ADDITIONAL INFORMATION:

I. Authority; Purpose; Amount Allocated; and Eligibility.

(A) Authority. The FY 1998 HUD Appropriations Act.

(B) Purpose of the New Approach Anti-Drug Program (Formerly the Safe Neighborhood Grant Program).

(1) The purpose of these competitive grants is to assist entities managing or operating Federally assisted multifamily housing developments, public and Indian housing developments (including those Indian housing units formerly defined as public housing under section 3 of the U.S. Housing Act of 1937 and now counted as current assisted stock under the Indian Housing Block Grant Program), or other multifamily-housing developments for low-income families supported by non-Federal governmental housing entities or similar housing developments supported by nonprofit private sources, to augment security (including personnel costs), assist in the investigation and/or prosecution of drug-related criminal activity in and around such developments, and provide for the development of capital improvements at such developments directly relating to the security of such developments. Housing authorities shall form partnerships as sub-grantees to be eligible for assistance.

(2) With these grants, HUD is taking a comprehensive neighborhood/community-based approach to crime. Crime fighting efforts are most effective when partnering takes place with law-enforcement agencies at various levels and with a full range of community stakeholders (such as public housing agencies (PHAs) and Tribally Designated Housing Entities (TDHEs)). Applicants who are owners/operators of eligible housing will be required to have as a subgrantee the unit of general local government (city or county - preferably with the local police department and the local district attorney or prosecutor's office) and other community stakeholders including the owners and residents of assisted housing developments in the benefitting neighborhoods to address crime in an entire neighborhood (a neighborhood may include more than one assisted housing development). Applicants shall also form partnerships with the following entities, if applicable: community residents; neighborhood businesses; and non-profit providers of support services, including spiritually-based organizations and their affiliates.

(C) Amount Allocated.

(1) Available Funding. Twenty million dollars ($20 million) is available for funding under the New Approach Anti-Drug Program, as provided in the FY 1998 Appropriations Act.

(2) Maximum Grant Award. The maximum grant award amount is limited to $250,000 per application.

(3) Reduction of Requested Grant Amounts. HUD may award an amount less than requested if:

(a) HUD determines the amount requested for an eligible activity and/or any budget line item is unreasonable;

(b) Insufficient amounts remain under the allocation to fund the full amount requested by the applicant, and HUD determines that partial funding is a viable option;

(c) HUD determines that some elements of the proposed plan are suitable for funding and others are not; or

(d) HUD determines that a reduced grant would prevent duplicative Federal funding.

(4) Distribution of Funds. HUD is allocating funds to the highest scoring applications that have met all program threshold requirements and have been ranked by HUD or it's agent.

(5) Grant Reductions After Award. HUD may rescind and/or recapture grant funds based on the failure of the grantees or the grantee's' partners to perform in accordance with the Grant Agreement, including the project application that will be incorporated in the Grant Agreement by reference. In addition, grant funds not expended for eligible purposes and in accordance with OMB cost principles by the end of the grant term will be recaptured by HUD.

(D) Eligible Applicants.

(1) General. Grants may be made to a lead applicant that must be an owner/operator of one or more housing developments that have received some form of financial support from a unit of government or from a private non-profit entity. Unless the lead applicant is a unit of general local government which operates the assisted project, the lead applicant must own an assisted housing development in the neighborhood to be assisted. Housing authorities shall form partnerships as sub-grantees to be eligible for assistance. Indian tribes or Tribally Designated Housing Entities may apply for assistance if they have eligible project areas and eligible assisted housing (see Section I(H) of this New Approach Anti-Drug Program section of the SuperNOFA). New Approach Anti-Drug Program grants may be awarded to entities that manage or operate Federally assisted multifamily housing.

(2) Lead Applicant.

(a) The lead applicant, which if the application is selected for funding will be the grantee, must be an owner/operator of one or more housing developments that has received some form of financial support from a unit of government or from a private nonprofit entity. Housing Authorities shall form partnerships as sub-grantees to be eligible for assistance. Such support must be designated and assigned by the funding source specifically for the housing rather than for any specific resident household which may, however, benefit from the support in the form of reduced rent. The housing support may be provided on a one-time or periodic basis to pay for or waive: project development costs; costs of financing; operating costs (which include but are not limited to utilities, taxes, fees, and debt service payments); (iv) owner taxes; (v) unit rent levels; or (vi) tenant rent payments.

(b) Unless the lead applicant is a unit of general local government which owns the assisted project, the lead applicant must also own an assisted housing development (as defined in Section I(H) of this New Approach Anti-Drug Program section of the SuperNOFA) in the neighborhood to be assisted. The lead applicant may not have any outstanding findings of civil rights violations.

(c) Housing authorities may not be the lead applicant; housing authorities must form partnerships as sub-grantees to be eligible for assistance.

(3) Subgrantees and Partnerships.

(a) Memorandum of Understanding. The application must include a number of subgrantees. The chief executive officer or empowered designee of each subgrantee must enter into a Memorandum of Understanding (MOU) with the applicant. The MOU must describe the subgrantee's commitment to serve as a subgrantee, and must specify the expertise and/or resources that the subgrantee will contribute towards the success of the grant activity. The MOU must be included as part of the application.

(b) Required Subgrantees. The following entities must be included as subgrantees in the application:

(i) The unit(s) of general local government with primary law enforcement and community development jurisdiction over the project. The MOU of this entity must commit the local police department, prosecutor's office, and community development office to actively support the grant project in partnership with the grantee. The MOU must also describe the level of current services being provided by these entities, and the level of services above this baseline which the entities are committed to providing in support of the grant.

(ii) The owners of assisted housing developments in the neighborhood that will benefit from grant funding. HUD is inclined to reward applications in neighborhoods which have demonstrated that more than one assisted housing development will benefit, and where owners have agreed to participate in the grant activities.

(iii) Residents of each assisted low income project in the neighborhood that will benefit from grant funding. The residents' commitment must include the extent to which they are involved in the planning, and will be participating in and support the Action Plan. This commitment must be signed either by individuals from a majority of project resident households, or by one or more organized resident groups that, combined, have been endorsed by a majority of project resident households or recognized by a governmental entity as representing a majority of project residents.

(c) Encouraged Partnerships. In addition to the required subgrantees specified above, applicants are encouraged to partner with other appropriate neighborhood and community stakeholders, including: Neighborhood businesses and business associations; Nonprofit service providers; Neighborhood resident associations; and faith communities or religious institutions.

(E) Eligible Activities. The following is a listing of eligible activities under this program and guidance as to their parameters (the term TDHEs includes those IHAs applying for FY 1997) funding:

(1) Augmenting Security (Including Personnel).

(a) General. Subject to a Cost Reimbursement Agreement, the grantee may reimburse local law enforcement entities for the costs of additional police presence (police salaries and other expenses directly related to such presence or security) in and around assisted housing developments in the neighborhood over and above baseline services currently provided.

(b) Baseline Services. Additional/supplemental security services are permitted but must be over and above the local police department's current level of baseline services. An applicant seeking funding for augmenting security must describe the local police department's current level of baseline services to the neighborhood (including ordinary and routine services, patrols, police officer responses to 911 communications and other calls for services, and investigative follow-up of criminal activity). The description of baseline services must include the number of officers and the actual percent of their time assigned to the development(s) proposed for funding. The applicant must then demonstrate to what extent the proposed funded activity will represent an increase over and above this baseline.

(c) Police Presence. For any grant, at least 70 percent of such reimbursed costs must be for police presence in or immediately adjacent to the premises of assisted housing developments and the remainder of such reimbursed costs must be for police presence within the project area.

(d) Crime Fighting Strategy.
(i) In its criteria for awarding points in the funding competition, HUD is strongly encouraging that additional law enforcement in the assisted housing developments and surrounding neighborhoods be targeted to implementing an overall crime fighting strategy, rather than merely responding to crime emergencies. Two potentially effective anti-crime strategies that can benefit from additional police presence are:

(1) Combined multi-agency task force initiatives, in which local and Federal law enforcement agencies pool resources, first, to infiltrate organizations that promote violent and/or drug-related crime in the neighborhood and, second, to initiate strategic and coordinated mass arrests to break up these organizations; and

(2) Community policing (i.e., sustained proactive police presence in the development or neighborhood, often conducted from an on site substation or mini-station, that involves crime prevention, citizen involvement, and other community service activities, as well as traditional law enforcement).

(ii) If reimbursement is provided for community policing activities that are committed to occur over a period of at least 3 years and/or are conducted from a police substation or administration within the neighborhood, the costs during the grant period of constructing such a station or of equipping the substation with communications and security equipment to improve the collection, analysis and use of information about criminal activities in the properties and the neighborhood may be reimbursed.

(iii) Federal law enforcement activities may not be funded by the New Approach Program Grant.

(2) Security Services Provided by Other Entities (such as the Owner of an Assisted Housing Development).

(a) General.

(i) Coordination. The activities of any contract security personnel funded under this grant must be coordinated with other law enforcement and crime prevention efforts under the plan approved by HUD. Efforts to achieve such coordination must be described in the plan. The coordination efforts must include frequent periodic scheduled meetings of security personnel with housing project management and residents, local police and, as appropriate, with other public law enforcement personnel, neighboring residents, landlords, and other neighborhood stakeholders.

(ii) Proven Ability to Address Crime Problems. HUD is inclined, as stated elsewhere in this New Approach Anti-Drug Program section of the SuperNOFA, to reward applicants that partner with entities that have a proven ability to address crime problems.

(b) Reimbursement of State and Local Law Enforcement Agencies.

(i) Subject to a Cost Reimbursement Agreement, the grantee may reimburse local or State prosecuting offices and related public agencies for the prosecution or investigation of crime committed in the neighborhood related to the Action Plan. Such reimbursement must be for costs over and above what the office or agency incurred for such purposes for crimes committed in the same geographic area during the period equal in length and immediately prior to the period of reimbursement.

(ii) For any grant, at least 70 percent of such reimbursed costs must be in connection with crimes committed in or immediately adjacent to the premises of Assisted Housing developments and the remainder of such reimbursed costs directly related to crime committed elsewhere in the neighborhood.

(c) Hiring of Private Investigator Services. Subject to appropriate justification, grantees and subgrantees are permitted to use grant funds to hire private investigator services to investigate crime in and around the premises of an assisted housing development and/or the surrounding neighborhood. Based on HUD's inclination to reward applicants that partner with entities that have a proven ability to address crime problems, HUD is strongly inclined to provide more points under the rating factors entitled "Quality of Plan" and "Strength of Partnerships" to applications that propose reimbursing municipal police departments or prosecutor offices than those reimbursing private operators, for investigative or prosecutorial services (See Section III of this New Approach Anti-Drug Program section of this SuperNOFA).

(3) Capital Improvements to Enhance Security. Grantees and subgrantees may use grant funds for capital improvements to enhance security. All such improvements must be accessible to persons with disabilities. For example, locks or buzzer systems that are not accessible to people with restricted or impaired strength, mobility, or hearing may not be funded by the grant. Defensible space improvements must comply with civil rights requirements and cannot exclude or segregate persons based upon their race, color, or national origin from benefits, services, and other terms and conditions of housing. Under the selection criterion entitled "Quality of Plan," HUD is generally inclined to reward capital improvements to enhance the security of an entire neighborhood as opposed to specific projects at the expense of other dwellings in the neighborhood. The capital improvements may include, but are not limited to:

(a) The new construction or rehabilitation of structures housing police substations or mini-stations;

(b) The installation of barriers, speed bumps, the installation of fences, barriers, and appropriate use of close circuit television (CCTV);

(c) Improved door or window security such as locks, bolts, or bars; and
(d) The landscaping or other reconfiguration of common areas to discourage drug-related criminal activities.

(F) Eligible Project Areas.

(1) The project area must be a "neighborhood." For purposes of the New Approach Anti-Drug Program, the term "neighborhood" means:

(a) A geographic area within a jurisdiction of a unit of general local government (but not the entire jurisdiction unless the population is less than 25,000) designated in comprehensive plans, ordinances, or other local documents as a neighborhood, village, or similar geographical designation; or

(b) The entire jurisdiction of a unit of general local government with a population of less than 25,000 persons.

(2) The project area must include at least one assisted low-income housing project under:

(a) Section 221(d)(3), section 221(d)(4), or section 236 of the National Housing Act (12 U.S.C. 1715l, 1715z-1), provided that such project has been provided a Below Market Interest Rate mortgage, interest reduction payments, or project-based assistance under Rent Supplement, Rental Assistance Payments (RAP) or Section 8 programs.

(b) Section 101 of the Housing and Urban Development Act of 1965 (12 U.S.C. 1701s);

(c) Section 8 of the United States Housing Act of 1937 (42 U.S.C. 1437f). This includes housing with project-based Section 8 assistance, whether or not the mortgage was insured by HUD-FHA, but does not include projects which receive only Section 8 tenant-based assistance (i.e., certificates or vouchers).

(3) HUD will award only one grant per project area.

(G) Ineligible Project Areas. FHA-insured projects which have no project-based subsidy but have tenants receiving housing vouchers or Section 8 tenant certificates are not considered Federally assisted housing and would not qualify an area for eligibility.

(H) Eligible Assisted Housing.

The following definitions apply to this program.

(1) Assisted Housing Development.

(a) For purposes of this program, the term "assisted housing development" means four or more adjoining, adjacent, or scattered site (within a single neighborhood) housing units, developed simultaneously or in stages, having common ownership and project identity, and receiving a project-based financial subsidy from a unit of government at the Federal, State, or local level, or from a private nonprofit entity.

(b) Such subsidy must be associated with a requirement and/or contractual agreement that all or a portion of the units be occupied by households with incomes at or below those of families at the low income limit defined by the U.S. Housing Act of 1937, or by households at or below an alternative limit that falls below this statutory low income limit, at rents which the public or nonprofit entity determines to be affordable.

(2) Assisted Housing Unit. For purposes of this program, the term "assisted housing unit" means a unit within an assisted housing development for which occupancy is restricted to households with incomes at or below that of "low income families" as defined by the U.S. Housing Act of 1937 or to households meeting an income standard below that defined as "low income;" and rents are restricted to amounts that the public or nonprofit entity determines to be affordable.

(3) Project Based Subsidies. For purposes of this program, the term "project based subsidies" is defined as financial assistance that is initially designated and assigned by the funding source specifically for the project rather than to eligible assisted resident households which might also benefit from these subsidies, and provided on a one time up-front or on a periodic basis to the project or its owner to write down, subsidize, or waive: project development costs; costs of financing; project operating costs (including but are not limited to: utilities, taxes, fees, maintenance and debt service payments); owner taxes; unit rent levels; or tenant rent payments.

(I) Ineligible Activities. New Approach Anti-Drug Program Grant funding is not permitted for any of the activities listed below, unless otherwise specified in this New Approach Anti-Drug Program section of this SuperNOFA.

(1) Crime prevention, treatment, or intervention activities are not permitted in this program.

(2) Costs incurred before the effective date of the grant agreement, including but not limited to consultant fees related to the development of an application or the actual writing of the application.

(3) Purchase of controlled substances for any purpose. Controlled substance shall have the meaning provided in section 102 of the Controlled Substance Act (21 U.S.C. 802).

(4) Compensating informants, including confidential informants. These should be part of the baseline services provided and budgeted by local law enforcement agencies.

(5) Although participation in activities with Federal drug interdiction or drug enforcement agencies is encouraged, these grant funds shall not be transferred to any Federal agency.

(J) Implementation Principles. HUD has established the following principles in its plan for implementing these New Approach Anti-Drug Program Grants:

(1) Drug- and crime-fighting activities, if only directed to a single assisted housing development, may have the unfortunate effect of simply moving the problem to nearby housing and businesses. With these grants, HUD is taking a comprehensive neighborhood/community-based approach to crime. Applicant owners/operators of eligible housing will be required to partner with the unit of general local government (city or county) and other stakeholders to address crime in an entire neighborhood (which may include more than one assisted housing development). (Units of local government that are owners/operators of eligible housing may also be designated grantees whether or not the neighborhood designated for assistance includes housing that they own.)

(2) Crime fighting efforts are most effective when partnerships are formed with law-enforcement agencies and with a full range of community stakeholders. Applicants will be required to demonstrate that they have formed a partnership with units of general local government, preferably with the local police department and the local district attorney or prosecutor's office playing key roles in this partnership. Applicants shall also form partnerships with the following entities, if applicable:

(a) Federal law enforcement agencies (such as the HUD Office of Inspector General (OIG), the U.S. Attorney's Office, the FBI, the Drug Enforcement Administration (DEA), and the U.S. Marshal's Office) and State and local law enforcement agencies;

(b) All owners of assisted housing developments in the targeted neighborhood; and

(c) Residents of these assisted housing developments and of the community.

(d) Neighborhood businesses; and

(e) Non-profit providers of support services, including spiritually-based organizations and their affiliates.

(3) Law enforcement strategies, however effective in the short run, need to be combined with efforts to address the underlying causes of crime and deter its reappearance. The long term solution to the crime problems of assisted housing developments and their surrounding neighborhoods rest in changing the conditions--and the culture that exists.

(4) Encouraging Partnerships.

(a) HUD encourages the use of effective working partnerships in new locations to leverage the many Federal resources that are available to eliminate crime in and around public and assisted housing developments through the Drug Elimination Grant, Operation Safe Home, and Weed and Seed programs. HUD now wishes to encourage these successful partnerships to address similar problems in and around privately-owned, Federally assisted housing. In addition to rewarding partnerships, HUD is requiring that at least one project in each targeted neighborhood be multifamily housing with either:

(i) A HUD-insured, held, or direct mortgage and Rental Assistance Payments (RAP), Rent Supplement, or interest reduction payments; or

(ii) Section 8 project-based assistance with or without HUD interest in the project mortgage.

(b) This emphasis on HUD assisted privately-owned housing does not negate the eligibility of other low-income housing developments assisted by Federal, State, and local government, and not-for-profit sources to apply for the New Approach Anti-Drug Program. By awarding points for neighborhoods with high concentrations of assisted housing, HUD is encouraging applicants to address the needs of multiple assisted housing developments which may feature a mix of ownership types and subsidy sources.

(5) Complying with Civil Rights Requirements. With the very real need to protect occupants of HUD-sponsored housing and the areas around the housing, the civil rights of all citizens must be protected. Proposed strategies should be developed to ensure that crime-fighting and drug prevention activities are not undertaken in such a manner that civil rights or fair housing statutes are violated. Profiling on any prohibited bases may not be allowed. In addition, all segments of the population should be represented in developing and implementing these crime-fighting strategies.

(6) Coordination with Other Law Enforcement Efforts. In addition to working closely with residents and local governing bodies, it is critically important that owners establish ongoing working relationships with Federal, State, and local law enforcement agencies in their efforts to address crime and violence in and around their housing developments. HUD firmly believes that the war on crime and violence in assisted housing can only be won through the concerted and cooperative efforts of owners and law enforcement agencies working together in cooperation with residents and local governing bodies. As such, HUD encourages owners to participate in Departmental and other Federal law enforcement agencies' programs, as described below:

(7) Safe Neighborhood Action Program (SNAP).
(a) The Safe Neighborhood Action Program (SNAP) initiative, announced June 12, 1994 by HUD, the National Assisted Housing Management Association (NAHMA), and the U.S. Conference of Mayors (USCM), is an anti-crime and empowerment strategies initiative in HUD-assisted housing neighborhoods in 14 SNAP cities. The major thrust of SNAP is the formation of local partnerships in 14 targeted cities where ideas and resources from government, owners and managers of assisted housing, residents, service providers, law enforcement officials, and other community groups meet to work on innovative, neighborhood anti-crime strategies.

(b) There is no funding associated with SNAP, which relies on existing ideas and resources of the participants. Some common initiatives from these SNAP teams have included the following: community policing; crime watch programs; tenant selection policies; leadership training; individual development or job skills training; expansion of youth activities; police tip line or form; community centers; anti-gang initiatives; police training for security officers; environmental improvements; and a needs assessment survey to determine community needs.

(c) In addition, a HUD-sponsored initiative to increase the presence of AmeriCorps' VISTAs in assisted housing units has led to the placement of 25 VISTAs on 12 SNAP teams. The AmeriCorps VISTA program, which incorporates a theme of working within the community to find solutions to community needs, has provided additional technical assistance to the SNAP teams.

(d) The cities participating in the SNAP initiative include: Atlanta, Ga; Boston, Mass; Denver, Co; Houston, TX; Newark, NJ; Philadelphia, PA; Baltimore, MD; Columbus, OH; Detroit, MI; Los Angeles, CA; New Orleans, LA;

Little Rock, AR; Richmond, VA; and Washington, DC.

(e) For more information on SNAP, contact Henry Colonna, National SNAP Coordinator, Virginia State Office, 3600 West Broad Street, Richmond, VA 23230-4920; telephone (804) 278-4505, extension 3027; or (804) 278-4501 (TTY). For more information on AmeriCorps' VISTAs in Assisted Housing, contact Deanna E. Beaudoin, National VISTAs in Assisted Housing Coordinator, Colorado State Office, First Interstate Tower North, 633 17th Street, Denver, CO 80202; telephone (303) 672-5291, extension 1068; or (303) 672-5248 (TTY). These numbers are not toll-free.

II. Program Requirements.

The following requirements apply to all activities, programs, or functions used to plan, budget, implement, and evaluate the work funded under this program.

(A) Grant Agreement. After applications have been ranked and selected, HUD and the applicant shall enter into a grant agreement setting forth the amount of the grant, the physical improvements or other eligible activities to be undertaken, financial controls, and special conditions, including sanctions for violation of the agreement. The Grant Agreement will incorporate the HUD approved applications, as may be amended by any special condition in the Grant Agreement. HUD will monitor grantees, utilizing the Grant Agreements to ensure that grantees have achieved commitments set out in their HUD approved grant application. Failure to honor such commitments would be the basis for HUD determining a default of the Grant Agreement, and exercising available sanctions, including grant suspension, termination, and/or the recapture of grant funds.

(B) Requirements Governing Grant Administration, Audits and Cost Principles. The policies, guidelines, and requirements of this New Approach Anti-Drug Program section of the SuperNOFA, 48 CFR part 31, 24 CFR parts 44, 45, 84 and/or 85, OMB Circulars A-87 and/or A-122, other applicable administrative, audit, and cost principles and requirements, and the terms of grant/special conditions and subgrant agreements apply to the acceptance and use of assistance by grantees. The requirements cited above, as applicable, must be followed in determining procedures and practices related to the separate accounting of grant funds from other grant sources, personnel compensation, travel, procurement, the timing of drawdowns, the reasonableness and allocability of costs, audits, reporting and closeout, budgeting, and preventing conflict of interests or duplicative charging of identical costs to two different funding sources. All costs must be reasonable and necessary.

(C) Term of Grant. Grant funds must be expended within 24 months after HUD executes a Grant Agreement. There will be no extensions or waivers of this grant term.

(D) Subgrants and Subcontracting.

(1) In accordance with an approved application, a grantee may directly undertake any of the eligible activities under this New Approach Anti-Drug Program section of the SuperNOFA, it may contract with a qualified third party, or it may make a subgrant to any entity approved by HUD as a member of the partnership, provided such party is a unit of government, is incorporated as a not-for-profit organization, or is an incorporated for-profit entity that owns and/or manages an assisted housing project benefiting from the grant. Resident groups that are not incorporated may share with the grantee in the implementation of the program, but may not receive funds as subgrantees. For-profit organizations other than owners or managers of an Assisted Housing project benefiting from the grant that have been approved by HUD as part of the partnership may only receive grant funds subject to the applicable Federal procurement procedures (See 24 CFR parts 84 or 85).

(2) Subgrants may be made only under a written agreement executed between the grantee and the subgrantee. The agreement must include a program budget that is acceptable to the grantee, and that is otherwise consistent with the grant application budget. The agreement must require the subgrantee to permit the grantee to inspect the subgrantee's work and to follow applicable OMB and HUD administrative requirements, audit requirements, and cost principles, including those related to procurement, drawdown of funds for immediate use only, and accounting to the grantee for the use of grant funds and implementation of program activities. In addition, the agreement must describe the nature of the activities to be undertaken by the subgrantee, the scope of the subgrantee's authority, and the amount of any insurance to be obtained by the grantee and the subgrantee to protect their respective interests.

(3) The grantee shall be responsible for monitoring, and for providing technical assistance to, any subgrantee to ensure compliance with applicable HUD and OMB requirements. The grantee must also ensure that subgrantees have appropriate insurance liability coverage.

(E) Environmental Requirements. Prior to the award of grant funds under the program, HUD will perform an environmental review to the extent required under the provisions of 24 CFR part 50. Should the environmental review indicate adverse environmental impacts, the application may be downgraded or rejected.

(F) Ineligible Contractors. The provisions of 24 CFR part 24 relating to the employment, engagement of services, awarding of contracts or funding of any contractors or subcontractors during any period of debarment, suspension, or placement in ineligibility status apply to this grant.

(G) Employment preference. A grantee under this program shall give preference to the employment of residents of Assisted Housing projects in the neighborhood to be assisted by this grant, and shall comply with section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and 24 CFR part 135, to carry out any of the eligible activities under this program, so long as residents provided such preferences have comparable qualifications and training as nonresident applicants.

(H) Drawdown of Grant Funds. All grantees will access the grant funds through HUD's Line of Credit Control System-Voice Response System in accordance with procedures for minimizing the time lapsing between drawdowns and use of funds for eligible purposes as described in 24 CFR parts 84 and/or 85, as applicable.

(I) Reports and Closeout. Each grantee receiving a grant shall submit to HUD a semiannual progress report in a format prescribed by HUD that indicates program expenditures and measures performance in achieving goals. At grant completion, the grantee shall participate in a closeout process as directed by HUD which shall include a final report in a format prescribed by HUD that reports final program expenditures and measures performance in achieving program goals. Closeout will culminate in a closeout agreement between HUD and the grantee and, when appropriate, in the return of grant funds which have not been expended in accordance with applicable requirements.

(J) Suspension or Termination of Funding. HUD may suspend or terminate funding if the grantee fails to undertake the approved program activities on a timely basis in accordance with the grant agreement, adhere to grant agreement requirements or special conditions, or submit timely and accurate reports.

(K) Affirmatively Furthering Fair Housing. The first two sentences of the requirement in Section II(D) of the General Section of the SuperNOFA do not apply to this program.

III. Application Selection Process.

(A) Rating and Ranking.

(1) HUD will evaluate all eligible applications based on the factors for award identified in this Section III.

(2) After the applications have been scored, HUD will rank by Field Office on a national basis. Awards will be made in ranked order until all funds are expended.

HUD will select the highest ranking applications whose eligible activities can be fully funded. Where there is insufficient funds to fully fund all applicants by Field Office, HUD will award remaining funds, regardless of Field Office, to the next highest ranking applicant. HUD will continue the process until all funds allocated to it have been awarded or to the point where there are insufficient acceptable applications for which to award funds.
(3) In the event of a tie, HUD will select the applicant with the highest score in Factor 1. If Factor 1 is scored identically, the scores in Factors 2, 3 and 4 will be compared in that order, until one of the applications receives a higher score. If both applications still score the same then the application which requests the least funding will be selected in order to promote the more efficient use of resources. In the event of a tie and there is not sufficient funds to fully fund an applicant, HUD will offer remaining funds to the highest ranking applicant following the procedures above.

(B) Factors For Award To Evaluate and Rank Applications.

The maximum number of points for this program is 102. This includes two EZ/EC bonus points, as described in the General Section of the SuperNOFA. An application must receive a score of at least 70 points to be eligible for funding.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 Points)

This factor addresses the extent to which the applicant has proper organizational resources necessary to successfully implement the proposed New Approach Anti-Drug Program activities in an effective, efficient, and timely manner. In rating this factor, HUD will consider the extent to which the application demonstrates the capabilities described below:

(1) (7 Points) The applicants' successful experience combined with its subgrantees' successful experience in utilizing similar strategies to alleviate crime. To receive maximum points under this section, the applicant must have worked in partnership with one or more of its subgrantees (or, under some circumstances, two or more of the subgrantees may have worked together in partnership) using a similar strategy that reduced crime in and/or around Assisted Housing developments. The applicant must demonstrate the reduction in the occurrence of crime as indicated in Selection Factor 3 of this component of the SuperNOFA. Examples of other Federal programs which promote such partnerships are HUD's Operation Safe Home Program, Safe Neighborhood Action Program and, to some extent, the Drug Elimination Grant Program. In the absence of previous partnerships, the experience of the applicant will weigh more heavily than the experience of any single subgrantee in HUD's assignment of partial points under this subfactor.

(2) (6 Points) The strength of the applicants' partnership as it relates to eliminating the crime problem identified in Factor 2. Points in this area will be awarded based on the strength of resource commitments by subgrantees (both in terms of the amount of resources committed and the firmness of the commitments); evidence of the subgrantees' (including project tenants') pre-application role in the development of the plan and prospective role in program implementation; indications of the capacity of the Assisted Housing developments' ownership and management (based on available management reviews by governing public entities) to undertake their share of responsibilities in the partnership (including evidence of whether project management carefully screens applicants for units and takes appropriate steps to deal with tenants known to exhibit or suspected of exhibiting criminal behavior) and to cooperate with law enforcement actions by other partners on their project premises; the willingness of the unit of general local government (lead applicant) to use its prosecutor's office as its lead agency in implementing the grant; utilization of additional partners other than those required under the heading "Eligible Applicants" (for example, neighborhood business organizations); and the effectiveness of the partnership structure (synergistic arrangements of collective action will receive more points than a simple advisory committee of subgrantees).

(3) The applicants' administrative capacity to implement the grant. Points will be awarded based on the quality and amount of staff allocated to the grant activity by the grantee; the anticipated effectiveness of the grantee's systems for budgeting, procurement, drawdown, allocation, and accounting for grant funds and matching resources in accordance with OMB administrative requirements; and the lines of accountability for implementing the grant activity, coordinating the partnership, and assuring that the applicant's and subgrantees' commitments will be met. In assessing this factor, HUD will consider the following factors with the indicated total available points:

(a) (4 Points) The applicant must identify their participation in HUD grant programs within the preceding three years, and discuss the degree of the applicant's success in implementing and managing (program implementation, timely drawdown of funds, timely submission of required drawdown of funds, timely submission of required reports with satisfactory outcomes related to the plan and timetable, audit compliance and other HUD reviews) these grant programs.

(b) (3 Points) The local HUD Field Office shall evaluate the extent of the applicant's success or failure in implementing and managing an effective program under previous grants (prior three years). This evaluation will be based on, but not limited to, the relationship between the extent of the crime detailed in Factor 2 during the preceding years, and outcomes regarding reducing/eliminating drug-related crime described in the plans and achievements of proposed strategies regarding crime reduction goals outlined in HUD program performance outcome measurements relating to reducing drugs and crime activities, and HUD reviews, audits, and other monitoring methods.

Rating Factor 2: Need/Extent of the Problem (25 Points)

This factor addresses the extent to which there is a need for funding the proposed program activities to address a documented problem in the target area (i.e., the degree of the severity of the drug-related crime problem in the project proposed for funding). In responding to this factor, applicants will be evaluated on the extent to which a critical level of need for the proposed activities is explained and an indication of the urgency of meeting the need in the target area. Applicants must include a description of the extent and nature of drug-related crime "in or around" the housing units or developments proposed for funding.

Applicants will be evaluated on the following:

(1) (15 points) "Objective Crime Data" relevant to the target area. For objective crime data, an applicant can be awarded up to 15 points. Such data should consist of verifiable records and not anecdotal reports. Where appropriate, the statistics should be reported both in real numbers and as an annual percentage of the residents in each development (e.g., 20 arrests in a two-year period for distribution of heroin in a development with 100 residents reflects a 20% occurrence rate). Such data may include:

(a) Police records or other verifiable information from records on the types or sources of drug related crime in the targeted developments and surrounding area;

(b) The number of lease terminations or evictions for drug-related crime at the targeted developments; and

(c) The number of emergency room admissions for drug use or that result from drug-related crime. Such information may be obtained from police Departments and/or fire departments, emergency medical service agencies and hospitals. The number of police calls for service from housing authorities developments that include resident initiated calls, officer-initiated calls, domestic violence calls, drug distribution complaints, found drug paraphernalia, gang activity, graffiti that reflects drugs or gang-related activity, vandalism, drug arrests, and abandoned vehicles.

For PHAs, such data should include housing authority police records on the types and sources on drug related crime "in or around" developments as reflected in crime statistics or other supporting data from Federal, State, Tribal or local law enforcement agencies.

(2) (10 Points) Other Crime Data: Other supporting data on the extent of drug-related crime. For this section, an applicant can received up to 10 points. To the extent that objective data as described above may not be available, or to complement that data, the assessment must use data from other verifiable sources that have a direct bearing on drug-related crime in the developments proposed for assistance under this program. However, if other relevant information is to be used in place of objective data, the application must indicate the reasons why objective data could not be obtained and what efforts were made to obtain it and what efforts will be made during the grant period to begin obtaining the data. Examples of the data should include (but are not necessarily limited to):

(a) Surveys of residents and staff in the targeted developments surveyed on drug-related crime or on-site reviews to determine drug/crime activity; and government or scholarly studies or other research in the past year that analyze drug-related crime activity in the targeted developments.

(b) Vandalism cost at the targeted developments, to include elevator vandalism (where appropriate) and other vandalism attributable to drug-related crime.

(c) Information from schools, health service providers, residents and Federal, State, local, and Tribal officials, and the verifiable opinions and observations of individuals having direct knowledge of drug-related crime and the nature and frequency of these problems in developments proposed for assistance. (These individuals may include Federal, State, Tribal, and local government law enforcement officials, resident or community leaders, school officials, community medical officials, substance abuse, treatment (dependency/remission) or counseling professionals, or other social service providers.)

(d) The school dropout rate and level of absenteeism for youth that the applicant can relate to drug-related crime. If crime or other statistics are not available at the development or precinct level the applicant must use other verifiable, reliable and objective data.

(e) To the extent that the applicant's community's Consolidated Plan identifies the level of the problem and the urgency in meeting the need, references to the Consolidated Plan should be included in the response. The Department will review more favorably those applicants who used the Consolidated Plan to identify need, when applicable.

Rating Factor 3: Soundness of Approach (Quality of the Plan) (35 Points)

This factor addresses the quality and effectiveness of the applicant's proposed work plan. In rating this factor, HUD will consider the impact of the activity; if there are tangible benefits that can be attained by the community and by the target population.

An application must include a detailed narrative describing each proposed activity for crime reduction and elimination efforts for each development proposed for assistance, the amount and extent of resources committed to each activity or service proposed, and process used to collect, maintain, analyze and report Part I and II crimes as defined by the Uniform Crime Reporting (UCR System), as well as police workload data. The process must include the collection of police workload data such as, but not limited to, all calls for service at the housing authority by individual development, pattern over a period of time, type of crime, and plans to improve data collection and reporting.

In evaluating this factor, HUD will consider the following:

(1) (15 Points) The quality of the applicant's plan to address the drug- related crime problem, and the problems associated with drug-related crime in the developments proposed for funding, the resources allocated, and how well the proposed activities fit with the plan.

(2) (10 Points for (2) and (3)) The anticipated effectiveness of the plan and proposed activities in reducing or eliminating drug-related crime problems immediately and over an extended period, including whether the proposed activities enhance and are coordinated with on going or proposed programs sponsored by HUD such as Neighborhood Networks, Campus of Learners, Computerized Community Connections, Operation Safe Home, "One Strike and You're Out," Department of Justice Weed and Seed Efforts, or any other prevention intervention treatment activities.

(3) The rational for the proposed activities and methods used including evidence that proposed activities have been effective in similar circumstances in controlling drug-related crime. Applicants that are proposing new methods for which there is limited knowledge of the effectiveness, should provide the basis for modifying past practices and rationale for why they believe the modification will yield more effective results.

(4) (10 Points for (4) and (5)) The process it will use to collect, maintain, analyze and report Part I and II crimes as defined by the Uniform Crime Reporting (UCR System), as well as police workload data. The applicant's proposed analysis of the data collected should include a method for assessing the impact of activities on the collected crime statistics on an on-going basis during the award period.

(5) Specific steps the applicant will take to share and coordinate information on solutions and outcomes with other law-enforcement and governmental agencies, and a description of any written agreements in place or that will be put in place.

(6) The extent to which the applicant's elimination of crime in a development or neighborhood will expand fair housing choice and will affirmatively further fair housing.

Rating Factor 4: Leveraging Resources (Support of Residents, the Local Government and the Community in Planning and Implementing the Proposed Activities) (10 Points)

This factor addresses the ability of the applicant to secure community and government resources, in-kind services from local governments, non-profit or for-profit entities, private organizations be combined with HUD's program resources to achieve program purposes. In assessing this factor, HUD will consider the following:

(1) Evidence of commitment of funding, staff, or in-kind resources, partnership agreements, and on-going or planned cooperative efforts with law enforcement agencies, memoranda of understanding, or agreements to participate. Such commitments must be signed by an official of the organization legally able to make commitments for the organization. This evidence of commitment must include organization name, resources, and responsibilities of each participant. This also includes interagency activities already undertaken, participation in local, state, Tribal or Federal anti-drug related crime efforts such as: education, training and employment provision components of Welfare Reform efforts, Operation Weed and Seed, Operation Safe Home, local law enforcement initiatives and/or successful coordination of its law enforcement, or other activities with local, state, Tribal or Federal law enforcement agencies.

In evaluating this factor, HUD will also consider the extent to which these initiatives are used to leverage resources for the housing authority community, and are part of the comprehensive plan and performance measures outlines in Rating Factor 3, Soundness of Approach - Quality of the Plan.

(2) An application must provide a description of the Neighborhood and the Assisted Housing Developments in the Neighborhood, and the extent to which the community organizations, and law enforcement agencies have had in planning the activities described in the application and what role they will have in carrying out such activities.

(3) The application must include a discussion of the extent to which community representatives and Tribal, local, State and Federal Government officials, including law enforcement agency officials were actively involved in the design and implementation of the applicant's plan and will continue to be involved in implementing such activities during and after the period of PHDEP funding.

(4) The application must demonstrate the extent to which the relevant governmental jurisdiction has met its local law enforcement obligations under the Cooperation Agreement with the applicant (as required by the grantees Annual Contributions Contract with HUD). The applicant must describe the current level of baseline local law enforcement services being provided to the housing authority/developments proposed for assistance.

Rating Factor 5: Comprehensiveness and Coordination (10 points)

This factor addresses the extent to which the applicant coordinated its activities with other known organizations, participants or promotes participation in a community's Consolidated Planning process, and is working towards addressing a need in a holistic and comprehensive manner through linkages with other activities in the community.

In evaluating this factor, HUD will consider the extent to which the applicant demonstrated it has:

(1) Coordinated its proposed activities with those of either groups of organizations prior to submission in order to best complement, support and coordinate all known activities and if funded, the specific steps it will take to share information on solutions and outcomes with others. Any written agreements, memoranda of understanding in place, or that will be in place after award should be described.

(2) Taken or will take specific steps to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities the applicant proposes.

(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:
(a) Other HUD-funded project/activities outside the scope of those covered by the Consolidated Plan; and

(b) Other Federal, State, or locally funded activities, including those proposed or on-going in the community.

IV. Application Submission Requirements.

V. Corrections to Deficient Applications.

Return to the 1998 Funds Available