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FY 1998 SuperNOFA 1
Fair Housing Initiatives Program
As Published in the Federal Register on March 31, 1998
PROGRAM DESCRIPTION: Approximately $11,500,000 of funding is available for the Fair Housing Initiatives Program (FHIP) from the $15,000,000 appropriation. The availability of the remaining $3.5 million will be announced under a separate NOFA. This program assists projects and activities designed to enforce and enhance compliance with the Fair Housing Act and substantially equivalent State and local fair housing laws. Under this competition, HUD will fund projects undertaken through the Private Enforcement Initiative (PEI), Education and Outreach Initiative (EOI), and Fair Housing Organizations Initiative (FHOI).
APPLICATION DUE DATE: Completed applications for all Initiatives/Components are due no later than 12:00 midnight, Eastern time on June 1, 1998 at HUD Headquarters. See the General Section of this SuperNOFA for specific procedures governing the form of application submission (e.g., mailed applications, express mail, overnight delivery, or hand carried).
ADDRESS FOR SUBMITTING APPLICATIONS: Completed applications (one original and two copies) should be submitted to: FHIP/FHAP Support Division, Fair Housing and Equal Opportunity, U.S. Department of Housing and Urban Development, 451 Seventh Street, SW, Room 5234, Washington, DC 20410. When submitting your application, please refer to FHIP and provide your name, mailing address (including zip code) and telephone number (including area code).
FOR APPLICATION KITS, FURTHER INFORMATION, AND TECHNICAL ASSISTANCE:
For Application Kits. For an application kit and supplemental information please call the HUD SuperNOFA Information Clearinghouse at 1-800-HUD-8929. Persons with hearing or speech impairments may call the Center's TTY at 1-800-483-2209. The application kit also will be available on the Internet at: http://www.HUD.gov. When requesting an application kit, please refer to FHIP, and provide your name, address (including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. For answers to your questions, you have several options. You may contact Ivy L. Davis, Director, FHIP/FHAP Support Division at 202-708-0800 (this is not a toll-free number), or persons who use a text telephone (TTY) may call 1-800-290-1617. You may also call the SuperNOFA Information Center at 1-800-HUD-8929. Persons with hearing or speech impairments may call the Center's TTY number at 1-800-483-2209.
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.
(1) In September 1997, HUD announced a "crackdown on housing discrimination" and pledged to double its enforcement actions. The projects funded under this NOFA are expected to contribute to the accomplishment of this goal and applications will be evaluated based upon their responsiveness to this objective in Rating Factor 3.
(2) As immigrants settle in the U.S., there is a concern that they may encounter actual or perceived discriminatory housing practices. As such, it is critical that fair housing efforts be directed to educating these individuals about their fair housing rights as well as ensuring that enforcement mechanisms address the specific type of discrimination they, in particular, encounter. Therefore, activities under this NOFA should be particularly focused on addressing both the fair housing educational and enforcement needs of these new immigrant groups, as well as other underserved populations. Applicants will be evaluated on this objective in Rating Factor2.
(3) Although almost ten years have passed since the enactment of the Fair Housing Act amendments affecting persons with disabilities, it appears that in many areas of the country, much of the covered housing still fails to comply with the Fair Housing Act requirements and persons with disabilities are still often discriminated against and are refused reasonable accommodations. HUD recognizes the critical role that disability advocacy groups have in addressing the unique needs of persons with disabilities. For this funding round, under the Fair Housing Organizations Initiative (FHOI)--Continued Development Component (CDC), applications must include the participation of disability advocacy organizations.
(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.
HUD retains the right to shift funds among the FHIP Initiatives and Components listed below, within statutorily prescribed limitations. The amounts included in this SuperNOFA are subject to change based on funds availability. The amount of FY 1998 funding available for the FHIP is divided among three Initiatives as follows:
(1) Education and Outreach Initiative (EOI). This SuperNOFA makes available $1,000,000 for EOI projects under the Regional, local, and community-based component. Under this component, 18-month projects, with an award cap of $100,000, will be funded that support regional, local and community-based education and outreach efforts. An additional $3,500,000 will be made available for projects which are national in scope through a separate NOFA.
(2) Private Enforcement Initiative (PEI). The amount of $9,300,000 is being used for the PEI for the following components:
- (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.
(3) Fair Housing Organizations Initiative (FHOI). The amount of $1,200,000 is available for the FHOI for single and multi-year projects, to be used for the establishment of a new fair housing enforcement organization and for supporting the fair housing enforcement capacity development of eligible organizations to address the fair housing needs of persons with disabilities, under the following two components.
- (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:
Fair Housing Assistance Program Agencies means State and local agencies funded by the Fair Housing Assistance Program (FHAP), as described in 24 CFR part 115.
Fair Housing Enforcement Organization (FHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.
Meritorious Claims means enforcement activities by an organization as defined in 24 CFR 125.103.
Qualified Fair Housing Enforcement Organization (QFHO) means an organization engaged in fair housing activities as defined in 24 CFR 125.103.
Regional/Local/Community-Based Activities are defined at 24 CFR 125.301(d).
(E) Ineligible Activities/Applications for all Components.
(1) Fair Housing and Free Speech. None of the amounts made available under this NOFA may be used to investigate or prosecute under the Fair Housing Act any otherwise lawful activity engaged in by one or more persons, including the filing or maintaining of a nonfrivolous legal action, that is engaged in solely for the purpose of achieving or preventing action by a government official or entity, or a court of competent jurisdiction.
(2) Research Activities. Projects to be aimed solely or primarily at research or dependent upon such data-gathering, including but not limited to surveys and questionnaires, are not eligible for funding under this NOFA.
(3) Award Caps. In order to maximize the number of grants awarded and to allow HUD to fairly assess the quality of an applicant's proposed program, applications that request FHIP funding in excess of the award cap will be deemed ineligible.
(4) Litigation. In accordance with 24 CFR 125.104(f), no recipient of assistance under the FHIP may use any funds provided by HUD for the payment of expenses in connection with litigation against the United States.
(F) Eligibility for Education and Outreach Initiative --Regional/Local/Community-Based Component.
(1) Eligible Applicants. HUD particularly encourages the submission of applications from traditional civil rights organizations, which are defined as private non-profit organizations or institutions and/or private entities that are formulating or carrying out programs to prevent or eliminate discriminatory housing practices and which have a history and primary mission of engaging in programs designed to secure Federal civil rights protections for groups and individuals. The following organizations are eligible to receive funding under the EOI--Regional/Local/Community-Based Component: QFHOs; FHOs; public or private non-profit organizations or institutions and other public or private entities that are formulating or carrying out programs to prevent or eliminate discriminatory housing practices; State or local governments; and FHAP Agencies.
(2) Eligible Activities. All projects funded under this competition must be focused on addressing the fair housing needs of underserved populations and/or new immigrant populations in geographic areas to be specified in the grant application. EOI activities must be designed to increase the referral of fair housing complaints and other information to HUD and to educate the public about their fair housing rights and the procedures for filing complaints with HUD. The application must outline the referral process and projected referrals to HUD expected in the proposed Statement of Work. The final performance measures for deliverables will be negotiated between the grantee and HUD as part of the executed grant agreement and will be based upon the applicant's proposal.
Activities may include holding educational forums, duplication of existing fair housing materials for distribution throughout the project area, providing fair housing counseling services, conducting outreach and providing information on fair housing through printed and electronic media, developing or implementing Fair Housing Month activities, and informing persons with disabilities and/or their support organizations and service providers, housing providers, and the general public on the rights of persons with disabilities under the Fair Housing Act. Activities may not include the development of new fair housing materials except as a supplement to existing materials, but instead must use existing approved materials available locally or through the Fair Housing Information Clearinghouse.
(3) Additional Requirements. The following requirements are applicable to all applications under the EOI:
- (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).
(1) Eligible applicants.
- (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.
(2) Eligible Activities.
- (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.
(3) Other Provisions.
- (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).
(1) Eligible Applicants.
- (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.
(2) Eligible activities.
- (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.
(1) Through the Private Enforcement Initiative (PEI) and Fair Housing Organizations Initiative (FHOI) components of this SuperNOFA, HUD will fund only full service and broad-based fair housing enforcement projects that address discrimination against persons protected by the Fair Housing Act and contribute in measurable ways to HUD's commitment to double its enforcement actions. Enforcement projects must include more than one type of activity. Full-service projects must include more than one of the following enforcement-related activities: interviews with potential victims of discrimination, analysis of housing-related issues; complaint intake; testing; evaluation of testing results; preliminary investigation; mediation; enforcement of meritorious claims through litigation or referral to administrative enforcement agencies; and dissemination of information about fair housing laws. "Broad-based" means not limited to a single fair housing issue, but rather covering multiple issues related to discrimination in the provision of housing covered under the Fair Housing Act, such as: rental, sales and financing of housing.
(2) Applicants Limited to a Single Award. Applicants may apply for funding for more than one project or activity under one or more Initiatives. However, applicants are limited to one award under this FHIP section of the SuperNOFA. If more than one eligible application is submitted by an applicant and both are within funding range, HUD will select the application which the applicant has indicated as its preference for award should more than one application submitted be within funding range. One exception is for applicants that submit a successful application under the FHOI-ENOC, which is targeted at creating new fair housing enforcement organizations. In such cases, FHOI recipients will also be eligible to receive one additional award under either the EOI or PEI.
(3) Independence of Awards. There are no limits on the number of applications that can be submitted by a single applicant. However, each project or activity proposed in an application must be independent and capable of being implemented without reliance on the selection of other applications submitted by the applicant or other applicants. This provision does not preclude an applicant from submitting a proposal which includes other organizations as subcontractors to the proposed project or activity.
(4) Project Starting Period. HUD has determined that all applications must propose that the project will begin no later than October 1, 1998.
(5) Page Limitation. Applicants will be limited to 10 pages of narrative responses for each of the five selection criteria (this does not include forms or documents which are required under each criterion). Furthermore, unrequested items such as brochures and news articles, will not be considered in the evaluation process. Applicants that exceed the 10-page limit for each criterion will only have the first 10 pages evaluated for each criterion. Failure to provide narrative responses to all selection criteria will result in an applicant not receiving points for the information omitted. Failure to receive points for a factor may significantly impact an applicant's ability to receive an award.
(6) Training. All applications must include a training set-aside of $3,000 for single-year projects and $6,000 (total) for multi-year projects in all project budgets. HUD will permit grantees to use these funds to attend both HUD-sponsored and HUD-approved training.
(7) Payment Contingent on Completion. Payment to grantees will be contingent on the satisfactory completion of all project activities on an annual basis, including the successful achievement of tasks relating to enforcement proposals and/or complaint referrals to HUD.
(8) Mandatory Referrals. All PEI/FHOI recipients are required to refer to HUD all cases arising out of audit testing under FHIP grants.
(9) Accessibility Requirements. All activities and materials funded by FHIP must be reasonably accessible to persons with disabilities.
(10) Outreach Expenses. Applications may designate up to 5% of requested funds to conduct education and outreach to promote awareness of the services provided by the project, but such promotion must be necessary for the successful implementation of the project.
(11) Tester Requirements. Testers in testing activities funded with PEI and FHOI funds must not have prior felony convictions or convictions of crimes involving fraud or perjury, and they must receive training or be experienced in testing procedures and techniques. Testers and the organizations conducting tests, and the employees and agents of these organizations may not:
- (a) Have an economic interest in the outcome of the test, 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.
(12) Review and Approval of Testing Methodology. HUD reserves the right to require all applicants proposing to conduct testing to 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.
(13) Enforcement Log. Recipients of funds under the PEI and FHOI shall be required to record, in a case tracking log (or Fair Housing Enforcement Log) to be supplied by HUD, information appropriate to the funded project relating to the number of complaints of possible discrimination received; the protected basis of these complaints; the issue, test type, and number of tests utilized in the investigation of each allegation; the respondent type and testing results; the time for case processing, including administrative or judicial proceedings; the cost of testing activities and case processing; to whom the case was referred; and the resolution and type of relief sought and received. The recipient must agree to make this log available to HUD.
(14) Certifications. (a) All PEI and FHOI proposals must certify that the applicant will not solicit funds from or seek to provide fair housing educational or other services or products for compensation, directly or indirectly, to any person or organization which has been the subject of FHIP funded testing by the applicant during the 12 month period following the test. This does not preclude settlement based on investigative findings.
- (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.
(1) General. Each application for funding will be evaluated competitively under one of the five categories: PEI-General Component; PEI-Joint Enforcement Project Component; EOI-Regional, local and community-based component; FHOI-Establishing New Organizations Component; or FHOI-Continued Development Component. Then, in each category, they will be awarded points and assigned a score based on the Selection Criteria for Rating Applications for Assistance identified in Section III(B) of this FHIP section of the SuperNOFA. After eligible applications are evaluated against the factors for award and assigned a score, they will be organized by rank order. Awards for each category listed above will be funded in rank order until all available funds have been obligated, or until there are no acceptable applications, with the exception described in Section III(A)(2) and (3), immediately below, which is designed to achieve geographic distribution of awards and to achieve full service and broad-based fair housing enforcement projects. The final decision rests with the selecting official, the Assistant Secretary for Fair Housing and Equal Opportunity or her designee.
(2) Achieving Geographic Distribution of Awards. The Assistant Secretary, or designee, will have the discretion to make awards out of rank order and fund or not fund applications in order to provide broader geographic representation in accordance with the following procedure. For each Initiative and component, awards will be funded in rank order, except as follows: only the highest ranking application under any Initiative or component for activities to be conducted in a Metropolitan Statistical Area (MSA), as defined by the Bureau of the Census, will be selected. No other application proposing activities in the same MSA under the same Initiative or component will be selected, unless there are not enough applications of sufficient quality to permit the awarding of all funds in an Initiative or component. If the Assistant Secretary determines that there are not enough applications of sufficient quality in any Initiative or component, then the next highest ranked application(s) that had previously been passed over may be funded in the same MSA.
(3) Tie Breaking. When there is a tie in the overall total score, the award will be made to the applicant that has the higher score under Rating Factor 3 (Soundness of Approach). If these applications are equal in this respect, the application that receives a total higher number of points under Rating Factor 1 (Capacity of the Applicant and Relevant Organizational Experience) will receive the award. If these scores are identical then the award will be made to the applicant with the lower request for FHIP funding.
(B) Factors for Award Used to Evaluate and Rate Applications. The factors for rating and ranking applicants, and maximum points for each factor, are provided below. The maximum number of points to be awarded is 102. This includes two EZ/EC bonus points, as described in the General Section of the NOFA.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 Points)
The rating of the "applicant" or the "applicant's organization and staff" for technical merit will include any sub-contractors, consultants, sub-recipients, and members of consortia that are identified as participants in the project.
This factor addresses the extent to which the applicant has the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor HUD will consider the extent to which the proposal demonstrates:
(1) (10 points) The knowledge and experience of the proposed project director and staff, including the day-to-day program manager, consultants and contractors in planning and managing programs for which funding is being requested. Experience will be judged in terms of recent, relevant and successful experience of the applicant's staff to undertake eligible program activities. The applicant has sufficient personnel or will be able to quickly access qualified experts or professionals, to deliver the proposed activities in a timely and effective fashion, including the readiness and ability of the applicant to immediately begin the proposed work program. To demonstrate that the applicant has sufficient personnel, the applicant must submit the proposed number of staff years by the employees and experts to be allocated to the project, the titles and relevant professional background and experience of each employee and expert proposed to be assigned to the project, and the roles to be performed by each identified employee and expert.
(2) (10 points) for either (a) or (b):
- (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)
This factor addresses the extent to which there is a need for funding the proposed activities and an indication for the urgency of meeting the need in the target area. In responding to this factor, applicants will be evaluated on the Statement of Need, which addresses the following:
(1) (10 points) The extent to which applicants document a level of need for the project activities in the target area, including a focus on the targeted groups of new immigrant and other underserved populations, and the urgency in meeting the need using statistics and analyses contained in a data source(s) that is sound and reliable. To the extent that the applicant's community's Consolidated Plan and Analysis of Impediments to Fair Housing Choice (AI) identify the level of the problem and urgency in meeting the need, references to these documents should be included in the response. The Department will review more favorably those applicants who used these documents to identify need, when applicable. If the project activity is not covered under the scope of the AI, applicants should indicate such, and use other reliable data sources to identify the level of need and the urgency in meeting the need. Types of other data sources include, but are not limited to, HUD reports and analyses, relevant economic and/or demographic data including indices of segregation in areas by race or national origin, government or foundation reports and studies, news articles, and other information which relate to the project activities.
(2) (10 points) To the extent possible, is specific to the area where the project activity will be carried out. Specific attention must be paid to documenting need as it applies to the area where activities will be targeted, rather than the entire locality or State. If the target area is an entire locality or State, then documenting need at this level is appropriate. The Statement of Need must demonstrate how specific community or neighborhood needs can be resolved through the activities proposed. The applicant should discuss how it took into account existing and planned efforts of government agencies, community-based organizations, faith-based institutions, for-profit firms, and other entities to address such needs in the community(ies) to be served, how the proposed program compliments or supplements existing efforts and why additional funds are being requested.
Rating Factor 3: Soundness of Approach (40 Points)
This criterion addresses the quality and cost-effectiveness of the applicant's proposed work plan. There must be a clear relationship between the project activities, community needs and the purpose of the program funding for the applicant to receive points for this factor.
(1) (15 points) For all projects, applicants must describe how their project activities will result in the referral of enforcement proposals to HUD and projected number of enforcement proposal referrals expected. Specifically, the applicant must describe the project activities that specifically relate to complaints being referred to HUD during the period of performance of the grant. In responding to this factor, the applicant should describe the methods to be developed or used to identify and refer enforcement actions to HUD. Applicants to the extent that their past activities have resulted in successful enforcement proposals being referred to HUD should describe these actions and the outcome of such referrals. "Enforcement proposals" is defined as well-developed information which could be considered to be timely, jurisdictional, potential complaints under the Fair Housing Act and which can reasonably be expected to become an enforcement action if an impartial investigation finds evidence supporting the allegations and the case proceeds to a resolution with HUD involvement.
- (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.
(2) (15 points) Additionally, HUD is looking for efficient, effective and feasible Statements of Work that:
- (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.
(3) (10 points) HUD also will assess the soundness of the applicant's approach by assessing the following:
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure community resources (Note: financing is a community resource) which can be combined with HUD's program resources to achieve program purposes. In evaluating this factor HUD will consider:
(1) (5 points) The extent to which the applicant has partnered with other entities to secure additional resources to increase the effectiveness of the proposed project activities. Resources may include funding or in-kind contributions, such as services or equipment, allocated to the purpose(s) of the award the applicant is seeking. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to partner with the applicant. Applicants may also partner with other program funding recipients to coordinate the use of resources in the target area.
(2) (5 points) Applicants must provide evidence of leveraging partnerships by including in the application letters of firm commitments, memoranda of understanding, or agreements to participate from those entities identified as partners in the application. Each letter of commitment, memorandum of understanding, or agreement to participate should include the organization's name, proposed level of commitment and responsibilities as they relate to the proposed program. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization. Applicants for funding under the FHOI-Continued Development Component must describe efforts undertaken to obtain the participation of disability advocacy organizations and indicate the disability advocacy organizations that participated and describe their participation.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant coordinated its activities with other known organizations, participates or promotes participation in a community's Consolidated Planning (including Analysis of Impediments to Fair Housing Choice) 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 demonstrates it has:
(1) Coordinated its project activities with those of other groups or organizations prior to submission in order to best complement, support and coordinate all known activities and if funded, the specific steps 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 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.
In addition to the forms, certifications and assurances required in SectionII(G) of the General Section of the SuperNOFA and the applicant's responses to the five rating factors in Section III(B) of this FHIP section of the SuperNOFA, all applications must, at a minimum, contain the following items:
(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
The General Section of the SuperNOFA provides the procedures for corrections to deficient applications.
VI. Environmental Requirements.
In accordance with 24 CFR 50.19(b)(9) and (12) of HUD regulations, activities assisted under this program are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under related laws and authorities.
Return to the 1998 Funds Available
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