Notice: Grants and Cooperative Agreements Availability, Etc.: Hope VI Revitalization of Severely Distressed Public Housing Program

Thursday,
March 31, 2005
Part II
Department of
Housing and Urban
Development
Notice of Funding Availability for
Revitalization of Severely Distressed
Public Housing HOPE VI Revitalization
Grants Fiscal Year 2005; Notice
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16554 Federal Register / Vol. 70, No. 61 / Thursday, March 31, 2005 / Notices
DEPARTMENT OF HOUSING AND The dollar amount of HCV assistance is 2004) under the heading ‘‘Revitalization
URBAN DEVELOPMENT in addition to the $20 million maximum of Severely Distressed Public Housing
award amount and will be based upon (HOPE VI).’’
[Docket No. FR–4982–N–01] 2. The program authority for the
resident relocation needs.
5. All non-troubled public housing HOPE VI program is Section 24 of the
Notice of Funding Availability for
authorities (PHAs) with severely 1937 Act, as amended by Section 402 of
Revitalization of Severely Distressed
distressed public housing are eligible to the HOPE VI Program Reauthorization
Public Housing HOPE VI Revitalization
apply. Troubled PHAs must have and Small Community Mainstreet
Grants Fiscal Year 2005
received HUD approval to be considered Rejuvenation and Housing Act of 2003
AGENCY: Office of the Assistant eligible to apply. PHAs that manage (Pub. L. 108–186, approved December
Secretary for Public and Indian only a HCV program, tribal PHAs and 16, 2003).
Housing, HUD. tribally-designated housing entities are C. Definitions. 1. Developer. A
ACTION: Notice of funding availability. not eligible. developer is an entity contracted to
6. A match of at least five percent is develop (and possibly operate) a mixed
Overview Information required. finance development that includes
7. Each applicant may submit only public housing units, pursuant to 24
A. Federal Agency Name. Department CFR part 941, subpart F. A developer
one HOPE VI revitalization application.
of Housing and Urban Development, most often has an ownership interest in
8. Application materials may be
Office of Public and Indian Housing. the entity that is established to own and
obtained from the Federal Register or
B. Funding Opportunity Title. operate the replacement units (e.g., as
over the Internet from http://
Revitalization of Severely Distressed the general partner of a limited
www.grants.gov/FIND. Technical
Public Housing HOPE VI Revitalization partnership).
corrections will be published in the
Grants Fiscal Year 2005. 2. Public Housing Project. A public
Federal Register. Both technical
C. Announcement Type. Initial housing project is a group of assisted
corrections and frequently asked
announcement. housing units that has a single Project
D. Funding Opportunity Number. The questions will be posted on the
grants.gov website. Number assigned by the Director of
Federal Register number for this NOFA Public Housing of a HUD Field Office
is: FR–4982–N–01. The OMB approval 9. HUD’s general policy requirements
apply to all HUD Federal financial and has, or had (in the case of
number for this program is: 2577–0208. previously demolished units) housing
E. Catalog of Federal Domestic assistance NOFAs for Fiscal Year (FY)
2005. These policies cover those NOFAs units under an Annual Contributions
Assistance (CFDA) Number. The CFDA Contract.
number for this NOFA is 14–866, issued under HUD’s Super Notice of
Funding Availability (SuperNOFA) 3. Replacement Housing. Under this
‘‘Demolition and Revitalization of HOPE VI NOFA, a HOPE VI
Severely Distressed Public Housing General Section (70 FR 13576),
published in the Federal Register on replacement housing unit shall be
(HOPE VI).’’ deemed to be any combination of public
F. Dates. 1. Application Submission March 21, 2005, as well as those issued
after the General Section is published in housing rental units, eligible
Date: The application submission date homeownership units under Section
shall be June 29, 2005. See the General the Federal Register.
24(d)(1)(J) of the 1937 Act, and HCV
Section for application submission and Full Text of Announcement assistance that does not exceed the
timely receipt requirements. number of units demolished and
I. Funding Opportunity Description
2. Estimated Grant Award Date: The disposed of at the targeted severely
estimated award date will be A. Program Description. In distressed public housing project.
approximately September 27, 2005. accordance with Section 24(a) of the 4. Severely Distressed. a. In
G. Optional, Additional Overview United States Housing Act of 1937 (1937 accordance with section 24(j)(2) of the
Content Information. 1. Available Act) (42 U.S.C. 1437v), the purpose of 1937 Act, the term ‘‘severely distressed
Funds. This NOFA announces the HOPE VI revitalization grants is to assist public housing’’ means a public housing
availability of approximately $110 PHAs to: 1. Improve the living project (or building in a project) that:
million in FY2005 funds for HOPE VI environment for public housing (1) Requires major redesign,
Revitalization Program grants, plus residents of severely distressed public reconstruction, or redevelopment—or
approximately $25 million additional housing projects through the partial or total demolition—to correct
for grantees’ first-year, grant-related demolition, rehabilitation, serious deficiencies in the original
housing choice voucher (HCV) reconfiguration, or replacement of design (including inappropriately high
assistance. obsolete public housing projects (or population density), deferred
2. Proposed Rescission of Funds. The portions thereof); maintenance, physical deterioration or
public is hereby notified that although 2. Revitalize sites (including obsolescence of major systems, and
this NOFA announces the availability of remaining public housing dwelling other deficiencies in the physical plan
FY 2005 HOPE VI Funds, the FY 2006 units) on which such public housing of the project;
proposed budget includes the rescission projects are located and contribute to (2) Is a significant contributing factor
of the FY 2005 HOPE VI Appropriation. the improvement of the surrounding to the physical decline of, and
Therefore, this NOFA may be cancelled neighborhood; disinvestment by public and private
at a later date and applications made 3. Provide housing that will avoid or entities in, the surrounding
under this NOFA may not be funded. decrease the concentration of very low- neighborhood;
3. The maximum amount of each income families; and (3) (a) Is occupied predominantly by
grant award is $20 million. It is 4. Build sustainable communities. families who are very low-income
anticipated that six grant awards will be B. Authority. 1. The funding authority families with children, have
made. for HOPE VI revitalization grants under unemployed members, and are
4. Housing choice voucher assistance this HOPE VI NOFA is provided by the dependent on various forms of public
is available to successful applicants that Consolidated Appropriations Act, 2005 assistance; (b) has high rates of
receive the revitalization grant awards. (Pub. L. 108–447, approved December 8, vandalism and criminal activity
Federal Register / Vol. 70, No. 61 / Thursday, March 31, 2005 / Notices 16555
(including drug-related criminal Acquisition Policies Act Of 1970 (URA), acquisition, or rehabilitation costs
activity) in comparison to other housing As Amended, in HOPE VI Projects,’’ related to homeownership replacement
in the area; or (c) is lacking in sufficient paragraph IV.A.2. for the definition of units.
appropriate transportation, supportive ‘‘temporary relocation’’ as it applies to 7. Acquisition. Acquisition of:
services, economic opportunity, HOPE VI projects. The Notice can be a. Rental units and homeownership
schools, civic and religious institutions, obtained through HUDClips at http:// units;
or public services, resulting in severe www.hudclips.org/. b. Land for the development of off-site
social distress in the project; D. Eligible Revitalization Activities. replacement units and community
(4) Cannot be revitalized through HOPE VI Revitalization grants may be facilities (provided that the community
assistance under other programs, such used for activities to carry out facilities are primarily intended to
as the Capital Fund and Operating Fund revitalization programs for severely facilitate the delivery of community and
programs for public housing under the distressed public housing in accordance supportive services for residents of the
1937 Act, or the programs under with Section 24(d) of the 1937 Act. public housing project and residents of
Sections 9 or 14 of the 1937 Act (as in Revitalization activities approved by off-site replacement housing);
effect before the effective date under HUD must be conducted in accordance c. Land for economic development-
Section 503(a) of the Quality Housing with the requirements of this NOFA. related activities, provided that such
and Work Responsibility Act of 1998 The following is a list of eligible acquisition is performed with non-
(Pub. L. 105–276, approved October 21, activities. public housing funds.
1998), because of cost constraints and 1. Relocation. Relocation, including 8. Management Improvements.
inadequacy of available amounts; and reasonable moving expenses, for Necessary management improvements,
(5) In the case of an individual residents displaced as a result of the including transitional security activities.
building that currently forms a portion revitalization of the project. See 9. Administration, Planning, Etc.
of the public housing project targeted by Sections III.C.4. and V.A.6. of this Administration, planning, technical
the application to this NOFA: NOFA for relocation requirements. assistance, and other activities
(a) Is sufficiently separable from the 2. Demolition. Demolition of dwelling (including architectural and engineering
remainder of the project of which the units or non-dwelling facilities, in work, program management, and
building is part, such that the whole or in part, although demolition is reasonable legal fees) that are related to
revitalization of the building is feasible; not a required element of a HOPE VI the implementation of the Revitalization
or Revitalization Plan. Plan, as approved by HUD. See Cost
(b) Was part of the targeted public 3. Disposition. Disposition of a Control Standards in Section IV.E. of
housing project that has been legally severely distressed public housing site, this NOFA.
vacated or demolished, but for which by sale or lease, in whole or in part, in 10. Community and Supportive
HUD has not yet provided replacement accordance with Section 18 of the 1937 Services (CSS).
housing assistance (other than tenant- Act and implementing regulations at 24 a. The CSS component of the HOPE
based assistance). ‘‘Replacement CFR part 970. A lease of one year or VI program encompasses all activities
housing assistance’’ is defined as funds more that is not incident to the normal that are designed to promote upward
that have been furnished by HUD to operation of a project is considered a mobility, self-sufficiency, and improved
perform major rehabilitation on, or disposition that is subject to Section 18 quality of life for the residents of the
reconstruction of, the public housing of the 1937 Act. public housing project involved.
units that have been legally vacated or 4. Rehabilitation and Physical b. CSS activities. CSS activities may
demolished. Improvement. Rehabilitation and include, but are not limited to:
b. A severely distressed project that physical improvement of: (1) Educational activities that promote
has been legally vacated or demolished a. Public housing; and learning and serve as the foundation for
(but for which HUD has not yet b. Community facilities, provided that young people from infancy through high
provided replacement housing the community facilities are primarily school graduation, helping them to
assistance, other than tenant-based intended to facilitate the delivery of succeed in academia and the
assistance) must have met the definition community and supportive services for professional world. Such activities,
of physical distress not later than the residents of the public housing project which include after-school programs,
day the demolition application approval and residents of off-site replacement mentoring, and tutoring, must be
letter was dated by HUD. housing, in accordance with 24 CFR created with strong partnerships with
5. Targeted Project. The targeted 968.112(b), (d), (e), and (g)-(o) and 24 public and private educational
project is the current public housing CFR 968.130 and 968.135(b) and (d) or institutions.
project that will be revitalized with successor regulations, as applicable. (2) Adult educational activities,
funding from this NOFA. The targeted 5. Development. Development of: including remedial education, literacy
project may include more than one a. Public housing replacement units; training, tutoring for completion of
public housing project or be a part of a and secondary or postsecondary education,
public housing project. See Section b. Other units (e.g., market-rate units), assistance in the attainment of
III.C.1. of this NOFA for eligibility of provided a need exists for such units certificates of high school equivalency,
multiple public housing projects and and such development is performed and English as a Second Language
separability of a part of a public housing with non-public housing funds. courses, as needed.
project. 6. Homeownership Activities. (3) Readiness and retention activities,
6. Temporary Relocation. There are Assistance involving the rehabilitation which frequently are key to securing
no provisions for ‘‘temporary and development of homeownership private sector commitments to the
relocation’’ under the Uniform units. Assistance may include: provision of jobs.
Relocation Assistance and Real Property a. Down payment or closing cost (4) Employment training activities
Acquisition Policies Act Of 1970 (URA). assistance; that include results-based job training,
See Notice CPD 04–2, ‘‘Guidance on the b. Hard or soft second mortgages; or preparation, counseling, development,
Application of the Uniform Relocation c. Construction or permanent placement, and follow-up assistance
Assistance and Real Property financing for new construction, after job placement.
(5) Programs that provide entry-level, II. Award Information 3. Troubled Status. If HUD has
registered apprenticeships in designated your housing authority as
A. Availability of HOPE VI Funds
construction, construction-related, troubled pursuant to Section 6(j)(2) of
maintenance, or other related activities. 1. Proposed Rescission of Funds. The the 1937 Act, HUD will use documents
A registered apprenticeship program is public is hereby notified that although and information available to it to
a program that has been registered with this NOFA announces the availability of determine whether you qualify as an
either a State Apprenticeship Agency FY 2005 HOPE VI Funds, the FY 2006 eligible applicant. In accordance with
recognized by the Department of Labor’s proposed budget includes the rescission Section 24(j) of the 1937 Act, the term
(DOL) Office of Apprenticeship of the FY 2005 HOPE VI Appropriation. ‘‘applicant’’ means:
Training, Employer and Labor Services Therefore, this NOFA may be cancelled a. Any PHA that is not designated as
(OATELS) or, if there is no recognized at a later date and applications made ‘‘troubled’’ pursuant to Section 6(j)(2) of
state agency, by OATELS. See also DOL under this NOFA may not be funded. the 1937 Act;
regulations at 29 CFR part 29. b. Any PHA for which a private
(6) Training on topics such as Funds available housing management agent has been
for award in this
parenting skills, consumer education, Type of assistance HOPE VI NOFA selected, or a receiver has been
family budgeting, and credit (approximate) appointed, pursuant to Section 6(j)(3) of
management. the 1937 Act; and
(7) Homeownership counseling that is Revitalization Grants ........ $110,000,000 c. Any PHA that is designated as
scheduled to begin promptly after grant Housing Choice Voucher ‘‘troubled’’ pursuant to Section 6(j)(2) of
award so that, to the maximum extent Assistance ..................... 25,000,000 the 1937 Act and that:
possible, qualified residents will be (1) Is designated as troubled
Total ........................... 135,000,000
ready to purchase new homeownership principally for reasons that will not
units when they are completed. The 2. Revitalization Grants. affect its capacity to carry out a
Family Self-Sufficiency program can Approximately $110 million of the revitalization program;
also be used to promote FY2005 HOPE VI appropriation has (2) Is making substantial progress
homeownership, providing assistance been allocated to fund HOPE VI toward eliminating the deficiencies of
with escrow accounts and counseling. Revitalization grants and will be the agency that resulted in its troubled
(8) Coordinating with health care awarded in accordance with this NOFA. status;
providers or providing on-site space for There will be approximately six awards. (3) Has not been found to be in non-
health clinics, doctors, wellness centers, 3. The maximum amount you may compliance with fair housing or other
dentists, etc. that will primarily serve request in your application for grant civil rights requirements; or
the public housing residents. HOPE VI award is limited to $20 million or the (4) Is otherwise determined by HUD
funds may not be used to provide direct sum of the amounts in Section IV.E.5. to be capable of carrying out a
medical care to residents. below, whichever is lower. HCV revitalization program.
(9) Substance and alcohol abuse assistance is in addition to this amount. B. Cost Sharing or Matching
treatment and counseling. 4. Housing Choice Voucher
(10) Activities that address domestic Assistance. Approximately $25 million 1. Match Requirements
violence treatment and prevention. of the HOPE VI appropriation will be
(11) Child care services that provide a. Revitalization Grant Match. HUD is
allocated for Housing Choice Voucher required by the 1937 Act (42 U.S.C.
sufficient hours of operation to facilitate
(HCV) assistance. HCV assistance will 1437v(c)(1)(A)) to include the
parental access to education and job
be provided to HOPE VI Revitalization requirement for matching funds for all
opportunities, serve appropriate age
NOFA awardees. If $25 million is more HOPE VI-related grants. You are
groups, and stimulate children to learn.
(12) Transportation, as necessary, to than the amount necessary to fund the required to have in place a match in the
enable all family members to participate HOPE VI grantee’s HCV needs, the amount of five percent of the requested
in available CSS activities and to remaining funds will be used for other grant amount in cash or in-kind
commute to their places of employment. eligible activities under Section 24 of donations. Applications that do not
(13) Entrepreneurship training and the 1937 Act. demonstrate the minimum 5 percent
mentoring, with the goal of establishing 5. Grant term. The period for match will not be considered for
resident-owned businesses. completion shall not exceed 54 months funding.
11. Leveraging. Leveraging other from the date the NOFA award is b. Additional Community and
resources, including additional housing executed by HUD. Supportive Services (CSS) Match. (1) In
resources, supportive services, job III. Eligibility Information accordance with the 1937 Act (42 U.S.C.
creation, and other economic 1437v(c)(1)(B)), in addition to the 5
development uses on or near the project A. Eligible Applicants percent revitalization grant match in
that will benefit future residents of the 1. PHAs that have severely distressed Section a. above, you may be required
site. housing in their inventory and are to have in place a CSS match. Funds
12. General Section Reference. otherwise in conformance with the used for the Revitalization grant match
Section I, ‘‘Funding Opportunity threshold requirements provided in cannot be used for the CSS match.
Description,’’ of the Notice of HUD’s Section III.C. of this NOFA. See Section (2) If you are selected for funding
Fiscal Year 2005 Notice of Funding IV.B.4. of this NOFA for threshold through this NOFA, you may use up to
Availability (NOFA) Policy documentation requirements. 15 percent of your grant for CSS
Requirements and General Section to 2. Housing Choice Voucher Programs activities. However, if you propose to
the Super NOFA for HUD’s Only and Tribal Housing Agencies. use more than 5 percent of your HOPE
Discretionary Programs (General PHAs that only administer HCV VI grant for CSS activities, you must
Section), Docket No. FR–4950–N–01, programs, e.g., Section 8, HCV, and have in place funds from sources other
published in the Federal Register on tribal PHAs and tribally-designated than HOPE VI, that match the amount
March 21, 2005, is hereby incorporated housing entities, are not eligible to between 5 and 15 percent of the grant
by reference. apply. that you will use for CSS activities.
c. No HOPE VI Funding in Match. In demonstrate the appropriateness of the IV.B.4.b. of this NOFA for
accordance with Section 24(c) of the proposal (revitalization plan) in the documentation requirements.
Act, for purposes of calculating the context of the local housing market d. Desegregation Orders. You must be
amount of matching funds required by relative to other alternatives. You must in full compliance with any
Sections a. and b. above, you may not discuss other possible alternatives in the desegregation or other court order, and
include amounts from HOPE VI program local housing market and explain why voluntary compliance agreements
funding, including HOPE VI the housing envisioned in the related to Fair Housing (e.g., Title VI of
Revitalization, HOPE VI Demolition, application is more appropriate. This is the Civil Rights Act of 1964, the Fair
HOPE VI Neighborhood Networks or a statutory requirement and an Housing Act, and Section 504 of the
HOPE VI Main Street grants. You may application threshold. If you do not Rehabilitation Act of 1973) that affects
include funding from other public demonstrate the appropriateness of the your public housing program and that is
housing sources (e.g., Capital Funds), proposal (revitalization plan) in the in effect on the date of application
other federal sources, any state or local context of the local housing market submission. If you are not in full
government source and any private relative to other alternatives, your compliance with any desegregation or
contributions. You may also include the application will not be considered for other court orders, your application will
value of donated material or buildings, funding. Examples of alternative be ineligible for funding.
the value of any lease on a building, the proposals may include: e. Non-Public Housing Funding for
value of the time and services (1) Rebuilding or rehabilitating an Non-Public Housing or Replacement
contributed by volunteers, and the value existing project or units at an off-site Units. If the application demonstrates
of any other in-kind services or location that is in an isolated, non- that you are planning to use public
administrative costs provided. residential, or otherwise inappropriate housing funds, which include HOPE VI
d. Firmly and Irrevocably Committed. area; funds, to develop: Retail or commercial
(1) Match donations must be firmly (2) Proposing a range of incomes, space; economic development space; or
committed. ‘‘Firmly committed’’ means housing types (rental, homeownership, housing units that are not Replacement
that the amount of match resources and market-rate, public housing, townhouse, Housing (See Section I.C. of this NOFA),
their dedication to HOPE VI detached house, etc.), or costs which your application will not be considered
Revitalization activities must be cannot be supported by a market for funding. See Section IV.B.4.c. for
explicit, in writing, and signed by a analysis; or documentation requirements regarding
(3) Proposing to use the land in a this threshold.
person authorized to make the
manner that is contrary to the goals of f. Open Inspector General Audits. (1)
commitment. See Section IV.F. of the
your agency. If you have an open Inspector General
General Section for instructions on how
(4) See Section IV.B.4.a. of this NOFA (IG) audit finding that has not been
to electronically submit third party
for documentation requirements. resolved to HUD’s satisfaction before the
documents. c. Contiguous, Single, and Scattered-
(2) Match donations must be submission date of this NOFA, the
Site Projects. Except as provided in
irrevocably committed. See Section application will not be considered for
sections (1) and (2) below, each
VI.B.5.a. of this NOFA. funding.
application must target one severely (2) HUD’s decision regarding whether
e. Matching funds must be directly distressed public housing project.
applicable to the revitalization of the a charge, lawsuit, or a letter of findings
(1) Contiguous Projects. Each
targeted project and the transformation has been satisfactorily resolved will be
application may request funds for more
of the lives of residents. based on whether appropriate actions
than one project if those projects are
f. The PHA’s staff time is not an have been taken to address the findings.
immediately adjacent to one another or g. Performance of Existing HOPE VI
eligible cash or in-kind match. within a quarter-mile of each other. If
g. See Section IV.B.3 of this NOFA for Grantees. (1) The application will not be
you include more than one project in considered for funding if you have an
match documentation requirements. your application, you must provide a existing HOPE VI Revitalization grant,
C. Other map that clearly indicates that the and
projects are within a quarter-mile of (a) The grant development is
1. Thresholds each other. If HUD determines that they delinquent due to actions or inactions
If you have not met a threshold, or, are not, your application will not be that are not beyond the control of the
when required by this NOFA, have not considered for funding. grantee; and
included in the application the (2) Scattered Site Projects. Your (b) The grantee is not making
complete, correct, required application may request funds to substantial progress toward eliminating
documentation that demonstrates the revitalize a scattered site public housing the delinquency.
threshold has been met, the application project. The sites targeted in an (2) ‘‘Delinquent’’ means that resident
will not be considered for funding. application proposing to revitalize relocation, unit demolition, unit
Threshold insufficiency cannot be cured scattered sites (regardless of whether the construction, unit rehabilitation, unit
after the application submission date. scattered sites are under multiple occupancy, or unit re-occupancy have
See Section IV.B. of this NOFA for project numbers) must fall within an not occurred in accordance with the
documentation requirements. area with a one-mile radius. You may grantee’s current Revitalization Plan.
a. One application. Each applicant identify a larger site if you can show (3) Reasons that are beyond the
may submit only one HOPE VI that all of the targeted scattered site control of the grantee include, but are
Revitalization application as described units are located within the hard edges not limited to, the following:
in this NOFA. If a single applicant (e.g., major highways, railroad tracks, (a) Litigation;
submits more than one application, all lakeshore, etc.) of a neighborhood. If (b) Court Orders;
applications will be disqualified and no you propose to revitalize a project that (c) Unforeseen environmental
application will be eligible for funding. extends beyond a one-mile radius or is conditions; and
b. Appropriateness of Proposal. In otherwise beyond the hard edges of a (d) Emergency and natural disasters.
accordance with Section 24(e)(1) of the neighborhood, your application will not (4) HUD will use documents and
1937 Act, each application must be considered for funding. See Section information available to it to determine
whether the grant is delinquent due to catch basin, or other recognized (a) Have been charged with an on-
reasons that are beyond the control of neighborhood distinction. going systemic violation of the Fair
the grantee and whether the grantee is (2) Demonstrate that the site plan and Housing Act; or
making substantial progress toward building designs of the revitalized (b) Are a defendant in a Fair Housing
eliminating the delinquency. portion will provide defensible space Act lawsuit filed by the Department of
h. Previously Funded Sites. You may for the occupants of the revitalized Justice alleging an on-going pattern or
submit a Revitalization application that building(s) and that the properties that practice of discrimination; or
targets part of a project that is being remain will not have a negative (c) Have received a letter of findings
revitalized or replaced under an existing influence on the revitalized buildings(s), identifying ongoing systemic
HOPE VI Revitalization grant. You may either physically or socially. noncompliance under Title VI of the
not apply for new HOPE VI (3) If your application does not Civil Rights Act of 1964, Section 504 of
Revitalization funds for units in that demonstrate separability, your the Rehabilitation Act of 1973, or
project that were funded by the existing application will not be considered for Section 109 of the Housing and
HOPE VI Revitalization grant or other funding. Community Development Act of 1974;
HUD funds which are used to achieve k. Severe Distress of Targeted Project. and
significant revitalization of units (as The targeted public housing project (d) The charge, lawsuit or letter of
opposed to regular upkeep), even if must be severely distressed. See Section findings referenced in subpart (a), (b) or
those funds are inadequate to pay the I.C. of this NOFA for the definition of (c) above has not been resolved to
costs to revitalize or replace all of the ‘‘severely distressed.’’ If the targeted HUD’s satisfaction before the
project is not severely distressed, your application deadline, then the
targeted units. However, Replacement
application will not be considered for application will not be considered for
Housing Factor funds will not be
funding. See Section IV.B.5.a. of this funding. See Section III.C.2.c. of the
considered as funds which are used to
NOFA for documentation requirements. General Section.
achieve significant revitalization of o. Requirements and Procedures
units. For example, if a project has 700 l. Site Control. (1) If you propose to
develop off-site housing in any phase of Applicable to All Programs:
units and you were awarded a HOPE VI (1) General Section References. The
Revitalization grant or other HUD public your proposed revitalization plan, you
MUST provide evidence in your following subsections of Section III.C. of
housing funds to address 300 of those the General Section are hereby
units, you may submit an FY–2005 application that you (not your
developer) have site control of the incorporated by reference:
HOPE VI Revitalization application to (a) Dun and Bradstreet Data Universal
revitalize the remaining 400 units. You property(ies).
(2) Site control may only be Numbering System (DUNS) Number
may not apply for funds to supplement Requirement;
work on the original 300 units. If you contingent upon:
(b) Compliance with Fair Housing and
request funds to revitalize units or (a) The receipt of the HOPE VI grant;
(b) Satisfactory compliance with the Civil Rights Laws;
buildings that have been funded by an (c) Conducting Business In
environmental review requirements of
existing HOPE VI Revitalization grant or Accordance with Core Values and
this NOFA; and
other HUD funds, your application will Ethical Standards;
(c) The site and neighborhood (d) Delinquent Federal Debts;
not be considered for funding.
standards in Section III.C.4.n.(1) of this (e) Name Check Review;
i. Program Schedule. Your application NOFA.
must contain a program schedule that (f) False Statements;
(3) If you demonstrate site control (g) Prohibition Against Lobbying
provides a feasible plan to meet the through an option to purchase, the
schedule requirements of Section Activities;
option must extend for at least 180 days (h) Debarment and Suspension.
VI.B.2. of this NOFA, with no after the application submission date. (i) Statutory and Regulatory
impediments such as litigation that (4) If you propose to develop off-site Requirements; and
would prevent timely startup. The housing and you do not provide (j) Ineligible Applicants.
program schedule must indicate the acceptable evidence of site control, your (2) Salary Limitation for Consultants.
date on which the development ENTIRE application will not be FY–2005 funds may not be used to pay
proposal for each phase of the considered for funding. or to provide reimbursement for
revitalization plan will be submitted to (5) See Section IV.B.4.e. of this NOFA payment of the salary of a consultant
HUD. A development proposal may by for documentation requirements. whether retained by the federal
for a mixed-finance development, m. Zoning Approval. (1) If you are government or the grantee at more than
homeownership development, etc., will proposing to use off-site parcels of land the daily equivalent of the rate paid for
be submitted to HUD. If your for housing development or other uses level IV of the Executive Schedule,
application does not contain a program that, until this point in time, have been unless specifically authorized by law.
schedule, as described above, the zoned for a purpose different than the
application will not be considered for 2. Thresholds—Applicant Certifications
one proposed in your revitalization
funding. See Section IV.B.4.d. of this plan, your application must include the a. Standard Form 424. By signing and
NOFA for documentation requirements. documentation described in Section submitting the Application for Federal
j. Separability. In accordance with IV.B.4.f. of this NOFA: Assistance, Standard Form 424, you are
Section 24(j)(2)(A)(v) of the 1937 Act, if (2) If zoning approval/certification is certifying to all of the thresholds listed
you propose to target only a portion of not properly included in your in this section. A false statement in an
a project for revitalization, you must: application, the application will not be application is grounds for denial or
(1) Demonstrate to HUD’s satisfaction considered for funding. termination of an award and grounds for
that the severely distressed public n. Compliance with Fair Housing and possible punishment as provided in 18
housing is sufficiently separable from Civil Rights Laws. (1) All applicants U.S.C. 1001, 1010, and 1012, and 32
the remainder of the project of which must comply with all applicable fair U.S.C. 3729 and 3802. See Section IV.B.
the building is part to make use of the housing and civil rights requirements in of this NOFA for any documentation
building feasible for revitalization. 24 CFR 5.105(a), as applicable. requirements related to these
Separations may include a road, berm, (2) If you, the applicant: certifications.
b. Non-Curable Certifications. If you relocation was completed in accordance IV.B.5.g. for documentation
have not met a threshold on or before with URA requirements. requirements.
the application submission date, or have (c) See Section IV.B.5.d. of this NOFA b. Curable. Omission of any of the
not included in the application the for documentation requirements. mandatory documentation listed in this
complete, correct, required (3) Resident Involvement in the section is considered a technical
documentation that demonstrates the Revitalization Program Certification. deficiency and must be cured
threshold has been met, the application You must certify that you have involved (corrected) within the cure period stated
will not be considered for funding. For affected public housing residents at the in Section V.B. of the General Section.
these thresholds, insufficiency cannot beginning and during the planning Applications that remain deficient after
be cured after the application process for the revitalization program, the cure period will not be considered
submission date. See Section IV.B. of prior to submission of your application. for funding. See Section IV.B. of this
this NOFA for documentation If you have not included affected NOFA for any documentation
requirements. residents in the planning process, your requirements related to these
(1) Selection of Developer. You must application will not be considered for certifications.
certify that: funding. See Section III.C.4. of this (1) Market Assessment Certification
(a) You have initiated an RFQ by the NOFA for minimum training and for Market-Rate Housing. If you include
application submission date for the meeting requirements and Section market-rate housing, economic
competitive procurement of a developer IV.B.5.e. of this NOFA for development, or retail structures in your
for your first phase of construction, in documentation requirements. Revitalization Plan, you must provide a
accordance with 24 CFR 85.36 and 24 (4) Standard Certifications. The last certification by an independent, third
CFR 941.602(d) (as applicable). If you part of your application will be party, credentialed market research
change developers after you are selected comprised of standard certifications firm, or professional that describes its
for funding, HUD reserves the right to common to many HUD programs. assessment of the demand and
rescind the grant; or Required forms must be included in the associated pricing structure for the
(b) You will act as your own HOPE VI application and will be proposed residential units, economic
developer for the proposed project. If available over the Internet at http:// development or retail structures, based
you change your plan and procure an www.hud.gov/offices/adm/grants/ on the market and economic conditions
outside developer after you are selected fundsavail.cfm. See Section IV.B.5.i. of of the project area. See Section IV.B.5.a.
for funding, HUD reserves the right to this NOFA for documentation of this NOFA for documentation
rescind the grant. requirements. requirements.
(2) See Section IV.B.5.g. of this NOFA (2) HOPE VI Revitalization Applicant
3. Thresholds—Third-Party
for documentation requirements. Certifications. You must include in your
Certifications
c. Curable Certifications. Omission of, application a certification from the
or error in the signature of, any of the The following third-party Chairman of your Board of
mandatory documentation (as listed in certifications must be included in your Commissioners to the requirements
Section IV.B. of this NOFA) related to application. listed in the HOPE VI Revitalization
the items listed below is considered a a. Non-Curable. If you have not Applicant Certifications. See Section
Technical Deficiency and must be cured included in the application, on or before IV.B.5.b. of this NOFA for
(corrected) within the cure period stated the application submission date, the documentation requirements.
in Section V.B. of the General Section. complete, correct, required
4. Program Requirements
Applications that remain deficient after documentation that demonstrates the
the cure period ends will not be threshold has been met, the application a. Demolition
considered for funding. will not be rated or ranked and will be (1) You may not carry out nor permit
(1) Operation and Management either ineligible for funding or have its others to carry out the demolition of the
Principles and Policies Certification. funding limited, based upon the targeted project or any portion of the
You must certify that you will threshold. For these thresholds, project until HUD approves, in writing,
implement the Operation and insufficiency regarding these thresholds one of the following ((a)–(c)), and until
Management Principles and Policies cannot be cured after the application HUD has also I) approved a Request for
stated in Section III.C.4. of this NOFA. submission date. See Section IV.B. of Release of Funds submitted in
See Section IV.B.5.c. of this NOFA for this NOFA for any documentation accordance with 24 CFR part 58, or, II)
documentation requirements. requirements related to these if HUD performs an environmental
(2) Relocation Plan Certification. certifications. review under 24 CFR part 50, approved
(a) You must certify that the HOPE VI (1) Cost Control Standards. the property for demolition, in writing,
Relocation Plan has been completed Your cost estimates must be certified following its environmental review.
and: to meet the cost control standards stated (a) Information regarding demolition
(i) That it conforms to the Uniform in Section IV.E. The certification must in your HOPE VI Revitalization
Relocation Assistance and Real Property be made by an independent cost Application, along with Supplemental
Acquisition Policies Act of 1970 (URA) estimator, architect, engineer, Submissions requested by HUD after the
requirements; and contractor, or other qualified third party award of the grant. Section 24(g) of the
(ii) That it implements HOPE VI professional. If your costs are not 1937 Act provides that severely
relocation goals, as described in Section certified, your application will not be distressed public housing that is
V.A.6. of this NOFA. considered for funding. See Section demolished pursuant to a Revitalization
(b) If relocation was completed (i.e., IV.B.5.h. of this NOFA for Plan is not required to be approved
the targeted public housing site is documentation requirements. through a demolition application under
vacant) as of the application submission (2) Severely Distressed Certification. Section 18 of the 1937 Act or
date, rather than certifying that the Your application must include a regulations at 24 CFR part 970. If you do
HOPE VI Relocation Plan has been certification that the targeted project is not receive a HOPE VI Revitalization
completed, you must certify that the severely distressed. See Section grant, the information in your
application will not be used to process be found at http://www.huduser.org/ (iv) Housing trust funds.
a request for demolition; datasets/il/il05/index.html.) (v) Net sales proceeds from a
(b) A demolition application under d. Acquisition homeownership project. Down
Section 18 of the 1937 Act. While a (1) Acquisition Proposal. Before you payments from homebuyers will not be
Section 18 approval is not required for undertake any acquisition activities counted. Down payment assistance may
HOPE VI related demolition, you will with HOPE VI or other public housing be counted as a physical development
not have to wait for demolition approval funds, you must obtain HUD approval of resource if it is provided by a third party
through your supplemental an acquisition proposal that meets the entity not related to the homebuyer.
submissions, as described in Section (a) requirements of 24 CFR 941.303. (vi) Funds committed to build private
above; or (2) Rental Units. For acquisition of sector housing in direct connection with
(c) A Section 202 Mandatory rental units in existing or new the HOPE VI Revitalization plan.
Conversion Plan, in compliance with apartment buildings, single family (vii) Tax Increment Funding (TIF).
regulations at 24 CFR part 971 and other subdivisions, etc., with or without (viii) Tax Exempt Bonds. Your
applicable HUD requirements, if the rehabilitation, for use as public housing application must include a description
project is subject to Mandatory replacement units, you must obtain of the use and term.
Conversion (Section 202 of the Omnibus HUD approval of a Development (ix) Other Public Housing Funds.
Consolidated Rescissions and Proposal in accordance with 24 CFR Other public housing sources include
Appropriations Act of 1996 Pub. L. 104– 941.304 (conventional development) or HOPE VI Revitalization funds from
134, approved on April 26, 1996). A 24 CFR 941.606 (mixed finance other grants, HOPE VI Demolition
Mandatory Conversion Plan concerns development). funds, Capital Fund program funds, and
the removal of a public housing project (3) Land for Off-Site Replacement proposals to use operating subsidy for
from a PHA’s inventory. Units. For acquisition of land for public debt service. These HUD public housing
b. Development housing or homeownership funds will not be counted for points
(1) For any standard (non-mixed development, you must comply with 24 under CSS, Development and Collateral
finance) public housing development CFR part 941 or successor part. leverage in this NOFA. However, they
activity (whether on-site reconstruction (4) Land for Economic Development- can be used as part of your revitalization
or off-site development), you must Related Activities. plan. Other public housing sources,
obtain HUD approval of a standard (a) Acquisition of land for this except for HOPE VI Revitalization
development proposal submitted under purpose is eligible only if the economic funds, will be counted toward your
24 CFR part 941 (or successor part). development-related activities leverage rating for anticipatory leverage
(2) For mixed-finance housing specifically promote the economic self- and may be used toward your match
development, you must obtain HUD sufficiency of residents. requirement.
approval of a mixed finance proposal, (b) Limited infrastructure and site (x) Other Federal Funds. Other
submitted under 24 CFR part 941, improvements associated with Federal sources may include non-public
subpart F (or successor part and developing retail, commercial, or office housing funds provided by HUD.
subpart). facilities, such as rough grading and (xi) Sale of Land. The value of land
(3) For new construction of bringing utilities to (but not on) the site may be included as a development
community facilities primarily intended are eligible activities with prior HUD resource only if this value is a sales
to facilitate the delivery of community approval. proceed. Absent a sales transaction, the
and supportive services for residents of e. Leverage value of land may not be counted.
the project and residents of off-site (1) You must actively enlist other (xii) Donations of Land. Donations of
replacement housing, you must comply stakeholders who are vested in and can land may be counted as a development
with 24 CFR part 941 (or successor provide significant financial assistance resource, only if the donating entity
part). Information required for this to your revitalization effort, both for owns the land to be donated. Donating
activity must be included in either a physical development and CSS. entities may include a city, county/
standard or mixed finance development (2) Types of Leverage Resources. HUD parish, church, community
proposal, as applicable. seeks to fund mixed-finance organization, etc. The application must
c. Homeownership developments that use HOPE VI funds include documentation of this
(1) For homeownership replacement to leverage the maximum amount of ownership, signed by the appropriate
units developed under a Revitalization other funds, particularly from private authorizing official.
Plan, you must obtain HUD approval of sources, that will result in revitalized (xiii) Low-Income Housing Tax
a homeownership proposal. Your public housing, other types of assisted Credits (LIHTC). Low-Income Tax
homeownership proposal must conform and market-rate housing, and private Credits are authorized by Section 42 of
to either: retail and economic development. There the IRS Code which allows investors to
(a) Section 24(d)(1)(J) of the 1937 Act; are four types of Leverage: receive a credit against federal tax owed
or Development, CSS, Anticipatory, and in return for providing funds to
(b) Section 32 of the 1937 Act (see 24 Collateral. Development and CSS developers to help build or renovate
CFR part 906). Additional information leverage are program requirements and housing that will be rented only to
on this option may be found at will be described here. Anticipatory and lower-income households for a
www.hud.gov/offices/pih/centers/sac/ Collateral leverage are included only in minimum period of 15 years. There are
homeownership. the Leverage rating factor and are two types of credits, both of which are
(2) The homeownership proposal described in Section V.A.3. of this available over a 10-year period: a nine
must be consistent with the Section 8 NOFA. percent credit on construction/rehab
Area Median Income (AMI) limitations (3) Development Leverage. costs, and a four percent credit on
(80 percent of AMI) and any other (a) Development resources include: acquisition costs and all development
applicable provisions under the 1937 (i) Private mortgage-secured loans and costs financed partially with below-
Act. (HUD publishes AMI tables for other debt. market Federal loans (e.g., tax exempt
each family size in each locality (ii) Insured loans. bonds). Tax credits are generally
annually. The income limit tables can (iii) Donations and contributions. reserved annually through State
Housing Finance Agencies, a directory to leverage the maximum amount of lead-based paint removal, and related
of which can be found at http:// other resources to support CSS activities activities must meet or exceed local
www.ncsha.org/ncsha/public/ in order to ensure the successful building codes. You are encouraged to
statehfadirectory/index.htm. transformation of the lives of residents read the policy statement and final
(b) Sources of Development Leverage. and the sustainability of the revitalized report of the HUD Review of Model
Sources of Development Leverage may public housing development. Building Codes that identifies the
include: Leveraging HOPE VI CSS funds with variances between the design and
(i) Public, private, and nonprofit other funds and services is critical to the construction requirements of the Fair
entities, including LIHTC purchasers; sustainability of CSS activities so that Housing Act and several model building
(ii) State and local housing finance they will continue after the HOPE VI codes. That report can be found on the
agencies; funds have been expended. HUD Web site at http://www.hud.gov/
(iii) Local governments; Commitments of funding or in-kind fhe/modelcodes.
(iv) The city’s housing and services related to the provision of CSS (2) Deconstruction. HUD encourages
redevelopment agency or other activities may be counted as CSS you to design programs that incorporate
comparable agency. HUD will consider resources and toward the calculation of sustainable construction and demolition
this to be a separate entity with which CSS leverage. See Section V.A.3. of this practices, such as the dismantling or
you are partnering if your PHA is also NOFA. ‘‘deconstruction’’ of public housing
a redevelopment agency or otherwise (b) Types of CSS Leverage. units, recycling of demolition debris,
has citywide responsibilities. Types of resources include, but are and reusing of salvage materials in new
(A) You are strongly urged to seek a not limited to: construction. ‘‘A Guide to
pledge of Community Development (i) Materials; Deconstruction’’ can be found at
Block Grant (CDBG) funds for (ii) A building; www.hud.gov/deconstr.pdf.
improvements to public infrastructure (iii) A lease on a building; (3) Partnership for Advancing
such as streets, water mains, etc. related (iv) Other infrastructure; Technology in Housing (PATH). HUD
to the revitalization effort. CDBG funds (v) Time and services contributed by encourages you to use PATH
are awarded by HUD by formula to units volunteers; technologies in the construction and
of general local government and to (vi) Staff salaries and benefits; delivery of replacement housing. PATH
states, which may then award a grant or (vii) Supplies; and is a voluntary initiative that seeks to
loan to a PHA, a partnership, a (viii) Other types of CSS resources as accelerate the creation and widespread
nonprofit organization, or other entity described in Section III.C.4.l. of this use of advanced technologies to
for revitalization activities, including NOFA. radically improve the quality,
loans to a project’s for-profit (c) TANF cash benefits themselves durability, environmental performance,
partnership. More information about the will not be counted as leverage. energy efficiency, and affordability of
CDBG Program can be found at http:// (d) ONLY funds and in-kind services
our Nation’s housing.
www.hud.gov/offices/cpd/index.cfm. that will be newly generated for HOPE (a) PATH’s goal is to achieve dramatic
(B) The city, county/parish, or state VI activities in this NOFA are improvement in the quality of American
may provide HOME funds to be used in considered CSS leverage. housing by the year 2010. PATH
conjunction with HOPE VI funds. The (5) Sources of CSS Leverage. In order encourages leaders from the home
Home Investment Partnership program to achieve quantifiable self-sufficiency building, product manufacturing,
provides housing funds that are results, you must form partnerships insurance and financial industries, and
distributed from HUD to units of general with organizations that are skilled in the representatives from federal agencies
local governments and states. Funds delivery of services to residents of dealing with housing issues to work
may be used for new construction, public housing and that can provide together to spur housing design and
rehabilitation, acquisition of standard commitments of resources to support construction innovations. PATH will
housing, assistance to homebuyers, and those services. You must actively enlist provide technical support in design and
tenant-based rental assistance. Current as partners other stakeholders who are cost analysis of advanced technologies
legislation allows HOME funds to be vested in and can provide commitments to be incorporated in project
used in conjunction with HOPE VI of funds and in-kind services for the construction.
funds, but they may not be used in CSS portion of your revitalization effort. (b) Applicants are encouraged to
conjunction with public housing capital See Section III.C.4.m. for a list of the employ PATH technologies to exceed
funds under Section 9(d) of the 1937 kinds of organizations, agencies, and prevailing national building practices
Act. Information about the HOME other providers that may be used as by:
program can be found at: http:// sources of CSS leverage. (i) Reducing costs;
www.hud.gov/offices/cpd/ f. Access to Services (ii) Improving durability;
affordablehousing/programs/home/ For both on-site and any off-site units, (iii) Increasing energy efficiency;
index.cfm. your overall Revitalization Plan must (iv) Improving disaster resistance; and
(v) Foundations; result in increased access to municipal (v) Reducing environmental impact.
(vi) Government Sponsored services, jobs, mentoring opportunities, (c) More information, the list of
Enterprises such as the Federal Home transportation, and educational technologies, the latest PATH
Loan Bank, Fannie Mae, and Freddie facilities; i.e., the physical plan and self- Newsletter, results from field
Mac; sufficiency strategy must be well- demonstrations, and PATH projects can
(vii) HUD and other Federal agencies; integrated and strong linkages must be be found at www.pathnet.org.
(viii) Financial institutions, banks, or established with the appropriate federal, (4) Energy Efficiency.
insurers; and state, and local agencies, nonprofit (a) New construction must comply
(ix) Other private funders. organizations, and the private sector to with the latest HUD-adopted Model
(4) Community and Supportive achieve such access. Energy Code issued by the Council of
Services Leverage. g. Building Standards American Building Officials.
(a) HUD seeks to fund mixed-finance (1) Building Codes. All activities that (b) HUD encourages you to set higher
developments that use HOPE VI funds include construction, rehabilitation, standards for energy and water
efficiency in HOPE VI new construction, (6) Energy Star. HUD has adopted a rates set by the Secretary of Labor that
which can achieve utility savings of 30 wide-ranging energy action plan for all laborers and mechanics employed in
to 50 percent with minimal extra cost. improving energy efficiency in all the development, including
(c) You are encouraged to negotiate program areas. As a first step in rehabilitation, of a public housing
with your local utility company to implementing the energy plan, HUD, the project must be paid, as set forth in a
obtain a lower rate. Utility rates and tax Environmental Protection Agency wage determination that the PHA must
laws vary widely throughout the (EPA), and the Department of Energy obtain prior to bidding on each
country. In some areas, PHAs are (DoE) have signed a joint partnership to construction contract. The wage
exempt or partially exempt from utility promote energy efficiency in HUD’s determination and provisions requiring
rate taxes. Some PHAs have paid affordable housing efforts and programs. payment of these wage rates must be
unnecessarily high utility rates because The purpose of the Energy Star included in the construction contract;
they were billed at an incorrect rate partnership is to promote energy (b) HUD-determined wage rates apply
classification. efficiency of the affordable housing to:
(d) Local utility companies may be stock, but also to help protect the (i) Operation (including nonroutine
able to provide grant funds to assist in environment. Applicants constructing, maintenance) of revitalized housing,
energy efficiency activities. States may rehabilitating, or maintaining housing or and
also have programs that will assist in community facilities are encouraged to (ii) Demolition followed only by
energy efficient building techniques. promote energy efficiency in design and filling in the site and establishing a
(e) You must use new technologies operations. They are urged especially to lawn.
that will conserve energy and decrease purchase and use Energy Star-labeled (2) Exclusions. Under Section 12(b) of
operating costs where cost effective. products. Applicants providing housing the 1937 Act, wage rate requirements do
Examples of such technologies include: assistance or counseling services are not apply to individuals who:
(i) Geothermal heating and cooling; encouraged to promote Energy Star (a) Perform services for which they
(ii) Placement of buildings and size of building by homebuyers and renters. volunteered;
Program activities can include (b) Do not receive compensation for
eaves that take advantage of the
developing Energy Star promotional and those services or are paid expenses,
directions of the sun throughout the
information materials, outreach to low- reasonable benefits, or a nominal fee for
year;
and moderate-income renters and the services; and
(iii) Photovoltaics (technologies that
buyers on the benefits and savings when (c) Are not otherwise employed in the
convert light into electrical power);
using Energy Star products and work involved (24 CFR part 70).
(iv) Extra insulation; (3) If other federal programs are used
appliances, and promoting the
(v) Smart windows; and in connection with your HOPE VI
designation of community buildings and
(vi) Energy Star appliances. activities, labor standards requirements
homes as Energy Star compliant. For
(5) Universal Design. HUD encourages apply to the extent required by the other
further information about Energy Star,
you to incorporate the principles of federal programs on portions of the
see http://www.energystar.gov or call
universal design in the construction or 888–STAR–YES (888–782–7937), or for project that are not subject to Davis-
rehabilitation of housing, retail the hearing-impaired, call 888–588– Bacon rates under the 1937 Act.
establishments, and community 9920 TTY. See also the energy i. Operation and Management
facilities, or when communicating with efficiency requirements in Section Principles and Policies
community residents at public meetings III.C.4.g.(4) above. See Section V.9.f. of (1) You and your procured property
or events. Universal design is the design this NOFA for the Energy Star Rating manager, if applicable, must comply (to
of products and environments to be Factor. the extent required) with the provisions
usable by all people, to the greatest (7) Lead-Based Paint. You must of 24 CFR part 966 in planning for the
extent possible, without the need for comply with lead-based paint implementation of the operation and
adaptation or specialized design. The evaluation and reduction requirements management principles and policies
intent of universal design is to simplify as provided for under the Lead-Based described below.
life for everyone by making products, Paint Poisoning Prevention Act (42 (a) Rewarding work and promoting
communications, and the built U.S.C. 4821, et seq.). You also must family stability by promoting positive
environment more usable by as many comply with regulations at 24 CFR part incentives such as income disregards
people as possible at little or no extra 35, 24 CFR 965.701, and 24 CFR and ceiling rents;
cost. Universal design benefits people of 968.110(k), as they may be amended or (b) Instituting a system of local
all ages and abilities. Examples include revised from time to time. Unless preferences adopted in response to local
designing wider doorways, installing otherwise provided, you will be housing needs and priorities, e.g.,
levers instead of doorknobs, and putting responsible for lead-based paint preferences for victims of domestic
bathtub/shower grab bars in all units. evaluation and reduction activities. The violence, residency preferences, and
Computers and telephones can also be National Lead Information Hotline is disaster victims. Note that local
set up in ways that enable as many 800–424–5323. preferences for public housing must
residents as possible to use them. The h. Labor Standards comply with Fair Housing requirements
Department has a publication that The following standards must be at 24 CFR 960.206;
contains a number of ideas about how implemented as appropriate in regard to (c) Encouraging self-sufficiency by
the principles of Universal Design can HOPE VI grants. including lease requirements that
benefit persons with disabilities. To (1) Labor Standards. promote involvement in the resident
order a copy of Strategies for Providing (a) Davis-Bacon wage rates apply to association, performance of community
Accessibility and Visitability for HOPE development of any public housing service, participation in self-sufficiency
VI and Mixed Finance Homeownership, rental units or homeownership units activities, and transitioning from public
go to the publications and resource page developed with HOPE VI grant funds housing;
of the HOPE VI Web site at http:// and to demolition followed by (d) Implementing site-based waiting
www.huduser.org/publications/pubasst/ construction on the site. Davis-Bacon lists that follow project-based
strategies.html. rates are ‘‘prevailing’’ minimum wage management principles for the
redeveloped public housing. Note that private service providers, financing (5) Allowable Time Period for
site-based waiting lists for public agencies, and developers in the Training and Meetings.
housing must comply with Fair Housing planning process, proposed (a) At least one public meeting, which
requirements at 24 CFR 903.7(b)(2); implementation, and management of included representation from both the
(e) Instituting strict applicant your Revitalization Plan. This involved public housing residents and
screening requirements such as credit involvement must be continuous from the community, must have been held at
checks, references, home visits, and the beginning of the planning process the beginning of the revitalization
criminal records checks; through the implementation and planning period;
(f) Strictly enforcing lease and management of the grant, if awarded. (b) At least one training session must
eviction provisions; (2) Resident Training Session. You have been held after the publication
(g) Improving the safety and security must conduct at least one training date of this NOFA in the Federal
of residents through the implementation session for residents of the severely Register; and
of defensible space principles and the distressed project on the HOPE VI (c) The minimum of two more public
installation of physical security systems development process. HUD does not meetings must have been held after the
such as surveillance equipment, control prescribe the content of this meeting. publication date of this NOFA in the
engineering systems, etc; (3) Public Meetings. Federal Register.
(h) Enhancing ongoing efforts to (a) You must conduct at least three (d) The above minimum number of
eliminate drugs and crime from public meetings with residents and the trainings and meetings are required to
neighborhoods through collaborative broader community, in order to involve meet the Resident Involvement
efforts with federal, state, and local them in a meaningful way in the process threshold in Section III.C. of this NOFA.
crime prevention programs and entities of developing the Revitalization Plan Additional meetings and trainings will
such as: and preparing the application. One of be counted toward demonstration of
(i) Local law enforcement agencies; these meetings must have taken place at continual inclusion of the residents and
(ii) Your local United States Attorney; the beginning of the planning process. community in the rating factors.
(iii) The Weed and Seed Program, if (b) These three public meetings must l. CSS Program Requirements
the targeted project is located in a take place on different days from each (1) Term Period. CSS programs and
designated Weed and Seed area. other and from the resident training services must last for the life of the grant
Operation Weed and Seed is a multi- session. and must be carefully planned so that
agency strategy that ‘‘weeds out’’ violent (c) During the course of the three they will be sustainable after the HOPE
crime, gang activity, drug use, and drug meetings, you must address the issues VI grant period ends.
trafficking in targeted neighborhoods listed below (i.e., all issues need not be (2) Allowed Funding Mechanisms:
and then ‘‘seeds’’ the target area by addressed at each meeting): (a) Maximum CSS grant amount.
restoring these neighborhoods through (i) The HOPE VI planning and Consistent with Sections 24(d)(1)(L) and
social and economic revitalization. Law implementation process; 24(j)(3) of the 1937 Act, you may use up
enforcement activities constitute the (ii) The proposed physical plan, to 15 percent of the total HOPE VI grant
‘‘weed’’ portion of the program. including site and unit design, and to pay the costs of CSS activities. See
Revitalization, which includes whether the unit design is in Section III.B.1. of this NOFA for CSS
prevention, intervention, and treatment compliance with Fair Housing Act and grant matching requirements. You may
services as well as neighborhood Uniform Federal Accessibility spend additional sums on CSS activities
restoration, constitutes the ‘‘seed’’ Standards (UFAS) standards; using donations, other HUD funds made
element. For more information, see the (iii) The extent of proposed available for that purpose, other Federal,
Community and Safety and demolition; state, local, PHA, or private-sector
Conservation Web site at http:// (iv) Planned community and donations (leverage).
www.hud.gov/offices/pih/divisions/ supportive service activities; (b) CSS Endowment Trust. Consistent
cscd/. (v) Other proposed revitalization with Section 24(d)(2) of the 1937 Act,
j. Non-Fungibility for Moving To activities; you may deposit up to 15 percent of
Work (MTW) PHAs (vi) Relocation issues, including your HOPE VI grant (the maximum
Funds awarded under this NOFA are relocation planning, mobility amount of the award allowable for CSS
not fungible under MTW agreements counseling, and maintaining the HOPE activities) into an endowment trust to
and must be accounted for separately, in VI community planning process during provide CSS activities. In order to
accordance with the HOPE VI the demolition and reconstruction establish an endowment trust, you must
Revitalization Grant Agreement, the phases where temporary relocation, i.e., first execute with HUD a HOPE VI
requirements in OMB Circulars A–87, relocation for a reasonable period (less Endowment Trust Addendum to the
‘‘Cost Principles Applicable to Grants, than one year), is involved; grant agreement. When reviewing your
Contracts and Other Agreements with (vii) Reoccupancy plans and policies, request to set up an endowment trust,
State and Local Governments,’’ A–133, including site-based waiting lists; and HUD will take into consideration your
‘‘Audits of States, Local Governments, (viii) Section 3 and employment ability to pay for current CSS activities
and Non-Profit Organizations’’ and the opportunities to be created as a result of with HOPE VI or other funds and the
regulations 24 CFR part 85, redevelopment activities. projected long-term sustainability of the
‘‘Administrative Requirements for (4) Accessibility. All training sessions endowment trust to carry out those
Grants and Cooperative Agreements to and meetings must be held in facilities activities.
State, Local, and Federally Recognized that are accessible to persons with (3) CSS Team and Partners.
Indian Tribal Governments,’’ and disabilities, provide services such as (a) The term ‘‘CSS Team’’ refers to
GAAP. day care, transportation, and sign PHA staff members and any consultants
k. Resident and Community language interpreters as appropriate, who will have the responsibility to
Involvement and as practical and applicable, be design, implement, and manage your
(1) General. You are required to conducted in English and the CSS program.
involve the affected public housing language(s) most appropriate for the (b) The term ‘‘CSS Partners’’ refers to
residents, state and local governments, community. the agencies and organizations that you
will work with to provide supportive other affordable housing programs and educational institutions, and state and
services for residents. A partner could to market housing. Family Self- local programs.
be a local service organization such as Sufficiency (FSS) and CSS activities that (iii) CSS activities must be well-
a Boys or Girls Club that donates its are designed to increase education and integrated with the physical
building and staff to the program, or an income levels are considered a part of development process, both in terms of
agency such as the local Temporary this endeavor, as is the establishment of timing and the provision of facilities to
Assistance for Needy Families (TANF) reasonable limits on the length of time house on-site service and educational
agency that works with you to ensure any household that is not headed by an activities.
that their services are coordinated and elderly or disabled person can reside in (f) Your CSS program must provide
comprehensive. a public housing unit within a HOPE VI appropriate community and supportive
(c) Partner Agreements. There are Revitalization Development. services to residents prior to any
several relationships that you may have (b) Neighborhood Networks. All relocation
with your partners: FY2005 Revitalization grantees will be m. CSS Partnerships and Resources
(i) Subgrant Agreements. You may required to establish Neighborhood The following are the kinds of
enter into subgrant agreements with Networks Centers (NNC) and to promote organizations and agencies that can
nonprofit organizations or state or local the inclusion of infrastructure that provide you with resources necessary to
governments for the performance of CSS permits unit-based access to broadband carry out and sustain your CSS
activities in accordance with your internet connectivity in all new and activities.
approved CSS work plan. replacement public housing units. This (1) Local Boards of Education, public
(ii) Contracts. You may enter into a program provides residents with on-site libraries, local community colleges,
contract with for-profit businesses, access to computer and training institutions of higher learning, nonprofit
nonprofit organizations, or state or local resources that create knowledge and or for-profit educational institutions,
governments for the performance of CSS experience with computers and the and public/private mentoring programs
activities in accordance with your Internet as tools to increase access to that will lead to new or improved
approved CSS work plan. CSS, job training, and the job market. educational facilities and improved
(iii) Memoranda of Understanding Grantees may use HOPE VI funds to educational achievement of young
(MOU). You may enter into an MOU establish NNCs and to provide unit- people in the revitalized development,
with any entity that furnishes CSS based Internet connectivity. More from birth through higher education.
services for the performance of activities information on the requirements of the (2) TANF agencies/welfare
in accordance with your approved CSS NNC program is available on the departments for TANF and non-TANF
work plan. However, if money is to Neighborhood Networks Web site at in-kind services, and non-TANF cash
change hands, the MOU must be http://www.hud.gov/nnw/ donations, e.g., donation of TANF
formalized with a contract or subgrant. nnwindex.html. There will not be a agency staff.
(iv) Informal Relationships. You may separate FY–2005 funded NOFA for (3) Job development organizations
accept assistance from partners without HOPE VI Neighborhood Networks that link private sector or nonprofit
prior documentation of your partner programs. employers with low-income prospective
relationship. However, informal (c) Quantifiable Goals. The objectives employees.
relationships do not lend themselves to of your CSS program must be results- (4) Workforce Development Agencies.
planning and should definitely be oriented, with quantifiable goals and (5) Organizations that provide
formalized and memorialized with a outcomes that can be used to measure residents with job readiness and
binding contract or subgrant if money progress and make changes in activities retention training and support.
changes hands. as necessary. (6) Economic development agencies
(4) Tracking and Case Management. If (d) Appropriate Scale and Type. such as the Small Business
selected, the grantee is responsible for (i) CSS activities must be of an Administration, which provide
tracking and providing CSS programs appropriate scale, type, and variety to entrepreneurial training and small
and services to residents currently meet the needs of all residents business development centers.
living on the targeted public housing (including adults, seniors, youth ages 16 (7) National corporations, local
site and residents already relocated from to 21, and children) of the severely businesses, and other large institutions
the site. It is imperative that case distressed project, including residents such as hospitals that can commit to
management services begin immediately remaining on-site, residents who will provide entry-level jobs. Employers may
upon award so that residents who will relocate permanently to other PHA units agree to train residents or commit to
be relocated have time to participate in or Housing Choice Voucher-assisted hire residents after they complete jobs
and benefit from CSS activities before housing, residents who will relocate preparedness or training programs that
leaving the site, and that residents who temporarily during the construction are provided by you, other partners, or
have already been relocated are able to phase, and new residents of the the employer itself.
participate in and benefit from CSS revitalized units. (8) Programs that integrate
activities. (ii) Non-public housing residents may employment training, education, and
(5) CSS Strategy and Objectives also participate in CSS activities, as long counseling, and where creative
Requirements as the primary participants in the partnerships with local boards of
(a) Transition to Housing Self- activities are residents as described in education, state charter schools, TANF
Sufficiency. One of HUD’s major Section (i) above. agencies, foundations, and private
priorities is to assist public housing (e) Coordination. funding sources have been or could be
residents in their efforts to become (i) CSS activities must be consistent established, such as:
financially self-sufficient and less with state and local welfare reform (a) Youthbuild. HUD’s Youthbuild
dependent upon direct government requirements and goals. program provides grants to
housing assistance. Your CSS program (ii) Your CSS activities must be organizations that provide education
must include a well-defined, coordinated with the efforts of other and job training to young adults ages 16
measurable endeavor that will enable service providers in your locality, to 24 who have dropped out of school.
public housing residents to transition to including nonprofit organizations, Participants spend half their time
rehabilitating low-income housing and used, and has placed a high priority on with disabilities, can freely decide the
the other half in educational programs. expanding opportunities for grassroots type of neighborhood where they wish
Youthbuild provides a vehicle for organizations to participate in to reside, that minority neighborhoods
achieving compliance with the objective developing solutions for their own are no longer deprived of essential
of Section 3, as described in Section neighborhoods. See HUD’s Center for public and private resources, and that
III.C.4.c. of the General Section. More Faith-Based and Community Initiatives stable, racially-mixed neighborhoods are
information on HUD’s Youthbuild Web site at http://www.hud.gov/offices/ available as a meaningful choice for all.
program can be found at http:// fbci/index.cfm. To make full and free housing choice a
www.hud.gov/progdesc/youthb.cfm. (a) HUD will consider an organization reality, sites for HUD-assisted housing
(b) Step-Up, an apprenticeship-based a ‘‘grassroots’’ organization if it is investment should be selected so as to
employment and training program that headquartered in the local community advance two complementary goals:
provides career potential for low- to which it provides services; and (i) Expand assisted housing
income persons by enabling them to (i) Has an annual social services opportunities in non-minority
work on construction projects that have budget of no more than $300,000. This neighborhoods, opening up choices
certain prevailing wage requirements. cap includes only the portion of the throughout the metropolitan area for all
Step-Up encourages work by offering organization’s budget allocated to assisted households; and
apprenticeships through which low- providing social services. It does not (ii) Reinvest in minority
income participants earn wages while include other portions of the budget neighborhoods, improving the quality
learning skills on the job, supplemented such as salaries and expenses; or and affordability of housing there to
by classroom-related instruction. Step- (ii) Has six or fewer full-time represent a real choice for assisted
Up can also contribute to a PHA’s effort equivalent employees. households.
to meet the requirements of Section 3. (b) Local affiliates of national (c) Compliance with Fair Housing
More information can be found at http:/ organizations are not considered Act, Title VI of the Civil Rights Act of
/www.hud.gov/progdesc/stepup.cfm. ‘‘grassroots.’’ 1964, and Section 504 of the
(9) Sources of capital such as n. Fair Housing and Equal Rehabilitation Act of 1973. You must
foundations, banks, credit unions, and Opportunity Requirements comply with the Fair Housing Act, Title
charitable, fraternal, and business (1) Site and Neighborhood Standards VI of the Civil Rights Act of 1964,
organizations. for Replacement Housing. You must Section 504 of the Rehabilitation Act of
(10) Nonprofit organizations such as comply with the Fair Housing Act and 1973, and implementing regulations in
the Girl Scouts and the Urban League, Title VI of the Civil Rights Act of 1964, determining the location of any
each of which has a Memorandum of and regulations thereunder. In replacement housing.
Agreement (MOA) with HUD. Copies of determining the location of any (d) Grantee Election of Requirements.
these MOAs can be found on the replacement housing, you must comply You may, at your election, separately
Community and Supportive Services with either the site and neighborhood with regard to each site you propose,
page of the HOPE VI Web site at http:/ standards regulations at 24 CFR 941.202 comply with the development
/www.hud.gov/hopevi. (b)–(d) or with the standards outlined in regulations regarding Site and
(11) Civil rights and fair housing this NOFA. Because the objective of the Neighborhood Standards (24 CFR
organizations. HOPE VI program is to alleviate 941.202 (b)–(d)), or with the Site and
(12) Local area agencies on aging. distressed conditions at the Neighborhood Standards contained in
(13) Local agencies and organizations development and in the surrounding this Section.
serving persons with disabilities. neighborhood, replacement housing (e) Replacement housing located on
(14) Nonprofit organizations such as under HOPE VI that is located on the site or in the surrounding neighborhood.
grassroots faith-based and other site of the existing development or in its Replacement housing under HOPE VI
community-based organizations. HUD surrounding neighborhood will not that is located on the site of the existing
encourages you to partner or subgrant require independent approval by HUD project or in its surrounding
with nonprofit organizations, including under Site and Neighborhood neighborhood will not require
grassroots faith-based and other Standards. The term ‘‘surrounding independent approval under Site and
community-based organizations, to neighborhood’’ means the neighborhood Neighborhood Standards, since HUD
provide CSS activities. Such within a three-mile radius of the site of will consider the scope and impact of
organizations have a strong history of the existing development. the proposed revitalization to alleviate
providing vital community services (a) HOPE VI Goals Related to Site and severely distressed conditions at the
such as job training, childcare, Neighborhood Standards. You are public housing project and its
relocation supportive services, youth expected to ensure that your surrounding neighborhood in assessing
programs, technology training, revitalization plan will expand assisted the application to be funded under this
transportation, substance abuse housing opportunities outside low- NOFA.
programs, crime prevention, health income areas and areas of minority (f) Off-Site Replacement Housing
services, assistance to the homeless and concentration and will accomplish Located Outside of the Surrounding
homelessness prevention, counseling substantial revitalization in the project Neighborhood. Unless you demonstrate
individuals and families on fair housing and its surrounding neighborhood. You that there are already significant
rights, providing elderly housing are also expected to ensure that eligible opportunities in the metropolitan area
opportunities, and homeownership and households of all races and ethnic for assisted households to choose non-
rental housing opportunities in the groups will have equal and meaningful minority neighborhoods (or these
neighborhood of their choice. HUD access to the housing. opportunities are under development),
believes that grassroots organizations, (b) Objectives in Selecting HUD- HOPE VI replacement housing not
e.g., civic organizations, faith- Assisted Sites. The fundamental goal of covered by Section (e) above may not be
communities, national and local self- HUD’s fair housing policy is to make located in an area of minority
help homeownership organizations, full and free housing choice a reality. concentration (as defined in paragraph
faith-based, and other community-based Housing choice requires that (g) below) without the prior approval of
organizations should be more effectively households of all races and ethnicity, or HUD. Such approval may be granted if
you demonstrate to the satisfaction of http://www.hud.gov/groups/ (i) Relocation or temporary relocation

HUD that: fairhousing.cfm. carried out as a result of rehabilitation
(i) You have made determined and (b) Specific Fair Housing under an approved Revitalization plan
good faith efforts, and found it requirements are: is subject to the Uniform Relocation
impossible with the resources available, (i) The Fair Housing Act (42 U.S.C. Assistance and Real Property
to acquire an appropriate site(s) in an 3601–19) and regulations at 24 CFR part Acquisition Policies Act of 1970 (URA),
area not of minority concentration; or 100. the URA regulations at 49 CFR part 24,
(ii) The replacement housing, taking (ii) The prohibitions against and regulations at 24 CFR 968.108 or
into consideration both the CSS discrimination on the basis of disability, successor part.
activities or other revitalizing activities including requirements that multifamily (ii) Relocation carried out as a result
included in the Revitalization plan, and housing projects comply with the of acquisition under an approved
any other revitalization activities in Uniform Federal Accessibility Revitalization plan is subject to the URA
operation or firmly planned, will Standards, and that you make and regulations at 24 CFR 941.207 or
contribute to the stabilization or reasonable accommodations to successor part.
improvement of the neighborhood in individuals with disabilities under (iii) Relocation carried out as a result
which it is located, by addressing any Section 504 of the Rehabilitation Act of of disposition under an approved
serious deficiencies in services, safety, 1973 (29 U.S.C. 794) and regulations at Revitalization plan is subject to Section
economic opportunity, educational 24 CFR part 8. 18 of the 1937 Act, as amended.
(iv) Relocation carried out as a result
opportunity, and housing stock. (iii) Title II of the Americans with
of demolition under an approved
(g) Area of Minority Concentration. Disabilities Act (42 U.S.C 12101 et seq.)
Revitalization plan is subject to the URA
The term ‘‘area of minority and its implementing regulations at 28
regulations at 24 CFR part 24.
concentration’’ is any neighborhood in CFR part 35. (b) You must provide suitable,
which: (iv) The Architectural Barriers Act of accessible, decent, safe, and sanitary
(i) The percentage of households in a 1968 (42 U.S.C. 4151) and the housing for each family required to
particular racial or ethnic minority regulations at 24 CFR part 40. relocate as a result of revitalization
group is at least 20 percentage points (c) Accessible Technology. The activities under your Revitalization
higher than the percentage of that Rehabilitation Act Amendments of 1998 plan. Any person (including
minority group for the housing market apply to all electronic information individuals, partnerships, corporations,
area; i.e., the Metropolitan Statistical technology (EIT) used by a grantee for or associations) who moves from real
Area (MSA) in which the proposed transmitting, receiving, using, or storing property or moves personal property
housing is to be located; information to carry out the from real property directly (1) because
(ii) The neighborhood’s total responsibilities of any federal grant of a written notice to acquire real
percentage of minority persons is at awarded. It includes, but is not limited property in whole or in part, or (2)
least 20 percentage points higher than to, computers (hardware, software, word because of the acquisition of the real
the total percentage of all minorities for processing, e-mail, and Web pages) property, in whole or in part, for a HUD-
the MSA as a whole; or facsimile machines, copiers, and assisted activity, is covered by federal
(iii) In the case of a metropolitan area, telephones. When developing, relocation statute and regulations.
the neighborhood’s total percentage of procuring, maintaining, or using EIT, Specifically, this type of move is
minority persons exceeds 50 percent of grantees must ensure that the EIT covered by the acquisition policies and
its population. allows: procedures and the relocation
(2) Housing and Services for Persons (i) Employees with disabilities to have requirements of the URA, and the
with Disabilities. access to and use information and data implementing government-wide
(a) Accessibility Requirements. HOPE that is comparable to the access and use regulation at 49 CFR part 24, and Notice
VI developments are subject to the of data by employees who do not have CPD 04–02, ‘‘Revision to Notice CPD
accessibility requirements contained in disabilities; and 02–8, Guidance on the Application of
several federal laws. All applicable laws (ii) Members of the public with the Uniform Relocation Assistance and
must be read together and followed. PIH disabilities seeking information or Real Property Acquisition Policies Act
Notice 2003–31, available at http:// service from a grantee must have access of 1970 (URA), as Amended, in HOPE
www.hud.gov/offices/pih/publications/ to and use of information and data that VI Projects’’. The relocation
notices/, and subsequent updates, is comparable to the access and use of requirements of the URA and the
provides an overview of all pertinent data by members of the public who do government-wide regulations, as well as
laws and implementing regulations not have disabilities. If these standards CPD Notice 02–08, cover any person
pertaining to HOPE VI. All HOPE VI impose an undue burden on a grantee, who moves permanently from real
multifamily housing projects, whether they may provide an alternative means property or moves personal property
they involve new construction and to allow the individual to use the from real property directly because of
rehabilitation, are subject to the Section information and data. No grantee will be acquisition, rehabilitation, or
504 accessibility requirements described required to provide information services demolition for an activity undertaken
in 24 CFR Part 8. See in particular, 24 to a person with disabilities at any with HUD assistance.
CFR §§ 8.20–8.24. In addition, under the location other than the location at (2) Relocation Plan. Each applicant
Fair Housing Act, all new construction which the information services are must complete a HOPE VI Relocation
of covered multifamily buildings must generally provided. plan in accordance with the
contain certain features of accessible o. Relocation Requirements requirements stated in Section IV.B. of
and adaptable design. Units covered are (1) Requirements. this NOFA.
all those in elevator buildings with four (a) You must carry out relocation (a) The HOPE VI Relocation plan is
or more units and all ground floor units activities in compliance with a intended to ensure that PHAs adhere to
in buildings without elevators. The relocation plan that conforms to the the URA and that all residents who have
relevant accessibility requirements are following statutory and regulatory been or will be temporarily or
provided in HUD’s FHEO Web site at requirements, as applicable: permanently relocated from the site are
provided with CSS activities such as blend into the broader community and conduct the review or may itself
mobility counseling and direct appeal to the market segments for which conduct the environmental review in
assistance in locating housing. Your they are intended. Housing, community accordance with the provisions of 24
HOPE VI Relocation plan must serve to facilities, and economic development CFR part 50. You must provide any
minimize permanent displacement of space must be well integrated. You must documentation to the responsible entity
current residents of the public housing select members of your team who have (or HUD, where applicable) that is
site who wish to remain in or return to the ability to meet these requirements. needed to perform the environmental
the revitalized community. Your HOPE r. Internet Access review.
VI Relocation plan must also furnish You must have access to the Internet c. Phase I and Phase II Environmental
alternative permanent housing for and provide HUD with email addresses Site Assessments. If you are selected for
current residents of the public housing of key staff and contact people. funding, you must have a Phase I
site who do not wish to remain in or 5. Number of Units environmental site assessment
return to the revitalized community. The number of units that you plan to completed in accordance with the
Your CSS program must provide for the develop should reflect your need for ASTM Standards E 1527–00, as
delivery of community and supportive replacement units, the need for other amended, for each affected site. A Phase
services to residents prior to any affordable units and the market demand I assessment is required whether the
relocation, temporary or permanent. for market units, along with financial environmental review is completed
(b) You are encouraged to involve feasibility. The total number of units to under 24 CFR part 50 or 24 CFR part 58.
HUD-approved housing counseling be developed may be less than, or more The results of the Phase I assessment
agencies, including faith-based, than, the original number of public must be included in the documents that
nonprofit and other organizations, and housing units in the targeted public must be provided to the responsible
individuals in the community to which housing project. HUD will review entity (or HUD) for the environmental
relocatees choose to move, in order to requests to revitalize projects with small review. If the Phase I assessment
ease the transition and minimize the numbers of units on an equal basis with recognizes environmental concerns or if
impact on the neighborhood. HUD will those with large numbers of units. the results are inconclusive, a Phase II
view favorably innovative programs 6. Environmental Requirements environmental site assessment will be
such as community mentors, support required.
a. HUD Approval. HUD notification d. Request for Release of Funds. You,
groups, and the like.
(c) If applicable, you are encouraged that you have been selected to receive and any participant in the development
to work with surrounding jurisdictions a HOPE VI grant constitutes only process, may not undertake any actions
to assure a smooth transition if residents preliminary approval. Grant funds may with respect to the project that are
choose to move from your jurisdiction not be released under this NOFA choice-limiting or could have
to the surrounding area. (except for activities that are excluded environmentally adverse effects,
p. Well-Functioning Communities from environmental review under 24 including demolishing, acquiring,
See Section V.A.8. of this NOFA for CFR part 58 or 50) until the responsible rehabilitating, converting, leasing,
requirements that the unit mix of on- entity, as defined in 24 CFR 58.2(a)(7), repairing, or constructing property
site, off-site and homeownership units completes an environmental review and proposed to be assisted under this
create a well-functioning community. you submit and obtain HUD approval of NOFA, and you, and any participant in
q. Soundness of Approach: Design a request for release of funds and the the development process, may not
HUD is seeking excellence in design. responsible entity’s environmental commit or expend HUD or local funds
You must carefully select your certification in accordance with 24 CFR for these activities, until HUD has
architects and planners, and enlist local part 58 (or HUD has completed an approved a Request for Release of Funds
affiliates of national architectural and environmental review under 24 CFR following a responsible entity’s
planning organizations such as the part 50 where HUD has determined to environmental review under 24 CFR
American Institute of Architects, the do the environmental review). part 58, or until HUD has completed an
American Society of Landscape b. Responsibility. If you are selected environmental review and given
Architects, the American Planning for funding and an environmental approval for the action under 24 CFR
Association, the Congress for the New review has not been conducted on the part 50. In addition, you must carry out
Urbanism, and the department of targeted site, the responsible entity must any mitigating/remedial measures
architecture at a local college or assume the environmental review required by the responsible entity (or
university to assist you in assessing responsibilities for projects being HUD). If a remediation plan, where
qualifications of design professionals or funded by HOPE VI. If you object to the required, is not approved by HUD and
participating on a selection panel that responsible entity conducting the a fully-funded contract with a qualified
results in the procurement of excellent environmental review, on the basis of contractor licensed to perform the
design services. performance, timing, or compatibility of required type of remediation is not
You should select a design team that objectives, HUD will review the facts executed, HUD reserves the right to
is committed to a process in which and determine who will perform the determine that the grant is in default.
residents, including young people and environmental review. At any time, e. If the environmental review is
seniors, the broader community, and HUD may reject the use of a responsible completed before HUD approval of the
other stakeholders participate in entity to conduct the environmental HOPE VI Supplemental Submissions
designing the new community. review in a particular case on the basis and you have submitted your Request
Your proposed site plan, new units, of performance, timing, or compatibility for Release of Funds (RROF), the
and other buildings must be designed to of objectives, or in accordance with 24 supplemental submissions approval
be compatible with and enrich the CFR 58.77(d)(1). If a responsible entity letter shall state any conditions,
surrounding neighborhood. Local objects to performing an environmental modifications, prohibitions, etc. as a
architecture and design elements and review, or if HUD determines that the result of the environmental review,
amenities should be incorporated into responsible entity should not perform including the need for any further
the new or rehabilitated homes so that the environmental review, HUD may environmental review. You must carry
the revitalized sites and structures will designate another responsible entity to out any mitigating/remedial measures
required by HUD, or select an alternate IV. Application and Submission Authorized Organization Representative
eligible property, if permitted by HUD. Information (AOR). When you submit the
If HUD does not approve the application through Grants.gov, the
A. Addresses To Request Application
remediation plan and a fully funded name of your authorized organization
Package
contract with a qualified contractor representative on file will be inserted
licensed to perform the required type of 1. Obtaining the NOFA. Copies of this into the signature line of the
remediation is not executed, HUD published NOFA and application forms application. Applicants must register
reserves the right to determine that the for this program may be downloaded the individual who is able to make
grant is in default. from the grants.gov Web site at http:// legally binding commitments for the
f. If the environmental review is not www.grants.gov. If you have difficulty applicant organization as the
completed and you have not submitted accessing the information you may call Authorized Organization Representative
the RROF before HUD approval of the the grants.gov help line toll-free at (800) (AOR).
supplemental submissions, the letter 518–GRANTS or e-mailing b. Manual Signatures. If your
approving the supplemental <support@grants.gov>. Help line organization is granted a waiver to the
submissions will instruct you and any customer representatives will assist you electronic application submission
participant in the revitalization process in accessing the information. For requirement, you should follow the
to refrain from undertaking, obligating, general information, you can contact the following instructions regarding manual
or expending funds on physical NOFA Information Center at (800) signatures. Unless otherwise indicated,
activities or other choice-limiting HUD–8929. If you are hearing impaired, the Executive Director of the applicant
actions until HUD approves your RROF you may reach the NOFA Information PHA, or his or her designee, must sign
and the related certification of the Center through (800) HUD–2209 (TTY) each form or certification that is
responsible entity (or HUD has (these are toll-free numbers). required to be submitted with the
completed the environmental review). 2. Federal Register. The published application, whether part of an
The supplemental submissions approval Federal Register document is the attachment or a standard certification.
letter also will advise you that the official document that HUD uses to Signatures need not be original in the
approved supplemental submissions evaluate applications. Therefore, if there duplicate Headquarters copy and the
may be modified on the basis of the is a discrepancy between any materials duplicate field office copy.
results of the environmental review. published by HUD in its Federal c. Manual Page Layout. If you are
g. There must not be any Register publications and other granted a waiver to the electronic
environmental or public policy factors information provided by the above Web submission requirement:
such as sewer moratoriums that would site, the Federal Register publication (1) Double-space your narrative pages.
preclude development in the requested prevails. Please be sure to review your Single-spaced pages will be counted as
locality. You will certify to this when application submission against the two pages;
signing the HOPE VI Revitalization requirements in the Federal Register file
(2) Use 81⁄2 x 11-inch paper, one side
Grant Application Certifications. of the NOFA.
h. HUD’s environmental website is 3. Application Kits. There are no only. Only the city map may be
located at http://www.hud.gov/offices/ application kits for our programs this submitted on an 8 1⁄2 by 14-inch sheet
cpd/energyenviron/environment/ year. All the information you need to of paper. Larger pages will be counted
index.cfm. apply will be in the NOFA and available as two pages;
on the Internet. (3) All margins should be
7. General Section References approximately 1 inch. If any margin is
4. Corrections to the NOFA.
The following sub-sections of Section Corrections to the NOFA will be posted smaller than 1⁄2 inch the page will be
III.C. of the General Section are hereby to the grants.gov Web site, as described counted as two pages;
incorporated by reference: above. Any technical corrections will (4) Use 12-point, Times New Roman
(1) The Americans with Disabilities also be published in the Federal font;
Act of 1990; Register. As with the original NOFA, (5) Any pages marked as sub-pages
(2) Affirmatively Furthering Fair the published Federal Register (e.g., with numbers and letters such as
Housing; document is the official document that 75A, 75B, 75C), will be treated as
(3) Economic Opportunities for Low- HUD uses to evaluate applications. separate pages;
and Very Low-Income Persons (Section Therefore, if there is a discrepancy (6) If a section is not applicable, omit
3); between any materials published by it; do not insert a page marked n/a;
(4) Executive Order 13166, Improving HUD in its Federal Register (7) Mark each Exhibit and Attachment
Access to Services for Persons With publications and other information with the appropriate tab listed in
Limited English Proficiency (LEP); provided by the above website, the section IV.B.2. and in the Submission
(5) Accessible Technology; Federal Register publication prevails. Instructions. No material on the tab will
(6) Procurement of Recovered Applicants are responsible for be considered for review purposes,
Materials; monitoring these websites and the although pictures are allowed;
(7) Participation in HUD-Sponsored
Federal Register during the application (8) No more than one page of text may
Program Evaluation;
preparation period. be placed on one sheet of paper; i.e., you
(8) Executive Order 13202,
Preservation of Open Competition and B. Content and Form of Application may not shrink pages to get two or more
Government Neutrality Towards Submission on a page. Shrunken pages will be
Government Contractors’ Labor counted as multiple pages;
1. General (9) Do not format your narrative in
Relations on Federal and Federally
Funded Construction Projects; a. Electronic Signature. Applications columns. Pages with text in columns
(9) OMB Circulars and Government- submitted through grants.gov constitute will be counted as two pages; and
wide Regulations Applicable to submission as electronically signed (10) The applications (copy and
Financial Assistance Programs; and applications. The registration and e- original) should each be packaged in a
(10) Drug-Free Workplace. authentication process establishes the three-ring binder.
d. Manual Page Count. If you are by existing HOPE VI Revitalization (C) The name of the file that contains
granted a waiver to the electronic grantees in accordance with Sections the Attachment.
submission requirement: V.A.1.of this NOFA (Capacity). (b) Attachment File Names and Types.
(1) Narrative Exhibits. (e) Information required of MTW (i) All Attachments that are not listed
(a) The first part of your application applicants only. separately on grants.gov and are
will be comprised of narrative exhibits. e. Electronic Format. (1) Exhibits. formatted as PureEdge forms, e.g., SF–
Your narratives will respond to each Exhibits are as listed in Section IV.B.2.a. 424, must be contained in one
rating factor in the NOFA and will also of this NOFA. Each Exhibit should be Attachment ZIP file.
respond to threshold requirements. contained in a separate file and section (ii) Each file within the ZIP file must
Among other things, your narratives of the application. Each file should be formatted so it can be read by MS
must describe your overall planning contain one title page. Excel (.XLS) or Adobe Acrobat (.PDF).
activities, including but not limited to (a) Exhibit Title Pages. HUD will use (A) Attachments that are downloaded
relocation, community, and supportive title pages as tabs when it downloads from grants.gov in MS Excel format may
services, and development issues. and prints the application. Provided the be submitted in Excel format.
(b) Each HOPE VI Revitalization information on the title page is limited (B) Attachments that are downloaded
application must contain no more than to the list in Section (b) below, the title from grants.gov in text format, e.g.,
100 pages of narrative exhibits. Any pages will not be counted when HUD certifications, should be submitted in
pages after the first 100 pages of determines the length of each Exhibit, or Adobe Acrobat (PDF) format.
narrative exhibits will not be reviewed. the overall length of the Exhibits. (C) Third-party documents, e.g.,
Although submitting pages in excess of (i) Each title page should only leverage commitment letters, pictures,
the page limitations will not disqualify contain: etc., should be submitted in Adobe
an application, HUD will not consider (A) The name of the Exhibit, as Acrobat (PDF) format.
the information on any excess pages, described in Section IV.B.2.a. of this (iii) Each file name must include the
which may result in a lower score or NOFA, e.g., ‘‘Narrative Exhibit A: information below, in the order stated:
failure of a threshold. Text submitted at Summary Information’; (A) Short version of applicant’s name,
the request of HUD to correct a technical (B) The name of the applicant; and e.g., town, city, county/parish, etc., and
deficiency will not be counted in the (C) The name of the file that contains state; and
100-page limit. the Exhibit. (B) The word ‘‘Attachment’’ and the
(2) Attachments. (b) Exhibit File Names and Types. Attachment number (1 through 41), as
(a) The second part of your (i) All Exhibit files in the application listed in Section IV.B.2.b. of this NOFA;
application will be comprised of must be contained in one Exhibit ZIP (C) An example of an Exhibit file
Attachments. These documents will also file. name is, ‘‘Atlanta GA Attachment 1’’.
respond to the rating factors in the (ii) Each file within the ZIP file must (3) Maximum Length of Application.
NOFA, as well as threshold and be formatted so it can be read by MS (i) Page Definition and Format.
mandatory documentation Word 2000 (.DOC). (A) For Exhibits, a ‘‘page’’ contains a
requirements. They will include (iii) Each file name must include the maximum of 23 double-spaced lines.
documents such as maps, photographs, information below, in the order stated: The length of each line must be a
letters of commitment, application data (A) Short version of applicant’s name, maximum of 61⁄2 inches. This is the
forms, various certifications unique to e.g., town, city, county/parish, etc., and equivalent of formatting to be printed on
HOPE VI Revitalization, and other state; and 81⁄2″ x 11″ paper, with one inch top,
certifications. (B) The word ‘‘Exhibit’’ and the bottom, left and right margins. The font
(b) Each HOPE VI Revitalization Exhibit letter (A through I), as listed in must be 12-point Times New Roman.
application must contain no more than Section IV.B.2.a. of this NOFA; Each page must be numbered.
125 pages of attachments. Any pages (C) An example of an Exhibit file (B) For Attachments, an applicant
after the first 125 pages of attachments name is, ‘‘Atlanta GA Exhibit A.’’ formatted text page is defined as in (A)
will not be considered. Although (2) Attachments. Attachments are as above. Third-party documents
submitting pages in excess of the page listed in Section IV.B.2.b. of this NOFA. converted into PDF format must not be
limit will not disqualify an application, Each Attachment should be contained shrunk to fit more than one original
HUD will not consider the information in a separate file and section of the page on each application page. Pages of
on any excess pages, which may result application. Each Attachment that is not HUD Forms and certification formats
in a lower score or failure to meet a a HUD Form should contain one title furnished by HUD are as numbered by
threshold. page. HUD.
(3) Exceptions to page limits. The (a) Attachment Title Pages. HUD will (C) The maximum total length of the
documents listed below constitute the use title pages as tabs if it downloads Exhibits and of the Attachments is as
only exceptions and are not counted in and prints the application. Provided the stated in Section IV.B.1.d. above.
the page limits listed in Sections (1) and information on the title page is limited d. See Section IV.F. of the General
(2) above: to the list in Section (b) below, the title Section for instructions on how to
(a) Additional pages submitted at the pages will not be counted when HUD electronically submit third-party and
request of HUD in response to a determines the length of each large documents (i.e., documents 81⁄2 by
technical deficiency. Attachment, or the overall length of the 14-inch, etc.).
(b) Attachments that provide Attachments. HUD forms do not require
2. Application Content
documentation of commitments from title pages.
resource providers or CSS providers. (i) Each title page should only The following is a list of narrative
(c) Attachments that provide contain: exhibits and attachments that are
documentation of site control and site (A) The name of the Attachment, as required as part of the application. Non-
acquisition in accordance with Section described in Section IV.B.2.b. of this submission of these items may lower
IV.B.4. of this NOFA. NOFA, e.g., ‘‘Attachment 10: your rating score or make you ineligible
(d) Narratives and Attachments, as Extraordinary Site Costs Certification’; for award under this NOFA. Review the
relevant, required to be submitted only (B) The name of the applicant; and threshold requirements in Section III.C.
of this NOFA and mandatory Public Meeting Certification, form highlighted or mentioned in the
documentation requirements in Section HUD–52785 application. To ensure inclusion of
IV.B. of this NOFA to ascertain the (15) Attachment 24: Commitments Match funds, MOUs should be
affects of non-submission. HUD forms with CSS Providers accompanied by commitment letters or
required by this NOFA can be obtained (16) Attachment 25: Relocation Plan contracts. This is not a technical
on the Internet at Grants.gov. Applicants Certification Documentation deficiency and cannot be corrected
that are granted a waiver to the (17) Attachment 26: Completed during the deficiency period. If the
electronic submission requirement must Relocation Certification Documentation match is not met, the application will
include the narrative exhibits and (18) Attachment 27: Documentation of not be considered for funding.
attachments in the application in the Site Control for Off-Site Public Housing
order listed below. (19) Attachment 28: Documentation of 4. Threshold Documentation
Environmental, & Neighborhood a. Appropriateness of Proposal. In
a. Narrative Exhibits
Standards
(1) Acknowledgment of Application accordance with Section 24(e)(1) of the
(20) Attachment 29: Preliminary
Receipt, form HUD–2993 (applies only 1937 Act, each application must
Market Assessment Letter
if you are granted a waiver to the demonstrate the appropriateness of the
(21) Attachment 30: Zoning Approval
electronic submission requirement) proposal in the context of the local
Certification or Documentation
(2) Application for Federal housing market relative to other
(22) Attachment 31: HOPE VI
Assistance, Standard Form SF–424 alternatives. You must briefly discuss
Revitalization Project Readiness
(3) HOPE VI Revitalization other possible alternatives to your
Certification, form HUD–52787
Application Table of Contents proposal and explain why your plan is
(23) Attachment 32: Current Site Plan
(4) Narrative Exhibit A: Summary more appropriate. This is a statutory
(24) Attachment 33: Photographs of
Information requirement and an application
Architecture in the Surrounding
(5) Narrative Exhibit B: Capacity threshold. Any deficiencies in your
Community
(6) Narrative Exhibit C: Need narrative may not be corrected after the
(7) Narrative Exhibit D: Resident and (25) Attachment 34: Conceptual Site
Plan application is submitted. For examples
Community Involvement of alternative proposals, see the
(8) Narrative Exhibit E: Community (26) Attachment 35: Conceptual
Building Elevations Appropriateness of Proposal Threshold
and Supportive Services in Section III.C.
(9) Narrative Exhibit F: Relocation (27) Attachment 36: Evaluation
(10) Narrative Exhibit G: Fair Housing Commitment Letter(s) b. Contiguous, Single, and Scattered-
and Equal Opportunity (28) Attachment 37: Portions of the Site Projects. If you include more than
(11) Narrative Exhibit H: Well- PHA Plan one project in your application, you
Functioning Communities (29) Attachment 38: Logic Model, must provide a map that clearly
(12) Narrative Exhibit I: Soundness of form HUD–96010 indicates that the projects are within a
Approach (30) Attachment 39: America’s quarter-mile of each other. See Section
Affordable Communities Initiative, form III.C.1.c of this NOFA for more
b. Attachments
HUD–27300 information.
(1) Attachments 1 through 7: HOPE VI (31) Attachment 40: HOPE VI c. Non-Public Housing Funding for
Application Data Form, form HUD– Revitalization Application Certifications Non-Public Housing or Replacement
52860–A (32) Attachment 41: Standard Forms
(2) Attachment 8: HOPE VI Budget, Units. Public Housing funds must only
and Certifications be used to develop Replacement
form HUD–52825–A (a) Disclosure of Lobbying Activities,
(3) Attachment 9: TDC-Grant Housing Units. You must demonstrate
Standard Form LLL, as applicable that you have sufficient non-Public
Limitations Worksheet, form HUD– (b) Applicant/Recipient Disclosure/
52799 Housing Leverage funds to develop all
Update Report, form HUD–2880, housing units that do not qualify as
(4) Attachment 10: Extraordinary Site (c) Funding Application, Section 8
Costs Certification Replacement Housing. See Section I.C.3.
Tenant-Based Assistance Rental of this NOFA for the definition of
(5) Attachment 11: Cost Control
Certificate Program, Rental Voucher Replacement Housing.
Standards Certification
Program, form HUD–52515, if
(6) Attachment 12: City Map d. Program Schedule. Your
(7) Attachment 13: Developer applicable.
application must contain a program
Certification 3. Match Documentation schedule that provides a feasible plan to
(8) Attachment 14: Property meet the schedule requirements of
Management Policy Certification If the commitment document for any
match funds/in-kind services is not Section VI.B. of this NOFA, with no
Documentation
included in the application and impediments such as litigation that
(9) Attachment 15: Program Schedule
(10) Attachment 16: Certification of provided before the NOFA submission would prevent timely startup. The
Severe Physical Distress date, the related match will not be program schedule must indicate the
(11) Attachment 17: Photographs of considered. Depending upon the date when the development proposal,
the Severely Distressed Housing specific Memorandum of Understanding i.e., whether public housing
(12) Attachment 18: Neighborhood (MOU), the MOU alone may not firmly development, mixed-finance
Conditions and irrevocably commit Match funds, development, homeownership
(13) Attachments 19 through 22: e.g., the MOU states that a donation development, etc., for each phase of the
HOPE VI Revitalization Leverage agreement may be discussed in the revitalization plan will be submitted to
Resources, form HUD–52797 future. If the MOU does firmly and HUD. For application evaluation only,
(14) Attachment 23: HOPE VI irrevocably commit funds, the MOU you should assume the following award
Revitalization Resident Training & language that does so should be and post-award dates.
Milestone Date
Grant Award ........................................................................................................................................................................ April 1, 2006.

Grant Agreement Execution ................................................................................................................................................ July 1, 2006.
HUD’s written request for Supplemental Submissions ....................................................................................................... August 1, 2006.
HUD’s approval of Supplemental Submissions .................................................................................................................. September 1, 2006.
If grant award takes place after April 5. Certification Thresholds c. Operation and Management
1, 2006, the grantee’s program schedule Documentation Principles and Policies Certification
may be changed in the supplemental You must certify that you will
submissions to account for the period of Omission of, or incorrect/improper
signature on, any of the following implement the Operation and
time between April 1, 2006, and the Management Principles and Policies
actual date of grant award. documents is considered a technical
deficiency and must be cured stated in Section III.C. of this NOFA.
e. Site Control. If you propose to (corrected) within the cure period stated The certification should reference 24
develop off-site housing in any phase of in Section V.B. of the General Section. CFR part 966 and should outline the
your proposed revitalization plan, you Applications that remain deficient after requirements in Section III.C.4.i. If, after
MUST provide evidence in your the cure period will not be considered the deficiency cure period, this
application that you (not your for funding. certification is not properly included in
developer) have site control of the your application, the application will
property(ies). Evidence may include an a. Market-Rate Housing: Market not be considered for funding.
option to purchase the property, a sales Assessment Letter
d. Relocation Plan Certification
agreement, a land swap, or a deed.
(1) If you include market-rate housing, You must certify that the HOPE VI
Evidence may not include a letter from
community facilities (if market-driven, a Relocation plan has been completed and
the Mayor or other official, letters of
community facility that is primarily that it conforms to the URA
support from members of the
intended to facilitate the delivery of requirements, and that it implements
appropriate municipal entities, or a
community and supportive services for the goals stated in V.A.6. of this NOFA.
resolution evidencing the PHA’s intent
residents of the targeted severely (a) You must certify that the HOPE VI
to exercise its power of eminent
distressed public housing project and of Relocation Plan has been completed
domain. Evidence of site control may
off-site replacement housing does not and:
only be made contingent upon the
need to be addressed in the market (i) That it conforms to the Uniform
receipt of the HOPE VI grant,
assessment letter, e.g., a YMCA), Relocation Assistance and Real Property
satisfactory compliance with the
economic development and retail Acquisition Policies Act of 1970 (URA)
environmental review requirements in
structures in your Revitalization plan, requirements as described in Sections
accordance with this NOFA, and the site
you must demonstrate that there is a III.C.4. of this NOFA; and
and neighborhood standards in Section (ii) That it implements HOPE VI
demand for these market-rate housing
III.C.4.n.(1) of this NOFA. relocation goals, as described in Section
units, community facilities, economic
f. Zoning Approval. (a) If you are development and retail structures of the V.A.6. of this NOFA.
proposing to use off-site parcels of land type, number, and size proposed in the (b) If relocation was completed (i.e.,
for housing development or other uses location you have chosen. the targeted public housing site is
that, until this point in time, have been vacant) as of the application submission
(2) In your application you must
zoned for a purpose different than the date, rather than certifying that the
provide a preliminary market
one proposed in your revitalization HOPE VI Relocation Plan has been
assessment letter prepared by an
plan, your application must include: completed, you must certify that the
independent, third party, credentialed
(i) A certification from the appropriate market research firm, or professional relocation was completed in accordance
local official documenting that all that describes its assessment of the with URA requirements.
required zoning approvals have been (c) If, after the deficiency cure period,
demand and associated pricing structure
secured for such parcels; or, this certification is not properly
for the proposed residential units and
(ii) The actual zoning approval included in your application, the
any community facilities, economic
document for the parcel(s). application will not be considered for
development, and retail structures,
funding.
(b) If you are proposing to use off-site based on the market and economic
parcels of land for housing development conditions of the project area. e. Resident Involvement in the
or other uses and those parcels are (3) If, after the cure period, this letter Revitalization Program Certification
already zoned for your chosen use, your is not included in your application, the You must submit a signed
application must include a certification application will not be considered for certification that resident training
signed by the Executive Director stating funding. sessions and public meetings were held
that all zoning is correct. and that you involved affected public
b. HOPE VI Revitalization Applicant
(c) For example, if you propose to Certifications housing residents at the beginning and
develop housing on land that is during the planning process for the
currently zoned as parkland, you must The Chairman of your Board of revitalization program, prior to
provide evidence in the application that Commissioners must certify to the submission of an application. The
the zoning change has been secured to requirements listed in the HOPE VI certification must state that listed
permit housing development. If you Revitalization Applicant Certifications. topics, as described in Section III.C.4. of
propose to keep the land as parkland, A suggested format for this certification this NOFA, were covered, that one of
you must provide a certification in the is provided on the Internet at http:// the meetings took place at the beginning
application that the zoning is for www.hud.gov/offices/adm/grants/ of the revitalization planning process,
parkland. fundsavail.cfm. and that two of the meetings and one
training session took place after the the Application for Federal Assistance (b) A table that states:
publication date of this NOFA in the (SF–424) and the Acknowledgment of (i) The amount of your total FY 2000–
Federal Register. The certification must Application Receipt (HUD–2993). These 2005 Capital Funds;
include the dates of the training session two forms must be the first two pages of (ii) The amount of your total
and meetings. The certification must your application. unobligated FY 2000–2005 Capital
show that each of the public meetings Funds; and
j. TDC and Extraordinary Site Costs (iii) The planned amounts and uses of
and resident training took place on
Certification unobligated funds earmarked in your
different days. If, after the deficiency
cure period, this certification is not (1) An Extraordinary Site Costs PHA plan for purposes other than your
properly included in your application, Certification must be included in your application’s proposed HOPE VI
the application will not be considered application if such costs are included in activities.
for funding. the calculations you used to determine (4) Applicants must ensure that their
your requested award amount. If this obligation and expenditure information
f. Severely Distressed Certification certification is not included in the was updated in LOCCS prior to the
You must certify that the target application on or before the end of the application deadline, except in the case
project is severely distressed. See deficient application cure period, of some moving to work applicants,
Section I.C. of this NOFA for the extraordinary site costs will not be which are not required to enter
definition of ‘‘severely distressed.’’ In allowed in the award amount. obligations into LOCCS in accordance
order to certify to severe physical (2) The certification must be signed by with their MTW agreements.
distress, your application must include a licensed engineer or architect who is (5) For MTW PHAs that do not record
a certification that is signed by an not an employee of the housing capital funds obligations in LOCCS, you
engineer or architect licensed by a state authority or the city. The certification must provide a certification of your
licensing board. The license does not must include an engineer’s or architect’s obligation rate in order to receive any
need to have been issued in the same license number and state of registration. points for the Need for HOPE VI
state as the severely distressed project. Funding rating factor.
6. Rating Factor Documentation c. Documentation for Leverage
The engineer or architect must include
his or her license number and state of To receive points for certain rating Resources. In your application, you will
registration on the certification. The factors, you must include specific enter basic information about each
engineer or architect may not be an documentation that is stated in this resource on the appropriate resource
employee of the housing authority or NOFA. When specific documentation is summary form: name of the organization
the city. A format for a Certification of necessary, that documentation is stated providing the resource, the dollar value
Severe Physical Distress is provided on in this section of the NOFA or is cross- of the resource, and its proposed use.
referenced here and is included with the (1) Basic Documentation
the Internet at http://www.grants.gov.
related rating factors in Section V.A. of Requirements.
g. Selection of Developer this NOFA. (a) For each resource you list, you
In order to be eligible for funding, you a. Documentation for Capacity. See must provide a commitment document
must provide a signed certification that: Section V.A.1. of this NOFA for that demonstrates firm and irrevocable
(1) You have initiated an RFQ by the documentation requirements. Include commitments, such as a letter,
required application submission date for information on capacity in Exhibits B memorandum of understanding (See (i)
the competitive procurement of a and E. HUD will obtain information on below.), agreement to participate, city
developer for your first phase of Capital Fund Program availability council resolution, or other evidence of
construction. It is not necessary to have internally. However, you must include the resource to be committed, which
executed a Master Development information from your PHA Plan on may be subject to the receipt of a HOPE
Agreement with the selected developer Capital Fund Program funds that are VI Revitalization grant. If the
in order to meet the threshold; or, planned for other uses. HUD will also commitment document is not included
(2) You will act as your own obtain information on your scores for in the application and provided before
developer for the proposed project. the Public Housing Assessment System the NOFA submission date, the related
(PHAS) and Section 8 Management leverage will not be considered. An
h. Cost Control Standards Certification official of the organization legally
Assessment Program (SEMAP)
You must include a certification by an internally. authorized to make commitments on
independent cost estimator, architect, b. Documentation for Need. behalf of the organization must sign the
engineer, contractor, or other qualified (1) State the number of units that you commitment document.
third party professional that your cost currently have under ACC. (i) Memoranda of Understanding
estimates meet the standards of Section (2) See Sections V.A.2. and IV.B.7.c. (MOUs). Depending upon the specific
IV.E. of this NOFA. The certifier cannot of this NOFA for the subjects and items MOU, the MOU alone may not firmly
work for you. that you should include in your Rating and irrevocably commit Leverage funds,
Factor narrative. e.g., the MOU states that a donation
i. Standard Forms and Certifications (3) In order to document that you agreement may be discussed in the
(1) The last part of your application need HOPE VI funding to complete your future. If the MOU does firmly and
will be comprised of standard proposed revitalization effort, you must irrevocably commit funds, the MOU
certifications common to many HUD include in your application: language that does so should be
programs. Required forms are included (a) The portion of your PHA plan that highlighted or mentioned in the
in the HOPE VI Application and will be lists each year’s planned uses of your application. To ensure inclusion of
available electronically on the FY 2000–2005 Capital Funds (including Leverage funds, MOUs may be
grants.gov website. CGP and CIAP funds). Funds earmarked accompanied by commitment letters or
(2) For applicants who are granted a in the PHA plan for uses other than the contracts. This is not a technical
waiver to the electronic application revitalization proposed in this deficiency and cannot be corrected
process, these forms must be placed at application will not be considered during the deficiency period. See
the back of the application, except for available; and Section VI.B.5.a. of this NOFA.
(b) Each commitment document must clearly indicates that tax-exempt bonds need for affordable housing. Include
include the dollar value and time have been committed to the project. information relating the Rating Factors
duration of the commitment (e.g., (3) Private mortgage-secured loans to your Physical Plan, as described in
$10,000 will be provided each year for and other debt. Exhibit A.
four years for a total commitment of (a) Your application must include
each loan’s expected term maturity and i. Documentation for Soundness of
$40,000). The dollar value must be
sources of repayment. Approach. See Section and V.A.9. of
consistent with the amount entered on
the resource summary form. For d. Documentation for Resident this NOFA for documentation
electronic application submission, you Involvement. See Sections IV.B.5.e. and requirements.
will also need to identify, in the V.A.4. of this NOFA for documentation j. Documentation for Incentive
documentation Attachment section of requirements. Criteria on Regulatory Barrier Removal.
the application, whether the document e. Documentation for CSS. Include You must include the completed form
was submitted to HUD: CSS capacity information in Exhibit B, HUD–27300 in your application. You
(i) As a scanned PDF document CSS Leverage in the Attachments and must answer the questions in either Part
submitted through grants.gov CSS program information in Exhibit E. A or Part B of the form, but not both.
(preferred); or See Sections III.C.4.l. and m. for
(ii) as an electronic facsimile. See program requirements and V.A.5. for 6. Housing Choice Voucher (HCV)
Section IV.F. of this NOFA. CSS program Rating Factors. Note the Assistance
(c) Endorsements or general letters of importance of Housing Self-Sufficiency.
support from organizations or vendors f. Documentation for Relocation. (1) This NOFA will fund HCVs that
alone will not count as resources and There is a program requirement that you are necessary to relocate HOPE VI
should not be included in the must complete a HOPE VI Relocation affected public housing residents. In
application or on a Resources Summary plan. The Relocation Plan should be in accordance with HUD Notice PIH 2004–
Form. accordance with HUD Community 4 (HA), Submission and Processing of
(d) For CSS leverage resources, Planning and Development’s CPD Public Housing Agency (PHA)
include only funds/in-kind services that Notice 04–02, which is an extension of Applications for Housing Choice
will be newly generated for HOPE VI Notice 02–08. Vouchers for Relocation or Replacement
activities. If an existing service provider (1) In your application, you must Housing Related to Demolition or
significantly increases the level of certify that the HOPE VI Relocation plan Disposition (Including HOPE VI), and
services provided at the site, the has been completed and that it: Plans for Removal (Required/Voluntary
increased amount of funds may be (a) Conforms to the URA requirements Conversion Under Section 33 of the
counted, except for TANF cash benefits. as described in Section III.C.4.; 1937 Act, As Amended, and Mandatory
HUD will not count any funds that have (b) Is designed to minimize Conversion Under Section 202 of the
already been provided on a routine permanent displacement of current
basis, such as TANF cash benefits and Omnibus Consolidated Rescissions and
residents of the public housing site who
in-kind services that have been Appropriations Act of 1996) of Public
wish to remain in or return to the
supporting ongoing CSS-type activities. revitalized community, while furnishing Housing Units, you should determine
(e) Even though an in-kind CSS alternative housing to current residents the number of vouchers that it is eligible
contribution may count as a resource, it of the public housing site who do not for, that are related to this HOPE VI
may not be appropriate to include on wish to remain in or return to the Revitalization development.
the sources and uses attachment. Each revitalized community; (2) You should submit the HCV
source on the sources and uses (c) Gives existing residents priority for application, in accordance with HUD
attachment must be matched by a occupancy in planned public housing Notice PIH 2004–4 (HA), for these HOPE
specific and appropriate use. For units, or for residents that can afford to VI related vouchers, as a part of the
example, donations of staff time may live in other units, priority for those application.
not be used to offset costs for planned units and
infrastructure. (d) In connection with your CSS (a) If you are funded by this NOFA,
(2) LIHTC Documentation. If you program, provides for community and the HCV application will be processed.
propose to include LIHTC equity as a supportive services to residents prior to (b) If you are not funded by this
development resource for any phase of any relocation. NOFA, the HCV application will not be
development, your application must (2) If relocation was completed as of processed.
include a LIHTC reservation letter from the application submission date (i.e., the (3) For applicants who are granted a
your state or local housing finance targeted public housing site is vacant),
agency in order to have the tax credit waiver to the electronic application
rather than providing a certification that
amounts counted as development process, the HCV request should be
the HOPE VI Relocation plan has been
leveraging. This letter must constitute a located with the Standard Forms and
completed, a certification that the
firm commitment and can only be relocation was completed must be Certifications at the back of the
conditioned on the receipt of the HOPE included in the application. This application.
VI grant. HUD acknowledges that, certification may be provided in the (4) The notice can be obtained
depending on the housing finance form of a letter. through the Internet at http://
agency, documentation for four percent g. Documentation for Fair Housing www.hudclips.org/cgi/index.cgi.
tax credits may be represented in the and Equal Opportunity. See Sections (5) To assist HUD in estimating the
form of a tax-exempt bond award letter. III.C.4., and V.A.7. for documentation overall cost of HCV assistance, you
Accordingly, it will be accepted for requirements.
should include a copy of the Funding
leverage scoring purposes under Section h. Documentation for Well-
V.A.3. of this NOFA, if you demonstrate Functioning Community. See Sections Application, Section 8 Tenant-Based
that this is the only available evidence III.C.4., and V.A.8. of this NOFA for Assistance Rental Certificate Program,
of four percent tax credits, and documentation requirements. Include a Rental Voucher Program, form HUD–
assuming that this documentation summary of unit data that relates to 52515, in your NOFA application.
7. Further Documentation Guidance on intended to facilitate the delivery of scattered sites meet the NOFA
Narrative Exhibits and Specific community and supportive services for requirements.
Attachments residents of the targeted development b. Exhibit B. Verify that you have
and residents of off-site replacement included information relating to the
a. Exhibit A. Verify that you have
housing. Describe the type and amount following:
included information relating to the (1) PHAS, Maintenance, and SEMAP.
following: of such space and how the facilities will
be used in CSS program delivery or (2) Development Capacity of
(1) Executive Summary. Provide an Developer.
Executive Summary, not to exceed three other activities;
(h) Land acquisition, and (3) Development Capacity of
pages. Describe your Revitalization Applicant.
infrastructure and site improvements.
Plan, as clearly and thoroughly as (4) Capacity of Existing HOPE VI
Note that HOPE VI grant funds may not
possible. Do not argue for the need for Revitalization Grantees. This rating
be used to pay hard development costs
the HOPE VI grant, but explain what or to buy equipment for retail or factor applies only to PHAs with
you would do if you received a grant. commercial facilities; existing HOPE VI Revitalization grants
Briefly describe why the targeted project (3) Hazard Reduction. For units to be from fiscal years 1993–2002. Production
is severely distressed, provide the rehabilitated or demolished, describe achievement numbers will be taken
number of units, and indicate how the extent of any required abatement of from the HOPE VI Quarterly Progress
many of the units are occupied. environmentally hazardous materials Reports for the quarter ending December
Describe specific plans for the such as asbestos. 31, 2004.
revitalization of the site. Include income (4) Demolition. Describe your plans (5) CSS Program Capacity.
mix, basic features (such as restoration for demolition, including the buildings (6) Property Management Capacity.
of streets), and any mixed use or non- (dwelling and non-dwelling units) (7) PHA Plan.
housing components. If you are c. Exhibit C. Verify that you have
proposed to be demolished, the purpose
proposing off site replacement housing, included information relating to the
of the demolition, and the use of the site
provide the number and type of units following:
after demolition. If the proposed (1) Need for Revitalization: Severe
and describe the off site locations. demolition was previously approved as
Describe any homeownership Physical Distress of the Public Housing
a Section 18 demolition application, Site.
components included in your Plan, state the date the Section 18 demolition
including numbers of units. Briefly (2) Need for Revitalization: Impact of
application was submitted to HUD and the Severely Distressed Site on the
summarize your plans for community the date it was approved by HUD.
and supportive services. State the Surrounding Neighborhood.
Indicate whether you plan to implement (3) Need for HOPE VI Funding
amount of HOPE VI funds you are the concept of Deconstruction. (Obligation of Capital Funds). If you are
requesting, and list the other major (5) Disposition. Describe the extent of a Moving to Work participant and are
funding sources you will use for your any planned disposition of any portion not required to enter obligations into
mixed-finance development. Identify of the site. Cite the number of units or LOCCS, provide a certification of your
whether you have procured a developer acreage to be disposed, the method of obligation rate of your FY 2000–2005
or whether you will act as your own disposition (sale, lease, trade), and the Capital Funds. If you are not a
developer. status of any disposition application participant in MTW, you must provide
(2) Physical Plan. Describe your made to HUD. information on your Capital Funds. The
planned physical revitalization (6) Site Improvements. Describe any portion of the PHA Plan that lists the
activities: proposed on-site improvements, planned uses of your FY 2000–2005
(a) Rehabilitation of severely including infrastructure requirements, Capital Funds should included in the
distressed public housing units; changes in streets, etc. Describe all application.
(b) Development of public housing public improvements needed to ensure (4) Previously-Funded Sites.
replacement rental housing, both on-site the viability of the proposed project (5) Need for Affordable, Accessible
and off-site; with a narrative description of the Housing in the Community.
(c) Indicate whether you plan to use sources of funds available to carry out d. Exhibit D. Verify that you have
PATH technologies and Energy Star in such improvements. included information relating to the
the construction of replacement (7) Site Conditions. Describe the following:
housing; conditions of the site to be used for (1) Resident and Community
(d) Market rate housing units; replacement housing. Listing all Involvement. Discuss your
(e) Units to be financed with low- potential contamination or danger communications about your
income housing tax credits; sources (e.g. smells, fire heat, explosion development plan and HUD
(f) Replacement homeownership and noise) that might be hazardous or communications with residents,
assistance for displaced public housing cause discomfort to residents, PHA community members, and other
residents or other public housing- personnel, or construction workers. List interested parties. Include the resident
eligible low-income families. Also potential danger sources, including training attachment.
describe any market-rate commercial and industrial facilities, e. Exhibit E. Verify that you have
homeownership units planned, sources brownfields and other sites with included information relating to the
and uses of funds. Describe the potentially contaminated soil, following: Endowment Trust. If you
relationship between the HOPE VI commercial airports and military plan to place CSS funds in an
activities and costs and the airfields. Note any facilities and/or Endowment Trust, state the dollar
development of homeownership units, activities within one mile of the amount and percentage of the entire
both public housing and market rate. If proposed site. grant that you plan to place in the Trust.
you are selected for funding, you will be (8) Separability. If applicable, address (1) Case Management and Needs
required to submit a Homeownership the separability of the revitalized Identification;
Proposal (homeownership term sheet); building(s) within the targeted project. (2) Transition to Housing Self-
(g) Rehabilitation or new construction (9) Proximity. If applicable, describe Sufficiency and Housing Self-
of community facilities primarily how two contiguous projects or Sufficiency Time Frame;
(3) Partner Commitments; m. Attachment 10. (1) Extraordinary housing that illustrate the extent of
(4) Quality and Results Orientation. Site Costs Certification. This attachment physical distress.
f. Exhibit F. Verify that you have is applicable only if you request funds u. Attachment 18. (1) Neighborhood
included information relating to the to pay for extraordinary site costs, Conditions. This attachment is required
following: outside the TDC limits. in all applications. Documentation may
(1) Housing Choice Voucher Needs. n. Attachment 11. (1) Cost include crime statistics, photographs or
State the number of Housing Choice Certification. This attachment is renderings, socio-economic data, trends
Vouchers that will be required for required in all applications. in property values, evidence of property
relocation if this HOPE VI application is o. Attachment 12. (1) City Map. This deterioration and abandonment,
approved, both in total and the number attachment is required in all evidence of underutilization of
needed for FY 2005. Indicate the applications. Provide a to-scale city map surrounding properties, and other
number of units and the bedroom that clearly identifies the following in indications of neighborhood distress
breakout. As applicable, include a the context of existing city streets, the and/or disinvestment.
Housing Choice Voucher application to central business district, other key city v. Attachments 19 through 22. (1)
the application. sites, and census tracts: These attachments are included in form
(2) Relocation Plan. For additional (a) The existing development; HUD 52797, ‘‘HOPE VI Revitalization
guidance on developing a relocation (b) Replacement neighborhoods, if Leverage Resources’’ and are required in
plan, refer to CPD Notice 04–02 available; all applications.
(‘‘Guidance on the Application of the (c) Off-site properties to be acquired, (2) Physical Development Resources.
Uniform Relocation Assistance and Real if any; For each resource entered, you must
Property Acquisition Policies Act of (d) The location of the Federally- submit backup documentation in
1970 (URA), as amended, in HOPE VI designated Empowerment Zone or Attachment 19.
Projects’’). Enterprise Community (if applicable); (3) CSS Resources. For each resource
g. Exhibit G. Verify that you have
and entered, submit backup documentation
included information relating to the
(e) Other useful information to place in Attachment 20.
following:
(1) Accessibility; the project in the context of the city, (4) Anticipatory Resources. For each
(2) Universal Design; county, or municipality and other resource entered, submit backup
(3) Fair Housing; and revitalization activity underway or documentation in Attachment 21.
(4) Section 3. planned. (5) Collateral Resources. For each
h. Exhibit H. Verify that you have (2) If you request funds for more than resource entered, submit backup
included information relating to the one project or for scattered site housing, documentation in Attachment 22.
following: the map must clearly show that the w. Attachment 23. (1) Form HUD–
(1) Unit Mix and Need for Affordable application meets the NOFA’s site and 52785, ‘‘Resident Training and Public
Housing; unit requirements. If you have received Meeting Certification.’’ This attachment
(2) Off-Site Housing; and a waiver to the electronic submission is required in all applications. This form
(3) Homeownership Housing. requirement, this map may be submitted is available from Grants.gov.
i. Exhibit I. Verify that you have on 81⁄2″ by 14″ paper. x. Attachment 24. (1) Commitments
included information relating to the p. Attachment 13. (1) This attachment with CSS Providers. This attachment is
following: is required in all applications. The required in all applications. Provide
(1) Appropriateness of Proposal; Developer Certification may be in the letters from CSS providers that have
(2) Appropriateness and Feasibility of form of a letter. made commitments to participate in
the Plan; q. Attachment 14. (1) This attachment your CSS activities if you are awarded
(3) Neighborhood Impact and
is required in all applications. The a HOPE VI Revitalization grant under
Sustainability of the Plan;
Property Management Certification may the NOFA.
(4) Design;
(5) Energy Star; and be in the form of a letter. y. Attachment 25. (1) HOPE VI
(6) Evaluation. r. Attachment 15. (1) Program Revitalization Relocation Plan
j. Attachments 1 through 7. (1) These Schedule. This attachment is required Certification. Submit a certification that
attachments are required in all in all applications. Your program you have completed a HOPE VI
applications. See the instructions for schedule MUST contain all timeframe Relocation Plan in conformance with
filling out the HOPE VI Application requirements listed in the NOFA. the URA. This certification may be in
Data Forms, Appendix 1, at the end of Further, the program schedule MUST the form of a letter. Refer to CPD Notice
this NOFA. indicate the date on which the 04–02 for additional guidance,
k. Attachment 8 (1) This attachment is development proposal for EACH phase including a template.
required in all applications. In addition of the revitalization plan will be z. Attachment 26. (1) Completed
to the instructions included in the submitted to HUD. Relocation Certification. If you have
HOPE VI Budget form, general guidance s. Attachment 16. (1) Certification of completed your relocation on or before
on preparing a HOPE VI budget can be Severe Physical Distress. This the application submission date,
found on the Grant Administration page attachment is required in all include this attachment. This
of the HOPE VI web site, http:// applications. In accordance with the certification may be in the form of a
www.hud.gov/offices/pih/programs/ph/ NOFA, an engineer or architect must letter.
hope6. complete this certification. No backup aa. Attachment 27. (1) Documentation
l. Attachment 9. documentation is required for this of Site Control for Off-Site Public
(1) Form HUD–52799, ‘‘TDC/Grant certification. Housing. This is applicable if your plan
Limitations Worksheet’’. This t. Attachment 17. (1) Photographs of includes off-site housing or other
attachment is required in all the Severely Distressed Housing. This development. Provide evidence of site
applications. The Excel workbook will attachment is required in all control for off-site rental replacement
assist you in determining your TDC applications. Submit photographs of the units and acquired, or to be acquired,
limits required in Section IV.B.5.j. targeted severely distressed public land.
bb. Attachment 28. (1) Documentation your narrative in Exhibit B and cover within the system when the application
of Environmental, and Site & planned uses of Capital Fund Program has been successfully received. The
Neighborhood Standards. This is funding and inclusion of the targeted applicant will receive an
applicable if your plan includes off-site project’s revitalization. acknowledgement of receipt and a
housing or other off-site development. ll. Attachment 38. (1) Form HUD– tracking number from Grants.gov with
Provide a certification that the site(s) 96010, ‘‘Logic Model.’’ This attachment the successful transmission of their
acquired for off-site public housing meet is required in all applications. This form application. Applicants should print
environmental and site and is available from Grants.gov. Fill in the this receipt and save it, along with
neighborhood standards, as provided in planning information requested, facsimile receipts for information
the NOFA. This certification may be in Columns 1–5. Columns 6–9 will be filled provided by facsimile, as proof of timely
the form of a letter. out during and at the end of the grant
cc. Attachment 29. (1) Preliminary submission. When HUD successfully
term. (See Section VI.C.2. for post award
Market Assessment Letter. This is retrieves the application from
reporting instructions.)
applicable if you include market rate Grants.gov, HUD will provide an
mm. Attachment 39. (1) Form HUD–
housing in your application. electronic acknowledgment of receipt to
27300, ‘‘America’s Affordable
dd. Attachment 30. (1) Certification of Communities Initiative.’’ This the e-mail address provided on the SF–
Zoning Approval or Documentation. attachment is required in all 424. Proof of Timely submission shall
This is applicable if your application applications. This form is available from be the date and time that Grants.gov
includes off-site housing or other Grants.gov. receives your application submittal and
development. This attachment may be a nn. Attachment 40. (1) HOPE VI the date HUD receives those portions of
certification or backup documentation. Revitalization Applicant Certification. your application submitted by facsimile.
ee. Attachment 31. (1) Form HUD– This attachment is required in all All facsimile transmissions must be
52787, ‘‘HOPE VI Revitalization Project applications. This form is available from received by the application submission
Readiness Certification’’. This Grants.gov. date and time.
attachment is required in all (2) Note that these certifications (4 Applications received by Grants.gov,
applications. This form is available from page document) must be signed by the
grants.gov and allows you to certify to after the established submission
Chairman of the Board of the PHA, NOT deadline for the program will be
several thresholds. the Executive Director.
ff. Attachment 32. (1) Current Site considered late and will not be
oo. Attachment 41. (1) Standard considered for funding by HUD.
Plan. This attachment is required in all Forms and Certifications. These
applications. The Site Plan shows the Similarly, applications will be
documents include:
targeted public housing site’s various considered late if information submitted
(a) Disclosure of Lobbying Activities
buildings and identifies which buildings by facsimile as part of the application
(SF–LLL), as applicable
are to be rehabilitated, demolished, or (b) Form HUD–2880, ‘‘Applicant/ has not received by HUD by the
disposed of. Demolished buildings Recipient Disclosure/Update Report.’’ established submission deadline. Please
should be shown and labeled as such. This form is available from Grants.gov. take into account the transmission time
gg. Attachment 33. (1) Photographs of (c) Form HUD–52515, ‘‘Funding required for submitting your application
Architecture in the Surrounding Application, Section 8 Tenant-Based via the Internet and the time required to
Community. This attachment is required Assistance, Rental Certificate Program, electronically fax any related
in all applications. Provide photographs Rental Voucher Program.’’ This form is documents. HUD suggests that
to demonstrate that your plan conforms available from Grants.gov. It is applicants submit their applications
to the Design requirements of the applicable only if you are requesting during the operating hours of the
NOFA. Housing Choice Vouchers that are Grants.gov Support Desk, so that if there
hh. Attachment 34. (1) Conceptual
related to your proposed plan. are questions concerning transmission,
Site Plan. This attachment is required in
operators will be available to walk you
all applications. The Conceptual Site C. Submission Dates and Times
Plan indicates where your plan’s through the process. Submitting your
1. Application Submission Timeframes application during the Support Desk
proposed construction and
rehabilitation activities will take place a. Application Submission Date. hours will also ensure that you have
and any planned acquisition of adjacent Revitalization grant applications are to sufficient time for the application to
property and/or buildings. be submitted to HUD on June 29, 2005 complete its transmission prior to the
ii. Attachment 35. (1) Conceptual through Grants.gov or, in the case of application deadline.
Building Elevations. This attachment is applicants that have been granted a Applicants using dial-up connections
required in all applications. Include wavier to the electronic submission should be aware that transmission
building elevation drawings for the requirement, through the United States should take some time before Grants.gov
various types of your proposed housing. Postal Service (USPS) or an overnight receives it. Grants.gov will provide
jj. Attachment 36. (1) Evaluation mail service. See Sections IV.F. of this either an error or a successfully received
Commitment Letter(s). This attachment NOFA and the General Section for transmission message. The Grants.gov
is required in all applications. Provide application, submission and timely
Support desk reports that some
the commitment letter(s) for your CSS receipt requirements.
applicants abort the transmission
program evaluation. The letter should
2. Electronic Required Submission Date because they think that nothing is
contain enough information for HUD to
and Form of Acceptance occurring during the transmission
compare the commitment to the
evaluation described in Exhibit I. All applications must be received by process. Please be patient and give the
kk. Attachment 37. (1) Portions of the Grants.gov by 11:59:59 p.m. Eastern system time to process the application.
PHA or MTW Plan. This attachment is time on June 29, 2005. Uploading and transmitting many files
required, and should be included in all Proof of timely submission is particularly electronic forms with
applications. The portion of the PHA automatically recorded by Grants.gov. associated XML schemas will take some
Plan that you include should support An electronic time stamp is generated time to be processed.
3. Submission Date, Address, Delivery application is not received on time at be recaptured by the Treasury, and
Requirements and Acceptance for Headquarters, it will not be considered. thereafter will not be available for
Applicants That Have Received Waivers g. No Facsimiles or Videos. With the obligation for any purpose.
That Allow Submission of a Paper Copy exception of third party documents b. Required Expenditure Date. In
Application submitted via electronic facsimile (See accordance with 31 U.S.C. 1552, all FY–
The following applies ONLY if you Section IV.F. of the General Section), 2005 HOPE VI funds must be expended
are granted a waiver to the electronic HUD will not accept for review and by September 30, 2011. Any funds that
application submission requirements. evaluation, or fund, any applications are not expended by that date will be
a. Method of Delivery. Applicants sent by facsimile (fax). However, placed in an expired account, and will
granted a wavier to the electronic facsimile corrections to technical be available only for the purposes of
submission requirement must use the deficiencies will be accepted, as liquidating obligations properly
United States Postal Service (USPS) or described in Section V.B.4. of the chargeable to that account prior to its
overnight mail service (which provide General Section. Also, videos submitted expiration and of making legitimate
written receipt of delivery date) to as part of an application will not be obligation adjustments.
submit their applications to HUD. Hand- viewed.
2. Funding for Applications to This
carried and courier delivered h. Proof of timely submission. Proof of
NOFA Only
applications will not be accepted. timely submission for all applications,
regardless of whether they are delivered HUD will not use any funds from this
b. Submission Date and Time.
through USPS or overnight mail services NOFA to fund any non-selected HOPE
Applications must be received by 4 pm
shall be the date and time recorded by VI related applications submitted in
on June 29, 2005. Applications will be
the Grant Administrator in the previous years. Only applications
considered late and ineligible to receive
application receipt log. See Section submitted under this FY–2005 NOFA
funding if not received on or before the
IV.C.2. of this NOFA for information on will be considered for funding.
application submission date and time,
regardless of the postmark date. the application receipt log. 3. Grant Amount Limitations
c. Address for Submitting i. Acknowledgement of Application
Receipt. If you wish to receive a. Requested Amount. See Section II
Applications. Send the original and one of this NOFA for details.
copy of your completed application to acknowledgement of HUD’s receipt of
Mr. Milan Ozdinec, Deputy Assistant the application, the Acknowledgment of 4. Ineligible Activities
Secretary for Public Housing Application Receipt, form HUD–2993,
should be included in the front of the a. You may not use HOPE VI
Investments, Department of Housing Revitalization Grant funds to pay for
and Urban Development, 451 Seventh application. After receipt, HUD will
return the form to you. any revitalization activities carried out
Street, SW., Room 4130, Washington, on or before the date of the letter
DC 20410–5000. Please make sure that D. Intergovernmental Review announcing the award of the HOPE VI
you note the room number. The correct Grant.
Executive Order 12372 was issued to
room number is very important in b. Market-Rate Units. HOPE VI funds
foster intergovernmental partnership
ensuring that your application is may not be used to develop market-rate
and strengthen federalism by relying on
properly accepted and not misdirected. units or affordable housing units that do
d. Form of Acceptance. HUD will state and local processes for the
coordination and review of federal not qualify as public housing or
consider an application as being homeownership replacement units.
accepted when it is delivered to the financial assistance and direct federal
development. The order allows each c. Retail or Commercial Development.
Office of Public Housing Investments, HOPE VI funds may not be used for
Room 4130, HUD Headquarters, 451 state to designate an entity to perform a
state review function. The official listing hard construction costs related to, or for
Seventh Street, SW., Washington, DC the purchase of equipment for, retail,
20410–5000. Upon delivery and of state points of contact (SPOC) for this
review process can be found at: http:// commercial, or non-public housing
acceptance, the Grant Administrator office facilities.
will manually add the application’s www.whitehouse.gov/omb/grants/
PHA name, development name, time of spoc.html. States that are not listed on 5. Total Development Cost (TDC)
receipt, and date of receipt to an the website have chosen not to a. The ‘‘TDC Limit’’ (24 CFR 941.306,
application receipt log. participate in the intergovernmental Notice PIH 2004–6 (HA), or extending
e. Wrong Address. Applications review process, and therefore do not Notice) refers to the maximum amount
mailed to the wrong location or office have a SPOC. If you are located within of HUD funding that HUD will approve
designated for receipt of the application, one of those states, you may send for development of specific public
which result in the designated office not applications directly to HUD. If your housing units in a given location. The
receiving the application in accordance state has a SPOC, you should contact it TDC limit applies only to the costs of
with the requirements for timely to see if it is interested in reviewing development of public housing that are
submission, will result in the your application prior to submission to paid directly with HUD public housing
application being considered late. Late HUD. Please make sure that you allow funds, including HOPE VI funds; a PHA
applications will not receive funding ample time for this review process when may exceed the TDC limit using non-
consideration. HUD will not be developing and submitting your public housing funds such as CDBG,
responsible for directing packages to the application. HOME, low-income housing tax credit
appropriate office(s). E. Funding Restrictions equity, etc.
f. Field Office Copy. You must send b. The HUD TDC Cost Tables are
one duplicate copy of your application 1. Statutory Time Limits issued for each calendar year for the
to your HUD field office. The HUD field a. Required Obligation Date. Funds building type and bedroom distribution
office copy of the application is due appropriated for the HOPE VI program for the public housing replacement
before 4 p.m. on the application for FY–2005 must be obligated on or units. Use the TDC limits in effect at the
submission date. If the HUD field office before September 30, 2006. Any funds time this HOPE VI NOFA is published
receives an application on time, but the that are not obligated by that date will when making your TDC calculations.
TDC definitions and limits in the final excluded from the TDC calculation Control and Safe Harbor Standards can
rule are summarized as follows: above. Extraordinary site costs may be be found on HUD’s HOPE VI Web site.
(1) The total cost of development, incurred in the remediation and d. If you are eligible for funding, HUD
which includes relocation costs, is demolition of existing property, as well will delete any unallowable items from
limited to the sum of: as in the development of new and your budget and may reduce your grant
(a) Up to 100 percent of HUD’s rehabilitated units. Examples of such accordingly.
published TDC limits for the costs of costs include, but are not limited to:
demolition and new construction, 7. Withdrawal of Grant Amounts
Abatement of extraordinary
multiplied by the number of HOPE VI environmental site hazards; removal or In accordance with Section 24(i) of
public housing replacement units; and replacement of extensive underground the 1937 Act, if a grantee does not
(b) Ninety percent of the TDC limits, utility systems; extensive rock and soil proceed within a reasonable timeframe,
multiplied by the number of public removal and replacement; removal of as described in Section VI.B.2. of this
housing units after substantial hazardous underground tanks; work to NOFA, HUD shall withdraw any
rehabilitation and reconfiguration. address unusual site conditions such as unobligated grant amounts. HUD shall
(2) The TDC limit for a project is slopes, terraces, water catchments, redistribute any withdrawn amounts to
made up of the following components: lakes, etc.; and work to address flood one or more other applicants eligible for
(a) Housing Cost Cap (HCC): HUD’s plain and other environmental HOPE VI assistance or to one or more
published limit on the use of public remediation issues. Costs to abate other entities capable of proceeding
housing funds for the cost of asbestos and lead-based paint from expeditiously in the same locality in
constructing the public housing units, structures are normal demolition costs. carrying out the Revitalization plan of
which includes unit hard costs, Extraordinary measures to remove lead- the original grantee.
builder’s overhead and profit, utilities based paint that has leached into the
from the street, finish landscaping, and F. Other Submission Requirements
soil would constitute an extraordinary
a hard cost contingency. Estimates site cost. This section provides the application
should take into consideration the (b) Extraordinary site costs must be submission and receipt instructions for
Davis-Bacon wage rate and other justified and verified by a licensed HUD program applications. Please read
requirements as described in ‘‘Labor engineer or architect who is not an the following instructions carefully and
Standards’’, Section III.C.4.h. of this employee of the housing authority or completely, as failure to comply with
NOFA. the city. The engineer or architect must these procedures may disqualify your
(b) Community Renewal (CR): The provide his or her license number and application.
balance of funds remaining within the state of registration. If this certification 1. Electronic Delivery. HUD requires
project’s TDC limit after the housing is not included in the application after applicants to submit their applications
construction costs described in (a) above the cure period described in Section electronically through http://
are subtracted from the TDC limit. This IV.B.4. of the General Section, www.grants.gov. HUD will not accept or
is the amount of public housing funds extraordinary site costs will not be consider any applications that have
available to pay for PHA administration, allowed in the award amount. In this been submitted through any other
planning, infrastructure and other site case, the amount of the extraordinary method, unless a waiver is granted.
improvements, community and site costs included in the application 2. Electronic Signature. Applications
economic development facilities, will be subtracted from the grant submitted through grants.gov constitute
acquisition, relocation, demolition, and amount. submission as electronically signed
remediation of units to be replaced on applications. The registration and e-
6. Cost Control Standards authentication process establishes the
site, and all other development costs.
(3) CSS. You may request an amount a. Your projected hard development Authorized Organization
not to exceed 15 percent of the total costs must be realistic, developed Representative. When you submit the
HOPE VI grant to pay the costs of CSS through the use of technically application through Grants.gov, the
activities, as described in Section competent methodologies, including name of your authorized organization
III.C.4.l. of this NOFA. These costs are cost estimating services, and representative on file will be inserted
in addition to, i.e., excluded from, the comparable to industry standards for the into the signature line of the
TDC calculation above. kind of construction to be performed in application. Applicants must register
(4) Demolition and Site Remediation the proposed geographic area. the individual who is able to make
Costs of Unreplaced On-site Units. You b. Your cost estimates must represent legally binding commitments for the
may request an amount necessary for an economically viable preliminary plan applicant organization as the
demolition and site remediation costs of for designing, planning, and carrying Authorized Organization
units that will not be replaced on-site. out your proposed activities in Representative.
This cost is in addition to (i.e., excluded accordance with local costs of labor, 3. Instructions. Instructions on how to
from) the TDC calculation above. materials, and services. submit an electronic application to HUD
(5) Extraordinary Site Costs. c. Your projected soft costs must be via Grants.gov:
(a) You may request a reasonable reasonable and comparable to industry a. Applying using Grants.gov.
amount to pay extraordinary site costs, standards. Upon award, soft costs will Grants.gov has a full set of instructions
which are construction costs related to be subject to HUD’s ‘‘Safe Harbor’’ cost on how to apply for funds on its Web
unusual pre-existing site conditions that control standards. For rental units, these site at http://www.grants.gov/
are incurred, or anticipated to be safe harbors provide specific limitations CompleteApplication. The following
incurred. If such costs are significantly on such costs as developer’s fees provides simple guidance on what you
greater than those typically required for (between 9 and 12 percent), PHA will find on the http://www.grants.gov/
similar construction, are verified by an administration/consultant cost (no more Apply site. Applicants are encouraged to
independent, certified engineer or than 3 to 6 percent of the total project read through the page entitled,
architect (See Section IV.B. for budget), contractor’s fee (6 percent), ‘‘Complete Application Package’’ before
documentation requirements.), and are overhead (2 percent), and general getting started. Grants.gov allows
approved by HUD, they may be conditions (6 percent). HUD’s Cost applicants to download the application
package, instructions and forms that are documentation can be scanned and you should attach these as electronic
incorporated in the instructions, and saved as separate electronic files. files as part of the zipped folder and
work off line. In addition to forms that Electronic files must be labeled so the submit them with your application
are part of the application instructions, reader will know what the file contains. transmission.
there will be a series of electronic forms Match or leveraging letters can be 5. Customer Support. The grants.gov
that are provided utilizing a PureEdge scanned into a single folder or the website provides customer support via
reader. The PureEdge Reader is applicant can create a separate file for (800) 518–GRANTS (this is a toll-free
available free for download from the each scanned letter and label them number) or through e-mail at
Grants.gov/Get Started site. The accordingly. All scanned files should be support@grants.gov. The customer
PureEdge Reader allows applicants to placed together in a zipped folder and support center is open from 7 a.m. to 9
read the electronic files in a form format then attached to the application package p.m. Eastern time, Monday through
so that they will look like any other submitted to grants.gov as part of the Friday, except federal holidays, to
Standard or HUD form. The PureEdge application submission; or address grants.gov technology issues.
forms have content sensitive help. To (b) Electronic Facsimile Required For technical assistance to program
use this feature you will need to click Documentation. Applicants that do not related questions, contact the number
on the icon at the top of the page that have scanning equipment available, may listed in Section VII of this NOFA.
features an arrow with a question mark. submit the required documentation to 6. Waiver of Electronic Submission
This engages the content sensitive help HUD via facsimile (fax). The electronic Requirement. HUD will only accept
for each field you will need to complete facsimile method may only be used to electronic applications submitted
on the electronic form. The PureEdge submit attachments that are part of your through www.grants.gov unless the
forms can be downloaded and saved on electronic application. HUD will not applicant has received a waiver from the
your hard drive, network drive(s), or accept entire applications via fax. Department. HUD regulations at 24 CFR
CDs. Because of the size of the Applications submitted entirely via fax 5.110, permit waivers of regulatory
application, HUD recommends will be disqualified. requirements to be granted for cause. If
downloading the application to your To submit documents using the you are unable to submit your
computer hard drive. electronic facsimile method, applicants application electronically, you may, in
The instructions include this NOFA must use form HUD–96011, Facsimile writing, request a waiver from this
and any required forms that have not Transmittal, which is a cover page for requirement. Your waiver request must
been converted into PureEdge forms. the faxed materials. The form HUD– state the basis for the request and
The instructions will also include a 96011 is an electronic form and is part explain why electronic submission is
checklist to ensure that you are of the applicant’s downloaded not possible. The basis for waivers for
provided all the required information electronic application obtained from cause may include but are not limited
for submitting your application. Please www.grants.gov. Applicants must fax to: (a) Lack of available internet access
review the checklist in the program their information to the following fax in the geographic location in which the
section to ensure that your application number: 800–HUD–1010. Each applicant is located or, (b) the physical
contains all the required materials. document must be faxed as a separate disability of the applicant prevents the
4. Submission of Third Party Letters, submission to avoid fax transmission applicant from accessing or responding
Certifications or Narrative Statements. problems. When faxing several to the electronic application.
In addition to forms, many of the documents, applicants must use the The waiver request should also
NOFAs require the submission of other Form HUD–96011 as the cover for each include an e-mail and/or name and
documentation such as third party document (e.g. Letter of Matching or mailing address where responses can be
letters, certifications, or program Leveraging funds, Memorandum of directed. Applicants must submit
narrative statements. This section Understanding, Certification of waiver requests to the Assistant
discusses how you should submit this Consistency with the Consolidated Plan, Secretary for Public and Indian
additional information electronically as etc.). Housing, who is responsible for the
part of your application: Your facsimile machine should program under which you are seeking
(1) Narrative Statements to the provide you with a record of whether funding. To ensure time for processing,
Factors for Award. If you are required to your transmission was received by the waiver request must be submitted to
submit narrative statements, you should HUD. If you get a negative response or HUD in writing at least thirty days prior
submit them as an electronic file in a transmission error, you should to the application submission date.
ASCII text format. Each response to a resubmit the document until you To avoid a delay in the process,
Factor for Award should be developed confirm that HUD has received your waiver requests should be sent by
as a separate file labeled with the transmission. HUD will not United States Postal Service Express
appropriate factor name, e.g. Factor 1 acknowledge that a facsimile was Mail. You, the applicant should retain a
Capacity and submitted as part of your received successfully. HUD will receipt for the mailing showing the date
electronic application. electronically receive the facsimile, read submitted to the Postal Service. HUD
(2) Third Party Letters, Certifications it with an optical character reader and will acknowledge receipt of the waiver
Requiring Signatures, and Other attach it to the application submitted via request by e-mail, if an e-mail address
Documentation. Applicants required to Grants.gov electronic facsimile is provided, or by United States Postal
submit documentation from transmissions may be sent at any time Service Express Mail or other means
organizations providing matching or before the application submission date. available. HUD will not make
leveraging funds; documentation of HUD will store the information and determinations or respond to waiver
501(c)(3) status or incorporation papers; attach it to the electronic application requests via the telephone. Each waiver
documents that support the need for the when HUD receives it from Grants.gov. request will be reviewed and a
program or Memoranda of (c) Submissions using other File determination made to the applicant,
Understanding (MOUs) have the Formats. If you are required to submit indicating whether or not the waiver has
following two options: files in formats such as CAD (Computer been granted. In the event a waiver is
(a) Scanning Documents to Create Aided Design) files of architectural granted, the submission date for the
Electronic Files. Third party drawings and blueprints, or pictures, mailed application delivery shall not be
later than the submission date for submit their applications during the timely manner. This includes any
electronic applications. Applicants operating hours of the grants.gov developer partners, program managers,
receiving a waiver will be expected to Support Desk, so that if there are property managers, subcontractors,
follow the submission instructions questions concerning transmission, consultants, attorneys, financial
immediately below. operators will be available to walk you consultants, and other entities or
a. Submission Instructions for through the process. Submitting your individuals identified and proposed to
Applicants Receiving a Waiver to application during the Support Desk carry out program activities.
Electronic Submission. Applicants hours will also ensure that you have b. Development Team Capacity—6
receiving a waiver of the electronic sufficient time for the application to points
submission requirements must submit complete its transmission prior to the (1) You will receive up to 6 points if
their complete applications in paper application deadline. your application demonstrates that:
copy as follows: Applicants using dial-up connections (a) Your developer or other team
(1) Submission Using the United should be aware that transmission members have extensive, recent (within
States Postal Service. HUD will no should take some time before grants.gov the last five years), and successful
longer accept hand deliveries of receives it. Grants.gov will provide experience in planning, implementing,
applications. Applicants who receive a either an error or a successfully received and managing physical development,
waiver and are therefore allowed to transmission message. The grants.gov financing, leveraging, and partnership
submit paper applications must submit Support desk reports that some activities that are comparable in
them via the United States Postal applicants abort the transmission character, scale, and complexity to your
Service using Express Mail or an because they think that nothing is proposed revitalization activities;
overnight mail service (which provides occurring during the transmission (b) Your developer or other team
a written record of delivery date). process. Please be patient and give the members have extensive, recent (within
7. Timely Receipt Requirements and system time to process the application. the last five years), and successful
Proof of Timely Submission. Uploading and transmitting many files, experience in planning, implementing,
a. Electronic Submission. All particularly electronic forms with and managing Capital Fund program
applications must be received by associated XML schemas, will take some projects.
http://www.grants.gov by 11:59:59 p.m. (c) You propose development using
time to be processed.
Eastern time on the established b. Late applications. Late low-income tax credits, and you, your
submission date for this NOFA. applications, whether received developer, or other team members have
Proof of timely submission is relevant tax credit experience; and
electronically or in hard copy will not
automatically recorded by Grants.gov. (d) If homeownership, rent-to-own,
receive funding consideration. HUD will
An electronic time stamp is generated cooperative ownership, or other major
not be responsible for directing or
within the system when the application development components are proposed,
forwarding applications to the
is successfully received by Grants.gov. you, your developer, or other team
appropriate location. Applicants should
The applicant will receive an members have relevant, successful
pay close attention to these submission
acknowledgement of receipt and a experience in development, sales, or
and timely receipt instructions as they
tracking number from grants.gov with conversion activities.
the successful transmission of their can make a difference in whether HUD
will accept your application for funding (2) You will receive up to 4 points if
application. Applicants should print your developer or other team members
this receipt and save it, along with consideration.
c. No Facsimiles of Entire have some but not extensive experience
facsimile receipts for information in the factors described above.
Application. HUD will not accept fax
provided by facsimile, as proof of timely (3) You will receive zero points if
transmissions from applicants who
submission. When HUD successfully your developer or other team members
receive a waiver to submit a paper copy
retrieves the application from do not have the experience described
application. Paper applications must be
Grants.gov, HUD will provide an and the application does not
complete and submitted in their
electronic acknowledgment of receipt to demonstrate that it has the capacity to
entirety, via the USPS Express Mail.
the e-mail address provided on the SF a. 5. General Section References. The carry out your Revitalization plan. You
424. Proof of Timely submission shall following sub-sections of Section IV. of will also receive 0 points if your
be the date and time that grants.gov the General Section are hereby application does not address this factor
receives your application submittal and incorporated by reference: to an extent that makes HUD’s rating of
the date HUD receives those portions of (1) Addresses to Request Application this factor possible.
your application submitted by facsimile. Package; c. Development Capacity of
All facsimile transmissions must be (2) Application Kits; Applicant—6 points.
received by the application submission (3) Guidebook and Further (1) You will receive up to 6 points if
date and time. Information; and your application demonstrates that:
Applications received by Grants.gov, (5) Addresses. (i) You have identified potential gaps
after the established submission date for in your current staffing in relation to
the program will be considered late and V. Application Review Information development activities, and you have
will not be considered for funding by A. Criteria plans to fill such gaps, internally or
HUD. Similarly, applications will be externally, in a timely manner in order
considered late if information submitted 1. Rating Factor: Capacity—27 Points to implement successfully your
by facsimile as part of the application is Total Revitalization plan;
not received by HUD by the established a. Your Team. The term ‘‘your Team’’ (ii) You have demonstrated that
submission date. Please take into includes PHA staff who will be involved physical development activities will
account the transmission time required in HOPE VI grant administration, and proceed as promptly as possible
for submitting your application via the any alternative management entity that following grant award, and you will be
Internet and the time required to submit will manage the revitalization process, able to begin significant construction
any related documents via electronic be responsible for meeting construction within 18 months of the award of the
facsimile. HUD suggests that applicants time tables, and obligating amounts in a grant.
(iii) Your program schedule indicates Percent of public housing unit pro- Points f. Property Management Capacity—5
the date on which the development duction completed deducted points.
proposal, i.e., whether mixed-finance (1) Property management activities
development, homeownership Grants Awarded in FY 1993– may be the responsibility of the PHA or
development, etc., for each phase of the 1998: another member of the team, which may
Less than 100 Percent .............. 5
revitalization plan will be submitted to Grants Awarded in FY 1999:
include a separate entity that you have
HUD. For application evaluation only, 90–100 Percent ......................... 0 procured or will procure to carry out
you should assume the award and post- 80–89 Percent ........................... 1 property management activities. In your
award dates in Section IV.B.4.d. of this 75–79 Percent ........................... 2 application you will describe the
NOFA; and 70–74 Percent ........................... 3 number of units and the condition of the
(iv) Your management experience and 65–69 Percent ........................... 4 units currently managed by you or your
previous experience with development Less than 65 Percent ................ 5 property manager, your annual budget
activities, including the dollar amount Grants Awarded in FY 2000:
for those activities, and any awards or
80–100 Percent ......................... 0
and timeframe for completion of the recognition that you or your property
70–79 Percent ........................... 1
project(s), is sufficient to show that you 60–69 Percent ........................... 2 manager have received.
have experience in overseeing 50–59 Percent ........................... 3 (2) Past Property Management
affordable housing development, 40–49 Percent ........................... 4 Experience—3 points.
whether it be in-house or implemented Less than 40 Percent ................ 5 (a) You will receive up to 3 points if
by a private entity. Grants Awarded in FY 2001: your application demonstrates that you
(2) You will receive up to 4 points if 60–100 ...................................... 0 or your property manager currently have
your application demonstrates that you 50–59 Percent ........................... 1
extensive knowledge and recent (within
have had experience in managing 40–49 Percent ........................... 2
30–39 Percent ........................... 3 the last five years), successful
affordable housing development in 20–29 Percent ........................... 4 experience in property management of
accordance with the factors above, but Less than 20 Percent ................ 5 the housing types included in your
your experience has not been extensive, Grants Awarded in FY 2002: revitalization plan. This may include
and your project(s) were completed 25–100 Percent ......................... 0 market-rate rental housing, public
within the timeframe originally 20–24 Percent ........................... 1 housing, and other affordable housing,
established for the project. 15–19 Percent ........................... 2 including rental units developed with
(3) You will receive up to 1 point if 10–14 Percent ........................... 3
5–9 Percent ............................... 4 low-income housing tax credit
your application demonstrates that you assistance. If your Revitalization plan
have had experience in managing Less than 5 Percent .................. 5
includes cooperatively-owned housing,
affordable housing development in rent-to-own units, or other types of
e. CSS Program Capacity—3 points.
accordance with the factors above, but See Sections I.D.10., and III.C.4.l. and managed housing, in order to receive
your experience has not been extensive, m., of this NOFA for detailed the points for this factor, you must
and your project(s) were not completed information on CSS activities. demonstrate recent, successful
within the timeframe originally (1) You will receive 2 points if your experience in the management of such
established for the project. application demonstrates one of the housing by the relevant member(s) of
(4) You will receive 0 points if your following. If you fail to demonstrate one your team.
application does not demonstrate any of the following, you will receive 0 (b) You will receive 1 point if your
experience in managing development points: application demonstrates that you or
activities, or if your application does not (a) If you propose to carry out your your property manager has some but not
address this factor to an extent that CSS plan in-house and you have recent, extensive experience of the kind
makes HUD’s rating of this factor quantifiable, successful experience in required for your Revitalization plan.
possible. planning, implementing, and managing (c) You will receive 0 points if your
d. Capacity of Existing HOPE VI the types of CSS activities proposed in application does not demonstrate that
Revitalization Grantees. your application, or you or your property manager have the
(1) This Section applies only to (b) If you propose that a member(s) of experience to manage your proposed
applicants that have received HOPE VI your team will carry out your CSS plan, plan, or if your application does not
Revitalization grants for fiscal years that this procured team member(s) has address this factor to an extent that
1993–2002. If an applicant has more the qualifications and demonstrated makes HUD’s rating of this factor
than one HOPE VI Revitalization grant, experience to plan, implement, manage, possible.
each will be rated separately, not and coordinate the types of activities (3) Property Management Plan—2
averaged, and the highest deduction proposed, and that you have a plan for points.
will be made. Applicants with HOPE VI promptly hiring staff or procuring a (a) You will receive up to 2 points if
Revitalization grants only from FY2003 team member to do so. your application demonstrates that you
or FY2004, or no existing HOPE VI (2) You will receive 1 point if your or your property manager have the goals
Revitalization grants are not subject to application demonstrates that: and plans necessary to administer the
this section. (a) You have an existing HOPE VI following elements of a property
(2) As indicated in the following grant and your current CSS team will be management plan:
tables, up to 5 points will be deducted adequate to implement a new program, (i) Property maintenance
if a grantee has failed to achieve including new or changing programs, (ii) Rent collection
adequate progress in relation to without weakening your existing team. (iii) PIC 50058 reporting
cumulative public housing rental unit (b) You do not have an existing HOPE (iv) Site-based management
production. Production achievement VI Revitalization grant and you experience
numbers will be taken from the demonstrate how your proposed CSS (v) Tenant grievances
quarterly reporting system for the team will be adequate to implement a (vi) Evictions
quarter most recently completed at the new program, including new or (vii) Occupancy rate
time the NOFA is published in the changing services, without weakening (viii) Unit turnaround
Federal Register. your existing staffing structure. (ix) Preventive maintenance
(x) Work order completion compare it to your previous Prevalence infrastructure, roofs, electrical,
(xi) Project-based budgeting Report scores for the same maintenance plumbing, heating and cooling,
(xii) Management of Homeownership defects. mechanical systems, settlement, and
and rent-to-own programs (2) Vacant Targeted Project. You will other deficiencies in Housing Quality
(xiii) Energy Audits receive 2 points if your application Standards.
(xiv) Utility/Energy Incentives demonstrates that, on the application (b) You will receive up to 3 points if
(b) You will receive 0 points if your submission date, the targeted project your application demonstrates that there
application does not demonstrate that was vacant. are poor soil conditions, inadequate
you or your property manager have the (3) Occupied Targeted Project. drainage, deteriorated laterals and
goals and plans necessary to administer (a) You will receive 2 points if your sewers, and inappropriate topography.
the above elements of a property Prevalence Report score for the above (c) You will receive up to 4 points if
management plan. ‘‘TOP 20’’ maintenance defects has your application demonstrates that the
g. PHA or MTW Plan—1 point. improved. project has at least three of the following
(1) You will receive 1 point if your (b) You will receive 0 points if your major design deficiencies, including:
application demonstrates that you have Prevalence Report score for the above (i) Inappropriately high population
incorporated the revitalization plan ‘‘TOP 20’’ maintenance defects has not density, room, and unit size and
described in your application into your improved. configurations;
most recent PHA plan or MTW Annual (4) MTW PHA. For this rating factor, (ii) Isolation;
plan (whether approved by HUD or MTW PHA applicants will be rated on (iii) Indefensible space;
pending approval). In order to qualify as their compliance with their MTW (iv) Significant utility expenses
‘‘incorporated’’ under this factor, your Agreements. caused by energy conservation
PHA or MTW plan must indicate the (a) If you are in compliance with your deficiencies that may be documented by
intent to pursue a HOPE VI MTW Agreement, you will receive 2 an energy audit; and
Revitalization grant and the public points. (v) Inaccessibility for persons with
housing development for which it is (b) If you are not in compliance with disabilities with regard to individual
targeted. your MTW Agreement, you will receive units (less than 5 percent of the units
(2) You will receive 0 points if you zero points. are accessible), entranceways, and
have not incorporated the revitalization j. Section 8 Management Assessment common areas.
plan described in your application into Program (SEMAP)—2 points. b. Impact of the Severely Distressed
your PHA or MTW plan, or if your (1) If you have been rated as a High Site on the Surrounding
application does not address this factor Performer for your most recent SEMAP Neighborhood—3 Points
to an extent that makes HUD’s rating of rating as of the application submission (1) HUD will evaluate the extent to
this factor possible. date, you will receive 2 points. which the severely distressed public
h. Public Housing Assessment System (2) If you have been rated as Standard housing project is a significant
(PHAS)—2 points. for your most recent SEMAP rating as of contributing factor to the physical
(1) If you have been rated as an the application submission date, you decline of, and disinvestment by, public
Overall High Performer for your most will receive 1 point. and private entities in the surrounding
recent PHAS review as of the (3) If you have been rated as Troubled neighborhood. In making this
application submission date, you will for your most recent SEMAP rating as of determination, HUD will evaluate your
receive 2 points. the application submission date, you narrative, crime statistics, photographs
(2) If you have been rated as an will receive zero points. or renderings, socio-economic data,
Overall Standard Performer for your (4) For this rating factor, MTW PHA trends in property values, evidence of
most recent PHAS review as of the applicants will be rated on their property deterioration and
application submission date, you will compliance with their MTW abandonment, evidence of
receive 1 point. Agreements. underutilization of surrounding
(3) If you have been rated as a (a) If you are in compliance with your properties, and indications of
Troubled Performer that is either MTW Agreement, you will receive 2 neighborhood disinvestment.
Troubled in One Area or Overall points. (2) You will receive up to 3 Points if
Troubled as of the application (b) If you are not in compliance with your application demonstrates that the
submission date, you will receive 0 your MTW Agreement, you will receive project has a significant impact on the
points. zero points. surrounding neighborhood, as
(4) For this rating factor, MTW PHA documented by each item listed above.
applicants will be rated on their 2. Rating Factor: Need—24 Points Total (3) You will receive up to 2 Points if
compliance with their MTW a. Severe Physical Distress of the your application demonstrates that the
Agreements. Public Housing Development—10 Points project has a moderate impact on the
(a) If you are in compliance with your (1) HUD will evaluate the extent of neighborhood, and only some of the
MTW Agreement, you will receive 2 the severe physical distress of the items listed above are adequately
points. targeted public housing development. If documented.
(b) If you are not in compliance with the targeted units have already been (4) You will receive 0 Points if your
your MTW Agreement, you will receive demolished, HUD will evaluate your application does not demonstrate that
zero points. description of the extent of the severe the project has an impact on the
i. Regular Maintenance—2 points. physical distress of the site as of the day surrounding neighborhood, or if your
(1) Unless the targeted project is the demolition application was application does not address this factor
vacant, your normal practice should be approved by HUD. You will receive to an extent that makes HUD’s rating of
to continue regular maintenance. HUD points for the following separate this factor possible.
will measure your most recent PHAS subfactors, as indicated. c. Need for HOPE VI Funding—8
physical inspection Prevalence Report (a) You will receive up to 3 points if Points
scores for the maintenance defects that your application demonstrates that there (1) HUD will evaluate the extent to
are included in the ‘‘TOP 20’’ and are major deficiencies in the project’s which you could undertake the
proposed revitalization activities housing site. You should base your that will be leveraged by the HOPE VI
without a HOPE VI grant. Large amounts calculation only on the federal public grant as a percentage of the amount of
of available Capital Funds indicate that housing units you manage. You may not HOPE VI funds requested. There are
the revitalization could be carried out exclude units in your public housing four types of Leverage: Development
without a HOPE VI grant. Available inventory that are being reserved for and CSS, as described in ‘‘Program
Capital Funds are defined as non- relocation needs related to other HOPE Requirements,’’ Section III.C.4.e. of this
obligated funds that have not been VI Revitalization grant(s); or units in NOFA, and Anticipatory, and Collateral
earmarked for other purposes in your your public housing inventory that are as described in this rating factor. Each
PHA Plan. To determine the amount of being held vacant for uses related to a resource may be used for only one
FY 2000–2005 Capital Fund Program Section 504 voluntary compliance leverage category. Any resource listed in
(including CIAP and CGP) funds agreement. If you are a non-MTW site, more than one category will be
currently available that could be used to you must use information consistent disqualified from all categories. If
carry out the proposed revitalization with the Section Eight Management leverage sources and amounts are not
activities, HUD will employ data from Assessment Program (SEMAP) and/or documented in accordance with
LOCCS available at the time of the grant the Public Housing Assessment System Sections III.C.4. and IV.B.6.c. of this
application submission date and (PHAS) submissions. If you are an MTW NOFA, they will not be counted toward
information from the portions of the site, and do not report into SEMAP and/ your leverage amounts. In determining
PHA Plan that you have submitted as or PHAS, you must demonstrate your Leverage ratios, HUD will include as
part of your application. Funds utilization and/or occupancy rate using Leverage the match amounts that are
earmarked in the PHA Plan for uses similar methods and information required by Section III.B. of this NOFA.
other than the revitalization proposed in sources in order to earn points under b. Development Leveraging—7 Points
this application will not be considered this rating factor. For each commitment document,
available. See Section IV.B. of this (3) You will receive 3 Points if your HUD will evaluate the strength of
NOFA for documentation requirements. application demonstrates that the higher commitment and add the amounts that
(2) You will receive 8 Points if your of: are acceptably documented. HUD will
available Capital Funds balance is up to (a) The utilization rate of your then calculate the ratio of the amount of
20 percent of the amount of HOPE VI Housing Choice Voucher program is 97 HUD funds requested to the amount of
funds requested. percent or higher; or funds that HUD deems acceptably
(3) You will receive 6 Points if your (b) The occupancy rate of your public documented. HUD will round figures to
available balance is 21–45 percent of the housing inventory is 97 percent or two decimal points, using standard
amount of HOPE VI funds requested. higher. rounding rules. See Section IV.B.6. of
(4) You will receive 4 Points if your (c) HUD will use the higher of the two this NOFA for documentation
available balance is 46–70 percent of the rates to determine your score. requirements.
amount of HOPE VI funds requested. (4) You will receive 2 Points if your (1) LIHTC. Only LIHTC commitments
(5) You will receive 2 Points if your application demonstrates that the higher that have been secured as of the
available balance is 71 to 90 percent of of: application submission date will be
the amount of HOPE VI funds requested. (a) The utilization rate of your considered for the scoring under this
(6) You will receive zero Points if Housing Choice Voucher program is section. LIHTC commitments that are
your available balance is more than 90 between 95 and 96 percent; or, not secured (i.e., documentation in the
percent of the amount of HOPE VI funds (b) The occupancy rate of your public application does not demonstrate they
requested. housing inventory is between 95 and 96 have been reserved by the state or local
d. Need for Affordable Accessible percent. housing finance agency) will not be
Housing in the Community—3 Points (c) HUD will use the higher of the two counted as leverage for scoring under
(1) Your application must rates to determine your score. this section. Only tax credits that have
demonstrate the need for other housing (5) You will receive 1 Point if your been reserved specifically for
available and affordable to families application demonstrates that the higher revitalization performed through this
receiving tenant-based assistance under of: NOFA will be counted as development
section 8 (HCV), as described below and (a) The utilization rate of your leverage.
must be the most recent information Housing Choice Voucher program is (2) Private mortgage-secured loans
available at the time of the application between 93 and 94 percent; or and other debt.
deadline. (b) The occupancy rate of your public (a) Where there is both a construction
(2) For purposes of this factor, the housing inventory is between 93 and 94 loan and a permanent take-out loan that
need for affordable housing in the percent. will replace that construction loan, you
community will be measured by (c) HUD will use the higher of the two must provide documentation of both,
Housing Choice Voucher program rates to determine your score. but only the value of the permanent
utilization rates or public housing (6) You will receive 0 Points if both loan will be counted as leverage.
occupancy rates, whichever of the two the utilization rate of your Housing (b) For privately financed
reflects the most need. In figuring the Choice Voucher program and the homeownership construction loans,
Housing Choice Voucher utilization occupancy rate of your public housing acceptable documentation of
rate, determine and provide the inventory are less than 93 percent. construction loans will be considered as
percentage of HCV units out of the total leverage. Documentation of permanent
number authorized or the percentage of 3. Rating Factor: Leveraging—16 Points
financing is not required.
HCV funds expended out of the total Total (c) If you have obtained a construction
amount authorized, whichever a. Leverage. Although related to loan but not a permanent loan, the value
percentage is higher. In figuring the match, leverage is strictly a rating factor. of the acceptably documented
public housing occupancy rate, provide Leverage consists of firm commitments construction loan will be counted as
the percentage of units occupied out of of funds and other resources. HUD will leverage.
the total in your federal public housing rate your application based on the (3) You will receive 7 Points if the
inventory, excluding the targeted public amount of funds and other resources ratio of the amount of HOPE VI funds
requested for physical development revitalization activities (including (1) You will receive 2 Points if the
activities (not including CSS, demolition) in previous years in ratio of the amount of HOPE VI funds
administration or relocation) to the anticipation of your receipt of a HOPE requested for physical development
dollar value of documented, committed VI Revitalization grant. These activities (not including CSS or
development resources from other expenditures, if documented, may be administration) to the amount of your
sources is 1:3 or higher. counted as leveraged anticipatory documented collateral resources is 1:1.0
(4) You will receive 6 Points if the resources. They cannot duplicate any or higher.
ratio is between 1:2.50 and 1:2.99 other type of resource and cannot be (2) You will receive 0 Points if the
(5) You will receive 5 Points if the counted towards match. Public Housing ratio of the amount of HOPE VI funds
ratio is between 1:2.0 and 1:2.49. funds other than HOPE VI requested for physical development
(6) You will receive 4 Points if the Revitalization, e.g., HOPE VI Demolition activities (not including CSS or
ratio is between 1:1.50 and 1:1.99. grant funds, HOPE VI Neighborhood administration) to the amount of your
(7) You will receive 3 Points if the Networks grant funds, Capital Fund documented collateral resources is less
ratio is between 1:1.0 and 1:1.49. Program, may be included, and will be than 1:1.0.
(8) You will receive 2 Points if the counted, toward your Anticipatory
ratio is between 1:0.50 and 1:0.99. 4. Rating Factor: Resident and
Resources rating below. For
(9) You will receive one Point if the Community Involvement—3 Points
Anticipatory Resources ratios, ‘‘HOPE
ratio is between 1:0.25 to 1:0.49. Total
VI funds requested for physical
(10) You will receive 0 Points if the development activities’’ is defined as a. HUD will evaluate the nature,
ratio is less than 1:0.25, or if your your total requested amount of funds extent, and quality of the resident and
application does not address this factor minus your requested CSS, community outreach and involvement
to an extent that makes HUD’s rating of administration amounts, and relocation. you have achieved by the time your
this factor possible. HUD will presume that your combined application is submitted, as well as your
c. CSS Leveraging—5 Points CSS, administration and relocation plans for continued and additional
(1) Note that in order to count as amounts are the total of Budget Line outreach and involvement beyond the
leverage, CSS contributions must be Items 1408 (excluding non-CSS minimum threshold requirements. See
newly generated. Existing and newly Management Improvements), 1410, and Section III.C. of this NOFA for Resident
generated TANF cash benefits will not 1495 on the form HUD–52825–A, and Community Involvement
count as leverage. Newly generated non- ‘‘HOPE VI Budget’’ that is included in requirements.
cash services provided by TANF your application. b. Resident and Community
agencies will count as leverage.
(1) You will receive 2 Points if the Involvement—3 Points
(2) You will receive 5 Points if the
ratio of the amount of HOPE VI funds You will receive one Point for each of
ratio of the amount of HOPE VI funds
requested for physical development the following criteria met in your
requested for CSS activities to the dollar
activities to the amount of your application, which are over and above
value of documented, committed CSS
documented anticipatory resources is the threshold requirements listed in
resources leveraged from other sources
1:0.1 or higher. Section III.C.4. of this NOFA.
is 1:2 or higher. Note that wages
projected to be paid to residents through (2) You will receive 0 Points if the (1) Your application demonstrates
jobs, or projected benefits (e.g., health/ ratio of the amount of HOPE VI funds that you have communicated regularly
insurance/retirement benefits) related to requested for physical development and significantly with affected
projected resources to be provided by activities, to the amount of your residents, state and local governments,
CSS partners are not sources of leverage. documented anticipatory resources is private service providers, financing
If no HOPE VI funds are requested for less than 1:0.1. entities, developers, and other members
CSS activities because all CSS funds e. Collateral Investment Leveraging— of the surrounding community about the
will come from outside sources, all 2 Points development of your Revitalization plan
adequately-documented funds from Collateral investment includes by giving residents and community
such outside sources will be counted physical redevelopment activities that members information about your actions
and you will receive 5 Points. are currently underway, or that have yet regarding the Revitalization plan and
(3) You will receive 4 Points if the to begin but are projected to be providing a forum where residents and
ratio is between 1:1.75 and 1:1.99. completed before October 1, 2010. In community members can contribute
(4) You will receive 3 Points if the order for a leverage source to be counted recommendations and opinions with
ratio is between 1:1.5 and 1:1.749. as collateral investment, your regard to the development and
(5) You will receive 2 Points if the application must demonstrate that the implementation of the Revitalization
ratio is between 1:1.25 and 1:1.49. related activities will directly enhance plan.
(6) You will receive one Point if the the new HOPE VI community, but will (2) Your application demonstrates
ratio is between 1:1 and 1:1.249. occur whether or not a Revitalization your efforts, past and proposed, to make
(7) You will receive 0 Points if the grant is awarded to you and the public appropriate HUD communications about
ratio is less than 1:1, or if your housing project is revitalized. This HOPE VI available to affected residents
application does not address this factor includes economic or other kinds of and other interested parties, e.g., a copy
to an extent that makes HUD’s rating of development activities that would have of the NOFA, computer access to the
this factor possible. occurred with or without the HUD Web site, etc.
d. Anticipatory Resources anticipation of HOPE VI funds. These (3) Your application demonstrates
Leveraging—2 Points resources cannot duplicate any other your plans to provide affected residents
Anticipatory Resources relate to type of resource and cannot be counted with reasonable training on the general
activities that have taken place in the as match. Examples of collateral principles of development, technical
past and that were conducted in direct investments include local schools, assistance, and capacity building so that
relation to a HOPE VI Revitalization libraries, subways, light rail stations, they may participate meaningfully in
grant. In many cases, PHAs, cities, or improved roads, day care facilities, and the development and implementation
other entities may have carried out medical facilities. process.
5. Rating Factor: Community and HOPE VI public housing families not units, priority for future occupancy of
Supportive Services—13 Points Total headed by an elderly or disabled person those planned units; and
a. CSS Program Requirements. See to other public housing if they have not (c) contains a description of specific
Section III.C.4.l. and m. for CSS program attained housing self-sufficiency, i.e., do CSS activities that will be provided to
requirements. In your application, you not have the ability to transition out of residents prior to any relocation;
public housing, within ten (10) years b. You will receive up to 4 Points for
will describe your CSS plan, including
after the date that they occupied their this Factor if: Your Relocation Plan
any plans to implement a CSS
units. complies with only two of the goals in
Endowment Trust. Each of the following
(3) You will receive 0 points if you do (a) through (c) above.
subfactors will be rated separately. c. You will receive up to 2 Points for
not demonstrate that you plan to move
b. Case Management—2 points. You
HOPE VI public housing families not this Factor if: Your Relocation Plan
will receive 2 Points if your application
headed by an elderly or disabled person complies with only one of the
demonstrates that you will be able to to other public housing if they have not requirements in (a) through (c) above.
provide case management within 30 attained housing self-sufficiency, i.e., do d. You will receive 0 Points for this
days from the date of grant award not have the ability to transition out of Factor if: (1) Your Relocation Plan does
execution so that residents who will be public housing, within at least ten (10) not comply with any of the
relocated have time to participate and years after they have occupied their requirements in (a) through (c) above; or
benefit from CSS activities before units. (2) Your application does not address
leaving the site. f. Partner Commitments—1 point. this factor to an extent that makes
c. Needs Identification—1 point. You You will receive one Point if you HUD’s rating of this factor possible.
will receive one Point if your CSS provide letters from a variety of
Program has been developed in 7. Rating Factor: Fair Housing and Equal
experienced organizations and service
response to a rigorous resident needs Opportunity—5 Points Total
providers that represent strong
identification process and directly relationships and commitments to a. FHEO Disability Issues—3 Points
responds to the identified needs. participate in your CSS activities and Total. (1) Accessibility—2 Points.
d. Transition to Housing Self- accomplish your CSS goals of the (a) Over and above the accessibility
Sufficiency—5 points. You will receive program. requirements listed in Section III.C. of
up to 5 Points if you address the g. Quality and Results Orientation—2 this NOFA, you will receive 2 Points if
methods you will use to assist public points. You will receive 2 Points if you your application demonstrates that you
housing residents in their efforts to have proposed a high quality, results- have a detailed plan to:
transition to other affordable and oriented CSS program that is based on (i) Provide accessibility in
market-rate housing, i.e., to gain a comprehensive case management homeownership units (e.g., setting a
‘‘housing self-sufficiency.’’ system and enables residents affected by goal of constructing a percentage of the
(1) You will receive up to 5 Points if the revitalization plan to access, at a homeownership units as accessible
your application demonstrates that your minimum, basic elements of education, units for persons with mobility
CSS Program includes and addresses all job training, and other services that will impairments; promising to work with
three of the below items. Your CSS assist them in transforming their lives prospective disabled buyers on
Program: and becoming self-sufficient. modifications to be carried out at a
(a) Provides measurable outcomes for buyer’s request; exploring design
this endeavor; 6. Rating Factor: Relocation—5 Points alternatives that result in townhouses
(b) Relates your other CSS and FSS Total that are accessible to persons with
activities and efforts to the transition of See Sections III.C.4. of this NOFA for disabilities);
public housing residents to housing self- Relocation and Relocation Plan (ii) Provide accessible units for all
sufficiency; and requirements. For all applicants, eligible populations ranging from one-
(c) Specifically addresses the whether you have completed, or have bedroom units for non-elderly single
grassroots, community-based and faith- yet to complete, relocation of all persons with disabilities through units
based organizations, etc. that will join residents of the targeted project, your in all bedroom sizes to be provided.;
you in the endeavor. HOPE VI Relocation Plan must include (iii) Provide for accessibility
(2) You will receive up to 2 Points if the three goals set out in Section 24 of modifications, where necessary, to
your CSS Program includes and the 1937 Act, as described in Sections Housing Choice Voucher-assisted units
addresses at least two of the above three a.(1)(a), (b) and (c) below. a. You will of residents who relocate from the
items (a) through (c) above. receive up to 5 Points for this Factor if: targeted project to private or other
(3) You will receive 0 Points if your (1) Your Relocation plan: public housing due to revitalization
CSS Program includes and addresses (a) Includes a description of specific activities. The Department has
less than two of the above items (a) activities that have minimized, or will determined that the costs of such
through (c) above. minimize, permanent displacement of modifications are eligible costs under
e. Housing Self-Sufficiency Time residents of the units that will be the HOPE VI program;
Frame—2 points. (1) You will receive 2 rehabilitated or demolished in the (iv) Where playgrounds are planned,
points if you demonstrate that you plan targeted public housing site, provided propose ways to make them accessible
to move HOPE VI public housing that those residents wish to remain in or to children with disabilities, over and
families not headed by an elderly or return to the revitalized community; above statutory and regulatory
disabled person to other public housing (b) Includes a description of specific requirements; and
if they have not attained housing self- activities that will give existing (v) Where possible, design units with
sufficiency, i.e., do not have the ability residents priority over other families for accessible front entrances.
to transition out of public housing, future occupancy of public housing (b) You will receive 1 Point if your
within five (5) years after the date that units in completed HOPE VI application demonstrates that you have
they occupied their units. Revitalization Development projects, or, a detailed plan to implement from one
(2) You will receive 1 point if you for existing residents that can afford to to four of the accessibility priorities
demonstrate that you plan to move live in non-public housing HOPE VI stated above, explaining why and how
you will implement the identified discriminatory basis and with a broad that not only meets the minimum
accessibility priorities. spectrum of incomes to the revitalized requirements described in Section (1)
(c) You will receive 0 Points if your site through intensive affirmative above but also exceeds those
application does not demonstrate that marketing efforts and how these efforts requirements. Your plan must include
you have a detailed plan that meets the contribute to the deconcentration of your goals by age group, types of jobs,
specifications above, or if your low-income neighborhoods; and other opportunities to be provided,
application does not address this factor (ii) You have made and will make and plans for tracking and evaluation.
to an extent that makes HUD’s rating of specific efforts to target your marketing Section 3 firms must be in place quickly
this factor possible. and outreach activities to those persons so that residents are trained in time to
(2) Universal Design—1 Point. and groups least likely to know about take advantage of employment
(a) You will receive 1 Point if your these housing opportunities, in order to opportunities such as jobs and other
application demonstrates that you have promote housing choice and contractual opportunities in the pre-
a specific plan to meet: opportunity throughout your development, demolition, and
(i) The adaptability standards adopted jurisdiction and contribute to the construction phases of the
by HUD at 24 CFR 8.3 that apply to deconcentration of both minority and revitalization. Your Section 3 plan must
those units not otherwise covered by the low-income neighborhoods. In your demonstrate that you will, to the
accessibility requirements. Adaptability application, you must describe how greatest extent feasible, direct training,
is the ability of certain elements of a your outreach and marketing efforts will employment, and other economic
dwelling unit, such as kitchen counters, reach out to persons of different races opportunities to:
sinks, and grab bars, to be added to, and ethnic groups, families with or (a) Low- and very low-income
raised, lowered, or otherwise altered, to without children, persons with persons, particularly those who are
accommodate the needs of persons with disabilities and able-bodied persons, recipients of government assistance for
or without disabilities, or to and the elderly; and housing, and
accommodate the needs of persons with (iii) The specific steps you plan to (b) Business concerns which provide
different types or degrees of disability. take through your proposed activities to economic opportunities to low- and
For example, the wiring for visible affirmatively further fair housing. These very low-income persons.
emergency alarms may be installed so steps can include, but are not limited to: (3) You will receive 0 Points if your
that a unit can be made ready for (A) Addressing impediments to fair plan to implement Section 3 does not
occupancy by a hearing-impaired housing choice relating to your meet the standards listed in Section (1)
person (For information on adaptability, operations; above, or if your application does not
see http://www.hud.gov/ (B) Working with local jurisdictions to address this factor to an extent that
offices/pih/programs/ph/hope6/pubs/ implement their initiatives to makes HUD’s rating of this factor
glossary.pdf); and affirmatively further fair housing; possible.
(ii) The visitability standards (C) Implementing, in accordance with
recommended by HUD that apply to Departmental guidance, relocation plans 8. Rating Factor: Well-Functioning
units not otherwise covered by the that result in increased housing choice Communities—8 Points Total
accessibility requirements. Visitability and opportunity for residents affected a. Affordable Housing—Up to 3 Points
standards allow a person with mobility by HOPE VI revitalization activities
(1) Housing Definitions. For the
impairments access into the home, but funded under this NOFA;
(D) Implementing admissions and purposes of this rating section, housing
do not require that all features be made
occupancy policies that are units are defined differently than in PIH
accessible. A visitable home also serves
nondiscriminatory and help reduce housing programs, as follows:
persons without disabilities, such as a
racial and national origin (a) ‘‘project-based affordable housing
mother pushing a stroller or a person
concentrations; and units’’ are defined as on-site and off-site
delivering a large appliance. See
(E) Initiating other steps to remedy housing units where there are
http://www.hud.gov/offices/pih/
discrimination in housing and promote affordable-housing use restrictions on
programs/ph/hope6/pubs/glossary.pdf
fair housing rights and fair housing the unit, e.g., public housing, project-
for information on visitability. The two
choice. based HCV (Section 8) units, LIHTC
standards of visitability are:
(A) At least one entrance at grade (no (b) You will receive 0 Points if you do units, HOME units, affordable
steps), approached by a sidewalk; and not address all of the above issues, or if homeownership units, etc.
(B) The entrance door and all interior your application does not address this (b) ‘‘public housing’’ is defined as
passage doors are at least 2 feet 10 factor to an extent that makes HUD’s rental units that will be subject to the
inches wide, allowing 32 inches of clear rating of this factor possible. ACC.
passage space. c. Economic Opportunities for Low- (2) Unit Mix and Need for Affordable
(b) You will receive 0 Points if your and Very Low-Income Persons (Section Housing.
application does not demonstrate that 3)—1 Point. (1) HOPE VI grantees must (a) Your proposed unit mix should
you have specific plans to implement comply with Section 3 of the Housing sustain or create more project-based
both (i) and (ii) as specified above, or if and Urban Development Act of 1968 (12 affordable housing units that will be
your application does not address this U.S.C. 1701u) (Economic Opportunities available to persons eligible for public
factor to an extent that makes HUD’s for Low- and Very Low-Income Persons housing in markets where the plan
rating of this factor possible. in Connection with assisted Projects) shows there is demand for the
b. Fair Housing and Affirmative and its implementing regulations at 24 maintenance or creation of such units.
Marketing—1 Point Total. (1) Fair CFR part 135. Information about Section While it is up to you to determine the
Housing—1 Point. 3 can be found at HUD’s Section 3 Web unit mix that is appropriate for your
(a) You will receive one Points if your site at http://www.hud.gov/fhe/ site, it is essential that this unit mix
application demonstrates that: sec3over.html. include a sufficient amount of public
(i) You have made and will make (2) You will receive 1 Point if your housing rental units and other project-
specific efforts to attract families from application demonstrates that you have based affordable units. To the extent
all segments of the population on a non- a feasible plan to implement Section 3 that the local market shows there is a
demand for it, applicants are (i) The utilization rate of your your Revitalization plan, you are not
encouraged to create additional project- Housing Choice Voucher program is 95 eligible to receive this point.
based affordable housing units to be percent or more; and (c) If you propose an off-site housing
made available for persons eligible for (ii) The occupancy rate of your public component in your application, you
public housing. housing inventory is 95 percent or more. must be sure to include that component
(b) For purposes of this factor, HUD (iii) If either (i) or (ii) above are less when you discuss other components
will determine whether you need than 95 percent, you do not need (e.g. on-site housing, homeownership
project-based affordable housing by affordable housing. You qualify for (3) housing, etc.). Throughout your
using your Housing Choice Voucher above, not this section (4). application, your unit counts and other
program utilization rate or public (b) The percentages below are defined numerical data must take into account
housing occupancy rate, whichever of as the number of planned project-based the off-site component.
the two reflects the least need. In affordable units divided by the number (2) Scoring.
figuring the Housing Choice Voucher of public housing units that the targeted You will receive 1 Point if you
utilization rate, determine and provide project contained on the application propose to develop an off-site housing
the percentage of HCV units out of the submission date; component(s) and document that: you
total number authorized or the (c) You will receive 3 Points if your have site control of the property(ies),
percentage of HCV funds expended out application demonstrates that the that the site(s) meets all environmental
of the total amount authorized, number of project-based affordable units review requirements, and that the site(s)
whichever percentage is higher. In in your plan is 125 percent or more of meets site and neighborhood standards,
figuring the public housing occupancy the number of public housing units that in accordance with Section III.C.4.n.(1)
rate, provide the percentage of units the targeted project contained on the of this NOFA.
occupied out of the total in your federal application submission date; c. Homeownership Housing—4 Points
public housing inventory, excluding the (iv) You will receive 2 Points if your The Department has placed the
units in the targeted project. You should application demonstrates that the highest priority on increasing
base your calculation only on the number of project-based affordable units homeownership opportunities for low-
federal public housing units you in your plan is 110 to 124 percent of the and moderate-income persons, persons
manage. You may not exclude units in number of public housing units that the with disabilities, the elderly, minorities,
your public housing inventory that are targeted project contained on the and families where English may be a
being reserved for relocation needs application submission date second language. Too often these
related to other HOPE VI Revitalization (v) You will receive 1 Point if your individuals and families are shut out of
grant(s); or units in your public housing application demonstrates that the the housing market through no fault of
inventory that are being held vacant for number of project-based affordable units their own. HUD encourages applicants
uses related to a Section 504 voluntary in your plan is 100 to 109 percent of the to work aggressively to open up the
compliance agreement. If you are a non- number of public housing units that the realm of homeownership.
MTW site, you must use information (1) Your application will receive 4
targeted project contained on the
consistent with the Section Eight Points if your application demonstrates
application submission date.
Management Assessment Program that your Revitalization plan includes
(vi) You will receive 0 Points if your
(SEMAP) and/or the Public Housing homeownership and that you have a
application demonstrates that the
Assessment System (PHAS) feasible, well-defined plan for
number of project-based affordable units
submissions. If you are an MTW site, homeownership. In order to
in your plan is less than the number of
and do not report into SEMAP and/or demonstrate this, your application
public housing units that the targeted
PHAS, you must demonstrate your should include descriptions of the
project contained on the application
utilization and/or occupancy rate using following:
submission date or if your application (a) The purpose of your
similar methods and information does not address this factor to an extent
sources in order to earn points under homeownership program;
that makes HUD’s rating of this factor (b) The number of units planned and
this rating factor. possible.
(3) Scoring when there will be No their location(s);
b. Off-Site Housing—1 Point (c) A description and justification of
Need for More Affordable Housing after
(1) Factor Background the families that will be targeted for the
the Targeted Project is Demolished—1
(a) Although not required, you are program;
Point.
(a) You will receive 1 Point for this encouraged to consider development of (d) The proposed source of your
factor if your application demonstrates replacement housing in locations other construction and permanent financing
that either: than the original severely distressed site of the units; and
(i) The utilization rate of your (i.e., off-site housing). Locating off-site (e) A description of the
Housing Choice Voucher program is less housing in neighborhoods with low homeownership counseling you or a
than 95 percent; or levels of poverty and low concentrations HUD-approved housing counseling
(ii) The occupancy rate of your public of minorities will provide maximized agency will provide to prospective
housing inventory is less than 95 housing alternatives for low-income families, including such subjects as the
percent. residents who are currently on-site and homeownership process, housing in
(iii) If either (a) or (b) above is less assist the goal of creating desegregated, non-impacted areas, credit repair,
than 95 percent, the other percentage mixed-income communities. The effect budgeting, and home maintenance.
will be disregarded. on-site will be to assist in the (2) You will receive 2 Points for this
(4) Scoring when there will be Need deconcentration of low-income factor if you address in your description
for More Affordable Housing after the residents and increase the number of from one to four of the items listed
Targeted Project is Demolished—up to 3 replacement units. under (1).
Points. (b) Although it is acknowledged that (3) You will receive 0 Points for this
(a) For this factor, HUD considers you off-site housing is not appropriate in factor if you do not propose to include
in need of project-based affordable some communities, if you do not homeownership units in your
housing if both: propose to include off-site housing in Revitalization plan, your proposed
program is not feasible and well development activities, as appropriate, development facilities are thoroughly
defined, or if your application does not will: integrated into the community through
address this factor to an extent that (a) Result in a revitalized site that will the use of local architectural tradition,
makes HUD’s rating of this factor enhance the neighborhood in which the building scale, grouping of buildings,
possible. project is located; and design elements; and
(b) Spur outside investment into the (c) Your plan proposes appropriate
9. Rating Factor: Soundness of surrounding community; enhancements of the natural
Approach—26 Points Total (c) Enhance economic opportunities environment.
a. Quality and Consistency of the for residents; and (2) You will receive one Point if your
Application—2 Points (d) Remove an impediment to proposed site plan, new dwelling units,
(1) The information and strategies continued redevelopment or start a and buildings demonstrate design that
described in your application must be community-wide revitalization process. adequately addresses one or two, but
well organized, coherent, and internally (2) You will receive up to 3 Points if not all three of the elements in (1)
consistent. Numbers and statistics in your application demonstrates that your above.
your narratives must be consistent with Revitalization plan will have only a (3) You will receive 0 Points if your
the information provided in the moderate effect on activities in the proposed design is perfunctory or
attachments. Also, the physical and CSS surrounding community, as described in otherwise does not address the elements
aspects of the application must be (a) through (d) above. in (1) above. You will also receive 0
compatible and coordinated with each (3) You will receive 0 Points if your Points if your application does not
other. Pay particular attention to the application does not demonstrate that address this factor to an extent that
data provided for: your Revitalization plan will have an makes HUD’s rating of this factor
(a) Types and numbers of units; effect on the surrounding community, as possible.
(b) Budgets; described in (a) through (d) above, or if f. Energy Star—1 Point
(c) Other financial estimates, your application does not address this (1) Promotion of Energy Star
including sources and uses; and factor to an extent that makes HUD’s compliance is a HOPE VI Revitalization
(d) Numbers of residents affected. rating of this factor possible. program requirement. See Section
(2) You will receive 2 points if your d. Project Readiness—7 Points III.C.4.g. of this NOFA.
application demonstrates a high level of HUD places top priority on projects (2) You will receive 1 Point if your
quality and consistency; that will be able to commence application demonstrates that you will:
(3) You will receive 1 point if your immediately after grant award. You will (a) Use Energy Star labeled products;
application has a high level of quality, receive the following points for each (b) Promote Energy Star design of
but contains minor internal applicable subfactor certified in your replacement units; and
discrepancies; application. (c) Include Energy Star in
(4) You will receive 0 points if your (1) You will receive 2 Points if the homeownership counseling.
application fails to demonstrate an targeted severely distressed public (2) You will receive 0 Points if your
acceptable level of quality and housing site is completely vacant, i.e., application does not demonstrate that
consistency; all residents have been relocated. you will perform (a) through (c) above.
b. Appropriateness and Feasibility of (2) You will receive 2 Points if the g. Evaluation—3 Points
the Plan—5 Points targeted severely distressed public You are encouraged to work with your
(1) You will receive 5 points if your housing site is cleared, i.e., all buildings local university(ies), other institutions
application demonstrates that your are demolished, or your Revitalization of learning, foundations, or others to
Revitalization plan: plan only includes rehabilitation and no evaluate the performance and impact of
(a) Is appropriate and suitable, in the demolition of public housing units.. their HOPE VI Revitalization plan over
context of the community and other (3) You will receive 1 Point if a the life of the grant. The proposed
revitalization options, in accordance Master Development Agreement (MDA) methodology must measure success
with the Appropriateness of Proposal has been developed and is ready to against goals you set at the outset of
threshold in Section III.C. of this NOFA; submit to HUD. However, in cases your revitalization activities. Evaluators
(b) Is marketable, in the context of where the PHA (not an affiliate/ must establish baselines and provide
local conditions; subsidiary/instrumentality) will act as ongoing interim reports that will allow
(c) Is financially feasible, as its own developer for all components of you to make changes as necessary as
demonstrated in the financial the Revitalization plan, then an MDA is your project proceeds. Where possible,
structure(s) proposed in the application; not needed and the one point will be you are encouraged to form partnerships
and awarded automatically. with Historically Black Colleges and
(d) Fulfills the needs that your (4) You will receive 1 Point if your Universities (HBCUs); Hispanic-Serving
application demonstrated for Rating preliminary site design is complete. Institutions (HSIs); Community
Factor 2. (5) You will receive 1 Point if you Outreach Partnership Centers (COPCs);
(2) You will receive 3 points if your have held five (5) or more public the Alaskan Native/Native Hawaiian
application only moderately planning sessions leading to resident Institution Assisting Communities
demonstrates the criteria of (1)(a)-(d) acceptance of the plan. Program (as appropriate); and others in
above. e. Design—3 Points HUD’s University Partnerships Program.
(3) You will receive zero Points if (1) You will receive up to 3 Points if (1) You will receive 3 Points if your
your application does not demonstrate your proposed site plan, new dwelling application includes a letter(s) from an
the criteria of (1)(a)-(d) above. units, and buildings demonstrate that: institution(s) of higher learning,
c. Neighborhood Impact and (a) You have proposed a site plan that foundations, or other organization that
Sustainability of the Plan—5 Points is compact, pedestrian-friendly, with an specializes in research and evaluation
(1) You will receive up to 5 Points if interconnected network of streets and that provides a commitment to work
your application demonstrates your public open space; with you to evaluate your program and
Revitalization plan, including plans for (b) Your proposed housing, describes its proposed approach to carry
retail, office, other economic community facilities, and economic out the evaluation if your application is
selected for funding. The letter must will receive 2 points in the NOFA applications that are deficient at the end
provide the extent of the commitment evaluation. of the cure period stated in Section V.B.
and involvement, the extent to which (2) If you are considered a state of the General Section or have not met
you and the local institution of higher government, or an agency or department the thresholds described in Section
learning will cooperate, and the of a state government, applying for III.C. of this NOFA. Such applications
proposed approach. The commitment funding for a project located in the state will not be eligible for funding.
letter must address all of the following government’s jurisdiction, or areas
2. Preliminary Rating and Ranking
areas for evaluation: otherwise not covered in Part A, you are
(a) The impact of your HOPE VI effort invited to answer the 15 questions in a. Rating
on the lives of the residents; PART B. (1) HUD staff will preliminarily rate
(b) The nature and extent of economic (a) If you check Column 2 for four to each eligible application, SOLELY on
development generated in the seven questions from PART B, you will the basis of the rating factors described
community; receive one point in the NOFA in Section V.A of this NOFA.
(c) The effect of the revitalization evaluation. (2) When rating applications, HUD
effort on the surrounding community, (b) If you check Column 2 for eight or reviewers will not use any information
including spillover revitalization more questions from PART B, you will included in any HOPE VI application
activities, property values, etc.; and receive two points in the NOFA submitted in a prior year.
(d) Your success at integrating the evaluation. (3) HUD will assign a preliminary
physical and CSS aspects of your (3) Applicants that will be providing score for each rating factor and a
strategy. services in multiple jurisdictions may preliminary total score for each eligible
(2) You will receive zero Points if choose to address the questions in either application.
your application does not include a PART A or PART B for that jurisdiction (4) The maximum number of points
commitment letter that conforms to the in which the preponderance of services for each application is 129.
specifications in paragraph (b) above. will be performed if an award is made. b. Ranking
(4) In no case will an applicant (1) After preliminary review,
10. Rating Factor: Incentive Criteria on
receive for this policy priority greater applications will be ranked in score
Regulatory Barrier Removal—2 Points
than two points for barrier removal order.
Total
activities.
a. Description (5) Applicants must submit the 3. Final Panel Review
(1) HUD’s Notice, America’s required information to receive points
Affordable Communities Initiative, a. A Final Review Panel made up of
for this policy priority. HUD staff will:
HUD’s Initiative on Removal of
Regulatory Barriers: Announcement of B. Reviews and Selection Process (1) Review the Preliminary Rating and
Incentive Criteria on Barrier Removal in Ranking documentation to:
HUD’s selection process is designed
HUD’s FY 2004 Competitive Funding to ensure that grants are awarded to (a) Ensure that any inconsistencies
Allocations, Federal Register Docket eligible PHAs with the most meritorious between preliminary reviewers have
Number FR–4882–N–03, published on applications. HUD will consider the been identified and rectified; and
March 22, 2004, provides that most information you submit by the (b) Ensure that the Preliminary Rating
HUD competitive NOFAs will include application submission date. After the and Ranking documentation accurately
an incentive for local and state application submission date, HUD may reflects the contents of the application.
governments to decrease their regulatory not, consistent with its regulations in 24 (2) Assign a final score to each
barriers to the development of CFR part 4, subpart B, consider any application; and
affordable housing. unsolicited information that you or any (3) Recommend for selection the most
(2) Form HUD–27300 contains third party may want to provide. highly rated applications, subject to the
questions that describe your local and amount of available funding, in
state governments’ efforts to decrease 1. Application Screening accordance with the allocation of funds
regulatory barriers. a. HUD will screen each application described in Section II of this NOFA.
b. Scoring to determine if: 4. HUD reserves the right to make
(1) If you are considered a local unit (1) it meets the threshold criteria reductions in funding for any ineligible
of government with land use and listed in Section III.C. of this NOFA; and items included in an applicant’s
building regulatory authority, an agency (2) it is deficient, i.e., contains any proposed budget.
or department of a local unit of Technical Deficiencies. 5. In accordance with the FY2005
government, a nonprofit organization, or b. See Section III.C. of this NOFA for HOPE VI appropriation, HUD may not
other qualified applicant applying for case-by-case information regarding use HOPE VI funds to grant competitive
funding for a project located in the local thresholds and technical deficiencies. advantage in awards to settle litigation
unit of government’s jurisdiction, you See Section IV.B. of this NOFA for or pay judgments.
are invited to answer the 20 questions documentation requirements that will
6. Tie Scores
in PART A of form HUD–27300. For support threshold compliance and will
those applications in which regulatory avoid technical deficiencies. If two or more applications have the
authority is split between jurisdictions c. Corrections to Deficient same score and there are insufficient
(e.g., county/parish and town) the Applications—Cure Period. The funds to select all of them, HUD will
applicant should answer the question subsection entitled, ‘‘Corrections to select for funding the application(s)
for that jurisdiction that has regulatory Deficient Applications,’’ in Section with the highest score for the Soundness
authority over the issue at question. V.B.4. of the General Section is of Approach Rating Factor. If a tie
(a) If you check Column 2 for five to incorporated by reference and applies to remains, HUD will select for funding the
ten questions from PART A, you will this NOFA. This sub-section describes application(s) with the highest score for
receive 1 point in the NOFA evaluation. the Technical Deficiencies cure period. the Capacity Rating Factor. HUD will
(b) If you check Column 2 for eleven d. Applications that will not be rated select further tied applications with the
or more questions from PART A, you or ranked. HUD will not rate or rank highest score for the Need Rating Factor.
7. Remaining Funds which is the second signature. The grant g. Grantees must complete
a. HUD reserves the right to reallocate agreement differs from year to year. Past construction within 48 months from the
remaining funds from this NOFA to Revitalization Grant Agreements can be date of HUD’s approval of your
other eligible activities under Section 24 found on the HOPE VI Web site at Supplemental Submissions. This time
of the 1937 Act. http://www.hud.gov/hopevi. period for completion may not exceed
(1) If the total amount of funds 4. Applicant Debriefing. Upon 54 months from the date the grant
requested by all applications found request, HUD will provide an applicant agreement is executed.
eligible for funding under Section V.B. a copy of the total score received by 2. HOPE VI Endowment Trust
of this NOFA is less than the amount of their application and the score received Addendum to the Grant Agreement.
funds available from this NOFA, all for each rating factor. This document must be executed
5. General Section References. The between the grantee and HUD in order
eligible applications will be funded and
following sub-section of Section VI.A. of for the grantee to use CSS funds in
those funds in excess of the total
the General Section is hereby accordance with Section III.C.4.l. of this
requested amount will be considered
incorporated by reference: a. NOFA.
remaining funds.
(2) If the total amount of funds Adjustments to Funding. 3. Revitalization Plan. After HUD
requested by all applications found conducts a post-award review of your
B. Administrative and National Policy
eligible for funding under Section V.B. application and makes a visit to the site,
Requirements
of this NOFA is greater than the amount you will be required to submit
1. Timeliness of Development components of your Revitalization plan
of funds available from this NOFA, Activity. Grantees must proceed within
eligible applications will be funded to HUD, as provided in the HOPE VI
a reasonable timeframe, as indicated Revitalization Grant Agreement. These
until the amount of non-awarded funds below. In determining reasonableness of
is less than the amount required to components include, but are not limited
such timeframe, HUD will take into to:
feasibly fund the next eligible consideration those delays caused by a. Supplemental Submissions,
application. In this case, the funds that factors beyond your control. These including a HOPE VI Program Budget;
have not been awarded will be timeframes must be reflected in the form b. A Community and Supportive
considered remaining funds. of a program schedule, in accordance Services work plan, in accordance with
8. The following sub-sections of
with the threshold requirement at guidance provided by HUD;
Section V. of the General Section are c. A standard or mixed-finance
Section III.C.1.i. of this NOFA and the
hereby incorporated by reference: development proposal, as applicable;
Rating Factor requirement at Section
a. HUD’s Strategic Goals; d. A demolition and disposition
b. Policy Priorities; V.A.1.c. of this NOFA.
a. Grantees must submit application, as applicable; and
c. Threshold Compliance;
Supplemental Submissions within 90 e. A homeownership proposal, as
d. Corrections to Deficient
days from the date of HUD’s written applicable.
Applications;
e. Rating; and request. 4. Management Agreement
f. Ranking. b. Grantees must submit CSS work
plans within 90 days from the execution HOPE VI Revitalization grantees will
VI. Award Administration Information of the grant agreement. be required to develop Management
c. All other required components of Agreements that describe their
A. Award Notices operation and management principles
the Revitalization plan and any other
1. Initial Announcement. The HUD submissions not mentioned above must and policies for their public housing
Reform Act prohibits HUD from be submitted in accordance with the units.
notifying you as to whether or not you Quarterly Report Administrative and
have been selected to receive a grant 5. Match
Compliance Checkpoints Report, as
until it has announced all grant approved by HUD. a. Irrevocably Committed Match
recipients. If your application has been d. Grantees must start construction Donations and Leverage Resources.
found to be ineligible or if it did not within 12 months from the date of After award, during review of grantee
receive enough Points to be funded, you HUD’s approval of the Supplemental mixed-finance, development or
will not be notified until the successful Submissions as requested by HUD after homeownership proposals, HUD will
applicants have been notified. HUD will grant award. This time period may not evaluate the irrevocable nature of Match
provide written notification to all exceed 18 months from the date the and Leverage resources. During its
applicants, whether or not they have grant agreement is executed. evaluation, HUD will assess the
been selected for funding. e. Grantees must submit the conditions precedent to the availability
2. Award Letter. The notice of award development proposal (i.e., whether of the funds to the grantee. HUD will
letter is signed by the Assistant mixed-finance development, assess the availability of the
Secretary for Public and Indian Housing homeownership development, etc.) for participating party(ies)’s financing, the
(grants officer) and will be delivered by the first phase of construction within 12 amount and source of financing
fax and the U.S. Postal Service. months of grant award. The program committed to the proposal by the
3. Revitalization Grant Agreement. schedule must indicate the date on participating party(ies), and the
When you are selected to receive a which the development proposal for irrevocability of those funds. HUD may
Revitalization grant, HUD will send you each phase of the revitalization plan require an opinion of the PHA’s and the
a HOPE VI Revitalization Grant will be submitted to HUD. owner entity’s counsel (or other party
Agreement, which constitutes the f. The closing of the first phase must designated by HUD) attesting that
contract between you and HUD to carry take place within 15 months of grant counsel has examined the availability of
out and fund public housing award. For this purpose, ‘‘closing’’ the participating party(ies)’s financing,
revitalization activities. Both you and means all financial and legal and the amount and source of financing
HUD will sign the cover sheet of the arrangements have been executed and committed to the proposal by the
grant agreement, form HUD–1044. It is actual activities (construction, etc.) are participating party(ies), and has
effective on the date of HUD’s signature, ready to commence. determined that such financing has been
irrevocably committed by the (d) Consideration of Relevant Factors. 10. Final Audit
participating party(ies) for use in In determining whether to grant a Grantees are required to obtain a
carrying out the proposal, and that such requested exception under Section (b) complete final closeout audit of the
commitment is in the amount required above, HUD will consider the grant’s financial statements by a
under the terms of the proposal. cumulative effect of the following certified public accountant (CPA), in
b. Evidence of Use. Grantees will be factors, where applicable: accordance with generally accepted
required to show evidence that (A) Whether the exception would government audit standards. A written
matching resources were actually provide a significant cost benefit or an report of the audit must be forwarded to
received and used for their intended essential degree of expertise to the HUD within 60 days of issuance. Grant
purposes through quarterly reports as Revitalization plan and demolition recipients must comply with the
the project proceeds. Sources of activities that would otherwise not be requirements of 24 CFR part 84 or 24
matching funds may be substituted after available; CFR part 85 as stated in OMB Circulars
grant award, as long as the dollar (B) Whether an opportunity was A–110, A–87, and A–122, as applicable.
requirement is met. provided for open competitive bidding
c. Grantee Enforcement. Grantees 11. Policy Requirements
or negotiation;
must pursue and enforce any (C) Whether the person affected is a a. OMB Circulars and Administrative
commitment (including commitments member of a group or class intended to Requirements. You must comply with
for services) obtained from any public or be the beneficiaries of the Revitalization the following administrative
private entity for any contribution or plan and Demolition plan and the requirements related to the expenditure
commitment to the project or exception will permit such person to of federal funds. OMB circulars can be
surrounding area that was part of the receive generally the same interests or found at http://www.whitehouse.gov/
match amount. benefits as are being made available or omb/circulars/index.html. Copies of the
OMB circulars may be obtained from
6. LOCCS Requirements provided to the group or class;
EOP Publications, Room 2200, New
(D) Whether the affected person has Executive Office Building, Washington,
The grantee must record all
withdrawn from his or her functions or DC 20503; telephone (202) 395–7332
obligations and expenditures in LOCCS.
responsibilities, or the decision making (this is not a toll-free number). The Code
7. Conflict of Interest in Grant Activities process, with respect to the specific of Federal Regulations can be found at
activity in question; http://www.access.gpo.gov/nara/cfr/
a. Prohibition. In addition to the
conflict of interest requirements in 24 (E) Whether the interest or benefit was index.html.
CFR part 85, no person who is an present before the affected person was (1) Administrative requirements
employee, agent, consultant, officer, or in a position as described in Section (C) applicable to PHAs are:
elected or appointed official of a grantee above; (a) 24 CFR part 85 (Administrative
and who exercises or has exercised any (F) Whether undue hardship will Requirements for Grants and
functions or responsibilities with result either to the grantee or the person Cooperative Agreements to State, Local,
respect to activities assisted under a affected when weighed against the and Federally Recognized Indian Tribal
HOPE VI grant, or who is in a position public interest served by avoiding the Governments), as modified by 24 CFR
to participate in a decision-making prohibited conflict; and 941 or successor part, subpart F, relating
process or gain inside information with (G) Any other relevant considerations. to the procurement of partners in mixed
regard to such activities, may obtain a finance developments.
8. Flood Insurance (b) OMB Circular A–87 (Cost
financial interest or benefit from the
activity, or have an interest in any In accordance with the Flood Disaster Principles for State, Local, and Indian
contract, subcontract, or agreement with Protection Act of 1973 (42 U.S.C. 4001– Tribal Governments);
respect thereto, or the proceeds 4128), your application may not propose (c) 24 CFR 85.26 (audit requirements).
(2) Administrative requirements
thereunder, either for himself or herself to provide financial assistance for
applicable to nonprofit organizations
or for those with whom he or she has acquisition or construction (including
are:
family or business ties, during his or her rehabilitation) of properties located in
(a) 24 CFR part 84 (Grants and
tenure or for one year thereafter. an area identified by the Federal
Agreements with Institutions of Higher
b. HUD-Approved Exception. (1) Emergency Management Agency
Education, Hospitals, and other
Standard. HUD may grant an exception (FEMA) as having special flood hazards,
Nonprofit Organizations);
to the prohibition in Section (1) above unless: (b) OMB Circular A–122 (Cost
on a case-by-case basis when it a. The community in which the area Principles for Nonprofit Organizations);
determines that such an exception will is situated is participating in the (c) 24 CFR 84.26 (audit requirements).
serve to further the purposes of HOPE National Flood Insurance program (see (3) Administrative requirements
VI and its effective and efficient 44 CFR parts 59 through 79), or less applicable to for profit organizations
administration. than one year has passed since FEMA are:
(2) Procedure. HUD will consider notification regarding such hazards; and (a) 24 CFR part 84 (Grants and
granting an exception only after the b. Where the community is Agreements with Institutions of Higher
grantee has provided a disclosure of the participating in the National Flood Education, Hospitals, and other
nature of the conflict, accompanied by: Insurance Program, flood insurance is Nonprofit Organizations);
(a) An assurance that there has been obtained as a condition of execution of (b) 48 CFR part 31 (contract cost
public disclosure of the conflict; a grant agreement. principles and procedures);
(b) A description of how the public (c) 24 CFR 84.26 (audit requirements).
9. Coastal Barrier Resources Act
disclosure was made; and C. Reporting
(c) An opinion of the grantee’s In accordance with the Coastal Barrier
attorney that the interest for which the Resources Act (16 U.S.C. 3501), your 1. Quarterly Report
exception is sought does not violate application may not target properties in a. If you are selected for funding, you
state or local laws. the Coastal Barrier Resources System. must submit a quarterly report to HUD.
(1) HUD will provide training and racial and ethnic beneficiary data. It has 3. You are responsible for monitoring
technical assistance on the filing and adopted the Office of Management and these sites during the application
submitting of quarterly reports. Budget’s Standards for the Collection of preparation period.
(2) Filing of quarterly reports is Racial and Ethnic Data. In view of these
mandatory for all grantees, and failure VIII. Other Information
requirements, you should use form
to do so within the required timeframe HUD–27061, Racial and Ethnic Data A. Waivers. Any HOPE VI-funded
will result in suspension of grant funds Reporting Form (instructions for its activities at public housing projects are
until the report is filed and approved by use), found on www.HUDClips.org, a subject to statutory requirements
HUD. comparable program form, or a applicable to public housing projects
(3) Grantees will be held to the comparable electronic data system for under the 1937 Act, other statutes, and
milestones that are reported on the this purpose. the annual contributions contract (ACC).
Quarterly Report Administrative and c. The final narrative and financial Within such restrictions, HUD seeks
Compliance Checkpoints Report, as report shall be due to HUD 90 days after innovative solutions to the long-
approved by HUD. either the full expenditure of funds, or standing problems of severely distressed
(4) Grantees must also report when the grant term expires, whichever public housing projects. You may
obligations and expenditures in LOCCS, comes first. request, for the revitalized project, a
or its successor system, on a quarterly waiver of HUD regulations, subject to
basis. VII. Agency Contacts statutory limitations and a finding of
2. Logic Model Reporting A. Technical Assistance good cause under 24 CFR 5.110 if the
waiver will permit you to undertake
a. The reporting shall include 1. Before the application submission measures that enhance the long-term
submission of a completed Logic Model date, HUD staff will be available to viability of a project revitalized under
indicating results achieved against the provide you with general guidance and this program. HUD will assess each
proposed output goal(s) and proposed technical assistance. However, HUD request to determine whether good
outcome(s) which you stated in your staff is not permitted to assist in cause is established to grant the waiver.
approved application and agreed upon preparing your application. If you have B. Environmental Impact. A Finding
with HUD. The submission of the Logic a question or need a clarification, you of No Significant Impact with respect to
Model and required information should may call or send an email message the the environment has been made for this
be in accord with the reporting Office of Public Housing Investments, notice in accordance with HUD
timeframes as identified in your grant attention: Lawrence Gnessin, at 202– regulations at 24 CFR part 50 that
agreement. 401–8812, extension 2676, implement Section 102(2)(C) of the
b. The goals and outcomes that you <lawrence_gnessin@hud.gov> or National Environmental Policy Act of
include in the Logic Model should attention: Leigh van Rij, at 202–401– 1969 (42 U.S.C. 4332). The Finding of
reflect your major activities and 8812, extension 5788, No Significant Impact is available for
accomplishments under the grant. For <leigh_e._van_rij@hud.gov> (these are public inspection between 8 a.m. and 5
example, you would include unit not toll-free numbers). You may also p.m. in the Office of the General
construction, demolition, etc. from the call, fax, or write Mr. Milan Ozdinec, Counsel, Regulations Division, Room
‘‘bricks-and-mortar’’ portion of the Deputy Assistant Secretary for Public 10276, Department of Housing and
grant. As another example, for the CSS Housing Investments, Department of Urban Development, 451 Seventh Street,
portion of the grant, you may include Housing and Urban Development, 451 SW., Washington, DC 20410–0500.
the number of jobs created or the Seventh Street, SW., Room 4130, C. General Section References. The
number of families that have reached Washington, DC 20410–5000; telephone following sub-sections of Section VIII. of
self-sufficiency, but you would not (202) 401–8812; fax (202) 401–2370 the General Section are hereby
include information on specific job (these are not toll-free numbers). incorporated by reference:
training and self-sufficiency courses. Persons with hearing or speech 1. Executive Order 13132, Federalism;
c. As a condition of the receipt of challenges may access these telephone 2. Public Access, Documentation and
financial assistance under a HUD numbers through a text telephone (TTY) Disclosure;
Program NOFA, all successful by calling the toll-free Federal 4. Section 103 of the HUD Reform
applicants will be required to cooperate Information Relay Service at (800) 877– Act;
with all HUD staff or contractors 8339. 5. The FY 2004 HUD NOFA Process
performing HUD-funded research and and Future HUD Funding Processes;
2. Frequently Asked Questions and
evaluation studies. and
General HOPE VI Information. Before 6. Sense of Congress.
3. Final Report the application submission date, D. Paperwork Reduction Act
a. The grantees shall submit a final frequently asked questions (FAQ) on the Statement. The information collection
report, which will include a financial NOFA will be posted to HUD’s grants requirements contained in this
report and a narrative evaluating overall Web site at http://www.hud.gov/offices/ document have been approved by the
performance against its HOPE VI adm/grants/otherhud.cfm. Office of Management and Budget
Revitalization plan. Grantees shall use 3. You may obtain general (OMB), under the Paperwork Reduction
quantifiable data to measure information about HUD’s HOPE VI Act of 1995 (44 U.S.C. 3501–3520) and
performance against goals and programs from HUD’s HOPE VI website: assigned OMB Control Number 2577–
objectives outlined in its application. http://www.hud.gov/offices/pih/ 0208. In accordance with the Paperwork
The financial report shall contain a programs/ph/hope6/. Reduction Act, HUD may not conduct or
summary of all expenditures made from B. Technical Corrections to the NOFA sponsor, and an person is not required
the beginning of the grant agreement to to respond to, a collection of
the end of the grant agreement and shall 1. Technical corrections to this NOFA information unless the collection
include any unexpended balances. will be posted to the Grants.gov website. displays a currently valid OMB control
b. Racial and Ethnic Data. HUD 2. Any technical corrections will also number. Public reporting burden for the
requires that funded recipients collect be published in the Federal Register. collection of information is estimated to
average 68 hours per annum per information will be used for grantee Dated: March 24, 2005.
respondent for the application and grant selection and monitoring the Michael Liu,
administration. This includes the time administration of funds. Response to Assistant Secretary for Public and Indian
for collecting, reviewing, and reporting this request for information is required Housing.
the data for the application, quarterly in order to receive the benefits to be BILLING CODE 4210–33–P
reports and final report. The derived.
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Notice: Grants and Cooperative Agreements Availability, Etc.: Hope VI Revitalization of Severely Distressed Public Housing Program

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Notice: Grants and Cooperative Agreements Availability, Etc.: Hope VI Revitalization of Severely Distressed Public Housing Program

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Thursday,

March 31, 2005

you demonstrate to the satisfaction of http://www.hud.gov/groups/ (i) Relocation or temporary relocation

Grant Award ........................................................................................................................................................................ April 1, 2006.

[FR Doc. 05–6238 Filed 3–30–05; 8:45 am]

BILLING CODE 4210–33–C

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