this $217 million.
All of the approximately $54.1 million in funding is for use in the
housing of elderly and non-elderly disabled families. HUD will
supplement the Mainstream Program funding with additional funding, up
to as much as $40 million in one-year budget authority for housing
choice vouchers for non-elderly disabled families in support of
designated housing plans, for non-elderly disabled families who are not
currently receiving housing assistance in certain Section 8 project-
based developments due to the owners establishing preferences for the
admission of elderly families, and for nonelderly disabled families not
being housed in certain section 202, section 221(d)(3) and section 236
developments (or portions thereof) where the owners have restricted
occupancy to elderly families. The FY 2001 HUD Appropriations Act
states that to the extent the Secretary determines that the FY 2001
appropriations related to designated housing plans and certain types of
Section 8 project-based developments and certain types of section 202,
section 221(d)(3) and section 236 developments are not needed to fund
applications, the funds may be used for other non-elderly disabled
families. Any such remaining funds will be used to supplement funding
for the Mainstream Program. As a result, as much as $40 million in one-
year budget authority may be available in additional funding in FY 2001
for the Mainstream Program.
(B) Funding for the Section 811 Program. The Section 811 Program of
Supportive Housing for Persons With Disabilities provides capital
advances and project rental assistance in FY 2001 elsewhere in this
SuperNOFA. The Section 811 Program of Supportive Housing for Persons
With Disabilities will provide funding to nonprofit organizations
(sponsors) for the development and operation of small, scattered-site
housing to enable adults with disabilities to live as independently as
possible in the community. The capital advance does not need to be
repaid as long as the housing is used for its intended purpose for at
least 40 years. The project rental assistance funds cover the
difference between the HUD-approved operating expenses of the housing
and the tenant's contribution towards rent which is 30 percent of
adjusted income. The types of housing that are typically developed
through the program are small group homes for no more than six persons,
independent living projects containing individual apartment units for
no more than 18 persons, and condominium units. Sponsors are required
to ensure that residents have access to any necessary supportive
services but cannot require the acceptance of such as a condition of
occupancy.
(C) Housing Choice Voucher Funding. (1) Lottery. HUD will select
approvable applications for funding by lottery in the event approvable
applications are received for more funding than is available under this
Mainstream Program announcement. In such event, a separate lottery will
be held first to select applications for funding for the $54.1 million
available in five-year budget authority available under this
announcement, and a separate lottery will be held to select
applications for funding for whatever amount of one-year budget
authority may be available during FY 2001 for the Mainstream Program.
PHAs should clearly indicate in their applications if they are applying
for both five-year and one-year funding in order to ensure their
inclusion in both lotteries. This would allow the last selected
application (if a PHA) under the five-year funding lottery to be
automatically funded with one-year budget authority for the remaining
number of vouchers requested, but for which there was insufficient
five-year budget authority at the point the PHA was selected in the
five-year funding lottery. This would also allow a PHA to be
automatically included in the lottery for one-year budget authority
funding if not fortunate enough to be selected for any funding in the
five-year budget authority lottery. PHAs applying for one-year funding
must make it clear in their applications that they have a sufficient
number of non-elderly disabled families to support the number of
vouchers being requested. As indicated earlier in this announcement,
one-year budget authority funding is for use by PHAs solely for non-
elderly disabled families, whereas five-year budget authority is for
use by PHAs and nonprofit disability organizations for both elderly and
non-elderly disabled families.
(2) Maximum Voucher Request. There is a limit on the number of
vouchers that may be requested. An eligible applicant may apply for a
maximum of 75 vouchers. No more than a grand total of 75 vouchers will
be awarded to any applicant under the FY 2001 Mainstream Program.
(3) Determination of Funding Amount for the Applicant's Requested
Number of Vouchers. HUD will determine the amount of funding that an
applicant will be awarded under this announcement based upon an actual
annual per unit cost {except that for Moving to Work (MTW) agencies the
per unit cost will be calculated in accordance with the agency's MTW
Agreement for MTW units} using the following three step process:
(a) HUD will extract the total expenditures for all the PHA's
housing choice voucher and certificate programs and the unit months
leased information from the most recent approved year end statement
(Form HUD-52681) that the PHA has filed with HUD. HUD will divide the
total expenditures for all of the PHA's housing choice voucher and
certificate programs by the unit months leased to derive an average
monthly per unit cost.
(b) HUD will multiply the monthly per unit cost by 12 (months) to
obtain an annual per unit cost.
(c) HUD will multiply the annual per unit costs derived under
paragraph (b) above by the Housing Choice Voucher (Section 8) Housing
Assistance Payments Program Contract Rent Annual Adjustment Factor
(with the highest cost utility included) to generate an adjusted annual
per unit cost. For a PHA whose jurisdiction spans multiple annual
adjustment factor areas, HUD will use the highest applicable annual
adjustment factor.
Note: Applicants who do not currently administer a housing
choice voucher or certificate program shall have their voucher
funding based upon the annual actual per unit costs of the PHA in
their most immediate area administering a housing choice voucher or
certificate program, using the three step process described
immediately above.
(4) Preliminary Fee. A preliminary fee of up to $500 per unit for
preliminary (start-up) expenses will be paid to applicants that have
not previously administered their own housing choice voucher or
certificate program that are selected for funding under this
announcement. The preliminary fee will be provided to such applicants
only in their first year administering housing choice vouchers.
(e) Underfunding Corrections. If prior to the award of Mainstream
Program
[[Page 12375]]
funding under this announcement, HUD determines that any awardees under
the FY 2000 Mainstream Program funding announcement have been
underfunded due to an error attributable to HUD, funding will be
increased to the amount that the awardee should have received.
III. Program Description, Eligible Applicants and Eligible
Participants
(A) Program Description. The Secretary has established a Mainstream
Housing Opportunities for Persons with Disabilities Program (Mainstream
Program) to provide vouchers to enable persons with disabilities to
rent affordable private housing of their choice.
The Mainstream Program will assist PHAs and non-profit disability
organizations in providing housing choice vouchers to a segment of the
population recognized by HUD's housing research as having one of the
worst housing needs of any group in the United States; i.e., very low-
income households with adults with disabilities. In addition, the
Mainstream Program will assist persons with disabilities who often face
difficulties in locating suitable and accessible housing on the private
market.
(B) Eligible Applicants. Public housing agencies (PHAs) and
nonprofit disability organizations that provide services to the
disabled {as defined in Section IV(E) of this announcement} are
eligible applicants. Indian Housing Authorities (IHAs), Indian tribes
and their tribally designated housing entities are not eligible to
apply for new increments of housing choice voucher funding because the
Native American Housing Assistance and Self-Determination Act of 1996
does not allow HUD to enter into new housing choice voucher annual
contributions contracts (ACC) with IHAs after September 30, 1997.
(1) PHAs. (a) A PHA established pursuant to State law may apply for
funding under this announcement. A regional (multi-county) or State PHA
is also eligible to apply for funding. A PHA may submit only one
application under this announcement. This one application per PHA limit
applies regardless of whether or not the PHA is a State or regional
PHA, except in those instances where such a PHA has more than one PHA
code number due to its operating under the jurisdiction of more than
one HUD Field Office. In such instance, a separate application under
each code shall be considered for funding, with the cumulative total of
vouchers applied for under the applications not to exceed the maximum
number of vouchers the PHA is eligible to apply for under section
II(C)(2) of this announcement; i.e., no more than the number of
vouchers the same PHA would be eligible to apply for if it only had one
PHA code number.
Two or more divisions within State government comprising separate
PHAs shall require the State to determine which division shall submit
an application to HUD under this funding announcement. As with other
PHAs, only one application per PHA shall be considered (see sole
exception referenced immediately above).
(b) PHAs are encouraged to involve nonprofit disability
organizations that provide services to disabled families, as defined in
Section III(B)(2) of this announcement, in the administration of the
Mainstream Program's vouchers.
(i) Such nonprofit disability organizations could function as
either a contract administrator for the PHA's Mainstream vouchers, or
as a subcontractor responsible for providing case management services
or assisting disabled families to locate suitable housing, gain access
to supportive services, or identify private funding sources to cover
the costs of unit modifications needed as a reasonable accommodation.
(ii) Such contractual arrangements must, however, ensure equal
opportunity among the wide variety of disabled populations in the PHA's
service area. PHAs are being encouraged to seek out nonprofit
disability organizations to assist in the administration of the
Mainstream vouchers due to such organizations' capacity for assisting
disabled families, as well as their in-depth knowledge of the
disability community.
(c) Some PHAs currently administering the housing choice voucher
and certificate programs have, at the time of publication of this
SuperNOFA, major program management findings from Inspector General
audits, HUD management reviews, or independent public accountant (IPA)
audits that are open and unresolved or other significant program
compliance problems. HUD will not accept applications for additional
funding from these applicants as contract administrators if, on the
application due date, the findings are either not closed, or sufficient
progress toward closing the findings has not been made to HUD's
satisfaction. The PHA must also, to HUD's satisfaction, be making
satisfactory progress in addressing any program compliance problems. If
the PHA wants to apply for funding under this announcement, the PHA
must submit an application that designates another housing agency,
nonprofit agency, or contractor, that is acceptable to HUD. The PHA's
application must include an agreement by the other housing agency,
nonprofit agency, or contractor to administer the new funding increment
on behalf of the PHA, and a statement that outlines the steps the PHA
is taking to resolve the program findings and program compliance
problems. Immediately after the publication of this SuperNOFA, the
Office of Public Housing in the local HUD Field Office will notify, in
writing, those PHAs that are not eligible to apply without such an
agreement. Concurrently, the local HUD Field Office will provide a copy
of each such written notification to the Grants Management Center. The
PHA may appeal the decision in writing, if HUD has mistakenly
classified the PHA as having outstanding management or compliance
problems. Any appeal must be accompanied by conclusive evidence of
HUD's error (i.e., documentation showing that the finding has been
cleared or satisfactory progress toward closing the findings or
addressing compliance problems has been made) and must be received
prior to the application deadline. The appeal should be submitted to
the local HUD Field Office where a final determination shall be made.
The local HUD Field Office shall, concurrent with its response to the
PHA, provide the Grants Management Center with a copy of its written
response to the appeal, along with a copy of the PHA's written appeal.
Major program management findings are those that would cast doubt on
the capacity of the PHA to effectively administer any new housing
choice voucher funding in accordance with applicable HUD regulatory and
statutory requirements.
(2) Nonprofit Disability Organization. A private organization, no
part of the net earnings of which inures to the benefit of any member,
founder, contributor, or individual, that provides services to persons
with disabilities and has received a federal tax-exempt designation
from the U.S. Internal Revenue Service.
(a) The nonprofit entity must:
(i) Have a voluntary board;
(ii) Be authorized by its charter or State law to enter into a
contract with the Federal Government to provide housing assistance;
(iii) Have a functioning accounting system that is operated in
accordance with generally accepted accounting principles, or designate
an entity that will maintain a functioning accounting system for the
organization in accordance with generally accepted accounting
principles; and
[[Page 12376]]
(iv) Practice nondiscrimination in the provision of assistance.
(b) A nonprofit disability organization meeting the definition of a
nonprofit disability organization as defined in this Section III(B)(2),
and wishing to apply for the funding available under this announcement
must have the capacity to:
(i) Comply with the Housing Choice Voucher Program (Section 8)
Management Assessment Program (SEMAP) certification requirements under
24 CFR part 985.
(ii) Carry out such housing choice voucher and SEMAP specific
related activities as making determinations as to rent reasonableness,
performing housing quality standards (HQS) inspections and enforcement,
conducting annual reexaminations of participant families, as well as
otherwise meeting housing choice voucher program requirements under 24
CFR part 982.
(iii) Manage the Mainstream Program vouchers in a manner equivalent
to an overall performance rating under SEMAP (24 CFR part 985) of
``standard'' during the first fiscal year of its receiving Mainstream
Program funding.
(iv) Administer rental housing programs or manage rental housing,
as demonstrated by a specific list of rental housing programs the
nonprofit disability organization has administered or the rental
housing the organization has managed (e.g. private rental housing, HUD
or State-related housing programs, etc.).
Nonprofit disability organizations are encouraged to seek out PHAs
in their geographic area to develop cooperative contractual
relationships under the Mainstream Program, and to enhance services to
disabled families. In addition to contacting local PHAs, nonprofit
disability organizations may also wish to contact regional (multi-
county), or state-wide PHAs who may be applying for Mainstream Program
funding.
(C) Eligible Participants. Only a disabled family that is income
eligible under 24 CFR 982.201(b)(1), as well as otherwise eligible
under the regulations at 24 CFR 982.201(b), may receive a voucher
awarded under the Mainstream Program. While elderly and non-elderly
disabled families are eligible to receive a voucher awarded to a PHA or
nonprofit disability organization using five-year budget authority
under this announcement, only non-elderly disabled families are
eligible to receive a voucher awarded to a PHA using one-year budget
authority that may be available for the Mainstream Program under this
announcement. Applicants with disabilities will be selected from the
PHA's or nonprofit disability organization's housing choice voucher
waiting list.
IV. Program Requirements and Definitions
In addition to the civil rights compliance and nondiscrimination
requirements listed in the General Section of this SuperNOFA, grantees
must meet the following program requirements:
(A) Affirmatively Furthering Fair Housing. Each successful
applicant will have a duty to affirmatively further fair housing.
Applicants will be required to identify the specific steps that they
will take to:
(1) Examine its own programs or proposed programs, including an
identification of any impediments to fair housing (identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in
the Consolidated Plan); develop a plan to (a) address those impediments
in a reasonable fashion in view of the resources available; and (b)
work with the local jurisdictions to implement any of the
jurisdictions' initiatives to affirmatively further fair housing; and
maintain records reflecting these analyses and actions;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific
activities cited in their responses under this announcement to address
affirmatively furthering fair housing.
(B) Certifications and Assurances. Each applicant is required to
submit signed copies of Assurances and Certifications. The standard
Assurances and Certifications are on Form HUD-52515, Funding
Application, which includes the Equal Opportunity Certification,
Certification Regarding Lobbying, and Certification Regarding Drug-Free
Workplace Requirements.
(C) Voucher Assistance Requirements.
(1) Housing Choice Voucher Program Regulations. Applicants must
administer the Mainstream Program in accordance with HUD regulations
and requirements governing the Housing Choice Voucher Program.
(2) Housing Choice Voucher Program Admission Requirements. Housing
choice voucher assistance must be provided to eligible applicants in
conformity with regulations and requirements governing the Housing
Choice Voucher Program and the PHA's administrative plan.
If there is ever an insufficient pool of disabled families on the
PHA's or nonprofit disability organization's housing choice voucher
waiting list, the PHA or nonprofit disability organization shall
conduct outreach to encourage eligible persons to apply for this
special allocation of vouchers. Outreach may include contacting
independent living centers, advocacy organizations for persons with
disabilities, and medical, mental health, and social service providers
for referrals of persons receiving such services who would benefit from
housing choice voucher assistance. If the PHA's or nonprofit disability
organization's housing choice voucher waiting list is closed, and if
the PHA or nonprofit disability organization has insufficient
applicants on its housing choice voucher waiting list to use all
awarded vouchers under this announcement, the PHA or nonprofit
disability organization shall open the waiting list for applications
from disabled families.
(3) Turnover. When a voucher under this announcement becomes
available for reissue (e.g., the family initially selected for the
program drops out of the program or is unsuccessful in the search for a
unit), the rental assistance may be used only for another individual or
family eligible for assistance under this announcement for five years
for the five-year funding or for one year for the one-year funding
under this announcement from the date the rental assistance is placed
under an annual contributions contract (ACC).
(D) PHA and Nonprofit Disability Organization Responsibilities. In
addition to the responsibilities under the Housing Choice Voucher
Program and HUD regulations concerning nondiscrimination based on
disability (24 CFR 8.28) and to affirmatively further fair housing,
PHAs and nonprofit disability organizations that receive voucher
funding shall:
(1) Where requested by an individual, assist program participants
to gain access to supportive services available within the community,
but not require eligible applicants or participants to accept
supportive services as a condition of participation or continued
occupancy in the program.
(2) Identify public and private funding sources to assist
participants in covering the costs of modifications that need to be
made to their units as a reasonable accommodation for their
disabilities.
(3) Not deny persons who qualify for rental assistance under this
program other housing opportunities, or otherwise restrict access to
PHA or nonprofit disability organization programs to eligible
applicants who choose not to participate.
[[Page 12377]]
(4) Provide housing choice voucher search assistance.
(5) In accordance with regulatory guidance, provide higher rents to
owners necessary for the provision of accessible units and structural
modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable
accommodations or making units accessible to persons with disabilities.
(E) Definitions. The following definitions apply.
(1) Disabled Family. A family whose head, spouse, or sole member is
a person with disabilities. The term ``disabled family'' may include
two or more persons with disabilities living together, and one or more
persons with disabilities living with one or more live-in aides. A
disabled family may include a person with disabilities who is elderly.
{Note: This definition applies to the approximately $54.1 million in
five-year budget authority available under the Mainstream Program, as
well as to any one-year budget authority that may be available. This
definition shall be modified, however, to be limited solely to non-
elderly disabled families (families whose head, spouse or sole member
is disabled and under the age of 62) regarding any funding available
and awarded from the approximately $40 million in FY 2000 for
designated housing allocation plans, or in connection with certain
Section 8 project-based developments or certain section 202, section
221(d)(3) or section 236 developments. See Section II(A) of this
announcement regarding the possibility of additional Mainstream Program
funding during FY 2001 beyond the approximately $54.1 million available
as announced under this announcement.}
(2) Person with disabilities. A person who--
(a) Has a disability as defined in section 223 of the Social
Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional
impairment that:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live
independently; and
(iii) Is of such a nature that such ability could be improved by
more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C.
6001(5)).
The term ``person with disabilities'' does not exclude persons who
have the disease of acquired immunodeficiency syndrome (AIDS) or any
conditions arising from the etiologic agent for acquired
immunodeficiency syndrome (HIV).
Note: While the above definition of a ``person with
disabilities'' is to be used for purposes of determining a family's
eligibility for a voucher under this announcement, the definition of
a person with disabilities contained in section 504 of the
Rehabilitation Act of 1973 and its implementing regulations must be
used for purposes of reasonable accommodations.
No individual shall be considered a person with disabilities for
the purpose of determining eligibility solely on the basis of any drug
or alcohol dependence.
(3) Housing choice voucher search assistance. Assistance to
increase access by program participants to housing units in a variety
of neighborhoods (including areas with low poverty concentrations) and
to locate and obtain units suited to their needs.
V. Application Selection Process
After the Grants Management Center has screened and disapproved any
applications found unacceptable for further processing, the Grants
Management Center will review all acceptable applications to ensure
that they are technically adequate and responsive to the requirements
of this announcement. HUD Headquarters will fund all applications from
PHAs and nonprofit disability organizations that are recommended for
funding by the Grants Management Center unless HUD receives approvable
applications for more funds than are available. If HUD receives
approvable applications for more funds than are available, HUD will
select applicants to be funded by lottery. A separate lottery will be
held first for those PHAs and nonprofit disability organizations
seeking funding under the five-year budget authority available under
this announcement, and a separate lottery will next be held for those
PHAs seeking funding under the one-year budget authority that may be
available under this announcement. (Nonprofit disability organizations
are not eligible to apply for the one-year budget authority that may be
available under this announcement.) All applicants identified by the
Grants Management Center as having submitted technically adequate and
responsive applications will be included in the lottery. As applicants
are selected, the cost of funding the applications will be subtracted
from the funds available. In order to achieve geographic diversity, HUD
Headquarters will limit the number of applications selected for funding
from any State to 10 percent of the budget authority available for the
Mainstream Program. The 10 percent limit shall be applied first during
the lottery for the five-year funding and shall continue over into the
lottery for any one-year funding that may be available. This, for
instance, may result in a State reaching the 10 percent limit prior to
the start of the lottery for any one-year funding that may be
available, and therefore any PHAs from that State would not be eligible
for any further Mainstream funding. If establishing this geographic
limit would result, however, in unreserved budget authority, HUD may
modify this limit to assure that all available funds are used.
Applications will be funded for the total number of units requested
by the applicant and recommended for approval by the Grants Management
Center (not to exceed 75 units) in accordance with this announcement.
When remaining budget authority is insufficient to fund the last
selected application in full, HUD Headquarters will fund that
application to the extent of the funding available, unless the
applicant indicates that it will only accept a higher number of units.
In that event, the next selected application shall be one that has
indicated a willingness to accept the lesser amount of funding for the
units available.
VI. Application Submission Requirements
(A) Form HUD-52515. All applicants must complete and submit Form
HUD-52515, Funding Application, for the Housing Choice Voucher Program
(Section 8), (dated January 1996). This form includes all necessary
certifications for Fair Housing, Drug Free Workplace and Lobbying
Activities. PHAs are requested to enter their housing authority code
(for example, CT002), telephone number, facsimile number and electronic
mail address in the same space at the top of the form where they are
also to enter the PHA's name and mailing address. Section C of the form
should be left blank. A copy of Form HUD-52515 is included in the forms
found in Appendix B to the General Section of the SuperNOFA. Copies of
the form may also be downloaded from the HUD Home page site on the
Internet's world wide web (http://www.HUD.gov). (On the HUD website
click on ``handbooks and forms,'' then click on ``forms,'' then click
on ``HUD-5'' and click on ``HUD-52515.'' The form must be completed in
its entirety, with the exception of Section C, signed and dated.
In the instance of a nonprofit disability organization that does
not currently manage a housing choice
[[Page 12378]]
voucher or certificate program, the nonprofit disability organization
shall fill in Section B, Proposed Assisted Dwelling Units, of the form
HUD-52515, by either basing the numbers the organization enters in this
section on information requested from the nearest public housing
agency, based upon its housing choice voucher waiting list, or based
upon information from local advocacy groups and local public and
private service agencies familiar with the needs of elderly and non-
elderly persons with disabilities, census data, and pertinent
information from the Consolidated Plan applicable to the applicant's
jurisdiction. Section C, Average Monthly Adjusted Income, should be
left blank. Section F, New HA Information, requires information on
Financial and Administrative Capability and Qualification as a HA. For
Financial and Administrative Capability, a nonprofit disability
organization may reference that part of its application addressing the
requirements of section VI(E) of this announcement. For Qualification
as a HA, the nonprofit disability organization should submit
information validating its qualifications as a nonprofit disability
organization as defined in Section III(B)(2) of this announcement. The
submission of enabling legislation is not required, but a legal opinion
supportive of the applicant's status as a nonprofit disability
organization, as delineated in Section III(B)(2) of this announcement,
is required.
(B) Letter of Intent and Narrative. The applicant must state in its
cover letter to the application whether it is a PHA applying for five-
year and/or one-year funding, or a nonprofit disability organization
applying for five-year funding. The applicant must also indicate the
number of vouchers being requested, whether it will accept a reduction
in the number of vouchers, and the minimum number of vouchers the
applicant will accept, since the funding is limited and HUD may only
have enough funds to approve a smaller amount than the number of
vouchers requested. The maximum number of vouchers that an applicant
may apply for under this announcement is limited to 75.
(C) Description of Need for Mainstream Program Vouchers. The PHA's
and nonprofit disability organization's application must demonstrate a
need for Mainstream Program vouchers by providing information
documenting that the demand for housing for non-elderly and elderly
persons with disabilities in connection with a request for five-year
funding under this announcement would equal or exceed the requested
number of vouchers. If the PHA is requesting one-year funding, the
demand for housing for non-elderly disabled persons must be
demonstrated as equalling or exceeding the number of vouchers being
requested. The applicant must assess and document the housing need for
elderly and non-elderly persons with disabilities using a range of
sources including, but not limited to: census data, information from
the applicant's waiting list (both public housing and housing choice
voucher), statistics on recent public housing admissions and housing
choice voucher and certificate use, data from local advocacy groups and
local public and private service agencies familiar with the housing
needs of elderly and non-elderly persons with disabilities, and
pertinent information from the Consolidated Plan [including the
Analysis of Impediments to Fair Housing Choice (AI)] applicable to the
applicant's jurisdiction. (See 24 CFR 91.205(d).) The applicant's
demonstrated need for vouchers must clearly support need on the basis
of only non-elderly disabled families when requesting one-year funding.
This distinction is important, as any FY 2001 Mainstream Program
funding that may be available beyond the approximately $54.1 million
under this announcement, must be used to assist only non-elderly
disabled families and will be available only to PHAs. (See Section
II(A) of this announcement regarding the possibility of substantially
more Mainstream Program funding being available beyond the
approximately $54.1 million.)
(D) Mainstream Program Operating Plan. The application must include
a description of an adequate plan for operating a program to serve
eligible disabled families, including:
(1) A description of how the applicant will carry out its
responsibilities under 24 CFR 8.28 to assist recipients in locating
units with needed accessibility features; and
(2) A description of how the applicant will identify private or
public funding sources to help participants cover the costs of
modifications that need to be made to their units as reasonable
accommodations to their disabilities.
(3) A description of how the applicant will use a nonprofit
disability organization or PHA (if any) under a contract to administer
the Mainstream Program vouchers, or to otherwise provide services.
(E) Certification Applicable to Nonprofit Disability Organizations.
A nonprofit disability organization applying for funding available
under this announcement must provide a certification stating that the
applicant can meet the capacity requirements applicable to a nonprofit
disability organization delineated in Section III(B)(2)(b) of this
announcement. The certification must specifically list the four
capacity requirements from that paragraph, and must specifically list
the rental housing programs the nonprofit disability organization has
administered or the rental housing the nonprofit disability
organization has managed.
(F) Statement Regarding the Steps the PHA Will Take to
Affirmatively Further Fair Housing. The areas to be addressed in the
PHA's statement should include, but not necessarily be limited to:
(1) The examination of the PHA's own programs or proposed programs,
including an identification of any impediments to fair housing
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair
Housing Choice in its Consolidated Plan); and a description of a plan
to (a) address those impediments in a reasonable fashion in view of the
resources available; and (b) work with local jurisdictions to implement
any of the jurisdictions' initiatives to affirmatively further fair
housing; and the maintenance of records reflecting this analyses and
actions;
(2) Remedy discrimination in housing for persons with disabilities
regardless of race, color, religion, sex, familial status, national
origin, or nature of disability; or
(3) Promote fair housing rights and fair housing choice.
(G) Moving to Work (MTW) PHA Information and Certification. See
Section VII(B)(2)(c) regarding the information to be submitted by an
MTW PHA required to report under the Section 8 Management Assessment
Program (SEMAP) but not meeting the 95 percent lease-up or budget
authority utilization requirements, or the lease-up or budget authority
utilization certification to be submitted by an MTW PHA not required to
report under SEMAP.
(H) Multifamily Tenant Characteristics System (MTCS) Reporting
Certification. In order to be eligible to submit an application under
this announcement, the PHA must have had a minimum reporting rate of
not less than 85 percent for housing choice voucher and certificate
resident records to HUD's MTCS (see 24 CFR part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must
submit a certification with its application certifying to having met
this requirement. In the event a PHA received less than an 85 percent
rate of reporting under MTCS for this period, the PHA will still be
considered
[[Page 12379]]
to have passed the threshold requirement if: (1) it subsequently
achieved a minimum reporting rate of not less than 85 percent for
public housing resident records under the MTCS as of the December 2000
reporting period; or (2) the PHA was granted forbearance by HUD under
the applicable procedures under PIH Notice 2000-13 for the semi-annual
assessment period ending December 2000. In this latter instance, the
PHA must submit a certification with its application indicating that it
has either achieved such a minimum reporting rate as of the December
2000 reporting period, or that it has obtained a forbearance from HUD
for the semi-annual assessment period ending December 2000.
VII. Corrections to Deficient Applications
(A) Acceptable Applications. The application must include all of
the information specified in section VI, Application Submission
Requirements, of this announcement. The General Section of the
SuperNOFA provides the procedures for corrections to deficient
applications.
(B) Unacceptable Applications. (1) After the 14-calendar day
technical deficiency correction period, the Grants Management Center
will disapprove all PHA applications that the Grants Management Center
determines are not acceptable for processing. The Grant Management
Center's notification of rejection letter must state the basis for the
decision.
(2) Applications from PHAs that fall into any of the following
categories will not be processed:
(a) Applications that do not meet the fair housing and civil rights
compliance threshold requirements of Section II(B) of the General
Section of the SuperNOFA.
(b) If the applicant is a PHA and the PHA has major program
management findings in an Inspector General audit, HUD management
review, or independent public accountant (IPA) audit for its voucher or
certificate programs that are not closed or on which satisfactory
progress in resolving the findings is not being made; or program
compliance problems for its voucher or certificate programs on which
satisfactory progress is not being made. The only exception to this
category is if the PHA has been identified under the policy established
in Section III(B)(1)(c) of this announcement and the PHA makes
application with a designated contract administrator. Major program
management findings are those that would cast doubt on the capacity of
the PHA to effectively administer any new housing choice voucher
funding in accordance with applicable HUD regulatory and statutory
requirements.
(c) If the applicant is a PHA and the PHA has failed to achieve a
lease-up rate of 95 percent for its combined certificate and voucher
units under contract for its fiscal year ending in 1999. Category (c)
may be passed, however, if the PHA achieved a combined certificate and
voucher budget authority utilization rate of 95 percent or greater for
its fiscal year ending in 1999. In the event the PHA is unable to meet
either of these percentage requirements, the PHA may still pass
category (c) if the PHA submits information to the Grants Management
Center, as part of its application, demonstrating that the PHA was able
to either increase its combined certificate and voucher lease-up rate
to 95 percent or greater for its fiscal year ending in 2000, or was
able to increase combined certificate and voucher budget authority
utilization to 95 percent or more for its fiscal year ending in 2000.
PHAs that have been determined by HUD to have passed either the 95
percent lease-up, or 95 percent budget authority utilization
requirement for their fiscal year ending in 1999 will be listed on a
HUD website: (www.hud.gov/grants), along with this funding
announcement. A PHA not listed must either submit information
(following the format of Appendix A of this announcement) in its
application supportive of its 95 percent lease-up or 95 percent budget
authority utilization performance for its fiscal year ending in 2000,
or submit information (following the format of Appendix A of this
announcement) as part of its application supportive of its contention
that it should have been included among those PHAs HUD listed on the
HUD website as having achieved either a 95 percent lease-up rate or 95
percent budget authority utilization rate for fiscal years ending in
1999. Appendix A to this program section indicates the methodology and
data sources used by HUD to calculate the lease-up and budget authority
utilization percentage rates for PHAs with fiscal years ending in 1999.
Any PHA wishing to submit information to the Grants Management Center
in connection with its 1999 fiscal year or 2000 fiscal year for the
purposes described immediately above (so as to be eligible under
category (c) to submit an application) will be required to use the same
methodology and data sources indicated in Appendix A.
Moving to Work (MTW) agencies that are required to report under the
Section 8 Management Assessment Program (SEMAP) shall be held to the 95
percent lease-up and budget authority utilization requirements
referenced above, except where such an MTW agency provides information
in its application demonstrating to HUD that a lower percentage is the
result of the implementation of specific aspects of its program under
its MTW Agreement with HUD. MTW agencies which are not required to
report under SEMAP must submit a certification with their application
certifying that they are not required to report under SEMAP, and that
they meet the 95 percent lease-up or budget authority utilization
requirements.
PHAs not currently administering a certificate or voucher program,
or who received voucher funding for the first time for FY 2000 will not
be subject to the 95 percent lease-up or budget authority utilization
requirements of this section (c).
(d) The PHA or nonprofit disability organization is involved in
litigation and HUD determines that the litigation may seriously impede
the ability of the PHA to administer the vouchers.
(e) An application that does not comply with the requirements of 24
CFR 982.102 and this program section after the expiration of the 14-
calendar day technical deficiency correction period will be rejected
from processing.
(f) The application was submitted after the application due date.
(g) The application was not submitted to the official place of
receipt as indicated in the paragraph entitled ``Address for Submitting
Applications'' at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from
providing assistance under the program.
(i) The applicant has failed to achieve a minimum 85 percent
submission rate for housing choice voucher and certificate resident
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see
24 CFR part 908 and Notices PIH 98-30 and 2000-13), for the period
ending December 1999, and December 2000, and did not receive HUD
forbearance.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(11) of the HUD regulations,
tenant-based rental activities under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (NEPA) and are not subject to environmental review under the
related laws and authorities.
IX. Authority
Authority for this program is found in the Departments of Veteran's
Affairs and
[[Page 12380]]
Housing and Urban Development, and Independent Agencies Appropriations
Act, FY 2001 (Pub. L. 106-377, approved October 27, 2000). This FY 2001
Appropriations Act authorized appropriations for housing choice
vouchers to assist non-elderly disabled families affected by the
establishment of preferences in accordance with section 651 of the
Housing and Community Development Act of 1992, or the restriction of
occupancy to elderly families in accordance with section 658 of the
Act. The FY 2000 Appropriations Act also allows the Secretary to
transfer any unobligated funds for this purpose to assist non-elderly
disabled families to the extent they are not needed under Sections 651
and 658 for such families. Therefore, any funds remaining unobligated
under this program section of this SuperNOFA will be used first to fund
any approvable applications under the Rental Assistance for Non-Elderly
Persons With Disabilities in Support of Designated Housing Plans
program for which there are insufficient funds. Thereafter, any funds
still remaining unobligated will be used to fund applications under the
Mainstream Program in the SuperNOFA.
Appendix A--Methodology for Determining Lease-UP and Budget
Authority Utilization Percentage Rates
Using data from the HUDCAPS system, HUD determined which PHAs
met the 95% budget authority utilization or 95% lease-up criteria.
The data used in the determination was based on PHA fiscal years
ending in 1999. The budget authority utilization and lease-up rates
were determined based upon the methodology indicated below.
Budget Authority Utilization
Percentage of budget authority utilization was determined by
comparing the total contributions required to the annual budget
authority (ABA) available for the PHA 1999 year combining the
certificate and voucher programs.
Total contributions required were determined based on the
combined actual costs approved by HUD on the form HUD-52681, Year
End Settlement Statement. The components which make up the total
contributions required are the total of housing assistance payments,
ongoing administrative fees earned, hard to house fees earned, and
IPA audit costs. From this total any interest earned on
administrative fees is subtracted. The net amount is the total
contributions required.
ABA is the prorated portion applicable to the PHA 1999 year for
each funding increment which had an active contract term during all
or a portion of the PHA year.
Example
PHA ABC Fiscal Year 10/1/98 Through 9/30/99
[HUD 52681 Approved Data]
------------------------------------------------------------------------
------------------------------------------------------------------------
HAP........................................................ $2,500,000
Administrative Fee......................................... 250,000
Hard to House Fee.......................................... 1,000
Audit...................................................... 2,000
------------
Total.................................................. 2,753,000
Interest earned on administrative fee...................... (2,500)
------------
Total contributions required........................... 2,750,500
------------------------------------------------------------------------
Calculation of Annual Budget Authority
------------------------------------------------------------------------
Increments and contract term Total BA ABA
------------------------------------------------------------------------
001 11/01/98-10/31/99.................. $1,300,000 $1,191,667
002 01/01/99-12/31/99.................. 1,200,000 900,000
003 04/01/99-03/31/00.................. 950,000 475,000
004 07/01/99-06/30/00.................. 1,500,000 375,000
-------------------------------
Totals.............................. 4,950,000 2,941,667
(budget
authority)
Utilization:
Total contributions required divided 2,750,000
by.................................
Annual budget authority equals...... 2,941,667 ..............
Budget authority utilization 93.5 ..............
(percent)..........................
------------------------------------------------------------------------
Lease-up Rate
The lease-up rate was determined by comparing the contract units
(funding increments active as of the end of the PHA 1999 year) to
the unit months leased (divided by 12) reported on the combined HUD
52681, Year End Settlement Statement(s) for 1999.
Active funding increments awarded by HUD for special purposes
such as litigation, relocation/replacement, housing conversions,
Welfare to Work, and new units awarded to the PHA during the last 12
months were excluded from the contract units as the Department
recognizes that many of these unit allocations have special
requirements which require extended periods of time to achieve
lease-up.
Example
------------------------------------------------------------------------
Increments contract term Units
------------------------------------------------------------------------
001 11/01/98-10/31/99.......................................... 242
002 01/01/99-12/31/99.......................................... 224
003 04/01/99-03/31/00.......................................... 178
004 07/01/99-06/30/00.......................................... 280
Totals...................................................... 924
-------
Increment 003 litigation........................................ (178)
Adjusted contract units......................................... 746
Unit months leased reported by PHA.............................. 8,726
divided by 12................................................. 727
Units Leased.................................................... 727
Lease-up rate:
Units leased.................................................. 727
divided by adjusted contract units.......................... 746
equals
Lease-up rate (percent)....................................... 97.4
------------------------------------------------------------------------
BILLING CODE 4210-32-P
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12381]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.386
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12382]]
[[Page 12383]]
FUNDING AVAILABILITY FOR RENTAL ASSISTANCE FOR NON-ELDERLY PERSONS
WITH DISABILITIES RELATED TO CERTAIN TYPES OF SECTION 8 PROJECT-
BASED DEVELOPMENTS AND SECTIONS 202, 221(d)(3) AND 236 DEVELOPMENTS
Program Overview
Purpose of the Program. The purpose of this program is to provide
housing choice vouchers to non-elderly disabled families who are not
currently receiving housing assistance in certain Section 8 project-
based developments due to the owners establishing preferences for the
admission of elderly families, or in certain types of Section 202,
Section 221(d)(3), or Section 236 developments where the owners are
restricting occupancy in the developments (or portions thereof) to
elderly families. The vouchers will enable non-elderly disabled
families to rent affordable housing.
Available Funds. Approximately $20 million in one-year budget
authority for approximately 3,500 Section 8 vouchers.
Eligible Applicants. Public housing agencies (PHAs). Indian Housing
Authorities (IHAs), Indian tribes and their tribally designated housing
entities are not eligible to apply because the Native American Housing
Assistance and Self-Determination Act of 1996 does not allow HUD to
enter into new Section 8 annual contributions contracts (ACC) with IHAs
after September 30, 1997.
Application Deadline. June 15, 2001.
Match. None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Date, Application Kits, Further Information and
Technical Assistance
Application Due Date. Submit your original and two copies of your
completed application to HUD on or before 12:00 midnight, Eastern time,
on June 15, 2001.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original and one copy. Submit your original application
and one copy to: Michael Diggs, Director, Grants Management Center,
Department of Housing and Urban Development, 501 School Street, SW,
Suite 800, Washington, DC 20024. Applications which are hand carried or
sent via overnight delivery service should be delivered to this
address. The Grants Management Center is the official place of receipt
for all applications in response to this announcement of funding
availability. Your application will be accepted at this address on the
application deadline until 6:00 pm Eastern time. After 6:00 pm on the
application deadline, applications will be accepted in the South Lobby
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410,
until 12:00 midnight Eastern time.
A copy of your application is not required to be submitted to the
local HUD Field Office. For ease of reference, the term ``local HUD
Field Office'' will be used in this announcement to mean the local HUD
Field Office Hub and local HUD Field Office Program Center. A listing
of HUD Field Offices is attached to the General Section of this
SuperNOFA.
For Application Kits. An application kit is not necessary for
submitting an application in response to this announcement. This
announcement contains all the information necessary for the submission
of your application for voucher funding under this announcement.
For Further Information and Technical Assistance. Prior to the
application due date, you may contact George C. Hendrickson, Housing
Program Specialist, Room 4216, Office of Public and Assisted Housing
Delivery, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410; telephone (202) 708-1872, ext. 4064.
Subsequent to application submission, you may contact the Grants
Management Center at (202) 358-0338. (These are not toll-free numbers.)
Persons with hearing or speech impairments may access these numbers via
TTY (text telephone) by calling the Federal Information Relay Service
at 1-800-877-8339 (this is a toll-free number).
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at
www.hud.gov.
II. Amount Allocated
(A) Available Funding. Approximately $20 million in one-year budget
authority is available to provide assistance to approximately 3,500
non-elderly disabled families (who are not currently receiving housing
assistance in certain Section 8 project-based developments due to the
owners establishing a preference for the admission of elderly families,
and for non-elderly disabled families not being housed in certain
Section 202, Section 221(d)(3) and Section 236 developments or portions
thereof where the owners have restricted occupancy to elderly
families).
In the event approvable applications are received for more than the
approximately $20 million announced as available under this
announcement, funds will be transferred from the approximately $20
million available under the funding announcement for Rental Assistance
for Non-Elderly Persons with Disabilities in Support of Designated
Housing Plans program to the extent funds remain unobligated after
funding all approvable applications under that announcement.
Any funding remaining unobligated under this announcement providing
assistance for non-elderly persons with disabilities related to certain
developments will be used first to fund any approvable applications
under the announcement for Rental Assistance for Non-Elderly Persons
with Disabilities in Support of Designated Housing Plans, for which
there may be insufficient funds. Any funds still remaining unobligated
will be used to fund any approvable applications under the announcement
for Mainstream Housing Opportunities for Persons with Disabilities for
which there are insufficient funds.
(B) Voucher Funding, Preliminary Fees and Underfunding Corrections.
(1) Voucher Funding.
(a) Maximum Voucher Request. PHAs are limited to applying for no
more than a maximum of 200 units (vouchers). A PHA may apply only for
the number of units needed to house:
(i) Those non-elderly disabled families who are on the waiting list
of an owner of a Section 8 project-based development identified in
Section III(A)(1) of this announcement where the owner elected to
provide preferences to elderly families and to house other non-elderly
disabled families residing in the community who would qualify for one-
or zero-bedroom units; and/or
(ii) Those non-elderly disabled families who are on the waiting
list of an assisted housing development identified in Section III(A)(2)
of this announcement, or are otherwise residing in the community, but
in either
[[Page 12384]]
instance are not being housed in these assisted housing developments
where the owners have restricted occupancy in the developments (or
portion thereof) to elderly. Non-elderly disabled families in this
second category would also need to qualify for one- or zero- bedroom
units.
Note: The PHA may apply for a two-bedroom unit under this
Section II(B) in such instances where a non-elderly disabled family
requires the extra bedroom for purposes of a live-in aide, or for
medical equipment.
(b) Determination of Funding Amount for the PHA's Requested Number
of Vouchers. HUD will determine the amount of funding that you will be
awarded under this announcement based upon an actual annual per unit
cost {except that for Moving to Work (MTW) agencies the per unit cost
will be calculated in accordance with the agency's MTW Agreement for
MTW units} using the following three step process:
(i) HUD will extract the total expenditures for all your housing
choice (Section 8) programs and the unit months leased information from
the most recent approved year end statement (form HUD-52681) that the
PHA has filed with HUD. HUD will divide the total expenditures for all
of your housing choice (Section 8) programs by the unit months leased
to derive an average monthly per unit cost.
(ii) HUD will multiply the monthly per unit cost by 12 (months) to
obtain an annual per unit cost.
(iii) HUD will multiply the annual per unit cost derived under
paragraph (ii) above by the Housing Choice Voucher (Section 8) Housing
Assistance Payments Program Contract Rent Annual Adjustment Factor
(with the highest utility included) to generate an adjusted annual per
unit cost. For a PHA whose jurisdiction spans multiple annual
adjustment factor areas, HUD will use the highest applicable annual
adjustment factor.
Note: If you do not currently administer a housing choice
certificate or voucher program, your voucher funding will be based
upon the annual actual per unit costs of a PHA in your most
immediate area administering a housing choice certificate or voucher
program, using the three step process described immediately above.
(2) Preliminary Fee. A preliminary fee of up to $500 per unit for
preliminary (start-up) expenses will be paid to PHAs that have not
previously administered their own housing choice program that are
selected for funding under this announcement. The preliminary fee will
be provided to such PHAs only in their first year administering housing
choice vouchers.
(3) Underfunding Corrections. If prior to the award of funding HUD
determines that any awardees under the FY 2000 NOFA for the same
purpose have been underfunded due to an error attributable to HUD,
funding will be increased to the amount that the awardee should have
received.
III. Program Description, Eligible Applicants, and Eligible
Participants
(A) Program Description. This program provides housing choice
vouchers to non-elderly disabled families who are not currently
receiving housing assistance in certain Section 8 project-based
developments due to the owners establishing preferences for the
admission of elderly families, or in certain types of Section 202,
Section 221(d)(3), or Section 236 developments where the owners are
restricting occupancy in the developments (or portions thereof) to
elderly families. The vouchers will enable non-elderly disabled
families to rent affordable housing. The specific types of developments
covered under these two broad categories are as follows:
(1) Section 651 of the Housing and Community Development Act of
1992 (42 U.S.C. 13611 allowed owners of the following covered Section 8
project-based developments (limited to only such developments
originally designed primarily for occupancy by elderly families) to
provide preferences to elderly families in selecting tenants for
available assisted units in those projects:
(a) Section 8 New Construction Program, 24 CFR part 880;
(b) Section 8 Substantial Rehabilitation Program, 24 CFR part 881;
(c) State Housing Agencies Program (insofar as involving new
construction and substantial rehabilitation), 24 CFR part 883;
(d) New Construction Set-Aside for Section 515 Rural Rental Housing
Projects Program, 24 CFR part 884; and
(e) Section 8 Housing Assistance Program for the Disposition of
HUD-Owned Projects (insofar as involving substantial rehabilitation),
24 CFR part 886, subpart C.
(2) Section 658 of the 1992 Act provides that an owner of a
Federally assisted project (or portion thereof) that was designed for
occupancy for elderly families may continue to restrict occupancy in
such project (or portion) to elderly families in accordance with the
rules, standards, and agreements governing occupancy in such housing in
effect at the time of the development of the housing. The three types
of assisted housing developments covered by Section 658 are as follows:
(a) Housing assisted under section 202 of the Housing Act of 1959,
as such section existed before the enactment of the National Affordable
Housing Act (NAHA);
(b) Housing financed by a loan or mortgage insured under section
221(d)(3) of the National Housing Act that bears an interest rate
determined under section 221(d)(5); and
(c) Housing insured, assisted or held by the Secretary or a State
or State Agency under section 236 of the National Housing Act.
(B) Eligible Applicants.
(1) A PHA established pursuant to State law may apply for funding
under this announcement. A regional (multi-county) or State PHA is also
eligible to apply for funding. A PHA may submit only one application.
This one application per PHA limit applies regardless of whether or not
the PHA is a State or regional PHA, except in those instances where
such a PHA has been assigned more than one PHA code number due to its
operating under the jurisdiction of more than one HUD Field Office. In
such instance, a separate application under each code shall be
considered for funding, with the cumulative total of vouchers applied
for under the applications not to exceed the maximum number of vouchers
the PHA is eligible to apply for under Section II(B)(1)(a) of this
announcement; i.e., no more than the number of vouchers the same PHA
would be eligible to apply for if it only had one PHA code number.
Two or more divisions within State government comprising separate
PHAs shall require the State to determine which division shall submit
an application to HUD under this funding announcement. As with other
PHAs, only one application per PHA shall be considered (see sole
exception referenced immediately above).
Indian Housing Authorities (IHAs), Indian tribes and their tribally
designated housing entities are not eligible to apply because the
Native American Housing Assistance and Self-Determination Act of 1996
does not allow HUD to enter into new housing choice voucher (Section 8)
annual contributions contracts (ACC) with IHAs after September 30,
1997.
(2) Some PHAs currently administering the housing choice voucher
and certificate programs have, at the time of publication of this
SuperNOFA, major program management findings from Inspector General
audits, HUD management reviews, or independent public accountant (IPA)
audits that are open
[[Page 12385]]
and unresolved or other significant program compliance problems. HUD
will not accept applications for additional funding from these PHAs as
contract administrators if, on the application due date, the findings
are either not closed, or sufficient progress toward closing the
findings has not been made to HUD's satisfaction. The PHA must also, to
HUD's satisfaction, be making satisfactory progress in addressing any
program compliance problems. If the PHA wants to apply for funding
under this announcement, the PHA must submit an application that
designates another housing agency, nonprofit agency, or contractor,
that is acceptable to HUD. The PHA's application must include an
agreement with the other housing agency, nonprofit agency, or
contractor to administer the new funding increment on behalf of the
PHA, and a statement that outlines the steps the PHA is taking to
resolve the program findings and the program compliance problems.
Immediately after the publication of this SuperNOFA, the local HUD
Field Office will notify, in writing, those PHAs that are not eligible
to apply without such an agreement. Concurrently, the local HUD Field
Office will provide a copy of each such written notification to the
Grants Management Center. The PHA may appeal the decision in writing,
if HUD has mistakenly classified the PHA as having outstanding
management or compliance problems. Any appeal must be accompanied by
conclusive evidence of HUD's error (i.e., documentation showing that
the finding has been cleared or satisfactory progress toward closing
the findings or addressing compliance problems has been made) and must
be received prior to the application deadline. The appeal should be
submitted to the local HUD Field Office where a final determination
shall be made. Concurrently, the local HUD Field Office shall provide
the Grants Management Center with a copy of its written response to the
appeal, along with a copy of the PHA's written appeal. Major program
management findings are those that would cast doubt on the capacity of
the PHA to effectively administer any new housing choice voucher
funding in accordance with applicable HUD regulatory and statutory
requirements.
(C) Eligible Participants. Eligible participants include non-
elderly disabled families who were on the waiting list (at the time of
the PHA's application) of a covered development identified in this
announcement where the owner had exercised a preference for the
admission of elderly families, or restricted occupancy to elderly
families, respectively, at the time the PHA received the names of these
families from the owner of the development(s) for purposes of
requesting housing choice vouchers in response to this announcement.
These non-elderly disabled families need not be listed on the PHA's
housing choice voucher waiting list in order to be offered and receive
housing choice voucher assistance; i.e., it is sufficient that their
names are on the waiting list for a covered development at the time
their names are provided to the PHA by the owner. Eligible participants
also include other non-elderly disabled families residing in the
community who would qualify for a one- or zero-bedroom unit. (See the
note in this announcement at the end of Section II(B)(1)(a) for those
limited instances in which a PHA could also apply for funding for a
two-bedroom unit.) Non-elderly disabled families must be income
eligible under 24 CFR 982.201(b)(1) in order to receive a rental
voucher, as well as otherwise eligible for assistance under the
regulations at 24 CFR part 982.201(b).
IV. Program Requirements and Operations
In addition to the civil rights compliance and nondiscrimination
requirements listed in the General Section of this SuperNOFA, grantees
must meet the following program requirements:
(A) Affirmatively Furthering Fair Housing. Each successful
applicant will have a duty to affirmatively further fair housing.
Applicants will be required to identify the specific steps that they
will take to:
(1) Examine the PHA's own programs or proposed programs, including
an identification of any impediments to fair housing (identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in
its Consolidated Plan); develop a plan to (a) address those impediments
in a reasonable fashion in view of the resources available; and (b)
work with the local jurisdictions to implement any of the
jurisdictions' initiatives to affirmatively further fair housing; and
maintain records reflecting these analyses and actions;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific
activities cited in their responses under this announcement to address
affirmatively furthering fair housing.
(B) Certifications and Assurances. Each applicant is required to
submit signed copies of Assurances and Certifications. The standard
Assurances and Certifications are on Form HUD-52515, Funding
Application, which includes the Equal Opportunity Certification,
Certification Regarding Lobbying, and Certification Regarding Drug-Free
Workplace Requirements.
(C) Voucher Assistance Requirements.
(1) Housing Choice Voucher Program regulations. PHAs must
administer the housing choice vouchers received under this announcement
in accordance with HUD regulations and requirements governing the
Housing Choice Voucher Program.
(2) Housing Choice Voucher admission requirements. Housing choice
vouchers must be provided to eligible applicants in conformity with
regulations and requirements governing the Housing Choice Voucher
Program and the PHA's administrative plan.
(3) Turnover. When a voucher under this announcement becomes
available for reissue (e.g., the family initially selected for the
program drops out of the program or is unsuccessful in the search for a
unit), the voucher may be used only for another individual or family
eligible for assistance under this announcement subject to
appropriations for renewal funding, from the date the voucher funding
is placed under an annual contributions contract (ACC).
If there is ever an insufficient pool of disabled families on the
PHA's housing choice voucher waiting list, the PHA shall conduct
outreach to encourage eligible persons to apply for this special
allocation of vouchers. Outreach may include contacting independent
living centers, advocacy organizations for persons with disabilities,
and medical, mental health, and social service providers for referrals
of persons receiving such services who would benefit from housing
choice voucher assistance. If the PHA's housing choice voucher waiting
list is closed, and if the PHA has insufficient applicants on its
housing choice voucher waiting list to use all awarded vouchers under
this announcement, the PHA shall open the waiting list for applications
from disabled families.
(D) PHA Responsibilities. In addition to PHA responsibilities under
the Housing Choice Voucher Program and HUD regulations concerning
nondiscrimination based on disability (24 CFR 8.28) and to
affirmatively further fair housing, PHAs that receive voucher funding
shall:
(1) Where requested by an individual, assist program participants
to gain access to supportive services available
[[Page 12386]]
within the community, but not require eligible applicants or
participants to accept supportive services as a condition of
participation or continued occupancy in the program.
(2) Identify public and private funding sources to assist
participants with disabilities in covering the costs of modifications
that need to be made to their units as a reasonable accommodation for
their disabilities.
(3) Not deny persons who qualify for a housing choice voucher under
this program other housing opportunities, or otherwise restrict access
to PHA programs to eligible applicants who choose not to participate.
(4) Provide housing choice voucher search assistance.
(5) In accordance with regulatory guidance, provide higher rent to
owners necessary for the provision of accessible units and structural
modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable
accommodations or making units accessible to persons with disabilities.
PHAs are encouraged to coordinate with/involve nonprofit disability
organizations in their meeting the requirements of paragraphs 1, 2, 4
and 6 immediately above. PHAs are encouraged to seek out nonprofit
disability organizations in this regard due to such organizations'
capacity for assisting disabled families, and their in-depth knowledge
of the disability community and the available resources to assist
disabled persons.
(E) Definitions.
(1) Elderly Family. A family whose head of household, spouse, or
sole member is 62 years or older.
(2) Non-elderly Disabled Family. A family who is not elderly, and
whose head, spouse, or sole member is a person with disabilities. The
term ``non-elderly disabled family'' may include two or more such
persons with disabilities living together, and one or more such persons
with disabilities living with one or more persons who are determined
essential to the care and well-being of the person or persons with
disabilities (live-in aides).
(3) Person with Disabilities. A person who--
(a) Has a disability as defined in section 223 of the Social
Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional
impairment that:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live
independently; and
(iii) Is of such a nature that such ability could be improved by
more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C.
6001(5)).
The term ``person with disabilities'' does not exclude persons who
have the disease of acquired immunodeficiency syndrome (AIDS) or any
conditions arising from the etiologic agent for acquired
immunodeficiency syndrome (HIV).
Note: While the above definition of a ``person with
disabilities'' is to be used for purposes of determining a family's
eligibility for a housing choice voucher under this announcement,
the definition of a person with disabilities contained in section
504 of the Rehabilitation Act of 1973 and its implementing
regulations must be used for purposes of meeting the requirements of
Fair Housing laws, including providing reasonable accommodations.
No individual shall be considered a person with disabilities for
the purpose of determining eligibility solely on the basis of any drug
or alcohol dependence.
(4) Housing Choice Voucher Search Assistance. Assistance to
increase access by program participants to housing units in a variety
of neighborhoods (including areas with low poverty concentrations) and
to locate and obtain units suited to their needs.
V. Application Selection Process
After the Grants Management Center has screened all applications
and disapproved any found unacceptable for further processing, the
Grants Management Center will review all remaining applications to
ensure that they are technically adequate and responsive to the
requirements identified in this program section of this SuperNOFA.
HUD Headquarters will fund on a first-come, first-serve basis all
approvable applications that are recommended for funding by the Grants
Management Center, based upon the date and time the application is
received in the Grants Management Center. As applications are selected,
the cost of funding the applications will be subtracted from the funds
available. In the event approvable applications are received for more
than the approximately $20 million available, funds will be transferred
from the approximately $20 million available under the Rental
Assistance for Non-elderly Persons with Disabilities in Support of
Designated Housing Plans program to the extent such funds have not been
obligated under that program for approvable applications. Applications
will be funded for the total number of units requested and recommended
for approval by the Grants Management Center. When remaining budget
authority is insufficient to fund the last selected application in full
the Grants Management Center will fund that application to the extent
of the funding available, unless the application indicates that the PHA
will only accept a higher number of units. In that event, HUD will fund
the next selected application that has indicated a willingness to
accept the lesser amount of funding for units available.
VI. Application Submission Requirements
(A) Form HUD-52515. All PHAs must complete and submit form HUD-
52515, Funding Application, for the Housing Choice Voucher Program
(Section 8), (dated January 1996). This form includes all necessary
certifications for Fair Housing, Drug Free Workplace and Lobbying
Activities. PHAs are requested to enter their housing authority code
number (for example, CT002), telephone number, facsimile number, and
electronic mail address in the same space at the top of the form where
they also enter the PHA's name and mailing address. Section C of the
form should be left blank. A copy of Form HUD-52515 is included in the
forms found in Appendix B to the General Section of the SuperNOFA.
Copies of the form may also be downloaded from the HUD Home page site
on the Internet's world wide web (http://www.HUD.gov). (On the HUD
website click on ``handbooks and forms,'' then click on ``forms,'' then
click on ``HUD-5'' and click on ``HUD-52515.'' The form must be
completed in its entirety, with the exception of Section C, signed and
dated.
(B) Letter of Intent and Narrative. The PHA must state in its cover
letter to the application whether the PHA will accept a reduction in
the number of vouchers, and the minimum number of vouchers the PHA will
accept, since the funding is limited and HUD may only have enough funds
to approve a smaller amount than the number of vouchers requested. The
maximum number of vouchers that a PHA may apply for under this
announcement is limited to 200.
(C) Demonstration of Need: Certification/Waiting List Information
and Other Non-Elderly Disabled Families Residing in the Community. In
order to support the number of vouchers being requested on the form
HUD-
[[Page 12387]]
52515, the PHA's application must include:
(1) A certification from the owner of a covered development (see
the different types of covered developments listed in Section III(A)(1)
and (2) of this announcement), stating the specific type of covered
development, preferences are provided to elderly families in selecting
tenants (Section 8 project-based developments) or occupancy in the
development (or portion thereof) is restricted to elderly families
(assisted housing developments), and the number of non-elderly disabled
families on the owner's waiting list for the development. (PHAs may
contact the local HUD Field Office's Director, Multifamily Division, to
get the names, addresses and telephone numbers of the developments
falling under Section III(A)(1) and (2) in this announcement. The PHA
will then need to contact the management/owners of these developments
within their jurisdiction to verify that the development is a covered
development. Owners of covered developments are encouraged to cooperate
with PHAs and provide the required certification (if applicable) in a
timely manner, along with the names, addresses and telephone numbers of
those families on the development's waiting list that are non-elderly
disabled families.)
(2) PHAs must also submit information supportive of the number of
other non-elderly disabled families residing in the community who would
qualify for one-bedroom or zero-bedroom units (not on the waiting lists
of covered developments). (See the note at the end of Section
II(B)(1)(a) of this announcement which identifies those limited
instances in which a PHA may apply for funding for a two-bedroom unit.)
The application must demonstrate a need for vouchers by providing
information documenting that the demand for housing for non-elderly
disabled families would equal or exceed the requested number of
vouchers (not to exceed 200). The PHA must assess and document the need
using a range of sources including, but not limited to: census data,
information from the PHA's waiting list (both public housing and
housing choice voucher), statistics on recent public housing admissions
and certificate and voucher use, data from local advocacy groups and
local public and private service agencies familiar with the housing
needs of non-elderly disabled families, and pertinent information from
the Consolidated Plan (including the Analysis of Impediments to Fair
Housing Choice) applicable to the PHA's jurisdiction. (See 24 CFR
91.205(d).)
(D) Statement Regarding the Steps the PHA Will Take to
Affirmatively Further Fair Housing. The areas to be addressed in the
PHA's statement should include, but not necessarily be limited to:
(1) The examination of the PHA's own programs or proposed programs,
including an identification of any impediments to fair housing
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair
Housing Choice in its Consolidated Plan); and a description of a plan
developed to (a) address those impediments in a reasonable fashion in
view of the resources available; and (b) work with local jurisdictions
to implement any of the jurisdictions' initiatives to affirmatively
further fair housing; and the maintenance of records reflecting this
analysis and actions;
(2) Remedy discrimination in housing for persons with disabilities
regardless of race, color, religion, sex, familial status, national
origin, or nature of disability; or
(3) Promote fair housing rights and fair housing choice.
(E) Moving to Work (MTW) PHA Information and Certification. See
Section VII(B)(2)(c) regarding the information to be submitted by an
MTW PHA required to report under the Section 8 Management Assessment
Program (SEMAP) but not meeting the 95 percent lease-up or budget
authority utilization requirements, or the lease-up or budget authority
utilization certification to be submitted by an MTW PHA not required to
report under SEMAP.
(F) Multifamily Tenant Characteristics System (MTCS) Reporting
Certification. In order to be eligible to submit an application under
this announcement, the PHA must have had a minimum reporting rate of
not less than 85 percent for housing choice voucher and certificate
resident records to HUD's MTCS (see 24 CFR Part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must
submit a certification with its application certifying to having met
this requirement. In the event a PHA received less than an 85 percent
rate of reporting under MTCS for this period, the PHA will still be
considered to have passed the threshold requirement if: (1) it
subsequently achieved a minimum reporting rate of not less than 85
percent for public housing resident records under the MTCS as of the
December 2000 reporting period; or (2) the PHA was granted forbearance
by HUD under the applicable procedures under PIH Notices 2000-13 for
the semi-annual assessment period ending December, 2000. In this latter
instance, the PHA must submit a certification with its application
indicating that it has either achieved such a minimum reporting rate as
of the December 2000 reporting period, or that it has obtained a
forbearance from HUD for the semi-annual assessment period ending
December 2000.
VII. Corrections to Deficient Applications
(A) Acceptable Applications. The application must include all of
the information specified in Section VI, Application Submission
Requirements, of this announcement. The General Section of the
SuperNOFA provides the procedures for corrections to deficient
applications.
(B) Unacceptable Applications. (1) After the 14-calendar day
technical deficiency correction period (as provided in the General
Section), the Grants Management Center will disapprove all applications
that the Grants Management Center determines are not acceptable for
processing. The notification of rejection letter will state the basis
for the decision.
(2) Applications that fall into any of the following categories
will not be processed:
(a) Applications that do not meet the threshold fair housing and
civil rights compliance requirements of Section II(B) of the General
Section of the SuperNOFA.
(b) The PHA has major program management findings in an Inspector
General audit, HUD management review, or independent public accountant
(IPA) audit for its voucher or certificate programs that are not closed
or on which satisfactory progress in resolving the findings is not
being made; or program compliance problems for its voucher or
certificate programs on which satisfactory progress is not being made.
The only exception to this category is if the PHA has been identified
under the policy established in Section III(B)(2) of this announcement
and the PHA makes application with a designated contract administrator.
Major program management findings are those that would cast doubt on
the capacity of the PHA to effectively administer any new housing
choice voucher funding in accordance with applicable HUD regulatory and
statutory requirements.
(c) The PHA has failed to achieve a lease-up rate of 95 percent for
its combined certificate and voucher units under contract for its
fiscal year ending in 1999. Category (c) may be passed, however, if the
PHA achieved a combined certificate and voucher budget authority
utilization rate of 95
[[Page 12388]]
percent or greater for its fiscal year ending in 1999. In the event the
PHA is unable to meet either of these percentage requirements, it may
still pass category (c) if it submits information to the GMC, as part
of its application, demonstrating that it was able to either increase
its combined certificate and voucher lease-up rate to 95 percent or
greater for its fiscal year ending in 2000, or was able to increase
combined certificate and voucher budget authority utilization to 95
percent or more for its fiscal year ending in 2000. PHAs that have been
determined by HUD to have passed either the 95 percent lease-up, or 95
percent budget authority utilization requirement for their fiscal year
ending in 1999 will be listed with this funding announcement on a HUD
website: (www.hud.gov/grants). A PHA not listed must either submit
information (following the format of Appendix A of this NOFA) in its
application supportive of its 95 percent lease-up or 95 percent budget
authority utilization performance for its fiscal year ending in 2000,
or submit information (following the format of Appendix A of this NOFA)
as part of its application supportive of its contention that it should
have been included among those PHAs HUD listed on the HUD website as
having achieved either a 95 percent lease-up rate or 95 percent funding
utilization rate for fiscal years ending in 1999. Appendix A of this
NOFA indicates the methodology and data sources used by HUD to
calculate the lease-up and budget authority utilization percentage
rates for PHAs with fiscal years ending in 1999. Any PHA wishing to
submit information to the GMC in connection with its 1999 fiscal year
or 2000 fiscal year for the purposes described immediately above (so as
to be eligible under category (c) to submit an application) will be
required to use the same methodology and data sources indicated in
Appendix A.
Moving To Work (MTW) agencies that are required to report under the
Section 8 Management Assessment Program (SEMAP) shall be held to the 95
percent lease-up and budget authority utilization requirements
referenced above, except where such an MTW agency provides information
in its application demonstrating to HUD that a lower percentage is the
result of the implementation of specific aspects of its program under
its MTW agreement with HUD. MTW agencies which are not required to
report under SEMAP must submit a certification with their application
certifying that they are not required to report under SEMAP, and that
they meet the 95 percent lease-up or budget authority utilization
requirements.
PHAs not currently administering a certificate or voucher program,
or who received voucher funding for the first time for FY 2000 will not
be subject to the 95 percent lease-up or budget authority utilization
requirements of this section (c).
(d) The PHA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the PHA to administer
the vouchers.
(e) An application that does not comply with the requirements of 24
CFR 982.102 and this program section after the expiration of the 14-
calendar day technical deficiency correction period will be rejected
from processing.
(f) The application was submitted after the application due date.
(g) The application was not submitted to the official place of
receipt as indicated in the paragraph entitled ``Address for Submitting
Applications'' at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from
providing assistance under the program.
(i) The applicant has failed to achieve a minimum 85 percent
submission rate for housing choice voucher and certificate resident
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see
24 CFR Part 908 and Notices PIH 98-30 and 2000-13), for the period
ending December 1999, and December 2000, and did not receive HUD
forbearance.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(11) of the HUD regulations,
tenant-based rental activities under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (NEPA) and are not subject to environmental review under the
related laws and authorities.
IX. Authority
Authority for this program is found in the Departments of Veteran's
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, FY 2001 (Pub.L. 106-377, approved October 27,
2000). This FY 2001 Appropriations Act authorized appropriations for
housing choice vouchers to assist non-elderly disabled families
affected by the establishment of preferences in accordance with section
651 of the Housing and Community Development Act of 1992, or the
restriction of occupancy to elderly families in accordance with section
658 of the Act. The FY 2000 Appropriations Act also allows the
Secretary to transfer any unobligated funds for this purpose to assist
non-elderly disabled families to the extent they are not needed under
Sections 651 and 658 for such families. Therefore, any funds remaining
unobligated under this program section of this SuperNOFA will be used
first to fund any approvable applications under the Rental Assistance
for Non-Elderly Persons With Disabilities in Support of Designated
Housing Plans program for which there are insufficient funds.
Thereafter, any funds still remaining unobligated will be used to fund
applications under the Mainstream Program in the SuperNOFA.
Appendix A--Methodology for Determining Lease-up and Budget
Authority Utilization Percentage Rates
Using data from the HUDCAPS system, HUD determined which PHAs
met the 95% budget authority utilization or 95% lease-up criteria.
The data used in the determination was based on PHA fiscal years
ending in 1999. The budget authority utilization and lease-up rates
were determined based upon the methodology indicated below.
Budget Authority Utilization
Percentage of budget authority utilization was determined by
comparing the total contributions required to the annual budget
authority (ABA) available for the PHA 1999 year combining the
certificate and voucher programs.
Total contributions required were determined based on the
combined actual costs approved by HUD on the form HUD-52681, Year
End Settlement Statement. The components which make up the total
contributions required are the total of housing assistance payments,
ongoing administrative fees earned, hard to house fees earned, and
IPA audit costs. From this total any interest earned on
administrative fees is subtracted. The net amount is the total
contributions required.
ABA is the prorated portion applicable to the PHA 1999 year for
each funding increment which had an active contract term during all
or a portion of the PHA year.
Example
PHA ABC Fiscal Year 10/1/98 Through 9/30/99
[HUD 52681 Approved Data]
------------------------------------------------------------------------
------------------------------------------------------------------------
HAP........................................................ $2,500,000
Administrative fee......................................... 250,000
Hard to house fee.......................................... 1,000
Audit...................................................... 2,000
------------
Total.................................................. 2,753,000
Interest earned on administrative fee...................... (2,500)
Total contributions 2,750,500
required...............................................
------------------------------------------------------------------------
[[Page 12389]]
Calculation of Annual Budget Authority
------------------------------------------------------------------------
Increments and contract term Total BA ABA
------------------------------------------------------------------------
001 11/01/98-10/31/99.................. $1,300,000 $1,191,667
002 01/01/99-12/31/99.................. 1,200,000 900,000
003 04/01/99-03/31/00.................. 950,000 475,000
004 07/01/99-06/30/00.................. 1,500,000 375,000
-------------------------------
Totals.............................. 4,950,000 2,941,667
Budget Authority Utilization:
Total contributions required........ 2,750,000
divided by
Annual budget authority............. 2,941,667
equals
Budget Authority Utilization 93.5
(percent)..........................
------------------------------------------------------------------------
Lease-up Rate
The lease-up rate was determined by comparing the contract units
(funding increments active as of the end of the PHA 1999 year) to
the unit months leased (divided by 12) reported on the combined HUD
52681, Year End Settlement Statement(s) for 1999.
Active funding increments awarded by HUD for special purposes
such as litigation, relocation/replacement, housing conversions,
Welfare to Work, and new units awarded to the PHA during the last
twelve months were excluded from the contract units as the
Department recognizes that many of these unit allocations have
special requirements which require extended periods of time to
achieve lease-up.
Example
------------------------------------------------------------------------
Increments and contract term Units
------------------------------------------------------------------------
001 11/01/98-10/31/99........................................ 242
002 01/01/99-12/31/99........................................ 224
003 04/01/99-03/31/00........................................ 178
004 07/01/99-06/30/00........................................ 280
Totals.................................................... 924
Increment 003 litigation...................................... (178)
Adjusted contract units....................................... 746
Unit months leased reported by PHA............................ 8,726
divided by 12............................................... 727
Units leased.................................................. 727
Lease-up rate:
Units leased................................................ 727
divided by adjusted contract units........................ 746
equals
Lease-up rate (percent)..................................... 97.4
------------------------------------------------------------------------
BILLING CODE 4210-32-P
[[Page 12390]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12391]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.387
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12392]]
[[Page 12393]]
FUNDING AVAILABILITY FOR RENTAL ASSISTANCE FOR NON-ELDERLY PERSONS
WITH DISABILITIES IN SUPPORT OF DESIGNATED HOUSING PLANS
Program Overview
Purpose of the Program. The purpose of the voucher funding being
made available under the Housing Choice Voucher Program through this
announcement is to enable non-elderly families with disabilities to
rent affordable private housing. The vouchers will assist public
housing agencies (PHAs) in providing sufficient alternative resources
to meet the housing needs of those non-elderly disabled families who
would have been housed by the PHA if occupancy in a designated public
housing project/building (or portion thereof) were not restricted to
elderly households, and assist PHAs who wish to continue to designate
their buildings as ``mixed elderly and disabled buildings'' but can
demonstrate a need for alternative resources for non-elderly disabled
families.
Available Funds. Approximately $20 million in one-year budget
authority for approximately 3,500 housing choice vouchers.
Eligible Applicants. Public housing agencies (PHAs). Indian Housing
Authorities, Indian tribes and their tribally designated housing
entities are not eligible to apply because the Native American Housing
Assistance and Self-Determination Act of 1996 does not allow HUD to
enter into new housing choice voucher (Section 8) annual contributions
contracts (ACC) with IHAs after September 30, 1997. Further, IHAs would
not otherwise have been eligible to apply under this announcement
because the requirements of section 7 of the U.S. Housing Act of 1937
(42 U.S.C. 1437e) regarding designated housing plans are not applicable
to IHAs.
Application Deadline. The application in its entirety must be
submitted to HUD's Grants Management Center by July 24, 2001.
Not later than seventy-five (75) days prior to that date; i.e., by
May 16, 2001, the designated housing plan portion of the application
must be submitted to HUD's Special Application Center.
Match: None.
Additional Information
If you are interested in applying for funding under this program,
please review carefully the General Section of this SuperNOFA and the
following additional information.
I. Application Due Dates, Application Kits, Further Information and
Technical Assistance
Application Due Dates. Submit your original and one copy of your
completed application (including the designated housing plan, as
appropriate) to HUD on or before 12:00 midnight, Eastern time, on July
24, 2001.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of an original and two copies. Submit the original application
and one copy to Michael Diggs, Director, Grants Management Center,
Department of Housing and Urban Development, 501 School Street, SW,
Suite 800, Washington, DC 20024. Applications which are hand carried or
sent via overnight delivery service should be delivered to this
address. The Grants Management Center is the official place of receipt
for all applications in response to this announcement of funding
availability. Your application will be accepted at this address until
6:00 pm, Eastern time, on the application deadline.
After 6:00 pm on the application deadline date, applications will
be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street,
SW, Washington, DC 20410, until 12:00 midnight Eastern time.
Submit one copy of the designated housing plan portion of your
application to the Office of Public Housing, Special Application Center
(SAC), Room 2401, 77 West Jackson Boulevard, Chicago, IL 60604 (312-
886-9754), so as to be received by the SAC by not later than May 16,
2001. Note: The Special Application Center is allowed, by statute, 60
days in which to review a PHA's designated housing plan.
A PHA submitting an application for voucher funding under this
announcement shall not be eligible for funding if it does not submit
its entire application to the GMC, and the designated housing plan
portion of its application (as applicable) to the SAC, by the deadline
dates specified above.
A copy of your application is not required to be submitted to the
local HUD Field Office. For ease of reference, the term ``local HUD
Field Office'' will be used in this announcement to mean the local HUD
Field Office Hub and local HUD Field Office Program Center. A listing
of HUD Field Offices is attached to the General Section of this
SuperNOFA.
For Application Kits. An application kit is not necessary for
submitting an application in response to this announcement. This
announcement contains all the information necessary for the submission
of your application for voucher funding under this announcement.
For Further Information and Technical Assistance. Prior to the
application due date, you may contact George C. Hendrickson, Housing
Program Specialist, Room 4216, Office of Public and Assisted Housing
Delivery, Department of Housing and Urban Development, 451 Seventh
Street, SW, Washington, DC 20410; telephone (202) 708-1872, ext. 4064.
Subsequent to application submission, you may contact the Grants
Management Center at (202) 358-0338. (These are not toll-free numbers.)
Persons with hearing or speech impairments may access these numbers via
TTY (text telephone) by calling the Federal Information Relay Service
at 1-800-877-8339 (this is a toll-free number).
Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at
www.hud.gov.
II. Amount Allocated
(A) Available Funding. Approximately $20 million in one-year budget
authority is available for housing choice vouchers for non-elderly
disabled families in support of designated housing plans to designate
public housing for occupancy by elderly families only, or elderly
families and disabled families only. This funding is expected to
provide assistance to approximately 3,500 non-elderly disabled
families.
The FY 2001 HUD Appropriations Act allows the Secretary of HUD to
transfer any unobligated funds for support of designated housing plans
to assist non-elderly disabled families to the extent they are not
needed to fund approvable applications related to designated housing
plans during FY 2001. Accordingly, any funds remaining unobligated
under this announcement will first be used to fund any approvable
applications under HUD's announcement for Rental Assistance for Non-
Elderly Persons with Disabilities Related to Certain Types of Section 8
Project-Based Developments and Section 202, Section 221(d)(3) and
Section 236 Developments, for which
[[Page 12394]]
there are insufficient funds. Any funds still remaining unobligated
under this announcement for funding in support of designated housing
plans shall be used to fund any approvable applications under HUD's
announcement for Mainstream Housing Opportunities For Persons With
Disabilities, for which there are insufficient funds.
(B) Voucher Funding.
(1) Maximum Voucher Request. A PHA may apply for only the number of
units needed to house those non-elderly disabled families that
otherwise would have been housed if not for the designation of a
project/building (or portion thereof) for occupancy by the elderly
only. The size of the units applied for must bear a direct relationship
to the size of the units designated. PHAs are limited to applying for
no more than a maximum of 200 units (vouchers).
(2) Determination of Funding Amount for the PHA's Requested Number
of Vouchers. HUD will determine the amount of funding that a PHA will
be awarded under this announcement based upon an actual annual per unit
cost {except that for Moving to Work (MTW) agencies the per unit cost
will be calculated in accordance with the agency's MTW Agreement for
MTW units} using the following three step process:
(a) HUD will extract the total expenditures for all the PHA's
housing choice (Section 8) programs and the unit months leased
information from the most recent approved year end statement (form HUD-
52681) that the PHA has filed with HUD. HUD will divide the total
expenditures for all of the PHA's housing choice (Section 8) programs
by the unit months leased to derive an average monthly per unit cost.
(b) HUD will multiply the monthly per unit cost by 12 (months) to
obtain an annual per unit cost.
(c) HUD will multiply the annual per unit cost derived under
section (ii) above by the Housing Choice Voucher (Section 8) Housing
Assistance Payments Program Contract Rent Annual Adjustment Factor
(with the highest cost utility included) to generate an adjusted annual
per unit cost. For a PHA whose jurisdiction spans multiple annual
adjustment factor areas, HUD will use the highest applicable annual
adjustment factor.
Note: Applicants who do not currently administer a housing
choice certificate or voucher program shall have their voucher
funding based upon the actual annual per unit costs of the PHA in
their most immediate area administering a housing choice certificate
or voucher program, using the three step process described
immediately above.
(3) Preliminary Fee. A preliminary fee of up to $500 per unit for
preliminary (start-up) expenses will be paid to PHAs that have not
previously administered their own housing choice voucher program and
that are selected for funding under this announcement. The preliminary
fee will be provided to such PHAs only in their first year
administering housing choice vouchers.
(4) Underfunding Corrections. If prior to the award of funding
under this Designated Housing announcement, HUD determines that any
awardees under the FY 2000 Designated Housing announcement have been
underfunded due to an error attributable to HUD, funding will be
increased to the amount that the awardee should have received.
III. Program Description, Eligible Applicants, and Eligible
Participants
(A) Program Description. This program provides housing choice
vouchers to assist non-elderly disabled families who would have been
housed by a PHA if occupancy in the designated public housing project/
building (or portion thereof) were not restricted to elderly
households, and assist PHAs that wish to continue to designate their
projects/buildings (or portions thereof) as ``mixed elderly and
disabled buildings'' and can demonstrate a need for alternative housing
resources for non-elderly disabled families that is consistent with the
jurisdiction's Consolidated Plan and the low-income housing needs of
the jurisdiction.
(B) Eligible Applicants. A PHA established pursuant to State law
may apply for funding under this announcement. A regional (multi-
county) or State PHA is also eligible to apply for funding. A PHA may
submit only one application under this announcement. This one
application per PHA limit applies regardless of whether the PHA is a
State or regional PHA, except in those instances where such a PHA has
more than one PHA code number due to its operating under the
jurisdiction of more than one HUD Field Office. In such instance, a
separate application under each code shall be considered for funding,
with the cumulative total of vouchers applied for under the
applications not to exceed the maximum number of vouchers the PHA is
eligible to apply for under section II(B)(1) of this announcement;
i.e., no more than the number of vouchers the same PHA would be
eligible to apply for if it only had one PHA code number.
Two or more divisions within State government comprising separate
PHAs shall require the State to determine which division shall submit
an application to HUD under this funding announcement. As with other
PHAs, only one application per PHA shall be considered (see sole
exception referenced immediately above).
Indian Housing Authorities (IHAs), Indian tribes and their tribally
designated housing entities are not eligible to apply because the
Native American Housing Assistance and Self-Determination Act of 1996
does not allow HUD to enter into new Housing Choice Voucher Program
(Section 8) annual contributions contracts (ACC) with IHAs after
September 30, 1997. Further, IHAs would not otherwise have been
eligible to apply under this announcement because the requirements of
section 7 of the U.S. Housing Act of 1937 (42 U.S.C. 1437e) regarding
designated housing plans are not applicable to IHAs.
Some PHAs currently administering the housing choice voucher and
certificate programs have, at the time of publication of this
SuperNOFA, major program management findings from Inspector General
audits, HUD management reviews, or independent public accountant (IPA)
audits that are open and unresolved or other significant program
compliance problems. HUD will not accept applications for additional
funding from these PHAs as contract administrators if, on the
application due date, the findings are either not closed, or sufficient
progress toward closing the findings has not been made to HUD's
satisfaction. The PHA must also, to HUD's satisfaction, be making
satisfactory progress in addressing any program compliance problems. If
the PHA wants to apply for funding under this announcement, the PHA
must submit an application that designates another housing agency,
nonprofit agency, or contractor, that is acceptable to HUD. The PHA's
application must include an agreement by the other housing agency,
nonprofit agency, or contractor to administer the new funding increment
on behalf of the PHA, and a statement that outlines the steps the PHA
is taking to resolve the program findings and program compliance
problems. Immediately after the publication of this SuperNOFA, the
local HUD Field Office will notify, in writing, those PHAs that are not
eligible to apply without such an agreement. Concurrently, the local
HUD Field Office will provide a copy of each such written notification
to the Grants Management Center. The PHA may appeal the decision in
writing, if HUD has mistakenly classified the PHA as having outstanding
management or compliance problems. Any appeal must
[[Page 12395]]
be accompanied by conclusive evidence of HUD's error (i.e.,
documentation showing that the finding has been cleared or satisfactory
progress toward closing the findings or addressing compliance problems
has been made) and must be received prior to the application deadline.
The appeal should be submitted to the local HUD Field Office where a
final determination shall be made. Concurrently, the local HUD Field
Office shall provide the Grants Management Center with a copy of its
written response to the appeal, along with a copy of the PHA's written
appeal. Major program management findings are those that would cast
doubt on the capacity of the PHA to effectively administer any new
housing choice voucher funding in accordance with applicable HUD
regulatory and statutory requirements.
(C) Eligible Participants. Only non-elderly disabled families that
are income eligible under 24 CFR 982.201(b)(1) and who live in public
housing that has been designated for occupancy by the elderly, or non-
elderly disabled families who are on the PHA's public housing waiting
list, may receive a voucher awarded in conjunction with an approved
designated housing plan. Such families need not be listed on the PHA's
housing choice voucher waiting list in order to be offered and receive
a housing choice voucher. These families may be admitted to the housing
choice voucher program as a special admission (24 CFR 982.203).
IV. Program Requirements and Definitions
In addition to the civil rights compliance and nondiscrimination
requirements listed in the General Section of this SuperNOFA, grantees
must meet the following program requirements:
(A) Affirmatively Furthering Fair Housing. Each successful
applicant will have a duty to affirmatively further fair housing.
Applicants will be required to identify the specific steps that they
will take to:
(1) Examine the PHA's own programs or proposed programs, including
an identification of any impediments to fair housing (identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in
its Consolidated Plan); develop a plan to (a) address those impediments
in a reasonable fashion in view of the resources available; and (b)
work with the local jurisdictions to implement any of the
jurisdictions' initiatives to affirmatively further fair housing; and
maintain records reflecting these analyses and actions;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific
activities cited in their responses under this announcement to address
affirmatively furthering fair housing.
(B) Certifications and Assurances. Each applicant is required to
submit signed copies of Assurances and Certifications. The standard
Assurances and Certifications are on Form HUD-52515, Funding
Application, which includes the Equal Opportunity Certification,
Certification Regarding Lobbying, and Certification Regarding Drug-Free
Workplace Requirements.
(C) Voucher Assistance Requirements.
(1) Housing Choice Voucher Program regulations. PHAs must
administer the housing choice vouchers received under this announcement
in accordance with HUD regulations and requirements governing the
Housing Choice Voucher Program.
(2) Housing Choice Voucher admission requirements. Housing choice
vouchers must be provided to eligible applicants in conformity with
regulations and requirements governing the Housing Choice Voucher
Program and the PHA's administrative plan.
(3) Turnover. When a voucher under this announcement becomes
available for reissue (e.g., the family initially selected for the
program drops out of the program or is unsuccessful in the search for a
unit), the rental assistance may be used only for another individual or
family eligible for assistance under this announcement subject to
appropriations for renewal funding, from the date the rental assistance
is placed under an annual contributions contract (ACC).
(D) PHA Responsibilities. In addition to PHA responsibilities under
the Housing Choice Voucher Program and HUD regulations concerning
nondiscrimination based on disability (24 CFR 8.28) and to
affirmatively further fair housing, PHAs that receive voucher funding
shall:
(1) Where requested by an individual, assist program participants
to gain access to supportive services available within the community,
but not require eligible applicants or participants to accept
supportive services as a condition of participation or continued
occupancy in the program.
(2) Identify public and private funding sources to assist
participants with disabilities in covering the costs of structural
alterations and other accessibility features that are needed as
accommodations for their disabilities.
(3) Not deny persons who qualify for a housing choice voucher under
this program other housing opportunities, or otherwise restrict access
to PHA programs to eligible applicants who choose not to participate.
(4) Provide housing choice voucher search assistance.
(5) In accordance with regulatory guidance, provide higher rent to
owners necessary for the provision of accessible units and structural
modifications for persons with disabilities.
(6) Provide technical assistance to owners for making reasonable
accommodations or making units accessible to persons with disabilities.
PHAs are encouraged to coordinate with/involve nonprofit disability
organizations in their meeting the requirements of sections 1, 2, 4 and
6 immediately above. PHAs are encouraged to seek out nonprofit
disability organizations in this regard due to such organizations'
capacity for assisting disabled families, and their in-depth knowledge
of the disability community and the available resources to assist
disabled persons.
(E) Definitions.
(1) Designated Housing Plan. A HUD-approved designated housing plan
required of PHAs seeking to designate a project/building (or portion
thereof) for occupancy by elderly families only, or elderly and
disabled families only. See section 10(a) of the Housing Opportunity
Extension Act of 1996 (Pub. L. 104-120, approved March 28, 1996) as
explained in Notice PIH 97-12 (HA), Requirements for Designation of
Public Housing Projects. This Notice was extended by Notice PIH 2000-20
(HA). Section 10(a) amended section 7 of the United States Housing Act
of 1937 (42 U.S.C. 1437e).
(2) Elderly Family. A family whose head of household, spouse, or
sole member is 62 years or older.
(3) Non-elderly Disabled Family. A family who is not elderly, and
whose head, spouse, or sole member is a person with disabilities. The
term ``non-elderly disabled family'' may include two or more such
persons with disabilities living together, and one or more such persons
with disabilities living with one or more persons who are determined
essential to the care and well-being of the person or persons with
disabilities (live-in aides).
(4) Person with disabilities. A person who--
(a) Has a disability as defined in section 223 of the Social
Security Act (42 U.S.C. 423), or
(b) Is determined to have a physical, mental or emotional
impairment that:
[[Page 12396]]
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live
independently; and
(iii) Is of such a nature that such ability could be improved by
more suitable housing conditions, or
(c) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C.
6001(5)).
The term ``person with disabilities'' does not exclude persons who
have the disease of acquired immunodeficiency syndrome (AIDS) or any
conditions arising from the etiologic agent for acquired
immunodeficiency syndrome (HIV).
Note: While the above definition of a ``person with
disabilities'' is to be used for purposes of determining a family's
eligibility for a housing choice voucher under this announcement,
the definition of a person with disabilities contained in section
504 of the Rehabilitation Act of 1973 and its implementing
regulations must be used for purposes of meeting the requirements of
Fair Housing laws, including providing reasonable accommodations.
No individual shall be considered a person with disabilities for
the purpose of determining eligibility solely on the basis of any drug
or alcohol dependence.
(5) Housing Choice Voucher search assistance. Assistance to
increase access by program participants to housing units in a variety
of neighborhoods (including areas with low poverty concentrations) and
to locate and obtain units suited to their needs.
V. Application Selection Process
After the Grants Management Center has screened PHA applications
and disapproved any applications found unacceptable for further
processing, the Grants Management Center will review all acceptable
applications (exclusive of the Designated Housing Plan portion of the
application--which is reviewed by the Special Application Center) to
ensure that they are technically adequate and responsive to the
requirements of this announcement of funding availability.
The Special Application Center will send to the Grants Management
Center the following information on each designated housing plan
submitted in conjunction with this announcement:
(1) A copy of the letter to the PHA approving or disapproving its
designated housing plan.
(2) Special Application Center contact person and telephone number.
HUD Headquarters will fund on a first-come, first-serve basis all
approvable applications from PHAs that are recommended for funding by
the Grants Management Center and that the Special Application Center
advises has an approved designated housing plan, based upon the date
and time the application is received in the Grants Management Center.
As PHAs are selected, the cost of funding the applications will be
subtracted from the funds available. In the event approvable
applications are received for more than the approximately $20 million
available under this announcement, funds will be transferred from the
approximately $20 million available under the announcement for non-
elderly disabled families not receiving housing assistance in certain
Section 8 project-based developments, or certain Section 202, Section
221(d)(3) or Section 236 developments, to the extent funds are not
needed for approvable applications under that announcement.
Applications will be funded for the total number of units requested by
the PHA and approved by the Grants Management Center in accordance with
this funding announcement for support of Designated Housing Plans. When
remaining budget authority is insufficient to fund the last selected
PHA application in full, however, HUD Headquarters will fund that
application to the extent of the funding available, unless the PHA's
application indicates that the PHA will only accept a higher number of
units. In that event, the next selected application shall be one that
has indicated a willingness to accept the lesser amount of funding for
the units available.
VI. Application Submission Requirements
(A) Form HUD-52515. All PHAs must complete and submit form HUD-
52515, Funding Application, for the Housing Choice Voucher Program
(Section 8), (dated January 1996). This form includes all necessary
certifications for Fair Housing, Drug Free Workplace and Lobbying
Activities. PHAs are requested to enter their housing authority code
number (for example, CT002), telephone number, facsimile number, and
electronic mail address in the same place at the top of the form where
they are also to enter the PHA's name and mailing address. The
information entered in Section B of the form for bedroom size and
number of requested units must bear a direct relationship to the
bedroom size and number of units designated in the PHA's designated
housing plan that will no longer be available for the future admission
of non-elderly disabled families. Section C of the form should be left
blank. A copy of Form HUD-52515 is included in the forms found in
Appendix B to the General Section of the SuperNOFA. Copies of the form
may also be downloaded from the HUD Home page site on the Internet's
world wide web (http://www.HUD.gov). (On the HUD website click on
``handbooks and forms,'' then click on ``forms,'' then click on ``HUD-
5'' and click on ``HUD-52515.'' The form must be completed in its
entirety, with the exception of Section C, signed and dated.
(B) Letter of Intent and Narrative. The PHA must state in its cover
letter to the application whether the PHA will accept a reduction in
the number of vouchers, and the minimum number of vouchers that the PHA
will accept, since the funding is limited and HUD may only have enough
funds to approve a smaller amount than the number of vouchers
requested. The maximum number of vouchers that a PHA may apply for
under this announcement is limited to 200.
(C) Approvable Designated Housing Plan. The application must
include an approvable plan to designate housing in accordance with
section 10(a) of the Housing Opportunities Extension Act of 1996 (Pub.
L. 104-120, approved March 28, 1996) as explained in Notice PIH 97-12
(HA), Requirements for Designation of Public Housing Projects. This
Notice was extended by Notice PIH 2000-20 (HA), dated May 8, 2000.
PHAs should also bear in mind that the regulations at 24 CFR
903.3(b) require PHAs to submit an Annual Plan which must provide a
statement regarding any public housing project (or portion thereof)
which the PHA plans to designate as elderly only or mixed elderly and
disabled {see 24 CFR 903.7 (h)(2)(i)}. Only those PHAs which are
designated by HUD as high performing PHAs, or are small PHAs (less than
250 public housing units) that are not designated as troubled, are
excluded from the requirement to address the designation of elderly and
disabled public housing units in the Annual Plan. The Special
Application Center will not process a designated housing plan if the
PHA's intent to designate is not covered in its Annual Plan.
(D) Designated Housing Plan Previously Approved. Any PHA wishing to
rely on a designated housing plan previously approved by HUD that did
not require housing choice vouchers or certificates for non-elderly
disabled families or that now requires more vouchers than previously
justified, will require the PHA to submit the information required in
sections (A) and (B) immediately above, a copy of the previously HUD-
approved designated
[[Page 12397]]
housing plan, and updated needs data supporting the need now for
vouchers not previously deemed necessary as an alternative housing
resource. The updated needs data should indicate why the PHA does not
have the appropriate resources to carry out the previously approved
plan, identify the number of vouchers needed for non-elderly disabled
families, and address the housing needs in its Consolidated Plan.
Conversely, any PHA wishing to rely on a designated housing plan
previously approved by HUD, contingent upon the PHA's future submission
of an application for housing choice vouchers or certificates as an
alternative housing resource for non-elderly disabled families, will
need to only submit the HUD-approval letter for the designated housing
plan in lieu of the plan itself (updated needs data also unnecessary).
(E) Statement Regarding the Steps the PHA Will Take to
Affirmatively Further Fair Housing. The areas to be addressed in the
PHA's statement should include, but not necessarily be limited to:
(1) The examination of the PHA's own programs or proposed programs,
including an identification of any impedimemts to fair housing
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair
Housing Choice in its Consolidated Plan); and a description of a plan
to (a) address those impediments in a reasonable fashion in view of the
resources available; and (b) work with local jurisdictions to implement
any of the jurisdictions' initiatives to affirmatively further fair
housing; and the maintenance of records reflecting these analyses and
actions;
(2) Remedy discrimination in housing for persons with disabilities
regardless of race, color, religion, sex, familial status, national
origin, or nature of disability; or (3) Promote fair housing rights and
fair housing choice.
(F) Moving to Work (MTW) PHA Information and Certification. See
section VII(B)(2)(c) regarding the information to be submitted by an
MTW PHA required to report under the Section 8 Management Assessment
Program (SEMAP) but not meeting the 95 percent lease-up or budget
authority utilization requirements, or the lease-up or budget authority
utilization certification to be submitted by an MTW PHA not required to
report under SEMAP.
(G) Multifamily Tenant Characteristics System (MTCS) Reporting
Certification. In order to be eligible to submit an application under
this announcement, the PHA must have had a minimum reporting rate of
not less than 85 percent for housing choice voucher and certificate
resident records to HUD's MTCS (see 24 CFR Part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must
submit a certification with its application certifying to having met
this requirement. In the event a PHA received less than an 85 percent
rate of reporting under MTCS for this period, the PHA will still be
considered to have passed the threshold requirement if: (1) it
subsequently achieved a minimum reporting rate of not less than 85
percent for public housing resident records under the MTCS as of the
December 2000 reporting period; or (2) the PHA was granted forbearance
by HUD under the applicable procedures under PIH Notice 2000-13 for the
semi-annual assessment period ending December 2000. In this latter
instance, the PHA must submit a certification with its application
indicating that it has either achieved such a minimum reporting rate as
of the December 2000 reporting period, or that it has obtained a
forbearance from HUD for the semi-annual assessment period ending
December 2000.
VII. Corrections to Deficient Applications
(A) Acceptable Applications. The application must include all of
the information specified in section VI, Application Submission
Requirements. The General Section of the SuperNOFA provides the
procedures for corrections to deficient applications.
(B) Unacceptable Applications.
(1) After the 14-calendar day technical deficiency correction
period, the Grants Management Center will disapprove all PHA
applications that the Grants Management Center determines are not
acceptable for processing. The Grant Management Center's notification
of rejection letter must state the basis for the decision.
(2) Applications from PHAs that fall into any of the following
categories will not be processed:
(a) Applications that do not meet the fair housing and civil rights
compliance threshold requirements of Section II(B) of the General
Section of the SuperNOFA.
(b) The PHA has major program management findings in an Inspector
General audit, HUD management review, or independent public accountant
(IPA) audit for its voucher or certificate programs that are not closed
or on which satisfactory progress in resolving the findings is not
being made; or program compliance problems for its voucher or
certificate programs on which satisfactory progress is not being made.
The only exception to this category is if the PHA has been identified
under the policy established in Section III(B) of this announcement and
the PHA makes application with a designated contract administrator.
Major program management findings are those that would cast doubt on
the capacity of the PHA to effectively administer any new housing
choice voucher funding in accordance with applicable HUD regulatory and
statutory requirements.
(c) The PHA has failed to achieve a lease-up rate of 95 percent for
its combined certificate and voucher units under contract for its
fiscal year ending in 1999. Category (c) may be passed, however, if the
PHA achieved a combined certificate and voucher budget authority
utilization rate of 95 percent or greater for its fiscal year ending in
1999. In the event the PHA is unable to meet either of these percentage
requirements, the PHA may still pass category (c) if the PHA submits
information to the Grants Management Center, as part of its
application, demonstrating that the PHA was able to either increase its
combined certificate and voucher lease-up rate to 95 percent or greater
for its fiscal year ending in 2000, or was able to increase combined
certificate and voucher budget authority utilization to 95 percent or
more for its fiscal year ending in 2000. PHAs that have been determined
by HUD to have passed either the 95 percent lease-up, or 95 percent
budget authority utilization requirement for their fiscal year ending
in 1999 will be listed on a HUD website: (www.hud.gov/grants), along
with this funding announcement. A PHA not listed must either submit
information (following the format of Appendix A of this announcement)
in its application supportive of its 95 percent lease-up or 95 percent
budget authority utilization performance for its fiscal year ending in
2000, or submit information (following the format of Appendix A of this
announcement) as part of its application supportive of its contention
that it should have been included among those PHAs HUD listed on the
HUD website as having achieved either a 95 percent lease-up rate or 95
percent budget authority utilization rate for fiscal years ending in
1999. Appendix A to this program section indicates the methodology and
data sources used by HUD to calculate the lease-up and budget authority
utilization percentage rates for PHAs with fiscal years ending in 1999.
Any PHA wishing to submit information to the Grants Management Center
in connection with its 1999 fiscal year or 2000 fiscal year for the
purposes described immediately above (so as to be eligible under
category (c) to submit an application) will be required to use
[[Page 12398]]
the same methodology and data sources indicated in Appendix A.
Moving To Work (MTW) agencies that are required to report under the
Section 8 Management Assessment Program (SEMAP) shall be held to the 95
percent lease-up and budget authority utilization requirements
referenced above, except where such an MTW agency provides information
in its application demonstrating to HUD that a lower percentage is the
result of the implementation of specific aspects of its program under
its MTW Agreement with HUD. MTW agencies which are not required to
report under SEMAP must submit a certification with their application
certifying that they are not required to report under SEMAP, and that
they meet the 95 percent lease-up or budget authority utilization
requirements.
PHAs not currently administering a certificate or voucher program,
or who received voucher funding for the first time for FY 2000 will not
be subject to the 95 percent lease-up or budget authority utilization
requirements of this section (c).
(d) The PHA is involved in litigation and HUD determines that the
litigation may seriously impede the ability of the PHA to administer
the vouchers.
(e) An application that does not comply with the requirements of 24
CFR 982.102 and this program section after the expiration of the 14-
calendar day technical deficiency correction period will be rejected
from processing.
(f) The application was submitted after the application due date.
(g) The application was not submitted to the official place of
receipt as indicated in the paragraph entitled ``Address for Submitting
Applications'' at the beginning of this announcement.
(h) The applicant has been debarred or otherwise disqualified from
providing assistance under the program.
(i) The applicant has failed to achieve a minimum 85 percent
submission rate for housing choice voucher and certificate resident
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see
24 CFR Part 908 and Notices PIH 98-30 and 2000-13), for the period
ending December 1999, and December 2000, and did not receive HUD
forbearance.
VIII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(11) of the HUD regulations,
tenant-based rental activities under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (NEPA) and are not subject to environmental review under the
related laws and authorities.
IX. Authority
Authority for this program is found in the Departments of Veteran's
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, FY 2001 (Pub.L. 106-377, approved October 27,
2000). This FY 2001 Appropriations Act authorized appropriations for
housing choice vouchers to assist non-elderly disabled families
affected by the establishment of preferences in accordance with section
651 of the Housing and Community Development Act of 1992, or the
restriction of occupancy to elderly families in accordance with section
658 of the Act. The FY 2000 Appropriations Act also allows the
Secretary to transfer any unobligated funds for this purpose to assist
non-elderly disabled families to the extent they are not needed under
Sections 651 and 658 for such families. Therefore, any funds remaining
unobligated under this program section of this SuperNOFA will be used
first to fund any approvable applications under the Rental Assistance
for Non-Elderly Persons With Disabilities in Support of Designated
Housing Plans program for which there are insufficient funds.
Thereafter, any funds still remaining unobligated will be used to fund
applications under the Mainstream Program in the SuperNOFA.
Appendix A--Methodology for Determining Lease-Up and Budget
Authority Utilization Percentage Rates
Using data from the HUDCAPS system, HUD determined which PHAs
met the 95% budget authority utilization or 95% lease-up criteria.
The data used in the determination was based on PHA fiscal years
ending in 1999. The budget authority utilization and lease-up rates
were determined based upon the methodology indicated below.
Budget Authority Utilization
Percentage of budget authority utilization was determined by
comparing the total contributions required to the annual budget
authority (ABA) available for the PHA 1999 year combining the
certificate and voucher programs.
Total contributions required were determined based on the
combined actual costs approved by HUD on the form HUD-52681, Year
End Settlement Statement. The components which make up the total
contributions required are the total of housing assistance payments,
ongoing administrative fees earned, hard to house fees earned, and
IPA audit costs. From this total any interest earned on
administrative fees is subtracted. The net amount is the total
contributions required.
ABA is the prorated portion applicable to the PHA 1999 year for
each funding increment which had an active contract term during all
or a portion of the PHA year.
Example
PHA ABC Fiscal Year 10/1/98 Through 9/30/99
[HUD 52681 approved data]
------------------------------------------------------------------------
------------------------------------------------------------------------
HAP........................................................ $2,500,000
Administrative fee......................................... 250,000
Hard to House fee.......................................... 1,000
Audit...................................................... 2,000
------------
Total.................................................. 2,753,000
Interest earned on administrative fee...................... (2,500)
Total contributions required........................... 2,750,500
------------------------------------------------------------------------
Calculation of Annual Budget Authority
------------------------------------------------------------------------
Increments and contract term Total BA ABA
------------------------------------------------------------------------
001 11/01/98-10/31/99.................. $1,300,000 $1,191,667
002 01/01/99-12/31/99.................. 1,200,000 900,000
003 04/01/99-03/31/00.................. 950,000 475,000
004 07/01/99-06/30/00.................. 1,500,000 375,000
-------------------------------
Totals.............................. 4,950,000 2,941,667
Budget Authority Utilization:
Total contributions required........ 2,750,000
divided by
Annual budget authority............. 2,941,667
equals
Budget Authority Utilization 93.5
(percent)..........................
------------------------------------------------------------------------
[[Page 12399]]
Lease-up Rate
The lease-up rate was determined by comparing the contract units
(funding increments active as of the end of the PHA 1999 year) to
the unit months leased (divided by 12) reported on the combined HUD
52681, Year End Settlement Statement(s) for 1999.
Active funding increments awarded by HUD for special purposes
such as litigation, relocation/replacement, housing conversions,
Welfare to Work, and new units awarded to the PHA during the last
twelve months were excluded from the contract units as the
Department recognizes that many of these unit allocations have
special requirements which require extended periods of time to
achieve lease-up.
Example
------------------------------------------------------------------------
Increments and contract term Units
------------------------------------------------------------------------
001 11/01/98-10/31/99........................................ 242
002 01/01/99-12/31/99........................................ 224
003 04/01/99-03/31/00........................................ 178
004 07/01/99-06/30/00........................................ 280
---------
Totals.................................................... 924
Increment 003 litigation...................................... (178)
Adjusted contract units....................................... 746
Unit months leased reported by PHA............................ 8,726
divided by 12............................................... 727
Units leased.................................................. 727
Lease-up rate:
Units leased................................................ 727
divided by adjusted contract units........................ 746
equals
Lease-up rate (percent)..................................... 97.4
------------------------------------------------------------------------
BILLING CODE 4210-32-P
[[Page 12400]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12401]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.388
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12402]]
[[Page 12403]]
FUNDING AVAILABILITY FOR RENTAL CERTIFICATE/HOUSING CHOICE VOUCHER
FAMILY SELF-SUFFICIENCY (FSS) PROGRAM COORDINATORS
Program Overview
Purpose of Program. The Rental Certificate/Housing Choice Voucher
FSS program (referred to in previous NOFAs as the Section 8 FSS
program) is intended to promote the development of local strategies to
coordinate the use of assistance under the Rental Certificate and
Housing Choice Voucher programs with public and private resources to
enable participating families to achieve economic independence and
self-sufficiency. An FSS program coordinator assures that program
participants are linked to the supportive services they need to achieve
self-sufficiency. Funding under this NOFA is not available to pay the
salary of an FSS coordinator for a public housing FSS program.
Operating subsidy may be used to fund the salary of a public housing
FSS coordinator.
Available Funds. This NOFA announces the availability of up to $45
million in Fiscal Year (FY) 2001 to fund Rental Certificate/Housing
Choice Voucher FSS program coordinators.
Eligible Applicants. Public housing agencies (PHAs) eligible to
receive funding under this NOFA are: (1) those that received funding
under the FY 2000 NOFA or one of the FY 1999 NOFAs for Rental
Certificate/Housing Choice Voucher FSS Program Coordinators and that
continue to operate an FSS program; (2) PHAs that were not funded under
one of the FY 1999 or FY 2000 FSS NOFAs that are authorized through
their HUD-approved FSS Action Plan to administer a Rental Certificate/
Housing Choice Voucher FSS program of at least 25 slots; or, if they
are PHAs with HUD approval to administer Rental Certificate/Housing
Choice Voucher FSS programs of fewer than 25 slots, they apply jointly
with one or more other PHAs so that between or among them they have HUD
approval to administer at least 25 Rental Certificate/Housing Choice
Voucher FSS slots.
Under this NOFA, both the voluntary Rental Certificate/Housing
Choice Voucher FSS slots and the mandatory Rental Certificate/Housing
Choice Voucher FSS slots reflected in the PHA's HUD-approved FSS Action
Plan are counted in determining the PHA's Rental Certificate/Housing
Choice Voucher FSS program size.
All awards are subject to a cap of $60,000 per full time
coordinator position funded. Evidence of salary comparability to
positions in the local jurisdiction for each position must be kept on
file in the PHA office.
There is no maximum Rental Certificate/Housing Choice Voucher
program size limit cap for PHAs eligible to apply for funding under
this NOFA.
Application Deadline. April 25, 2001.
Match. None
Additional Information
If you are interested in applying for funding for Rental
Certificate/Housing Choice Voucher FSS Program Coordinator funding
under this NOFA, please review carefully the General Section of this
SuperNOFA and the following additional information.
I. Application Due Date, Application Kits, and Technical Assistance
Application Due Date. Submit your completed application (an
original and two copies) to HUD on or before 12 midnight, Eastern time,
on April 25, 2001.
See the General Section of this SuperNOFA for specific procedures
concerning the form of application submission (i.e., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications. Your completed application
consists of one original and two copies. Submit your original
application and one copy with an Acknowledgment of Application Receipt,
form HUD-2993, to: Michael E. Diggs, Director, PIH Grants Management
Center, U.S. Department of Housing and Urban Development, 501 School
Street, Suite 800, Washington, DC 20024. Applications which are hand
carried or sent via overnight delivery service should be delivered to
this address. The Grants Management Center is the official place of
receipt for all applications in response to this announcement of
funding availability. Your application will be accepted at this address
until 6:00 pm, Eastern time, on the application deadline.
After 6:00 pm on the application deadline date, applications will
be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street,
SW, Washington, DC 20410, until 12:00 midnight Eastern time.
Submit the second copy of your application to your local HUD Field
Office Hub or local HUD Field Office Program Center. A listing of HUD
Field Offices is attached to the General Section of this SuperNOFA.
For Application Kits. There is no application kit for this NOFA.
This announcement contains all the information necessary for the
submission of your application for Rental Certificate/Housing Choice
Voucher FSS program coordinator funding.
For Further Information and Technical Assistance. For answers to
your questions, you may contact the Public and Indian Housing Resource
Center at 1-800-955-2232 or the Hub Director of Public Housing or the
Program Center Coordinator in the local HUD Field Office or you may
contact the Grants Management Center at (202) 358-0221, extension 118.
Hearing-or speech-impaired individuals may call HUD's TTY number 1-800-
877-8339, the Federal Information Relay Service TTY, (this is a toll
free number). Information can be accessed via the Internet at http://www.hud.gov.
Prior to the application deadline, staff at the numbers given above
will be available to provide general guidance, but not guidance in
actually preparing the application. Following selection, but prior to
award, HUD staff will be available to assist in clarifying or
confirming information that is a prerequisite to the offer of an award
by HUD.
Satellite Broadcast. HUD plans to hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD web site at
www.hud.gov.
II. Amount Allocated
For FY 2001, up to $45 million may be made available for PHA
administrative fees for Rental Certificate/Housing Choice Voucher FSS
program coordinators. This amount is from HUD's Congressional
justifications that were submitted in support of the Departments of
Veterans Affairs and Housing and Urban Development, and Independent
Agencies Appropriations Act, 2001 (Pub.L. 106-377, approved October 27,
2000). This is the eighth fiscal year of funding for Rental
Certificate/Housing Choice Voucher FSS program coordinators.
HUD Corrections to Funding Provided Under the FY 2000 NOFA
If prior to award of funding under the FY 2001 Rental Certificate/
Housing Choice Voucher FSS NOFA, HUD determines that any PHAs have been
underfunded in amounts awarded under the FY 2000 FSS Program
Coordinator NOFA, before funding any applications under the FY 2001
NOFA, the Department will increase funding of the FY 2000 awards to the
amount that the PHAs should have received under the
[[Page 12404]]
FY 2000 NOFA with funding available under the FY 2001 FSS NOFA.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. Through annual NOFAs, HUD has provided
funding to PHAs that are operating a Rental Certificate/Housing Choice
Voucher FSS program to enable those PHAs to hire a Rental Certificate/
Housing Choice Voucher FSS program coordinator.
In this FY 2001 FSS Program Coordinator NOFA, HUD is making
sufficient funding available to fund all applicants that received
funding under either the FY 1999 or FY 2000 FSS program coordinator
NOFAs to allow those PHAs to continue to pay a Rental Certificate/
Housing Choice Voucher FSS program coordinator for another year.
Because of the importance of the FSS program in helping families
increase earned income and develop assets, HUD is also making a
sufficient amount available under this FY 2001 FSS NOFA to enable
``new'' PHAs that were not funded in FY 1999 or FY 2000 to apply. Each
of these ``new'' PHAs may apply for funding to hire at least one Rental
Certificate/Housing Choice Voucher FSS program coordinator for one year
at a reasonable cost, as determined by the PHA based on salaries for
similar positions in the locality. Under this NOFA, for the first time
both new and renewal state and regional PHAs that administer Rental
Certificate/Housing Choice Voucher FSS programs in different parts of
their jurisdiction may apply for up to one full time Rental
Certificate/Housing Choice Voucher FSS program coordinator in each area
where they have HUD approval to administer a separate Rental
Certificate/Housing Choice Voucher FSS program of at least 25 slots.
Because the workload of a large FSS program is too heavy for a
single FSS program coordinator, this NOFA invites each eligible new and
renewal PHA with HUD-approval to operate a Rental Certificate/Housing
Choice Voucher FSS program of 100 slots in a single jurisdiction to
apply for up to one full time coordinator for each 50 HUD-approved
slots above their initial 50 Rental Certificate/Housing Choice Voucher
FSS program slots. A state or regional agency with HUD approval to
operate a Rental Certificate/Housing Choice Voucher FSS program of 100
or more slots in more than one part of its jurisdiction may apply for
one or more full time Rental Certificate/Housing Choice Voucher FSS
program coordinator for each additional 50 approved FSS slots above the
initial 50 Rental Certificate/Housing Choice Voucher slot level in that
area.
(B) Eligible Applicants. Subject to the availability of sufficient
funding, all PHAs in the following categories are eligible applicants
under this NOFA:
(1) PHAs that received funding under one of the FY 1999 NOFAs or
the FY 2000 NOFAs for Rental Certificate/Housing Choice Voucher FSS
program coordinators that are still operating FSS programs will be
funded in FY 2001, except those PHAs submitting applications that are
ineligible under Section VII.(B) of this NOFA, provided the PHA
continues to operate an FSS program, has hired an FSS program
coordinator with funding awarded for that purpose under one of the FY
1999 FSS or FY 2000 FSS program coordinator NOFAs, and has made
progress in implementing the FSS program demonstrated by having
completed activities in each of the categories in section 2 of the
required Attachment A certification of this NOFA. Subject to the
availability of funds, the eligible PHAs funded in FY 1999 or FY 2000
will receive 103 percent of the latest of its FY 1999 or FY 2000
funding (not to exceed $60,000) unless the PHA requests a higher or
lower amount. All awards are subject to the cap of $60,000 per full
time FSS program coordinator position. HUD will not provide FY 2001
funding to any PHA that received Rental Certificate/Housing Choice
Voucher FSS Program Coordinator funding in FY 1999 or FY 2000 that does
not comply with all of the above requirements.
(2) PHAs, including state and regional PHAs, that did not receive
Rental Certificate/Housing Choice Voucher FSS program coordinator
funding in either FY 1999 or FY 2000, are eligible to apply under this
NOFA if the PHA has a HUD-approved FSS Action Plan authorizing the PHA
to administer a Rental Certificate/Housing Choice Voucher FSS program
of at least 25 FSS slots. PHAs with HUD approval to administer Rental
Certificate/Housing Choice Voucher FSS programs of fewer than 25 slots
may also apply if they apply jointly with one or more other PHAs so
that between or among the PHAs they have HUD approval to administer at
least 25 Rental Certificate/Housing Choice Voucher FSS slots. If PHAs
apply jointly, the $60,000 maximum amount that may be requested applies
to each full time coordinator position in the application as a whole,
not to each PHA separately. Joint applicants must specify a lead co-
applicant which will receive and administer the FSS program coordinator
funding.
(3) State and regional PHAs that are eligible under (1) or (2) of
this section may also apply for up to one additional Rental
Certificate/Housing Choice Voucher FSS program coordinator for each
portion of their jurisdiction where they have HUD approval to operate a
Rental Certificate/Housing Choice Voucher FSS program of at least 25
slots.
(4) PHAs that are eligible applicants under (1), (2) or (3) of this
section, with HUD approval to operate a Rental Certificate/Housing
Choice Voucher FSS program of 100 or more slots may apply for one
Rental Certificate/Housing Choice Voucher FSS program coordinator for
each 50 HUD approved Rental Certificate/Housing Choice Voucher FSS
slots above the first 50 approved slots in the PHA's Rental
Certificate/Housing Choice Voucher FSS program. A state or regional PHA
that has applied under this NOFA for FSS coordinators in different
parts of its jurisdiction may apply for additional coordinators in any
area where it is authorized to operate a Rental Certificate/Housing
Choice Voucher program of 100 or more slots. In each of these areas,
the PHA may apply for up to one additional coordinator for each 50 HUD
approved Rental Certificate/Housing Choice Voucher Program FSS slots
above the first 50 slots in the PHA's Rental Certificate/Housing Choice
Voucher FSS Program.
(C) Eligible Activities. Funds are available to PHAs under this
NOFA to employ or otherwise retain the services of Rental Certificate/
Housing Choice Voucher FSS program coordinators for one year. A part-
time Rental Certificate/Housing Choice Voucher FSS program coordinator
may be retained where appropriate. In the Rental Certificate/Housing
Choice Voucher FSS program, PHAs are required to use rental assistance
under the Rental Certificate and Housing Choice Voucher programs
together with public and private resources to provide supportive
services to enable participating families to achieve economic
independence and self-sufficiency. Effective delivery of supportive
services is a critical element in a successful FSS program. The FSS
program supports the Department's objective of helping poor and
disadvantaged families and individuals become self-sufficient and
develop assets. The program provides critical tools that can be used by
communities to support welfare reform and help families develop new
skills that will lead to increased wages and self sufficiency.
[[Page 12405]]
IV. Program Requirements
(A) Program Coordinator Role. PHAs administering the FSS program
use program coordinating committees (PCCs) to assist them to secure
resources and implement the FSS program. The PCC is made up of
representatives of local government, job training and employment
agencies, local welfare agencies, educational institutions, child care
providers, nonprofit service providers, and businesses.
An FSS program coordinator works with the PCC and with local
service providers to assure that program participants are linked to the
supportive services they need to achieve self-sufficiency. The FSS
program coordinator may ensure, through case management, that the
services included in participants' contracts of participation are
provided on a regular, ongoing and satisfactory basis, and that
participants are fulfilling their responsibilities under the contracts.
(B) Staffing Guidelines. Under normal circumstances, a full-time
FSS program coordinator should be able to serve approximately 50 FSS
participants, depending on the coordinator's case management functions.
(C) Other Requirements. In addition to the civil rights compliance
and nondiscrimination requirements listed in the General Section of
this SuperNOFA, PHAs must meet the following program requirements:
(1) Affirmatively Furthering Fair Housing. Each successful
applicant will have a duty to affirmatively further fair housing. After
the application is approved, applicants will be required to identify
the specific steps that they will take to (a) address the elimination
of impediments to fair housing that were identified in the
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice; (b)
remedy discrimination in housing; or (c) promote fair housing rights
and fair housing choice. Further, applicants have a duty to carry out
the specific activities cited in their responses in a manner which will
affirmatively further fair housing.
V. Application Selection Process
The funds available under this NOFA are not being awarded on a
competitive basis. The Department anticipates that there will be
sufficient funds available under the NOFA to fund all applications that
meet the NOFA requirements. Applications will be reviewed by the Grants
Management Center (GMC) to determine whether or not they are
technically adequate based on the NOFA requirements. Categories of
applications that will not be funded are stated in section VII(B) of
this NOFA.
All technically adequate applications will be funded to the extent
funds are available. If HUD receives applications for funding greater
than the amount made available under this NOFA, HUD will fund eligible
applicants as follows: Applications will be divided into three
categories of funding priority:
Priority 1--Applications from PHAs, including state and regional
PHAs, for continuation of the position most recently funded under
either the FY 1999 for FY 2000 FSS NOFA.
Priority 2--Priority 2 will consist of:
(a) Applications for up to one initial FSS coordinator position
from PHAs that were not funded under the FY 1999 and FY 2000 FSS NOFAs
including, for state and regional PHAs with HUD approval to operate FSS
programs in different parts of their jurisdictions, up to one FSS
coordinator position per area where they are authorized to operate a
Rental Certificate/Housing Choice Voucher FSS program of at least 25
FSS slots.
(b) Applications from Priority 1 state and regional PHAs for up to
one full time FSS program coordinator position in any area where they
are authorized to operate a Rental Certificate/Housing Choice Voucher
FSS program of at least 25 FSS slots, but have not received funding
under this NOFA for a full time FSS program coordinator position for
the area.
Priority 3--Applications for one or more additional FSS
coordinators submitted by PHAs eligible for funding in Priority 1 and 2
categories above with HUD approval to operate a Rental Certificate/
Housing Choice Voucher FSS program of 100 or more slots.
HUD will first fund all eligible Priority 1 applications to
continue funding for up to one full time Rental Certificate/Housing
Choice Voucher FSS program coordinator. If funding remains, HUD will
then provide funding to eligible Priority 2 applicants for up to one
Rental Certificate/Housing Choice Voucher FSS program coordinator
position per PHA, or in the case of state and regional PHAs up to one
full time coordinator for each area where they are authorized to
operate a Rental Certificate/Housing Choice Voucher program of at least
25 slots. If there is insufficient funding for all Priority 2
applicants, funding will be awarded to applicants in Rental
Certificate/Housing Choice Voucher program size order starting from the
PHAs with the smallest total combined Rental Certificate/Housing Choice
Voucher programs first. Rental Certificate/Housing Choice Voucher
program size will be determined by HUD using baseline data developed by
the Department. If there are not sufficient monies to fund all
applications from Priority 2 PHAs with the same combined Rental
Certificate/Housing Choice Voucher program size, funding will be
provided based on the size of the PHA's Rental Certificate/Housing
Choice Voucher FSS program, reflected in the PHA's HUD-approved Rental
Certificate/Housing Choice Voucher FSS Action Plan, starting with the
largest approved Rental Certificate/Housing Choice Voucher FSS program
first.
If monies remain after funding all eligible Priority 2
applications, Priority 3 applications will be funded for up to the full
number of additional FSS coordinator slots for which the PHA is
eligible and which it has requested in its application. If there are
not sufficient monies to fund all eligible Priority 3 applicants,
applications will be funded in two stages. In stage 1, PHAs will first
be sorted into three categories by HUD-approved FSS program size as
follows: (a) PHAs with HUD approval to operate Rental Certificate/
Housing Choice Voucher FSS programs of 1,000 or more slots; (b) PHAs
with HUD approval to operate Rental Certificate/Housing Choice Voucher
FSS programs of 500 to 999 slots; and (c) PHAs with approval to operate
Rental Certificate/Housing Choice Voucher FSS programs of 100 to 499
slots. In determining the FSS program size of a state or regional PHA
that operates FSS programs in more than one area of their jurisdiction,
the total number of approved slots for the entire PHA FSS program will
be used to determine the appropriate size category for Priority 3
funding. HUD will then determine if there is sufficient funding to
provide each eligible PHA with 1,000 or more slots with up to 5
additional coordinators, PHAs with 500 to 999 slots with three
additional coordinators and PHAs with 100 to 499 slots with 1
additional coordinator. If not, HUD will begin awarding funding
requests from the PHAs with the largest HUD-approved FSS programs
first.
If after funding all eligible positions requested in stage 1
funding remains, HUD will begin funding remaining applications in a
second stage for up to the full number of positions each PHA is
eligible to receive and has requested starting with the PHAs with the
largest size HUD-approved FSS program first. In stage 2, state and
regional PHAs approved to operate FSS programs may receive the full
amount of eligible positions requested in each part of their
jurisdiction where they are approved to operate a program of 100 or
more FSS slots. If insufficient funding is available to fund for each
separate area where the state or regional PHA operates the FSS
[[Page 12406]]
program, the PHA may decide how the total funding available in stage 2
will be divided among the areas where it operates its FSS program.
If there is insufficient money remaining to fully fund the last
application funded in any of the above priority categories, HUD will
provide residual funding to that application in an amount less than the
amount requested by the PHA, unless the PHA is unwilling to accept the
lower amount.
If funding remains after all eligible applications submitted in
response to this NOFA are funded, the Grants Management Center will use
any funding still available through the end of FY 2001 to fund
applications submitted after the due date of this NOFA that meet all
other requirements of this NOFA. These applications will be funded on a
first-come, first-serve basis through September 30, 2001 as long as
funds are available.
VI. Application Submission Requirements
(A) Application Requirement for PHAs that Received FY 1999 or FY
2000 FSS Program Coordinator Funding. Each PHA that received funding
for a Rental Certificate/Housing Choice Voucher FSS program coordinator
under one of the FY 1999 NOFAs or under the FY 2000 FSS NOFA that
wishes to receive funding under this NOFA must complete a certification
in the format shown as ``Attachment A'' of this NOFA, and must include
all information required in ``Attachment A'' of this FSS NOFA. The
completed Attachment A certification along with the Fair Housing
Certification (Attachment C of this NOFA) and the Certification
Regarding Lobbying (Attachment D of this NOFA) constitute the entire
PHA application for funding under this section. These certifications
must be submitted to the GMC by the due date to be eligible for the
initial round of funding under this NOFA.
(B) Request for FSS Program Coordinator Funds by Eligible PHAs that
were not Funded in FY 1999 or FY 2000. PHAs that did not receive
funding under the FY 1999 or FY 2000 FSS Program Coordinator NOFAs must
complete a certification in the format shown as ``Attachment B'' of
this FSS NOFA and must include all information required in Attachment
B. The completed Attachment B certification along with the Fair Housing
Certification (Attachment C of this NOFA) and the Certification
Regarding Lobbying (Attachment D of the NOFA) constitute the entire PHA
application for funding under this section. These certifications must
be submitted to the GMC by the due date to be considered for funding
for the initial round of funding under this NOFA.
(C) Fair Housing Certification and Certification Regarding
Lobbying. All PHAs applying for funding under this NOFA must submit the
Certification Regarding Fair Housing and Equal Opportunity which is
included as Attachment C of this NOFA and the Certification Regarding
Lobbying which is Attachment D of this NOFA.
VII. Corrections to Deficient Applications
(A) Acceptable Applications. The General Section of the SuperNOFA
provides the procedures for corrections to deficient applications.
(B) Unacceptable Applications
(1) After the 14-calendar day technical deficiency correction
period (as provided in the General Section), the GMC will disapprove
PHA applications that it determines are not acceptable for processing
under the initial round of funding. The HUD notification of rejection
letter must state the basis for the decision.
(2) Applications from PHAs that fall into any of the following
categories are ineligible for funding under this NOFA and will not be
processed:
(a) An application from a PHA that is not an eligible PHA under
III.(B) of this NOFA or an application that does not comply with the
requirements of VI. of this NOFA.
(b) An application from a PHA that does not meet the requirements
of fair housing and civil rights compliance requirements of Section
II(B) of the SuperNOFA.
(c) An application from a PHA that at the end of the 14-calendar
day technical correction period has not made progress satisfactory to
HUD in resolving serious outstanding Inspector General audit findings,
or serious outstanding HUD management review or independent public
accountant (IPA) audit findings for one or more of the following
programs: Housing Choice Voucher, Rental Certificate or Moderate
Rehabilitation. Serious program management findings are those that
would cast doubt on the capacity of the PHA to administer its Rental
Certificate/Housing Choice Voucher programs in accordance with
applicable HUD regulatory and statutory requirements.
(d) The application was not submitted to the official place of
receipt as indicated in the paragraph entitled ``Address for Submitting
Applications'' at the beginning of this announcement.
(e) The applicant has been debarred or otherwise disqualified from
providing assistance under the program.
(3) Otherwise eligible applications that are not received by the
due date of this NOFA will not be funded unless funds remain available
after all eligible applications received by the due date have been
funded. If at that time all the funding under this NOFA has not been
awarded, then otherwise eligible applications received after the due
date will be funded on a first come, first serve basis through the end
of FY 2001, as long as funding remains available. If more than one such
application is received at the same date and time, the application from
the PHA with the smallest combined Rental Certificate/Housing Choice
Voucher program will be funded first.
VIII. Environmental Requirements
No environmental review is required in connection with the award of
assistance under this NOFA, because the NOFA only provides funds for
employing a coordinator that provides public and supportive services,
which are categorically excluded from environmental review under the
National Environmental Policy Act of 1969 (42 U.S.C. 4321) and not
subject to compliance actions for related environmental authorities
under 24 CFR 50.19(b)(4) and (12).
IX. Authority
The Departments of Veterans Affairs and Housing and Urban
Development and Independent Agencies Appropriations Act, 2001 (Pub.L.
106-377, approved October 27, 2000) allows funding for program
coordinators under the Rental Certificate/Housing Choice Voucher FSS
program. As a result, the Department determined to make a sufficient
amount available under this NOFA, under Part 984, in accordance with
section 984.302(b), to enable PHAs to employ one or more Rental
Certificate/Housing Choice Voucher FSS program coordinator for one year
at a reasonable cost as determined by the PHA and HUD, based on
salaries for similar positions in the locality.
Attachment A--Required Certification Format for FY 2001 Rental
Certificate/Housing Choice Voucher FSS Program Coordinator Funding for
PHAs That Received Funding Under a FY 1999 or FY 2000 Rental
Certificate/Housing Choice Voucher FSS Program Coordinator NOFA
Mr. Michael E. Diggs, Director, Grants Management Center, 501 School
Street, Suite 800, Washington, DC 20024
Dear Mr. Diggs: In connection with the FY 2001 NOFA for Rental
Certificate/Housing Choice Voucher FSS program coordinators, I
hereby certify for the ______ (enter PHA name. For joint
applications, please indicate the names of all co-applicants and
identify
[[Page 12407]]
the lead PHA that received and administered funds received under the
FY 1999 or FY 2000 NOFA.) that:
(1) The PHA received funding under the FY ______ FSS program
coordinator NOFA (enter either FY 1999 or FY 2000 as appropriate),
continues to operate an FSS program and has hired (Enter name of
coordinator) as its FSS program coordinator at a salary of (Enter
salary amount) using HUD funds provided for that purpose on ______
(enter the most recent ACC effective date for funding received by
the PHA under the Rental Certificate/Housing Choice Voucher FY 1999
or FY 2000 FSS program coordinator funding increment), and
(2) The PHA has (check all that apply):
____ (a) Formed and convened an FSS program coordinating committee,
____ (b) Obtained HUD approval of its FSS action plan,
____ (c) Executed contracts of participation with FSS participants.
(3) The PHA is/is not (indicate appropriate choice) a state or
regional PHA operating separate Rental Certificate/Housing Choice
Voucher FSS programs in more than one part of its jurisdiction.
(4) Total number of Rental Certificate/Housing Choice Voucher
FSS program slots based on the number of FSS slots (both voluntary
and mandatory) identified in the PHA's HUD-approved Action Plan OR,
when PHAs are applying jointly, the combined total of Rental
Certificate/Housing Choice Voucher FSS program slots in the HUD-
approved Action Plans of the PHAs: ______. (A State or regional PHA
applying for coordinator positions for programs operated in
different parts of its jurisdiction must identify below in (7) each
area where it is authorized to operate a program and the number of
slots approved for each area.)
(5) Total Number of Rental Certificate/Housing Choice Voucher
program coordinator positions requested under the FY 2001 Rental
Certificate/Housing Choice Voucher FSS NOFA: ______.
(6) Rental Certificate/Housing Choice Voucher FSS Program
Coordinator Salary level requested under this NOFA to continue the
FSS program coordinator position that was funded under the FY 1999
or FY 2000 FSS NOFA based on salaries for comparable jobs: ______.
(7) (If applicable) Rental Certificate/Housing Choice Voucher
FSS program coordinator salary level for each position requested,
based on comparables, for any Rental Certificate/Housing Choice
Voucher FSS program coordinator positions other than the position
described in (6) above. (State/regional agencies applying for one or
more positions in more than one location in their jurisdiction, must
provide information in the format below for each location where
positions are requested. If positions for the location are at
different Salary levels, indicate the number of positions at each
Salary level. Location: ____ # of approved slots: ____ # of
positions requested: ____ Salary: ____)
(8) Evidence demonstrating salary comparability to similar
positions in the local jurisdiction for each of the above positions
is on file at the PHA.
If there are any questions, please contact ______ at ______
Sincerely,
Executive Director
Attachment B--Required Format for Certification from PHAs that Did Not
Receive Rental Certificate/Housing Choice Voucher FSS Program
Coordinator Funding under FY 1999 or FY 2000 NOFAs
Mr. Michael E. Diggs, Director, Grants Management Center, 501 School
Street, Suite 800, Washington, DC 20024
Dear Mr. Diggs: In connection with the FY 2001 NOFA for FSS
program coordinators, this is a request for funds to pay the salary
of ______ (Enter number of positions) Rental Certificate/Housing
Choice Voucher FSS program coordinators for one year. I hereby
certify for the ______ (Enter PHA name. For joint applications,
indicate the names of all co-applicants and identify the lead PHA
that will receive and administer the funding requested under this
NOFA.) that:
1. The total number of HUD-approved Rental Certificate/Housing
Choice Voucher FSS program slots (both voluntary and mandatory)
identified in the PHAs HUD-Approved FSS Action Plan OR when PHAs are
applying jointly, the combined total of Rental Certificate/Housing
Choice Voucher FSS program slots in the HUD-approved Action plans of
the PHAs: ____
2. The PHA is/is not (indicate appropriate choice) a State or
regional PHA operating separate Rental Certificate/Housing Choice
Voucher FSS programs in more than one part of its jurisdiction.
3. Rental Certificate/Housing Choice Voucher FSS Program
Coordinator salary level for each position requested based on
salaries for comparable jobs. (If funding is being requested by a
state or regional PHA for one or more positions in more than one
location in their jurisdiction, the PHA must provide information in
the format below for each location where positions are requested. If
positions for the location are at different Salary levels, indicate
the number of positions at each Salary level. Location: ____ # of
approved FSS slots: ____ # of positions requested: ____ Salary:
____)
4. Evidence demonstrating salary comparability to similar
position in the local jurisdiction is on file in the PHA office.
If there are any questions, please contact ____ at ____.
Sincerely,
Executive Director
Attachment C--Fair Housing and Equal Opportunity Certifications
The housing agency (PHA) certifies that in administering the
funding for the Rental Certificate/Housing Choice Voucher Family
Self-Sufficiency program coordinators it will comply with the
requirements of the Fair Housing Act, Title VI of the Civil Rights
Act of 1964, section 504 of the Rehabilitation Act of 1973, and the
Age Discrimination Act of 1975, and will affirmatively further fair
housing. CDBG recipients also must certify to compliance with
section 109 of the Housing and Community Development Act.
----------------------------------------------------------------------
Name of PHA
Signature and Title of PHA Representative
----------------------------------------------------------------------
Date
----------------------------------------------------------------------
Attachment D--Certification Regarding Lobbying
The undersigned certifies, to the best of his or her knowledge
and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or
an employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the making
of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification
of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal contract, grant,
loan, or cooperative agreement, the undersigned shall complete and
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in
accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts under
grants, loans and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.
This certification is a material representation of fact upon
which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1342, title 31,
U.S. Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $10,000 and not
more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature of PHA Representative
----------------------------------------------------------------------
Name of PHA
----------------------------------------------------------------------
Name of Signatory (Print or Type)
----------------------------------------------------------------------
Date signed
----------------------------------------------------------------------
BILLING CODE 4210-32-P
[[Page 12408]]
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12409]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.389
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12410]]
[[Page 12411]]
FUNDING AVAILABILITY FOR EARLY DOCTORAL STUDENT RESEARCH GRANT
PROGRAM
Program Overview
Purpose of the Program. To help eligible doctoral students
cultivate their research skills through the preparation of research
manuscripts that focus on housing and urban development issues.
Available Funds. Approximately $150,000.
Eligible Applicants: Only pre-dissertation Ph.D. students whose
studies include urban economics as a major or concentration within
another field related to housing and urban development.
Application Deadline. April 26, 2001.
Match. None.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern Time on April 26, 2001. You should read
the General Section of the SuperNOFA because it contains more detailed
information about the application due date.
Address for Submitting Applications. Your completed application
consists of an original signed application and an electronic copy of
the application. If you are submitting your application by mail, you
should send it to the following address: University Partnerships
Clearinghouse, Aspen Systems Corporation, Mail Stop 5B, 2277 Research
Blvd., Rockville, MD 20850. If you are hand-delivering your application
on or before the due date, you should deliver it to Room 8110 during
normal business hours or to the South Lobby after these hours and
before midnight. You should read the General Section of the SuperNOFA
because it contains more detailed information on submission deadlines.
Please mark on the envelope for your application that it is for the
Early Doctoral Student Research Grant Program.
HUD will accept only one application per doctoral student.
For Application Kits. The application requirements are contained in
this program NOFA. There is no separate application kit for the
program.
For Further Information and Technical Assistance. You may contact
Jane Karadbil of HUD's Office of University Partnerships at 202-708-
1537, extension 5918. If you have a hearing or speech impairment, you
may access this number via TTY by calling the Federal Information Relay
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil
via email at [email protected].
II. Amount Allocated
Approximately $150,000 in FY 2001 funds is being made available
under this SuperNOFA for Early Doctoral Student Research Grant Program
(EDSRG).
The maximum grant period is 12 months. The performance period will
commence on the effective date of the grant agreement.
The maximum amount to be requested by and awarded to a doctoral
student is $15,000. HUD reserves the right to make awards for less than
the maximum amount or less than the amount requested in your
application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of the EDSRG is to enable
doctoral students to cultivate their research skills through the
preparation of research manuscripts that focus on policy-relevant
housing and urban development issues. The program will also provide a
forum for new scholars to share their research findings through
presentation of this research to a scholarly conference and/or
publication in a refereed journal. The FY 2001 EDSRG Program seeks to
fund research studies that will inform Federal problem-solving and
policy making relating to HUD's policy priorities for this year. These
priorities are:
(1) Economic development in ``untapped'' markets--e.g., studies of
reinvestment pressures; efforts to create or expand businesses while
meeting the needs of under-served inner-city, older suburb, or rural
areas; expansion of access to capital; joint ventures with community-
based organizations;
(2) Development of inner cities--e.g., studies of reinvestment
pressures; theories of capital/land/market failure that explain why
vast areas of many cities have essentially lain dormant or suffered
depopulation and/or disinvestment; government policies or market
interventions that would alleviate these patterns;
(3) Issues in housing finance--e.g., institutional barriers to
efficiency in the housing finance system; enabling the housing finance
system to better serve low-income and minority borrowers more
effectively; the present and future role of FHA in housing finance;
(4) Affordability of rental housing--e.g., policy and program
options in tight or ``hot'' markets; innovative partnerships or
finance; impacts on very-low-income families; preservation of existing
housing stock;
(5) Homeownership--e.g., relative importance of factors in tenure
decisions; estimation of private and social benefits and costs of
homeownership; role in household savings and investment decisions;
effects of demographics, macro-economic environment, and government
policies on homeownership;
(6) Regionalism and ``Smart Growth''--e.g., the economic
interdependence of cities and suburbs; connecting the disadvantaged to
metropolitan resources; sustainable growth attentive to the economy,
the environment, and social equity; rehabilitation and infill
development; fiscal disparity issues; and regional problem-solving and
coalition building;
(7) Housing markets--e.g., factors affecting rents, home values,
tenure, vacancy rates, market absorption of new units, construction
activity;
(8) Housing stock--e.g., durability of stock; factors determining
rehabilitation and remodeling; comparisons with stock in other
developed countries;
(9) Workforce development through the roles of place-based
initiatives, community-based organizations, educational institutions,
and housing providers--e.g., roles; impacts and effectiveness; links to
welfare-to-work; emerging models;
(10) Fair housing--e.g., effectiveness of local initiatives;
emerging models; links to schooling or other services; zoning and land
use; political management and coalition building; NIMBY-ism; effect on
low-income families; gentrification; housing choice; environmental
justice;
(11) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility;
linked services; aging in place;
(12) Community development and community building--e.g., impacts
and effectiveness; faith-based and higher education community building
efforts; emerging models; challenges and pitfalls;
(13) Home equity conversion mortgages (HECMs)--e.g., impact of
HECMS on social welfare, availability of housing for younger families,
effect on optimal aggregate debt to housing equity ratio as the
population ages;
(14) Evaluation of existing housing programs--e.g., opting out of
Section 8 project-based contracts, cost-benefit analyses of alternative
methods for providing housing assistance; and
(15) Evaluation of college/community partnerships focused on
community and economic development and methods for
[[Page 12412]]
institutionalizing these partnerships at colleges and universities.
(B) Eligible Applicants. You must meet the following requirements:
(1) You must be a currently enrolled and full-time student in an
accredited doctoral program at an accredited institution of higher
education;
(2) You must have urban economics as your major field or as a
concentration within a major in another field related to housing and
urban development;
(3) You must not have taken your preliminary/comprehensive
examinations;
(4) You must have completed at least two semesters or three terms
of your doctoral studies program (depending on the course structure of
the institution); and
(5) You must have been assigned a faculty advisor to supervise your
research manuscript.
You must provide documentation from the chair of your department
that you meet all of these conditions and that in his/her opinion it is
realistic to believe that the research manuscript can be completed
within the one-year grant period. In addition, you and your institution
must meet all the applicable threshold requirements found in Section
II(B) of the General Section of the SuperNOFA.
(C) Eligible Activities. Your grant must support direct costs
incurred in the timely completion of a research manuscript. Eligible
costs include stipends, computer software, the purchase of data, travel
expenses to collect data; transcription services, and compensation for
interviews. Three thousand dollars of the grant will be held back until
you have completed your research manuscript and either it has been
accepted for presentation at a conference or for publication in a
refereed journal by September 30, 2002, or a committee of three faculty
members (including your faculty sponsor, as the principal investigator
of the grant) has determined and certified to HUD that the manuscript
is of high quality and worthy of submission to conferences or journals.
(D) Ineligible Activities. Your grant may not be used to pay for
tuition, computer hardware, or meals.
(E) Other Requirements. (1) Support from your university. Support
from your university is required. Such support might include tuition
waivers, office space, equipment, computer time, or similar items you
might need in order to complete your dissertation. This support may not
replace support or assistance that your institution would otherwise
provide you.
(2) University sponsorship. The university shall enter into a Grant
Agreement with HUD that provides for payment of the grant by HUD to the
university and from the university to the approved applicant, and that
further provides all required certifications and assurances. The
university shall agree to provide as the Principal Investigator under
the Grant Agreement a dissertation advisor or chair of the applicant's
dissertation committee who shall supervise the work of the applicant
under the Grant Agreement.
(3) Progress reporting. You will be required to submit a report,
half way through your grant, on the progress you have made towards
completion of the research manuscript and the likelihood that you will
complete it on time.
IV. Application Selection Process
HUD will conduct two types of review: a threshold review to
determine your eligibility to apply; and a technical review to rate
your application based on the rating factors in this section.
(A) Threshold Factors for Funding Consideration. Under this
threshold review, your application can only be rated if the following
standards are met:
(1) You are an eligible doctoral student, as defined in Section
III(B) above and have provided a letter from your department chair, in
the format in Appendix A, confirming this;
(2) You have requested no more than the grant maximum of $15,000;
and
(3) Your institution has agreed to provide some support to you as
part of this grant.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 100.
Rating Factor 1: Relevance of Your Research Manuscript to the
Department's Mission and Research Priorities (35 points)
In reviewing this factor, HUD will determine the extent to which
your research manuscript will produce policy-relevant information that
is directly related to one of the research priorities listed above
(i.e., the research that will be produced could have an effect on HUD's
strategic goals and HUD's programs and policies to achieve these
goals--see the HUD web site at http://www.hud.gov/reform/strpln.html
for a discussion of these goals The less directly related to one of
these topics your research is, the less points you will receive. For
example, a study of minorities' housing choice decisions would have
high relevance to HUD's strategic goals; a study of transportation
inequities would have medium relevance; and a study of the effects of
global warming on urban development would have low relevance.
Rating Factor 2: Quality of Your Research Design (35 points)
In reviewing this factor, HUD will determine the extent to which
your research design and methodology are likely to produce data and
information that will successfully answer your research hypotheses. HUD
will also evaluate the extent to which the methodology you propose to
use is sound and generally accepted by the relevant research community.
Reviewers will be looking at the extent to which you use standard
methodological practices in line with research already completed or
existing publications in the field related to your research questions.
Rating Factor 3: Your Skills and Preparation and the Furtherance of
Them (20 points)
In reviewing this factor, HUD will determine the extent to which:
(1) Your skills and experience are relevant to your proposed
research manuscript (e.g., course work, teaching, research projects,
presentations);
(2) You have undertaken appropriate preparation (e.g., preliminary
design of the survey collection instruments, pre-clearance on
interviews) to undertake the dissertation; and
(3) Your proposed research will help to further your research
skills (i.e, it is relevant to the kinds of projects you will continue
to work on as you earn your Ph.D.).
Rating Factor 4: Timely Completion and Issuance of Your Research
Manuscript (10 points)
In reviewing this factor, HUD will determine the extent to which
your research design and methodology and plan for completion of your
research manuscript can feasibly be completed within the one-year grant
period and the likelihood that, either by September 30, 2002, the
manuscript will be presented at a conference or for publication in a
refereed journal by September 30, 2002, or a small committee of three
faculty members can certify that the manuscript is high quality and
worthy of submission to conferences or refereed journals. Applications
that propose extremely complex and time-consuming data collection
efforts (e.g., major longitudinal studies or a very large number of
sites visits within the grant period) will determined to be less
feasible of completion within the
[[Page 12413]]
allowed time frame. For example, if you propose a methodology based on
information that may not be publicly available until after the end of
the grant period (e.g., Census information), or a data collection plan
that will take longer than the time you have allowed for it, you will
get a lower score than if you have presented a time line and
methodology that show evidence that the research project can be
completed within the grant period.
(C) Selections. In order to be funded, you must receive a minimum
score of 70 points. HUD will fund applications in rank order, until it
has awarded all available funds. If two or more applications have the
same number of points, the application with the most points for Factor
1, Relevance to HUD's Mission, shall be selected. If there is still a
tie, the application with the most points for Factor 2, Quality of the
Research Design, shall be selected.
After all application selections have been made, HUD may require
that you participate in negotiations to determine the specific terms of
the Statement of Work and the grant budget. In cases where HUD cannot
successfully complete negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
V. Application Submission Requirements
You should include an original and one computer disk (in Word 6.0
or higher) of the items listed below. In order to be able to recycle
paper, please do not submit applications in bound form; binder clips or
loose leaf binders are acceptable. Also, please do not use colored
paper. Please note the page limits for some of the items listed below
and do not exceed them.
Your application must contain the items listed in this section and
they must be included in the order shown here. There is no separate
application kit for this program. These items include the standard
forms, certifications, and assurances listed in the General Section of
the SuperNOFA that are applicable to this funding (collectively
referred to as the ``standard forms''). The standard forms can be found
in Appendix B to the General Section of the SuperNOFA. The remaining
application, referred to as the ``non-standard forms,'' can be found as
Appendix A to this program section of the SuperNOFA. Sample documents
are also included in this appendix. The items are as follows:
(A) SF-424, Application for Federal Assistance. Include the name
and address of the person authorized to execute the grant agreement in
Block 5. Include the institution's tax ID number in Block 6. The
Catalogue of Federal Domestic Assistance number for the program is
14.517. The form should be signed by the appropriate university
official.
(B) Table of contents of the application.
(C) Transmittal Letter, from you, containing the following
information:
(1) Title of your research project;
(2) Your name, university and home addresses, university and home
telephone numbers, facsimile numbers, and email address;
(3) Your university's name, department, mailing address, telephone
and facsimile numbers.
(4) Your faculty advisor's name, address, telephone and facsimile
numbers--this person will serve as the Principal Investigator for the
grant.
(D) A statement from your department chair that you have met all
the eligibility criteria described in Section III(B) (see Appendix A
for a sample).
(E) A statement from the appropriate official that describes your
university's support, as described in Section III(E) (see Appendix B
for a sample).
(F) An abstract of 500 words or less that addresses the following
topics:
(1) Specific purpose of the dissertation;
(2) Methodology being used; and
(3) How you meet the eligibility criteria.
(G) A narrative of the proposed research, not to exceed 5 double-
spaced typed pages. This narrative must include the following items in
the following order:
(1) Statement of the problem;
(2) Research design and methodology;
(3) Policy relevance of the research;
(4) Your resume including educational background, research
experience, background in statistics and empirical research, computer
experience, and background in housing and/or urban studies.
(H) A proposed budget (See Appendix C for a sample).
(I) Certifications. These forms must be signed by the doctoral
candidate and can be downloaded from the HUD web site at www.hud.gov.
(1) HUD-2992, Certification regarding debarment and suspension
pursuant to 24 CFR part 24.
(2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
(3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24
CFR 24.600 et seq.
(J) Acknowledgment of Receipt of Applications (HUD-2993). If you
wish to confirm that HUD received your application, please complete
this form. This form is optional.
VI. Environmental Requirements
The provision of assistance under this program is categorically
excluded from environmental review under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance
actions for related environmental authorities under Sec. 50.19(b)(1)
and (b)(9).
VII. Authority
This program is being undertaken under HUD's research authority
under Title V of the Housing and Urban Development Act of 1970.
Appendices A, B and C
The non-standard sample forms and letters, which follow, are
required for your Early Doctoral Student Research Grant application.
Appendix A--Sample Statement From Advisor
March 10, 2001
To Whom It May Concern: Jane Jones is a doctoral student at
Northern State University. As of the date of this letter her major
field of study is (e.g., planning, public policy, urban studies)
with a concentration in urban economics. She has completed three
terms of her doctoral coursework and has not yet taken her
comprehensive examinations. An advisor has been assigned to her for
the work she would do under this grant. It is realistic to expect
that the proposed research manuscript will be completed within the
one-year grant period and either accepted for presentation at a
scholarly conference and/or publication in a refereed journal by
September 30, 2002, or certified by a faculty committee that it is
worthy of being submitted for presentation or publication.
Sincerely,
Dr. Peter Paul, Professor and Chair, Department of City Planning
Appendix B--Sample Description of University Support
March 9, 2001
To Whom It May Concern: John Grey is a doctoral student in the
Planning Department at Eastern University, working on a research
manuscript titled ``The Economics of Smart Growth.'' Office space,
computer hardware, software for preparing statistical summaries, a
research library, and several bibliographic databases will be
available to Mr. Grey without charge to the grant for which he is
applying.
Prof. Bradley Street, Department of Geography, Dissertation
Committee Chair
Appendix C--Budget Instructions
A sample budget for an application is shown below. The
categories of expenses shown do not necessarily apply to all
[[Page 12414]]
applications, and some applications may have expense categories not
shown. The sample is representative, not binding.
``The Economics of Smart Growth''
John Jones, 621 Elm Street, Academia, USA 12345, March 10, 2000
------------------------------------------------------------------------
------------------------------------------------------------------------
Services:
Applicant (J. Jones):
___days @ $___/day........................... = $ x,xxx
Other professionals:
A. Smith, ___ days @ $___/day................ = $ xx,xxx
B. Brown, ___days @ $___/day................. = $ xxx
Clerical:
C. Johnson, ___ days @ $___/day.............. = $ xxx
------------
Subtotal, service........................ = $ xx,xxx
Other:
Travel: ___ trips @ $___/trip................ = $ x,xxx
Computer usage............................... = $ xxx
Reproduction costs........................... = $ xxx
Phone, mailing, misc. materials.............. = $ xxx
------------
Subtotal, other.......................... = $ x,xxx
============
Total estimated cost..................... = $ xx,xxx
------------------------------------------------------------------------
BILLING CODE 4210-32-P
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12415]]
[GRAPHIC] [TIFF OMITTED] TN26FE01.390
Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
[[Page 12416]]
[[Page 12417]]
FUNDING AVAILABILITY FOR DOCTORAL DISSERTATION RESEARCH GRANT
PROGRAM
Program Overview
Purpose of the Program. To assist Ph.D. candidates complete their
research and dissertations on housing and urban development issues.
Available Funds. Approximately $600,000.
Eligible Applicants. Only Ph.D. candidates who have completed all
of their doctoral program requirements except the preparation of the
dissertation.
Application Deadline. April 26, 2001.
Match. None.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application is due on or
before 12:00 midnight, Eastern Time on April 26, 2001. You should read
the general section of the SuperNOFA because it contains more detailed
information about the application due date.
Address for Submitting Applications. Your completed application
consists of an original signed application and an electronic copy of
the application. If you are submitting your application by mail, you
should send it to the following address: University Partnerships
Clearinghouse, Aspen Systems Corporation, Mail Stop 5B, 2277 Research
Blvd., Rockville, MD 20850. If you are hand-delivering your application
on or before the due date, you should deliver it to Room 8110 during
normal business hours or to the South Lobby after these hours and
before midnight. You should read the General Section of the SuperNOFA
because it contains more detailed information on submission deadlines.
Please mark on the envelope for your application that it is the
Doctoral Dissertation Research Grant Program.
HUD will accept only one application per Ph.D. candidate.
For Application Kits. The application requirements are contained in
this program NOFA. There is no separate application kit for the
program.
For Further Information and Technical Assistance. You may contact
Jane Karadbil of HUD's Office of University Partnerships at 202-708-
1537, extension 5918. If you have a hearing or speech impairment, you
may access this number via TTY by calling the Federal Information Relay
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil
via email at [email protected].
II. Amount Allocated
Approximately $600,000 in FY 2001 funds is being made available
under this SuperNOFA for the Doctoral Dissertation Research Grant
Program (DDRG).
The maximum grant period is 24 months. The performance period will
commence on the effective date of the grant agreement.
The maximum amount to be requested by and awarded to a Ph.D.
candidate is $30,000. HUD reserves the right to make awards for less
than the maximum amount or less than the amount requested in your
application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purpose of DDRG is to enable Ph.D.
candidates enrolled at accredited institutions of higher education to
complete their research and dissertations on HUD-related housing and
urban development issues. The FY 2001 DDRG program seeks to fund
dissertations that will inform Federal problem-solving and policy
making relating to HUD's policy priorities for this year. These
priorities are:
(1) Economic development in ``untapped'' markets--e.g., efforts to
create or expand businesses while meeting the needs of under-served
inner-city, older suburb, or rural areas; expansion of access to
capital; joint ventures with community-based organizations;
(2) Development of inner cities--e.g., studies of reinvestment
pressures; theories of capital/land/market failure that explain why
vast areas of many cities have essentially lain dormant or suffered
depopulation and/or disinvestment patterns; government policies or
market interventions that would alleviate these patterns;
(3) Issues in housing finance--e.g., institutional barriers to
efficiency in the housing finance system; enabling the housing finance
system to better serve low-income and minority borrowers more
effectively; the present and future role of FHA in housing finance;
(4) Affordability of rental housing--e.g., policy and program
options in tight or ``hot'' markets; innovative partnerships or
finance; impacts on very-low-income families; preservation of existing
housing stock;
(5) Homeownership--e.g., relative importance of factors in tenure
decisions; estimation of private and social benefits and costs of
homeownership; role in household savings and investment decisions;
effects of demographics, macro-economic environment, and government
policies on homeownership;
(6) Regionalism and ``Smart Growth''--e.g., the economic
interdependence of cities and suburbs; connecting the disadvantaged to
metropolitan resources; sustainable growth attentive to the economy,
the environment, and social equity; rehabilitation and infill
development; fiscal disparity issues; and regional problem-solving and
coalition building;
(7) Housing markets--e.g., factors affecting rents, home values,
tenure, vacancy rates, market absorption of new units, construction
activity;
(8) Housing stock--e.g., durability of stock; factors determining
rehabilitation and remodeling; comparisons with stock in other
developed countries;
(9) Workforce development through the roles of place-based
initiatives, community-based organizations, educational institutions,
and housing providers--e.g., roles; impacts and effectiveness; links to
welfare-to-work; emerging models;
(10) Fair housing--e.g., effectiveness of local initiatives;
emerging models; links to schooling or other services; zoning and land
use; political management and coalition building; NIMBY-ism; effect on
low-income families; gentrification; housing choice; environmental
justice;
(11) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility;
linked services; aging in place;
(12) Community development and community building--e.g., impacts
and effectiveness; faith-based and higher education community building
efforts; emerging models; challenges and pitfalls;
(13) Home equity conversion mortgages (HECMs)--e.g., impact of
HECMS on social welfare, availability of housing for younger families,
effect on optimal aggregate debt to housing equity ratio as the
population ages;
(14) Evaluation of existing housing programs--e.g., opting out of
Section 8 project-based contracts, cost-benefit analyses of alternative
methods for providing housing assistance; and
(15) Evaluation of college/community partnerships focused on
community and economic development and methods for institutionalizing
these partnerships at colleges and universities.
(B) Eligible Applicants. You must be a currently enrolled and
matriculating student who has been accepted into candidacy in an
accredited doctoral program at an accredited institution of
[[Page 12418]]
higher education and have a fully developed and approved dissertation
proposal. You must provide documentation from your dissertation
committee chair that:
(1) By the application due date, your dissertation proposal has
been accepted by your full dissertation committee and you have been
assigned a dissertation advisor;
(2) By September 1, 2001, you will have satisfactorily completed
all other written and oral Ph.D. requirements, including all your
examinations and defense of your proposal, except the dissertation; and
(3) It is realistic to believe that the dissertation can be
completed within the two-year grant period.
In addition, you and your institution must meet all the applicable
threshold requirements found in Section II(B) of the General Section of
the SuperNOFA.
(C) Eligible Activities. Your grant must support direct costs
incurred in the timely completion of a dissertation. Eligible costs
include stipends, computer software, the purchase of data, travel
expenses to collect data; transcription services, and compensation for
interviews. Six thousand dollars of the grant will be held back until
you have completed your dissertation, had it approved by your
committee, and submitted it to HUD.
(D) Ineligible Activities. Your grant may not be used to pay for
tuition, computer hardware, or meals.
(E) Other Requirements. (1) Support from your university. Support
from your university is required. Such support might include tuition
waivers, office space, equipment, computer time, or similar items you
might need in order to complete your dissertation. This support may not
replace support or assistance that your institution would otherwise
provide you.
(2) University sponsorship. The university shall enter into a Grant
Agreement with HUD that provides for payment of the grant by HUD to the
university and from the university to the approved applicant, and that
further provides all required certifications and assurances. The
university shall agree to provide as the Principal Investigator under
the Grant Agreement a dissertation advisor or chair of the applicant's
dissertation committee who shall supervise the work of the applicant
under the Grant Agreement.
(3) Progress reporting. You will be required to submit a report, at
the end of the first year of your grant, on the progress you have made
towards completion of the dissertation and the likelihood that you will
complete it on time.
IV. Application Selection Process
HUD will conduct two types of review: a threshold review to
determine your eligibility to apply; and a technical review to rate
your application based on the rating factors in this section.
(A) Threshold Factors for Funding Consideration. Under this
threshold review, your application can only be rated if the following
standards are met:
(1) You are an eligible Ph.D. candidate, as defined in Section
III(B) above and have provided a letter from your dissertation
committee chair, in the format in Appendix A, confirming this;
(2) You have requested no more than the $30,000 grant maximum; and
(3) Your institution has agreed to provide some support to you as
part of this grant.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 100.
Rating Factor 1: Relevance of Your Dissertation to the Department's
Mission and Research Priorities (35 points)
In reviewing this factor, HUD will determine the extent to which
your dissertation will produce policy-relevant information that is
directly related to one of the research priorities listed above (i.e.,
the research that will be produced could have an effect on HUD's
strategic goals and HUD's programs and policies to achieve these
goals--see the HUD web site at http://www.hud.gov/reform/strpln.html
for a discussion of these goals). The less directly related to one of
these topics your dissertation is, the less points you will receive.
For example, a study of minorities' housing choice decisions would have
high relevance to HUD's strategic goals; a study of transportation
inequities would have medium relevance; and a study of the effects of
global warming on urban development would have low relevance.
Rating Factor 2: Quality of Your Research Design (35 points)
In reviewing this factor, HUD will determine the extent to which
your research design and methodology are likely to produce data and
information that will successfully answer your research hypotheses. HUD
will also evaluate the extent to which the methodology you propose to
use is sound and generally accepted by the relevant research community.
Reviewers will be looking at the extent to which you use standard
methodological practices in line with research already completed or
existing publications in the field related to your research questions.
Rating Factor 3: Your Skills and Preparation (20 points)
In reviewing this factor, HUD will determine the extent to which
your skills and experience are relevant to your proposed dissertation
(e.g., course work, teaching, research projects, presentations). HUD
will determine the extent to which you have undertaken appropriate
preparation (e.g., selecting sites for data collection, identifying
potential interviewees and categories of interviewees, pre-clearance on
interviews) to undertake the dissertation. HUD will also determine the
extent to which your previous research experience (e.g., graduate-level
research projects, presentations at conferences, publications, etc.) is
relevant to and supportive of your proposed dissertation
Rating Factor 4: Timely Completion of Your Dissertation (10 points)
In reviewing this factor, HUD will determine the extent to which
your research design and methodology and plan for completion of the
dissertation can be completed within the two-year grant period.
Applications that propose extremely complex and time-consuming data
collection efforts (e.g., major longitudinal studies or a very large
number of sites visits within the two year grant period) will be
determined to be less feasible of completion within the allowed time
frame. For example, if you propose a methodology based on information
that may not be publicly available until after the end of the two-year
grant period (e.g., Census information), or a data collection plan that
will take longer than the time you have allowed for it, you will get a
lower score than if you have presented a time line and methodology that
show evidence that the dissertation can be completed within the grant
period.
(C) Selections. In order to be funded, you must receive a minimum
score of 70 points. HUD will fund applications in rank order, until it
has awarded all available funds. If two or more applications have the
same number of points, the application with the most points for Factor
1, Relevance to HUD's Mission, shall be selected. If there is still a
tie, the application with the most points for Factor 2, Quality of the
Research Design, shall be selected.
[[Page 12419]]
After all application selections have been made, HUD may require
that you participate in negotiations to determine the specific terms of
the Statement of Work and the grant budget. In cases where HUD cannot
successfully complete negotiations, or you fail to provide HUD with
requested information, an award will not be made. In such instances,
HUD may elect to offer an award to the next highest ranking applicant,
and proceed with negotiations with that applicant.
V. Application Submission Requirements
You should include an original and one computer disk (in Word 6.0
or higher) of the items listed below. In order to be able to recycle
paper, please do not submit applications in bound form; binder clips or
loose leaf binders are acceptable. Also, please do not use colored
paper. Please note the page limits for some of the items listed below
and do not exceed them.
Your application must contain the items listed in this section and
they must be included in the order shown here. There is no separate
application kit for this program. These items include the standard
forms, certifications, and assurances listed in the General Section of
the SuperNOFA that are applicable to this funding (collectively
referred to as the ``standard forms''). The standard forms can be found
in Appendix B to the General Section of the SuperNOFA. The remaining
application, referred to as the ``non-standard forms,'' can be found as
Appendix A to this program section of the SuperNOFA. Sample documents
are also included in this appendix. The items are as follows:
(A) SF-424, Application for Federal Assistance. Include the name
and address of the person authorized to execute the grant agreement in
Block 5. Include the institution's tax ID number in Block 6. The
Catalogue of Federal Domestic Assistance number for the program is
14.516. The form should be signed by the appropriate university
official.
(B) Table of contents of the application.
(C) Transmittal Letter, from you, containing the following
information:
(1) Title of your dissertation;
(2) Your name, university and home addresses, university and home
telephone and facsimile numbers, and email address;
(3) Your university's name, department, mailing address, telephone
and facsimile numbers.
(4) Your dissertation advisor's name, address, telephone and
facsimile numbers--this person will serve as the Principal Investigator
for the grant.
(D) A statement from your dissertation advisor or chair of the
dissertation committee that you have met all the eligibility criteria
described in Section III(B) (see Appendix A for a sample).
(E) A statement from the appropriate official that describes your
university's support, as described in Section III(E) (see Appendix B
for a sample).
(F) An abstract of 500 words or less that addresses the following
topics:
(1) Specific purpose of the dissertation;
(2) Methodology being used; and
(3) How you meet the eligibility criteria.
(G) A narrative of the proposed research, not to exceed 10 double-
spaced typed pages. Do not submit your dissertation proposal itself.
This narrative must include the following in the following order:
(1) Statement of the problem;
(2) Research design and methodology;
(3) Policy relevance of the research;
(4) Your resume including educational background, research
experience, publications, background in statistics and empirical
research, computer experience, and background in housing and/or urban
studies.
(H) A proposed budget (See Appendix C for a sample).
(I) Certifications. These forms must be signed by the doctoral
candidate and can be downloaded from the HUD web site at www.hud.gov.
(1) HUD-2992, Certification regarding debarment and suspension
pursuant to 24 CFR part 24.
(2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
(3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24
CFR 24.600 et seq.
(J) Acknowledgment of Receipt of Applications (HUD-2993). If you
wish to confirm that HUD received your application, please complete
this form. This form is optional.
VI. Environmental Requirements
The provision of assistance under this program is categorically
excluded from environmental review under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance
actions for related environmental authorities under Sec. 50.19(b)(1)
and (b)(9).
VII. Authority
This program is being undertaken under HUD's research authority
under Title V of the Housing and Urban Development Act of 1970.
Appendices A, B and C
The non-standard sample forms and letters, which follow are
required for your Doctoral Dissertation Research Grant application.
Appendix A--Sample Statement From Advisor
March 10, 2001
To Whom It May Concern: John Jones, Ph.D. candidate in urban
studies at Northern State University, as of the date of this letter,
he will have defended his dissertation proposal, it has been
formally approved by the dissertation committee, and a dissertation
advisor has been assigned to him. In addition, he will have
completed all written and oral Ph.D. examination requirements by
September 1, 2001. It is realistic to believe that Mr. Jones'
dissertation can be completed within a two-year period.
Sincerely,
Dr. Peter Paul, Professor of Urban Studies and Chairman of John
Jones' Dissertation Committee
Appendix B--Sample Description of University Support
March 9, 2001
To Whom It May Concern: Sarah Grey is a Ph.D. student in the
Geography Department of Eastern University, working on a
dissertation titled ``Redevelopment Practices in Lower Manhattan.''
Office space, computer hardware, software for preparing statistical
summaries, a research library, and several bibliographic databases
will be available to Ms. Grey without charge to the grant for which
she is applying.
Sincerely,
Prof. Bradley Street, Department of Geography, Dissertation
Committee Chair
Appendix C--Budget Instructions
A sample budget for an application is shown below. The
categories of expenses shown do not necessarily apply to all
applications, and some applications may have expense categories not
shown. The sample is representative, not binding.
``A Study of Faith-Based Organizations's Effectiveness in Local
Community Development Projects''
John Jones, 621 Elm Street, Academia, USA 12345, March 10, 2000
------------------------------------------------------------------------
------------------------------------------------------------------------
Services:
Applicant (J. Jones):
______days @ $______/day..................... = $ x,xxx
[[Page 12420]]
Other Professionals:
A. Smith,______days @ $______/day............ = $ xx,xxx
B. Brown,______days @ $______/day............ = $ xxx
Clerical:
C. Johnson,______days @ $______/day.......... = $ xxx
------------
Subtotal, service........................ = $ xx,xxx
Other:
Travel:______trips @ $______/day............. = $ x,xxx
Computer usage............................... = $ xxx
Reproduction costs........................... = $ xxx
Phone, mailing, misc. materials.............. = $ xxx
------------
Subtotal, Other.......................... = $ x,xxx
============
Total Estimated Cost..................... = $ xx,xxx
------------------------------------------------------------------------
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Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 /
Notices
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Notices
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FUNDING AVAILABILITY FOR HUD URBAN SCHOLARS FELLOWSHIP PROGRAM
Program Overview
Purpose of the Program. To provide encouragement to new scholars to
undertake research now, and throughout their careers, on research
topics of interest to HUD.
Available Funds. Approximately $550,000.
Eligible Applicants: Only Ph.D.s who have an academic appointment
at an institution of higher education and have received their Ph.D.s no
earlier than January 1, 1996.
Application Deadline. June 5, 2001.
Match. University support in terms of course load reductions,
indirect costs waived, space, etc. are required.
Additional Information
I. Application Due Date, Application Kits, Further Information, and
Technical Assistance
Application Due Date. Your completed application must be received
on or before 5:00 pm Eastern time, on June 5, 2001.
Address for Submitting Applications. Your completed application
consists of an original signed application, which can be submitted in
hard copy or electronically. Submit your completed application to the
following address: The Fellowship Office/HUD TJ 2041, National Research
Council, 2101 Constitution Avenue, N.W., Washington, DC 20418. Please
mark on the envelope for your application that it is the HUD Urban
Scholars Fellowship Program.
HUD will accept only one application for an applicant.
For Application Kits. An application kit can be obtained by calling
or writing the Fellowship Office/HUD, TJ 2041, National Research
Council, 2101 Constitution Avenue, N.W., Washington DC 20418, telephone
number 202-334-2872 and facsimile number 202-334-3419. The application
kit can be downloaded from the Internet at
http://national-academies.org/osep/fo.
For Further Information and Technical Assistance. You may call the
above number. You may also write to NAS via e-mail at [email protected].
II. Amount Allocated
Approximately $550,000 in FY 2001 funds is being made available
under this SuperNOFA for the HUD Urban Scholars Fellowship Program.
The maximum grant period is 15 months. The performance period will
commence on the effective date of the grant agreement.
The maximum amount to be requested by and awarded to an applicant
is $55,000. NAS reserves the right to make awards for less than the
maximum amount or less than the amount requested in your application.
III. Program Description; Eligible Applicants; Eligible Activities
(A) Program Description. The purposes of the HUD Urban Scholars
Program are to:
(1) Fund research relevant to HUD priorities and issues;
(2) Provide encouragement to new scholars to undertake research
now, and for the rest of their careers, on research topics of interest
to HUD; and
(3) Have an impact on the academic context in which these scholars
work so that this kind of research becomes highly valued. The research
priorities for the HUD Urban Scholars Program are designed to inform
Federal problem-solving and policy making relating to HUD's strategic
goals for this year.
Listed below are these goals and examples of research topics.
Proposals are not limited to these example topics but should, in any
case, relate to one of the HUD strategic goals listed below.
Goal #1, Improving Community Quality of Life and Economic Vitality
(1) Economic development in ``untapped'' markets--e.g., efforts to
create or expand businesses while meeting the needs of under-served
inner-city, older suburb, or rural areas; expansion of access to
capital; joint ventures with community-based organizations.
(2) Evaluation of college/community partnerships focused on
community and economic development and methods for institutionalizing
these partnerships at colleges and universities.
(3) Development of inner cities--e.g., studies of reinvestment
pressures; theories of capital/land/market failure that explain why
vast areas of many cities have essentially lain dormant or suffered
depopulation or disinvesment; government policies or market
interventions that would alleviate these patterns.
(4) Regionalism and ``Smart Growth--e.g., the economic
interdependence of cities and suburbs; connecting the disadvantaged to
metropolitan resources; sustainable growth attentive to the economy,
the environment, and social equity; rehabilitation and infill
development; fiscal disparity issues; and regional problem-solving and
coalition building.
(5) Community development and community building--e.g., impacts and
effectiveness; faith-based and higher education community building
efforts; emerging models; challenges and pitfalls.
(6) Understanding the basic processes of urban demographic, social,
and/or political change.
Goal #2, Promoting Self-sufficiency and Asset Development by
Families and Individuals
(1) Workforce development through the roles of placed-based
initiatives, education providers, community-based organizations,
educational institutions, and housing providers--e.g., roles; impacts
and effectiveness; links to welfare-to-work; one-stop shops; emerging
models.
(2) Home equity conversion mortgages (HECMs)--e.g., impact of HECMS
on social welfare, availability of housing for younger families, effect
on optimal aggregate debt to housing equity ratio as the population
ages.
(3) Strategies to combat homelessness--e.g., effective models,
causes; links to welfare-to-work and affordable housing; issues of and
responses to youth homelessness.
Goal #3, Increasing the Availability of Decent, Safe, and
Affordable Housing in American Communities
(1) Housing finance--e.g., institutional barriers to efficiency in
the housing finance system; enabling the housing finance system to
better serve low-income and minority borrowers more effectively; the
present and future role of FHA in housing finance.
(2) Affordability of rental housing--e.g., policy and program
options in tight or ``hot'' markets; innovative partnerships or
finance; impacts on very-low-income families; preservation of existing
housing stock.
(3) Homeownership--e.g., relative importance of factors in tenure
decisions; estimation of private and social benefits and costs of
homeownership; role in employment, household savings, and investment
decisions; effects of demographics, macro-economic environment, and
government policies on homeownership.
(4) Housing markets--e.g., factors affecting rents, home values,
tenure, vacancy rates, market absorption of new units, construction
activity.
(5) Housing stock--e.g., durability of stock; factors determining
rehabilitation and remodeling; comparisons with stock in other
developed countries.
(6) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility;
linked services; aging in place.
[[Page 12424]]
(7) Evaluation of existing housing programs--e.g., opting out of
Section 8 project-based contracts, cost-benefit analyses of alternative
methods for providing housing assistance.
Goal #4, Ensuring Equal Opportunity in Housing for All Americans
(1) Fair housing--e.g., effectiveness of local initiatives;
emerging models; links to schooling or other services; gentrification;
housing choice; environmental justice; zoning and land use; political
management and coalition building; NIMBY-ism; effect on low-income
families.
(2) Discrimination in housing and lending--e.g., methods to detect
discrimination; systemic patterns and practices.
(3) Concentration of poverty--e.g., impact of housing strategies;
effective strategies to promote deconcentration.
(B) Eligible Applicants. You must have your Ph.D. and meet the
following conditions:
(1) You must have an academic appointment with an institution of
higher education. This means that you must either be on a tenure track
or be on a term (teaching or research) appointment that will extend
beyond the 15-month duration of this fellowship;
(2) You must have received your Ph.D. no earlier than January 1,
1996;
(3) It is realistic to believe that your proposed research project
can be completed within the 15-month fellowship period; and
(4) You must have support from your institution as attested to in
the letter described below in Section III(E)(1).
In addition, you must meet all the applicable threshold
requirements found in Section II(B) of the General Section of the
SuperNOFA.
(C) Eligible Activities. Your grant must support costs related to
completion of your research project. Eligible costs include, but are
not limited to, your salary for two summers, graduate assistants to
work on the project, up to $2,500 per course for the cost of employing
a replacement for the course(s) your university relieves you from
teaching, computer software, survey development and administration, the
purchase of data, travel expenses to collect data or to make
presentations at meetings on your findings; transcription services,
compensation for interviews; and no more than eight (8) percent of the
university's indirect costs.
(D) Ineligible Activities. Your grant may not be used to pay for
tuition, computer hardware, meals, relocation costs, or other costs not
directly related to your research project. Fellowship funding cannot be
used to substitute for university funding.
(E) Other Requirements. (1) Support from your university. Support
from your university is required. Institutions will be required to
contribute, at a minimum, the following:
(a) Designating a faculty advisor to monitor your progress on your
research project;
(b) Office space, computer usage, etc.; and
(c) Waived indirect costs above the eight percent allowed to be
covered by this fellowship. In addition, your application will be
viewed more favorably if your institution agrees to reduce your course
load by at least one course per term or semester, but to continue
paying you your full salary.
(2) Progress reporting. You will be required to submit a report,
halfway through your fellowship, on the progress you have made towards
completion of the research project and the likelihood that you will
complete it on time.
(3) Mentors. You will be required to work with a mentor on your
research project. The mentor, who can be someone in your institution or
elsewhere, should be a well-respected scholar in the area of your
research topic. The mentor will be expected to provide you with advice
and direction on substantive research issues. The mentor and the
faculty monitor described above can be, but do not have to be, the same
person.
IV. Application Selection Process
The competition and selection process for this program will be run
by the National Academy of Sciences (NAS). NAS will conduct two types
of review: a threshold review to determine your eligibility to apply;
and a technical review to rate your application based on the rating
factors in this section.
(A) Threshold Factors for Funding Consideration. Under this
threshold review, your application can only be rated if the following
standards are met:
(1) You are eligible to apply for this program, as defined in
Section III(B) above and have provided a letter from department chair
confirming this;
(2) You have obtained a mentor and have included a letter from this
person confirming this and describing his/her role in your research;
(3) Your institution has agreed to provide some support to you,
above that provided by this funding, as part of this grant.
(B) Factors for Award Used to Evaluate and Rate Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are provided below. The maximum number of points for this
program is 100.
Rating Factor 1: Appropriateness of Your Methodology and Approach
to the Topic (25 points)
In reviewing this factor, NAS will determine the extent to which
your research design and methodology are likely to produce data and
information that will successfully answer your research hypotheses. NAS
will also evaluate the extent to which the methodology you propose to
use is sound and generally accepted by the relevant research community.
Reviewers will be looking at the extent to which you use standard
methodological practices in line with research already completed or
existing publications in the field related to your research questions.
Rating Factor 2: Ability of Your Research Project To Add to the
Knowledge Base of the Topic To Be Studied (20 points)
In reviewing this factor, NAS will determine the extent to which
your proposed project undertakes research on an area not covered by
previous research or proposes to look at a previously studied research
topic in a new and different way. Reviewers will look the clarity and
compellingness of the case the applicant makes for this project in the
context of the existing literature and knowledge base for that topic.
Rating Factor 3: Relevance of Your Research to HUD's Strategic
Goals (15 points)
In reviewing this factor, NAS will determine the extent to which
your proposed research project will produce policy-relevant information
that is directly related to one of the strategic goals listed above
(i.e., the research could have an effect on one of the goals and on
HUD's programs and policies to achieve these goals). More information
can be found about these goals by going to the HUD web site at http://www.hud.gov/reform/strpln.html. The less directly related to one of
these goals your research project is, the less points you will receive.
For example, a study of minorities' housing choice decisions would have
high relevance to HUD's strategic goals; a study of transportation
inequities would have medium relevance; and a study of the effects of
global warming on urban development would have low relevance.
[[Page 12425]]
Rating Factor 4: Your Skills and Preparation (15 points)
In reviewing this factor, NAS will determine the extent to which
your training, past employment, and past written work, such as your
dissertation, teaching, coursework, and previously completed research
papers that were accepted for presentation or publication, lay a
foundation for this proposed work.
Rating Factor 5: Commitment of the University (10 points)
In reviewing this factor, NAS will determine the extent of the
commitment of your university, beyond that required in Section
III(E)(1). The quality of your institution's commitment, in terms of
its furthering your research project will also be evaluated under this
factor. For example, your university could propose to cover the cost of
a graduate assistant to work on your research project in order to
demonstrate its commitment beyond what is required of it. The larger
the commitment, translated into dollar terms, the higher the points.
Full points can only be received if your institution agrees to reduce
your course load by one course a semester or term but to continue
paying you your full salary.
Rating Factor 6: Timely Completion of Your Research Project (10
points)
In reviewing this factor, NAS will determine the extent to which
your research design and methodology and plan for completion of your
research project can feasibly be completed within the fifteen-month
fellowship period. Applications that propose extremely complex and
time-consuming data collection efforts (e.g., major longitudinal
studies or a very large number of sites visits within the grant period)
will determined to be less feasible of completion within the allowed
time frame. For example, if you propose a methodology based on
information that may not be publicly available until after the end of
the grant period (e.g., Census information), or a data collection plan
that will take longer than the time you have allowed for it, you will
get a lower score than if you have presented a time line and
methodology that show evidence that the research project can be
completed within the grant period.
Rating Factor 7: Quality of the Mentoring Plan (5 points)
In reviewing this factor, NAS will determine the appropriateness of
the person chosen to be your mentor (in terms of his/her previous work
(e.g., research, publications, presentations, standing in the research
community) and availability) and the role the mentor has agreed to play
in your project. The higher the time commitment the mentor makes to
you, the higher points your will receive.
(C) Selections. NAS will fund applications in rank order, until it
has awarded all available funds. However, as noted in Section II, NAS
reserves the right to make awards for less than the amount requested in
your application. After all application selections have been made, NAS
may require that you participate in negotiations to determine the
specific terms of the fellowship and the grant budget. In cases where
NAS cannot successfully complete negotiations, or you fail to provide
NAS with requested information, an award will not be made. In such
instances, NAS may elect to offer an award to the next highest ranking
applicant, and proceed with negotiations with that applicant.
V. Application Submission Requirements
You should include an original or electronic copy of your
application. Please note the page limits for some of the items listed
below and do not exceed them.
The application kit made available by NAS will include, but may not
be limited to, the following items:
(A) Applicant information including:
(1) Title of your research project;
(2) Your name, university and home addresses, university and home
telephone and facsimile numbers, and e-mail address;
(3) Your university's name, department, mailing address, telephone
and facsimile numbers.
(4) Your advisor's name, address, telephone and facsimile number,
and e-mail address;
(5) Your mentor's name, address, telephone and facsimile number,
and e-mail address;
(6) Evidence of being eligible to apply because you received your
Ph.D. no earlier than January 1, 1996;
(7) Your graduate and post-graduate educational background.
(B) A letter from the chair of your department that you have met
all the eligibility criteria described in Section III(B).
(C) A letter from the appropriate official that describes your
university's support, as described in Section III(E).
(D) A letter from your mentor stating his/her qualifications to be
your mentor, his/her proposed role in your research project, and his/
her availability to be your mentor.
(E) A one-page abstract of your research project.
(F) A narrative of the proposed research, not to exceed 10 double-
spaced typed pages. This narrative must include the following in the
following order:
(1) Statement of the problem;
(2) Research design and methodology;
(3) Policy relevance of the research;
(4) How the research will add to the current knowledge base.
(G) A working bibliography of your proposed project.
(H) An annotated bibliography, e.g., a two- or three-sentence
annotation for ten to twelve key sources in your working bibliography.
(I) List of your publications: books, refereed journal articles,
chapters contributed to books, articles in published proceedings, and
any other articles.
(J) List of text and poster presentations made during the last five
years.
(K) A one-page abstract of your dissertation.
(L) Grants and awards received during the last five years.
(M) Teaching load during the last five years.
(N) Two letters of reference.
(O) A proposed budget.
(P) Certifications. These forms must be signed by the applicant and
can be downloaded from the HUD web site at www.hud.gov.
(1) HUD-2992, Certification regarding debarment and suspension
pursuant to 24 CFR part 24.
(2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
(3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24
CFR 24.600 et seq.
VI. Environmental Requirements
The provision of assistance under this program is categorically
excluded from environmental review under the National Environmental
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance under
related environmental authorities under 24 CFR 50.19(b)(1) and (b)(9).
VII. Authority
This program is being undertaken under HUD's research authority
under Title V of the Housing and Urban Development Act of 1970 (Pub.L.
91-609).
[FR Doc. 01-4310 Filed 2-23-01; 8:45 am]
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