ADDITIONAL INFORMATION:

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

(A) Authority. Section 561 of the Housing and Community Development Act of 1987 (42 U.S.C. 3616 note, established the Fair Housing Initiatives Program (FHIP)) and the implementing regulations are found at 24 CFR part 125.

(B) Purpose. The purpose of the FHIP is to assist projects and activities designed to enforce and enhance compliance with the Fair Housing Act and substantially equivalent State and local fair housing laws. Eligible applicants may apply to carry out private enforcement activities, educational activities and projects that establish or build the capacity of organizations to provide fair housing services.

(C) Amount Allocated. Of the funds appropriated for the Fair Housing Initiatives Program in FY 1998, approximately $11,500,000 is being made available on a competitive basis to eligible organizations that submit timely applications and are selected in response to this SuperNOFA.

(a) General Component. Of the $9,300,000, $7,800,000 is available for 24-month projects, with an award cap of $350,000. Recipients of FHIP PEI grants awarded based upon applications submitted under the FY 1997 NOFA--RFA-97-1, FY 1996 FHIP NOFA--RFA-96-1, and the FY 1995 FHIP NOFA--RFA-95-1, are ineligible to apply under the FY 1998 competition for multi-year PEI--General Component awards unless their above-referenced PEI award will expire by 3/31/99. Regardless of when their awards expire, those recipients are eligible to apply for PEI--Joint Enforcement Project Component awards, as well as FHOI and EOI awards.

(b) Joint Enforcement Project component. Of the $9,300,000, $1,500,000 is available for 18-month projects, with an award cap of $300,000, that promote partnerships between private fair housing enforcement organizations, FHAP agencies and/or traditional civil rights organizations to focus on systemic investigations of housing discrimination.

(a) Establishing New Organizations Component (ENOC). Of the FHOI total of $1,200,000, $400,000 is available for a 24-36 month project to fund the creation of a new fair housing enforcement organization in an underserved area, with an award cap of $400,000.

(b) Continued Development Component (CDC). HUD is reserving $800,000 of the $1,200,000 under the FHOI for 18-month projects, with an award cap of $200,000, to utilize the capacity of organizations to assist persons with disabilities in developing fair housing enforcement programs to address this protected class.

(D) Definitions. The definitions that apply to this FHIP section of the SuperNOFA are as follows:

(E) Ineligible Activities/Applications for all Components.

(F) Eligibility for Education and Outreach Initiative --Regional/Local/Community-Based Component.

(a) All projects must address or have relevance to housing discrimination based on race, color, religion, sex, disability, familial status, or national origin.

(b) All proposals must contain a description of how the activities or the final products of the projects can be used by other agencies and organizations and what modifications, if any, would be necessary for that purpose.

(c) Each non-governmental applicant for funding under the EOI Regional, Local and Community-Based Component that is located within the jurisdiction of a FHAP agency must provide, with its application, documentation (such as letters between the two organizations) that it has consulted with the agency or agencies to coordinate activities to be funded under the EOI. This coordination will minimize duplication and fragmentation of activities.

(G) Eligibility for Private Enforcement Initiative (PEI).

(a) Organizations that are eligible to receive FY 1998 funding assistance under the PEI are QFHOs and FHOs with at least one year of experience in complaint intake, complaint investigation, testing for fair housing violations, and enforcement of meritorious claims.

(b) Current recipients of FHIP PEI grants awarded based upon applications submitted under the FY 97, FY 96 and FY 95 NOFAs that will not expire by March 31, 1999 are ineligible to apply for multi-year PEI--General Component awards. However they are eligible to apply for PEI--Joint Enforcement Project Component awards, as well as FHOI and EOI awards.

(a) General Component projects. Project applications must include more than one type of activity and address more than one fair housing issue. All projects must include a description of and the estimated amount of projected enforcement referrals to HUD. Eligible activities may include, but are not limited to, the following:

(i) Conducting complaint intake of allegations of housing discrimination;

(ii) Conducting testing, evaluating testing results or providing other investigative support for administrative and judicial enforcement of fair housing laws;

(iii) Conducting preliminary investigations of individual and systemic housing discrimination for further enforcement processing by HUD;

(iv) Building the capacity to investigate, through testing and other investigative methods, housing discrimination complaints covering all protected classes;

(v) Conducting mediations or other voluntary resolutions of allegations of fair housing discrimination;

(vi) Providing funds for the costs and expenses of litigating fair housing cases, including expert witness fees.

(b) Joint Enforcement Project (JEP) Component Projects. The objective of the FHIP JEP project is that partnerships between private fair housing enforcement organizations, FHAP agencies and/or traditional civil rights organizations will focus on systemic investigations of housing discrimination. Grantee activities will result in either complaints being filed with HUD or in information being provided to HUD sufficient for the filing of Secretary-Initiated Complaints. Funding under this component is for investigative/enforcement activities producing outcomes/deliverables that are provided to HUD for determination of appropriate actions/use of data. These deliverables must meet or exceed the annual performance measures outlined in the application and agreed to in the executed grant agreement. It is anticipated that the majority of the project activities would be related to cases involving allegations of systemic discrimination as defined in 24 CFR 103.205.

Through frequent and regular contact with HUD, applicants will carry out activities to be performed in conjunction with a FHAP agency/agencies, private fair housing enforcement organization(s), and/or traditional civil rights organization(s), in order to achieve the objective outlined above. Project proposals must contain a strategy for achieving project deliverables, with related timelines and annual milestones. The activities to be performed to achieve project deliverables must include, but are not limited to:

(i) Sharing of data analyses for use in developing the investigations;

(ii) Conducting joint preliminary investigative activities through testing, review of property records, development of strategies, interviews, etc.;

(iii) Development of investigative materials for referral to HUD for action;

(iv) Regular meetings among organizations and with HUD to share information about potential violations for investigation based upon complaints, data, or other sources; and

(v) Regular contact with HUD to ensure project activities conform with planned deliverables and that deliverables meet grant agreement requirements.

All PEI-JEP applications must be submitted by a QFHO/FHO as the sole recipient, but must contain detailed letter(s) of commitment from all FHAP agencies and traditional civil rights organizations identified as part of the JEP. The project budget should include any costs related to subcontract(s) with FHAP agencies and traditional civil rights organizations which account for activities related to the subcontractor's role in the project. A separate detailed budget for each subcontract should be included in the application.

(a) Successful multi-year PEI projects will receive incremental funding during the life of the award subject to periodic performance reviews. Applications that request FHIP funding in excess of the award cap will be deemed ineligible.

(b) Neither the grantee nor any subcontractors are permitted to charge or claim credit for any activities performed under the JEP grant toward any other Federal project/funds. For example, FHAP agencies will not be able to count any cases/referrals arising under this project toward their FHAP case processing calculations.

(c) All applicants proposing to conduct testing must include as initial tasks in their Statement of Work that they will provide to HUD for review and approval the testing methodology to be used and the training to be provided to testers. These tasks, as well as any others identified during grant negotiations, must be completed and accepted by HUD prior to HUD's disbursement of FHIP funds.

(H) Eligibility for the Fair Housing Organizations Initiative (FHOI).

(a) Establishing New Organizations Component (ENOC). Eligible applicants for funding under this component of the FHOI are limited to QFHOs.

(b) Continued Development Component (CDC). The following organizations are eligible to receive funding under the FHOI--CDC: QFHOs; FHOs; and non-profit groups organizing to build their capacity to provide fair housing enforcement.

(a) Establishing New Organizations Component. Eligible for funding under this purpose of the FHOI are 24-36 month projects that help establish, organize and build the capacity of a fair housing enforcement organizations in underserved areas. "Underserved areas" is defined as areas which are currently underserved or not served by one or more fair housing enforcement organizations as well as those areas where large concentrations of protected classes exist. Applicants must provide a justification for the selection of the geographic jurisdiction to be served by the proposed new organization and describe how the jurisdiction is underserved by any existing public or private fair housing organizations, including FHAP agencies. Applications must propose the establishment of a new fair housing enforcement organization in an underserved area. Applicants must provide a justification for the selection of the geographic jurisdiction to be served by the proposed new organization and how the jurisdiction is underserved by any existing public or private fair housing organizations, including FHAP agencies. This justification must include data and studies that indicate the presence of housing discrimination, segregation, and new immigrant groups, and/or other indices of discrimination in the locality based upon race, color, religion, sex, national origin, familial status, or disability. Project applications must include more than one type of activity and address more than one fair housing issue. Additionally, all projects must include a basis for the specific activities relating to referral of enforcement proposals to HUD.

(b) Continued Development Component.
(i) Applications in this category are for 18-month projects that propose to expand eligible applicants' capacity to provide fair housing enforcement services that address the needs of persons with disabilities. Project applications must include more than one type of activity and address more than one fair housing issue. For purposes of this competition, "disability advocacy groups" are defined as organizations that traditionally have provided for the civil rights of persons with disabilities, including organizations such as Independent Living Centers and cross-disability legal services groups. These organizations must: be organized as a private, tax-exempt, non-profit, charitable organization; be established with a primary purpose to assist persons with a broad range of disabilities, including physical, cognitive and psychiatric/mental disabilities, in exercising or protecting their fair housing and/or other civil rights (persons with disabilities need not be the only class served by the organization and fair housing and/or civil rights protection need not be the only activity of the organization); and demonstrate actual involvement of persons with disabilities throughout their activities, including on staff and board levels. Recognizing the critical role that disability advocacy groups have addressing the unique needs of persons with disabilities, HUD is requiring that proposals follow one of the approaches described below:

(1) Disability advocacy groups may apply to carry out activities that will expand their organization's capacity to provide the full-range of fair housing enforcement services to its clientele; or

(2) Fair housing enforcement organizations may apply to expand their capacity to provide fair housing services to persons with disabilities, through the utilization of subcontract(s) with disability advocacy groups (preferably with groups located within the local jurisdiction to be served).

(ii) Eligible activities for funding under this purpose of the FHOI are any of the activities listed as eligible under the PEI in Section I(F)(2) of this FHIP section of the SuperNOFA, as long as they meet the focus on disability issues as outlined in Section I(F)(2)(b)(i) of this FHIP section of the SuperNOFA. Additionally, all projects must include a basis for the specific activities relating to enforcement proposal referrals to HUD and the projected number of enforcement proposal referrals to HUD.

(iii) Funding under the FHOI-CDC may not exceed more than 50 percent of the operating budget of the recipient organization for any one year. For purposes of the limitation of this paragraph, operating budget means the applicant's total planned budget expenditures from all sources, including the value of in-kind and monetary contributions, in the 18 months for which funding is sought.

II. Program Requirements.

(A) FHIP Specific Requirements.

(a) Have an economic interest in the outcome of the test, without prejudice to the right of any person or entity to recover damages for any cognizable injury;

(b) Be a relative of any party in a case;

(c) Have had any employment or other affiliation, within one year, with the person or organization to be tested; or

(d) Be a licensed competitor of the person or organization to be tested in the listing, rental, sale, or financing of real estate.

(b) All PEI and FHOI proposals must certify that an applicant which receives any compensation, directly or indirectly from a settlement, conciliation or award of damages as a result of activities funded under this SuperNOFA, will use such monies only to carry out activities eligible under the FHIP and specifically authorized by the grant agreement provision addressing the use of such funds. Such provision will be part of the cooperative/grant agreement. HUD reserves the right to negotiate with successful applicants provisions addressing potential conflicts of interest.

(B) General Requirements. The program requirements listed in the General Section of this SuperNOFA are applicable to applicants applying for FHIP funding under this SuperNOFA.

III. Application Selection Process.

(A) Rating and Ranking.

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

(a) The applicant's past experience in terms of its ability to attain demonstrated measurable progress in the implementation of its most recent activities where performance has been assessed as measured by expenditures and measurable progress in achieving the purpose of the activities. HUD will also consider any documented evidence of the grantee's failure under past awards to comply with grant award provisions; or

(b) If the FHIP applicant has not received funding in the past, the applicant's demonstrated experience in managing programs, and carrying out grant management responsibilities for programs similar in scope or nature directly relevant to the work activities proposed. If the applicant has managed large, complex, interdisciplinary programs, the applicant should include the information in the response.

Rating Factor 2: Need/Extent of the Problem (20 Points)

Rating Factor 3: Soundness of Approach (40 Points)

(a) Examples of enforcement proposals include:

(i) Allegations that are supported by evidence that meet the requirements for a filed complaint under the Fair Housing Act, including prima facie evidence, with or without related testing evidence;

(ii) Results of testing or audits demonstrating potential housing discrimination;

(iii) Well-developed analysis of data including Home Mortgage Disclosure Act (HMDA)/CRA Analysis/Census data, current] studies of residential segregation, or other similar documentation supporting allegations of discrimination; and

(iv) Referrals of complaints to HUD on behalf of individuals or groups other than the grant recipient.

(b) Specifically, the applicant should provide the following:
(i) All PEI and FHOI applications must provide a basis for the specific activities relating to enforcement proposal referrals to HUD and the projected number of enforcement referral proposals that are described in the Statement of Work. The final performance measures for enforcement proposal referrals will be negotiated between the grantee and HUD as part of the executed grant agreement and will be based upon the proposal.

(ii) All EOI applications must provide a basis for the specific activities relating to the referral of individuals with fair housing complaints to HUD, the procedures for filing complaints of discrimination, and outline the projected referrals to HUD and the projected number of enforcement referral proposals in the proposed Statement of Work. The final performance measures for complaint referrals will be negotiated between the grantee and HUD as part of the executed grant agreement and will be based upon the proposal.

(a) Meet the needs articulated in response to Factor 2 including the extent to which the applicant is providing geographic coverage, specific protected class focus, as well as serving persons traditionally underserved. Efforts to increase community awareness in a culturally sensitive manner through education and outreach efforts will also be evaluated;

(b) Provide clarity with regard to the specific, sequential tasks and subtasks to be performed, noting those which should occur simultaneously and the feasibility that tasks can be completed within the grant period;

(c) Describe immediate benefits of the project and indicators by which the benefits will be measured;

(d) Provide for proposed tasks and sub-tasks that clearly provide technically competent methodologies for conducting the work to be performed;

(e) Describe the extent to which the proposed design and size of project or activity is appropriate to the achievement of program funding purposes articulated for the FHIP section in this SuperNOFA; and

(f) Identify specific numbers of quantifiable end products and program improvements the applicant aims to deliver by the end of the award agreement period as a result of the work performed.

(g) The extent to which the project activities will affirmatively further fair housing (AFFH). The applicant can best demonstrate its commitment to affirmatively further fair housing by describing how proposed activities will assist the jurisdiction in overcoming impediments to fair housing choice identified in the jurisdiction's AI (Analysis of Impediments to Fair Housing Choice), which is a component of the jurisdiction's Consolidated Plan, or other planning document that addresses fair housing issues. Additional examples may be obtained from Chapter 5 of the "Fair Housing Planning Guide, Vol. 1" which may be ordered from HUD's Fair Housing Information Clearinghouse by calling (800) 343-3442.

(a) The quality, thoroughness and reasonableness of the cost estimates provided. As part of the applicant's response, a summary budget should be provided which identifies costs by cost category in accordance with the following:

(i) Direct Labor by position or individual, indicating the estimated hours per position, the rate per hour, estimated cost per staff position and the total estimated direct labor costs;

(ii) Fringe Benefits by staff position identifying the rate, the salary base the rate was computed on, estimated cost per position, and the total estimated fringe benefit cost;

(iii) Material Costs indicating the item, unit cost per item, the number of items to be purchased, estimated cost per item, and the total estimated material costs;

(iv) Transportation Costs, as applicable. Where local private vehicle is proposed to be used, costs should indicate the proposed number of miles, rate per mile of travel identified by item, and estimated total private vehicle costs. Where Air transportation is proposed, costs should identify the destination(s), number of trips per destination, estimated air fare and total estimated air transportation costs. If other transportation costs are listed, the applicant should identify the other method of transportation selected, the number of trips to be made and destination(s), the estimated cost, and the total estimated costs for other transportation costs. In addition, applicants should identify per diem or subsistence costs per travel day and the number of travel days included, the estimated costs for per diem/subsistence and the total estimated transportation costs;

(v) Equipment charges, if any. Equipment charges should identify the type of equipment, quantity, unit costs and total estimated equipment costs;

(vi) Consultant Costs, if applicable. Indicate the type, estimated number of consultant days, rate per day, total estimated consultant costs per consultant and total estimated costs for all consultants;

(vii) Subcontract Costs, if applicable. Indicate each individual subcontract and amount. Each proposed subcontract should include a separate budget which identifies costs by cost categories;

(viii) Other Direct Costs listed by item, quantity, unit cost, total for each item listed, and total direct costs for the award;

(ix) Indirect Costs should identify the type, approved indirect cost rate, base to which the rate applies and total indirect costs.

The submission should include

(b) The rationale used to determine costs and validation of fringe and indirect cost rates, if the applicant is not using an accepted, Federally negotiated indirect cost rate;

(c) The extent to which the program is cost effective in achieving the anticipated results of the proposed activities as well as in achieving significant community impact; and

(d) The extent to which the applicant demonstrates capability in handling financial resources with adequate financial control procedures and accounting procedures. In addition, considerations will include findings identified in their most recent audits, internal consistency in the application of numeric quantities, accuracy of mathematical calculations and other available information on financial management capability.

Rating Factor 4: Leveraging Resources (10 Points)

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

(a) Other HUD-funded projects/activities outside the scope of those covered by the Consolidated Plan; and

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

(C) Applicant Notification and Award Procedures.

(a) Notification. No information will be available to applicants during the period of HUD evaluation, approximately 90 days, except for notification in writing or by telephone to those applicants that are determined to be ineligible or that have technical deficiencies in their applications that may be corrected. Selectees will be announced by HUD upon completion of the evaluation process, subject to final negotiations and award.

(b) Negotiations. After HUD has ranked the applications and provided notifications to applicants whose scores are within the funding range, HUD will require that applicants in this group participate in negotiations to determine the specific terms of the cooperative or grant agreement. HUD will follow the negotiation procedures described in Section II(D) of the General Section of the SuperNOFA.

(c) Funding Instrument. HUD expects to award a cost reimbursable or fixed-price cooperative or grant agreement to each successful applicant. HUD reserves the right, however, to use the form of assistance agreement determined to be most appropriate after negotiation with the applicant.

(d) Adjustments to Grant Amounts. As provided in Section III(E) of the General Section of the SuperNOFA, HUD may approve an application for an amount lower than the amount requested, fund only portions of an application, withhold funds after approval, and/or require the grantee to comply with special conditions added to the grant agreement, in accordance with 24 CFR 84.14, the requirements of this NOFA, or where:

(i) HUD determines the amount requested for one or more eligible activities is unreasonable or unnecessary;

(ii) The applicant has proposed an ineligible activity in an otherwise eligible project;

(iii) Insufficient amounts remain in that funding round to fund the full amount requested in the application, and HUD determines that partial funding is a viable option; or

(iv) The applicant has demonstrated an inability to manage HUD grants, particularly FHIP grants.

(e) Performance Sanctions. A recipient failing to comply with the procedures set forth in its grant agreement will be liable for such sanctions as may be authorized by law, including repayment of improperly used funds, termination of further participation in the FHIP, and denial of further participation in programs of HUD or any Federal agency.

IV. Application Submission Requirements.

(A) Transmittal Letter. This letter identifies the NOFA, the program under the NOFA for which funds are requested, the specific FHIP Initiative and component under which the application is submitted, and the dollar amount requested for each program, and the applicant submitting the application.

(B) Narrative Statement. The narrative statement addresses the Factors for Award in Section III(B) of this FHIP section of the SuperNOFA. Your narrative response should be numbered in accordance with each factor for award identified under Section III(B) of this FHIP section of the SuperNOFA.

(C) Financial Management and Audit Information. Each applicant must submit a certification from an Independent Public Accountant or the cognizant government auditor, stating that the financial management system employed by the applicant meets proscribed standards for fund control and accountability required by: OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations; OMB Circular A-110 (as codified at 24 CFR part 84), Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and other Non-Profit Organizations; and/or OMB Circular A-102 (as codified at 24 CFR Part 85) Uniform Administrative Requirements for Grants and Cooperative Agreements to State, Local and Federally Recognized Indian Tribal Governments. This information should contain the name and telephone number of the Independent Auditor, cognizant Federal auditor, or other audit agency, as applicable.

V. Corrections to Deficient Applications

VI. Environmental Requirements.

Return to the 1998 Funds Available