41822 Federal Register / Vol. 72, No. 146 / Tuesday, July 31, 2007 / Notices 

DEPARTMENT OF HOUSING AND 

URBAN DEVELOPMENT 

[Docket No. FR–5140–N–01] 

Supplement to the Fiscal Year (FY) 

2007 SuperNOFA for HUD’s 

Discretionary Programs: NOFA for the 

HOPE VI Revitalization Grants Program 

AGENCY: Office of the Secretary, HUD. 

ACTION: Notice of HUD’s Fiscal Year 

(FY) 2007 Notice of Funding 

Availability for HUD’s Discretionary 

Programs (SuperNOFA): HOPE VI 

Revitalization Grants Program. 

SUMMARY: On March 13, 2007, HUD 

published its FY2007 SuperNOFA for 

HUD’s Discretionary Programs, which 

contained 38 funding opportunities. 

Today’s publication supplements the 

SuperNOFA by adding funding 

opportunities for the HOPE VI 

Revitalization program. Although this 

NOFA was not included in the 

SuperNOFA announcement, this NOFA 

is governed by the information and 

instructions found in the Notice of 

HUD’s Fiscal Year 2007 Notice of 

Funding Availability Policy 

Requirements and General Section 

(General Section) to the SuperNOFA 

that HUD published on January 18, 

2007, the Introduction to the 

SuperNOFA published on March 13, 

2007; and the Supplementary 

Information and Technical Corrections 

published on May 11, 2007. 

FOR FURTHER INFORMATION CONTACT: 

Questions regarding specific program 

requirements should be directed to the 

agency contact identified in this 

program NOFA. Questions regarding the 

General Section of January 18, 2007 or 

the Introduction of March 13, 2007, 

should be directed to the Office of 

Departmental Grants Management and 

Oversight at (202) 708–0667 (this is not 

a toll-free number) or the NOFA 

Information Center at (800) HUD–8929 

(toll-free). Persons with hearing or 

speech impairments may access these 

numbers via TTY by calling the Federal 

Information Relay Service at (800) 877– 

8339. The NOFA Information Center is 

open between the hours of 10 a.m. and 

6:30 p.m. eastern time, Monday through 

Friday, except federal holidays. 

SUPPLEMENTARY INFORMATION: Through 

today’s publication, HUD is making 

available approximately $94.52 million 

in assistance through the FY2007 HOPE 

VI Revitalization Grants program. 

Today’s publication is in addition to the 

$2 billion previously made available 

through the FY2007 SuperNOFA. 

As is HUD’s practice in publishing the 

SuperNOFA, the NOFA published today 

provides the statutory and regulatory 

requirements, threshold requirements, 

and rating factors applicable to funding 

being made available today (through the 

HOPE VI Revitalization NOFA). 

Applicants for the HOPE VI NOFA must 

also refer to the January 18, 2007, 

General Section of the FY2007 

SuperNOFA; the March 13, 2007, 

SuperNOFA; and the May 11, 2007, 

Supplementary Information and 

Technical Corrections for important 

application information and 

requirements, including submission 

requirements, which have changed this 

year. 

In FY2007, HUD intends to continue 

to require its applicants to submit their 

applications electronically through 

http://www.grants.gov. If applicants 

have questions concerning the 

registration process, registration 

renewal, assigning a new Authorized 

Organization Representative, or have a 

question about a NOFA requirement, 

please contact HUD staff identified in 

this program NOFA. HUD staff cannot 

help you write your application, but can 

clarify requirements that are contained 

in the General Section to the 

SuperNOFA, this Notice, and in HUD’s 

registration materials. 

New applicants should note that they 

are required to complete a five-step 

registration process in order to submit 

their applications electronically. The 

General Section to the SuperNOFA 

included in the instructions download 

materials on Grants.gov provides a stepby-step explanation of the registration 

process, as well as where to find, on 

HUD’s Web site, materials prepared by 

HUD to help guide applicants through 

the registration and application 

submission process. 

Applications and Instructions are 

posted to Grants.gov as soon as HUD 

finalizes them. HUD encourages 

applicants to subscribe to the Grants.gov 

free notification service. By doing so, 

applicants will receive an e-mail 

notification as soon as items are posted 

to the Web site. The address to 

subscribe to this service is http:// 

www.grants.gov/search/email.do. By 

joining the notification service, if a 

modification is made to the NOFA, 

applicants will receive an e-mail 

notification that a change has been 

made. 

HUD encourages applicants to 

carefully read the General Section and 

program sections of the NOFA. 

Carefully following the directions 

provided can make the difference in a 

successful application submission. 

Dated: July 25, 2007. 

Orlando J. Cabrera, 

Assistant Secretary for Public and Indian 

Housing. 

Overview Information 

A. Federal Agency Name. Department 

of Housing and Urban Development, 

Office of Public and Indian Housing. 

B. Funding Opportunity Title. 

Revitalization of Severely Distressed 

Public Housing HOPE VI Revitalization 

Grants Fiscal Year 2007. 

C. Announcement Type. Initial 

announcement. 

D. Funding Opportunity Number. The 

Federal Register number for this NOFA 

is FR–5140–N–01. The OMB approval 

number for this program is: 2577–0208. 

E. Catalog of Federal Domestic 

Assistance (CFDA) Number. The CFDA 

number for this NOFA is 14–866, 

‘‘Demolition and Revitalization of 

Severely Distressed Public Housing 

(HOPE VI).’’ 

F. Dates. 

Application Deadline Date: The 

application deadline date is November 

7, 2007. Electronic applications must be 

received and validated by Grants.gov by 

11:59:59 p.m. eastern time on the 

deadline date. See HUD’s General 

Section to the SuperNOFA (FR–5100– 

N–01), published in the Federal 

Register on January 18, 2007, and 

Supplemental Information and 

Technical Corrections published on 

May 11, 2007, for application 

submission, faxing instructions, and 

timely receipt requirements. HUD will 

not accept an entire application 

submitted by fax. 

G. Additional Overview Content 

Information. 

1. Available Funds. This NOFA 

announces the availability of 

approximately $94.52 million in FY 

2007 funds for HOPE VI Revitalization 

Program grants. 

2. Proposed Rescission of Funds. The 

public is hereby notified that although 

this NOFA announces the availability of 

Fiscal Year (FY) 2007 HOPE VI Funds, 

the FY 2008 budget proposes the 

rescission of the FY 2007 HOPE VI 

Appropriation. Please note, therefore, 

that if Congress adopts this portion of 

the President’s budget, this NOFA may 

be cancelled at a later date and awards 

made under this NOFA may not 

ultimately be funded. 

3. The maximum amount of each 

grant award is $20 million. It is 

anticipated that four or five grant 

awards will be made. 

4. All non-troubled public housing 

authorities (PHAs) with severely 

distressed public housing are eligible to 

apply, subject to the requirements under 


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Section III of this NOFA. PHAs that 

manage only a Housing Choice Voucher 

(HCV) program, tribal PHAs, and 

tribally designated housing entities are 

not eligible. 

5. A match of at least 5 percent is 

required. 

6. Application materials may be 

obtained from http://www.grants.gov/ 

applicants/apply_for_grants.jsp. Any 

technical corrections will be published 

in the Federal Register and posted to 

Grants.gov. Frequently asked questions 

will be posted on HUD’s Web site at 

http://www.hud.gov/offices/adm/grants/ 

otherhud.cfm and http://www.hud.gov/ 

offices/pih/programs/ph/hope6/. 

7. General Section Reference. Section 

I, ‘‘Funding Opportunity Description,’’

of the General Section to the 

SuperNOFA for HUD’s Discretionary 

Programs (General Section), Docket No. 

FR–5100–N–01, published in the 

Federal Register on January 18, 2007, 

the Introduction to the SuperNOFA 

published in the Federal Register on 

March 13, 2007, and the Supplementary 

Information and Technical Corrections 

published in the Federal Register on 

May 11, 2007, are hereby incorporated 

by reference. 

Full Text of Announcement 

I. Funding Opportunity Description 

A. Program Description 

In accordance with Section 24(a) of 

the United States Housing Act of 1937 

(42 U.S.C. 1437v) (1937 Act), the 

purpose of HOPE VI Revitalization 

grants is to assist PHAs to: 

1. Improve the living environment for 

public housing residents of severely 

distressed public housing projects 

through the demolition, rehabilitation, 

reconfiguration, or replacement of 

obsolete public housing projects (or 

portions thereof); 

2. Revitalize sites (including 

remaining public housing dwelling 

units) on which such public housing 

projects are located and contribute to 

the improvement of the surrounding 

neighborhood; 

3. Provide housing that will avoid or 

decrease the concentration of very lowincome families; and 

4. Build sustainable communities. 

B. Authority 

1. The funding authority for HOPE VI 

Revitalization grants under this HOPE 

VI NOFA is provided by the Revised 

Continuing Appropriations Resolution, 

2007 (Pub. L. 110–5, approved February 

15, 2007) under the heading 

‘‘Revitalization of Severely Distressed 

Public Housing (HOPE VI).’’

2. The program authority for the 

HOPE VI program is Section 24 of the 

1937 Act, as amended by section 21045 

of the Revised Continuing 

Appropriations Resolution, 2007 (Pub. 

L. 110–5, approved February 15, 2007). 

C. Definitions 

1. Public Housing Project. A public 

housing project is a group of assisted 

housing units that has a single Project 

Number assigned by the Director of 

Public Housing of a HUD Field Office 

and has, or had (in the case of 

previously demolished units) housing 

units under an Annual Contributions 

Contract. 

2. Replacement Housing. Under this 

HOPE VI NOFA, a HOPE VI 

replacement housing unit shall be 

deemed to be any combination of public 

housing rental units, eligible 

homeownership units under Section 

24(d)(1)(J) of the 1937 Act, and HCV 

assistance that does not exceed the 

number of units demolished and 

disposed of at the targeted severely 

distressed public housing project. 

3. Severely Distressed. 

a. In accordance with Section 24(j)(2) 

of the 1937 Act, the term ‘‘severely 

distressed public housing’’ means a 

public housing project (or building in a 

project) that: 

(1) Requires major redesign, 

reconstruction, or redevelopment, or 

partial or total demolition, to correct 

serious deficiencies in the original 

design (including inappropriately high 

population density), deferred 

maintenance, physical deterioration or 

obsolescence of major systems, and 

other deficiencies in the physical plan 

of the project; 

(2) Is a significant contributing factor 

to the physical decline of, and 

disinvestment by public and private 

entities in, the surrounding 

neighborhood; 

(3)(a) Is occupied predominantly by 

families who are very low-income 

families with children, have 

unemployed members, and are 

dependent on various forms of public 

assistance; 

(b) Has high rates of vandalism and 

criminal activity (including drug-related 

criminal activity) in comparison to other 

housing in the area; or (c) is lacking in 

sufficient appropriate transportation, 

supportive services, economic 

opportunity, schools, civic and religious 

institutions, and public services, 

resulting in severe social distress in the 

project; 

(4) Cannot be revitalized through 

assistance under other programs, such 

as the Capital Fund and Operating Fund 

programs for public housing under the 

1937 Act, or the programs under 

sections 9 or 14 of the 1937 Act (as in 

effect before the effective date under 

section 503(a) of the Quality Housing 

and Work Responsibility Act of 1998 

(Pub. L. 105–276, approved October 21, 

1998)), because of cost constraints and 

inadequacy of available amounts; and 

(5) In the case of an individual 

building that currently forms a portion 

of the public housing project targeted by 

the application to this NOFA: 

(a) Is sufficiently separable from the 

remainder of the project of which the 

building is part, such that the 

revitalization of the building is feasible; 

or 

(b) Was part of the targeted public 

housing project that has been legally 

vacated or demolished, but for which 

HUD has not yet provided replacement 

housing assistance (other than tenantbased assistance). ‘‘Replacement 

housing assistance’’ is defined as funds 

that have been furnished by HUD to 

perform major rehabilitation on, or 

reconstruction of, the public housing 

units that have been legally vacated or 

demolished. 

b. A severely distressed project that 

has been legally vacated or demolished 

(but for which HUD has not yet 

provided replacement housing 

assistance, other than tenant-based 

assistance) must have met the definition 

of physical distress not later than the 

day the demolition application approval 

letter was dated by HUD. 

4. Targeted Project. The targeted 

project is the current public housing 

project that will be revitalized with 

funding from this NOFA. The targeted 

project may include more than one 

public housing project or be a part of a 

public housing project. See Section 

III.C.2 of this NOFA for eligibility of 

multiple public housing projects and 

separability of a part of a public housing 

project. 

5. Temporary Relocation. There are no 

provisions for ‘‘temporary relocation’’

under the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act of 1970 (URA). 

See Handbook 1378, Chapter 2, Section 

207 for temporary relocation protections 

provided under the URA regulations 

and HUD policy. The Handbook can be 

obtained through HUDClips at http:// 

www.hudclips.org/. 

6. Universal Design. Universal design 

is the design of products and 

environments to be usable by all people, 

to the greatest extent possible, without 

the need for adaptation or specialized 

design. The intent of universal design is 

to simplify life for everyone by making 

products, communications, and the 

built environment more usable by as 


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many people as possible at little or no 

extra cost. A universal design benefits 

people of all ages and abilities. 

Examples include designing wider 

doorways, installing levers instead of 

doorknobs, and putting bathtub/shower 

grab bars in all units. Computers and 

telephones can also be set up in ways 

that enable as many residents as 

possible to use them. The Department 

has a publication that contains a 

number of ideas about how the 

principles of Universal Design can 

benefit persons with disabilities. To 

order a copy of Strategies for Providing 

Accessibility and Visitability for HOPE 

VI and Mixed Finance Homeownership, 

go to the publications and resource page 

of the HOPE VI Web site at http:// 

www.huduser.org/publications/pubasst/ 

strategies.html. 

II. Award Information 

A. Availability of HOPE VI Funds 

1. Proposed Rescission of Funds. The 

public is hereby notified that although 

this NOFA announces the availability of 

FY 2007 HOPE VI Funds, the FY 2008 

budget proposes the rescission of the FY 

2007 HOPE VI Appropriation. Please 

note, therefore, that if Congress adopts 

this portion of the President’s budget, 

this NOFA may be cancelled at a later 

date and awards made under this NOFA 

may not ultimately be funded. 

2. Revitalization Grants. 

Approximately $94.52 million of the FY 

2007 HOPE VI appropriation has been 

allocated to fund HOPE VI 

Revitalization grants and will be 

awarded in accordance with this NOFA. 

There will be approximately four or five 

awards. 

3. Requested Amount. The maximum 

amount you may request in your 

application for grant award is limited to 

$20 million or the sum of the amounts 

in Section IV.E.3., whichever is lower. 

HCV assistance is in addition to this 

amount. 

4. Housing Choice Voucher (HCV) 

Assistance. Housing choice voucher 

(HCV) assistance is available from the 

tenant protection voucher fund to 

successful applicants that receive the 

Revitalization grant awards. The dollar 

amount of HCV assistance is in addition 

to the $20 million maximum award 

amount and will be based upon resident 

relocation needs. Applicants must 

prepare their HCV assistance 

applications for the targeted project in 

accordance with the requirements of 

Notice PIH 2007–10 (and any 

reinstatement of or successor to that 

Notice) and submit it in its entirety with 

the HOPE VI Revitalization Application. 

HUD will process the HCV assistance 

applications for funded HOPE VI 

applicants. If you are not funded by this 

NOFA, the HCV application will not be 

processed. For applicants who are 

granted a waiver to the electronic 

application process, the HCV request 

should be located with the Standard 

Forms and Certifications at the back of 

the application. The notice can be found 

on the Internet at http:// 

www.hudclips.org/cgi/index.cgi. 

5. Grant term. The period for 

completion of construction shall not 

exceed 54 months from the date the 

NOFA award is executed by HUD, as 

described in the grant agreement. See 

Section IV.E.1. for statutory time limits 

related to the grant and expenditure of 

funds. 

III. Eligibility Information 

A. Eligible Applicants 

1. Only PHAs that have severely 

distressed housing in their inventory 

and that are otherwise in conformance 

with the threshold requirements 

provided in Section III.C. of this NOFA 

are eligible to apply. 

2. HCV Programs Only, Tribal 

Housing Agencies, and Others. PHAs 

that administer only HCV/Section 8 

programs, tribal housing agencies and 

tribally designated housing entities, are 

not eligible to apply. Nonprofit 

organizations, for-profit organizations, 

and private citizens and entrepreneurs 

are not eligible to apply. 

3. Troubled Status. If HUD has 

designated your PHA as troubled 

pursuant to section 6(j)(2) of the 1937 

Act, HUD will use documents and 

information available to it to determine 

whether you qualify as an eligible 

applicant. In accordance with section 

24(j) of the 1937 Act, the term 

‘‘applicant’’ means: 

a. Any PHA that is not designated as 

‘‘troubled’’ pursuant to section 6(j)(2) of 

the 1937 Act; 

b. Any PHA for which a private 

housing management agent has been 

selected, or a receiver has been 

appointed, pursuant to section 6(j)(3) of 

the 1937 Act; and 

c. Any PHA that is designated as 

‘‘troubled’’ pursuant to section 6(j)(2) of 

the 1937 Act and that: 

(1) Is designated as troubled 

principally for reasons that will not 

affect its capacity to carry out a 

revitalization program; 

(2) Is making substantial progress 

toward eliminating the deficiencies of 

the agency that resulted in its troubled 

status; 

(3) Has not been found to be in 

noncompliance with fair housing or 

other civil rights requirements; or 

(4) Is otherwise determined by HUD 

to be capable of carrying out a 

revitalization program. 

B. Cost Sharing or Matching 

1. Match Requirements 

a. Revitalization Grant Match. HUD is 

required by the 1937 Act (42 U.S.C. 

1437v(c)(1)(A)) to include the 

requirement for matching funds for all 

HOPE VI-related grants. You are 

required to have in place a match in the 

amount of 5 percent of the requested 

grant amount in cash or in-kind 

donations. Applications that do not 

demonstrate the minimum 5 percent 

match will not be considered for 

funding. 

b. Additional Community and 

Supportive Services (CSS) Match. 

(1) In accordance with the 1937 Act 

(42 U.S.C. 1437v(c)(1)(B)), in addition to 

the 5 percent Revitalization grant match 

in section a above, you may be required 

to have in place a CSS match. Funds 

used for the Revitalization grant match 

cannot be used for the CSS match. 

(2) If you are selected for funding 

through this NOFA, you may use up to 

15 percent of your grant for CSS 

activities. However, if you propose to 

use more than 5 percent of your HOPE 

VI grant for CSS activities, you must 

have in place funds (cash or in-kind 

donations) from sources other than 

HOPE VI that match the amount 

between 5 and 15 percent of the grant 

that you will use for CSS activities. 

These resources do not need to be new 

commitments in order to be counted for 

match. 

c. No HOPE VI Funding in Match. In 

accordance with section 24(c) of the 

Act, for purposes of calculating the 

amount of matching funds required by 

Sections a and b above, you may NOT 

include amounts from HOPE VI program 

funding, including HOPE VI 

Revitalization, HOPE VI Demolition, 

HOPE VI Neighborhood Networks or 

HOPE VI Main Street grants. You may 

include funding from other public 

housing sources (e.g., Capital Funds, 

Resident Opportunities and SelfSufficiency (ROSS) funds), other federal 

sources, any state or local government 

source, and any private contributions. 

You may also include the value of 

donated material or buildings, the value 

of any lease on a building, the value of 

the time and services contributed by 

volunteers, and the value of any other 

in-kind services or administrative costs 

provided. 

d. For match documentation 

requirements, see section III.C.3.pp, 

Program Requirements that Apply to 

Match and Leverage. 


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C. Other 

1. Eligible Revitalization Activities. 

HOPE VI Revitalization grants may be 

used for activities to carry out 

revitalization programs for severely 

distressed public housing in accordance 

with Section 24(d) of the 1937 Act. 

Revitalization activities approved by 

HUD must be conducted in accordance 

with the requirements of this NOFA. 

The following is a list of eligible 

activities. 

a. Relocation. Relocation, including 

reasonable moving expenses, for 

residents displaced as a result of the 

revitalization of the project. See sections 

III.C.3. and V.A. of this NOFA for 

relocation requirements. 

b. Demolition. Demolition of dwelling 

units or non-dwelling facilities, in 

whole or in part, although demolition is 

not a required element of a HOPE VI 

revitalization plan. 

c. Disposition. Disposition of a 

severely distressed public housing site, 

by sale or lease, in whole or in part, in 

accordance with section 18 of the 1937 

Act and implementing regulations at 24 

CFR part 970. A lease of one year or 

longer that is not incident to the normal 

operation of a project is considered a 

disposition that is subject to section 18 

of the 1937 Act. 

d. Rehabilitation and Physical 

Improvement. Rehabilitation and 

physical improvement of: 

(1) Public housing; and 

(2) Community facilities, provided 

that the community facilities are 

primarily intended to facilitate the 

delivery of community and supportive 

services for residents of the public 

housing project and residents of off-site 

replacement housing, in accordance 

with 24 CFR 968.112(b), (d), (e), and (g)–

(o), and 24 CFR 968.130 and 968.135(b) 

and (d) or successor regulations, as 

applicable. 

e. Development. Development of: 

(1) Public housing replacement units; 

and 

(2) Other units (e.g., market-rate 

units), provided a need exists for such 

units and such development is 

performed with non-public housing 

funds. 

f. Homeownership Activities. 

Assistance involving the rehabilitation 

and development of homeownership 

units. Assistance may include: 

(1) Down payment or closing cost 

assistance; 

(2) Hard or soft second mortgages; or 

(3) Construction or permanent 

financing for new construction, 

acquisition, or rehabilitation costs 

related to homeownership replacement 

units. 

g. Acquisition. Acquisition of: 

(1) Rental units and homeownership 

units; 

(2) Land for the development of offsite replacement units and community 

facilities (provided that the community 

facilities are primarily intended to 

facilitate the delivery of community and 

supportive services for residents of the 

public housing project and residents of 

off-site replacement housing); 

(3) Land for economic developmentrelated activities, provided that such 

acquisition is performed with nonpublic housing funds. 

h. Management Improvements. 

Necessary management improvements, 

including transitional security activities. 

i. Administration, Planning, Etc. 

Administration, planning, technical 

assistance, and other activities 

(including architectural and engineering 

work, program management, and 

reasonable legal fees) that are related to 

the implementation of the revitalization 

plan, as approved by HUD. See Cost 

Control Standards in Section III.C.3.v. of 

this NOFA. 

j. Community and Supportive 

Services (CSS). 

(1) The CSS component of the HOPE 

VI program encompasses all activities 

that are designed to promote upward 

mobility, self-sufficiency, and improved 

quality of life for the residents of the 

public housing project involved. 

(2) CSS activities. CSS activities may 

include, but are not limited to: 

(a) Educational activities that promote 

learning and serve as the foundation for 

young people from infancy through high 

school graduation, helping them to 

succeed in academia and the 

professional world. Such activities, 

which include after-school programs, 

mentoring, and tutoring, must be 

created with strong partnerships with 

public and private educational 

institutions. 

(b) Adult educational activities, 

including remedial education, literacy 

training, tutoring for completion of 

secondary or postsecondary education, 

assistance in the attainment of 

certificates of high school equivalency, 

and English as a Second Language 

courses, as needed. 

(c) Readiness and retention activities, 

which frequently are key to securing 

private sector commitments to provide 

jobs. 

(d) Employment training activities 

that include results-based job training, 

preparation, counseling, development, 

placement, and follow-up assistance 

after job placement. 

(e) Programs that provide entry-level, 

registered apprenticeships in 

construction, construction-related, 

maintenance, or other related activities. 

A registered apprenticeship program is 

one that has been registered with either 

a State Apprenticeship Agency 

recognized by the Department of Labor’s 

(DOL) Office of Apprenticeship 

Training, Employer and Labor Services 

(OATELS) or, if there is no recognized 

state agency, by OATELS. See also DOL 

regulations at 29 CFR part 29. 

(f) Training on topics such as 

parenting skills, consumer education, 

family budgeting, and credit 

management. 

(g) Homeownership counseling that is 

scheduled to begin promptly after grant 

award so that, to the maximum extent 

possible, qualified residents will be 

ready to purchase new homeownership 

units when they are completed. The 

Family Self-Sufficiency program can 

also be used to promote 

homeownership, providing assistance 

with escrow accounts and counseling. 

(h) Coordinating with health care 

providers or providing on-site space for 

health clinics, doctors, wellness centers, 

dentists, etc., that will primarily serve 

the public housing residents. HOPE VI 

funds may not be used to provide direct 

medical care to residents. 

(i) Substance and alcohol abuse 

treatment and counseling. 

(j) Activities that address domestic 

violence treatment and prevention. 

(k) Child care services that provide 

sufficient hours of operation to facilitate 

parental access to education and job 

opportunities, serve appropriate age 

groups, and stimulate children to learn. 

(l) Transportation, as necessary, to 

enable all family members to participate 

in available CSS activities and to 

commute to their places of employment. 

(m) Entrepreneurship training and 

mentoring, with the goal of establishing 

resident-owned businesses. 

k. Leveraging. Leveraging other 

resources, including additional housing 

resources, supportive services, job 

creation, and other economic 

development uses on or near the project 

that will benefit future residents of the 

site. 

2. Threshold Requirements. 

Applications must meet all threshold 

requirements in order to be rated and 

ranked. If an application does not meet 

all threshold requirements, HUD will 

not consider the application as eligible 

for funding and will not rate and rank 

it. HUD will screen for technical 

deficiencies and administer a cure 

period. The subsection entitled, 

‘‘Corrections to Deficient Applications,’’

in section V.B. of the General Section is 

incorporated by reference and applies to 

this NOFA. The thresholds listed below 

can be cured for technical deficiencies, 


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except for those indicated as noncurable. If an applicant does not cure all 

its technical deficiencies that relate to 

threshold requirements within the cure 

period, HUD will consider the 

threshold(s) in question to be failed, 

will not consider the application as 

eligible for funding, and will not rate 

and rank it. Applicants MUST review 

and follow documentation requirements 

provided in this Thresholds 

Requirements Section and the Program 

Requirements of Section III.C.3. A false 

statement (or certification) in an 

application is grounds for denial or 

termination of an award and grounds for 

possible prosecution as provided in 18 

U.S.C. 1001, 1010, and 1012, and 32 

U.S.C. 3729 and 3802. Required forms, 

certifications and assurances must be 

included in the HOPE VI application 

and will be available on the Internet at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. 

a. Curable Thresholds. The following 

thresholds may be cured in accordance 

with the criteria above. Examples of 

curable (correctable) technical 

deficiencies include, but are not limited 

to, inconsistencies in the funding 

request, failure to submit the proper 

certifications (e.g., form HUD–2880), 

and failure to submit a signature and/or 

date of signature on a certification. 

(1) Severe Distress of Targeted Project. 

The targeted public housing project 

must be severely distressed. See section 

I.C. of this NOFA for the definition of 

‘‘severely distressed.’’ If the targeted 

project is not severely distressed, your 

application will not be considered for 

funding. Applicants must use the severe 

distress certification form provided with 

this NOFA and place it in their 

attachments. The certification must be 

signed by an engineer or architect 

licensed by a state licensing board. The 

license does not need to have been 

issued in the same state as the severely 

distressed project. The engineer or 

architect must include his or her license 

number and state of registration on the 

certification. The engineer or architect 

may not be an employee of the housing 

authority or the city. See Section 

IV.B.3.c. of the General Section for 

information on submitting third party 

documents. 

(2) Site Control. If you propose to 

develop off-site housing in ANY phase 

of your proposed revitalization plan, 

you MUST provide evidence in your 

application that you (not your 

developer) have site control of EVERY 

property. If you propose to develop offsite housing and you do not provide 

acceptable evidence of site control, your 

ENTIRE application will be disqualified 

from further consideration for funding. 

(a) Site control documentation may 

only be contingent upon: 

(i) The receipt of the HOPE VI grant; 

(ii) Satisfactory compliance with the 

environmental review requirements of 

this NOFA; 

(iii) The site and neighborhood 

standards in section III.C.3. of this 

NOFA; and 

(iv) Standard underwriting 

procedures. 

(b) If you demonstrate site control 

through an option to purchase, the 

option must extend for at least 180 days 

after the application deadline date. 

(c) Evidence may include an option to 

purchase the property, a sales 

agreement, a land swap, or a deed. 

Evidence may NOT include a letter from 

the mayor or other official, letters of 

support from members of the relevant 

municipal entities, or a resolution 

evidencing the PHA’s intent to exercise 

its power of eminent domain. 

(d) If one or more of your off-site 

parcels is a public housing property, 

you still must provide evidence of site 

control for those properties. 

(e) You must include documented 

evidence of site control in your 

attachments. 

(f) You must include a cover sheet 

with your documented evidence of site 

control in the Attachments section. This 

cover sheet must provide a table that 

matches the off-site parcels proposed in 

your application for housing 

development to the corresponding 

documented evidence of site control for 

those parcels. Specifically, this table 

should provide in one column the name 

of each parcel, as identified in your 

application. A second column should 

contain the name of the documented 

evidence corresponding to each parcel. 

A third column should provide the 

location of the documented evidence in 

the attachment (page number, etc.) and 

any other necessary detail about the 

evidence. If more than one unit will be 

built on a parcel, this must be identified 

as well in the table. The purpose of this 

table is to aid reviewers’ ability to 

determine whether your application 

complies with this threshold. 

Accordingly, applicants should provide 

site control information as clearly and 

consistently as possible. 

(3) Land Use. Your application must 

include a certification from the 

appropriate local official (not the 

Executive Director) documenting that all 

required land use approvals for 

developed and undeveloped land have 

been secured for any off-site housing 

and other proposed uses, or that the 

request for such approval(s) is on the 

agenda for the next meeting of the 

appropriate authority in charge of land 

use. In the case of the latter, the 

certification must include the date of 

the meeting. You must include this 

certification in your attachments. 

(4) Selection of Developer. You must 

assure that: 

(a) You have initiated a request for 

quotation (RFQ) by the application 

deadline date for the competitive 

procurement of a developer for your 

first phase of construction, in 

accordance with 24 CFR 85.36 and 24 

CFR 941.602(d) (as applicable). If you 

change developers after you are selected 

for funding, HUD reserves the right to 

rescind the grant; or 

(b) You will act as your own 

developer for the proposed project. If 

you change your plan and procure an 

outside developer after you are selected 

for funding, HUD reserves the right to 

rescind the grant. 

(c) You must demonstrate compliance 

with this threshold through completion 

and inclusion of the Assurances for 

HOPE VI Application document. 

(5) Relocation Plan Assurance. 

(a) If you have not yet relocated 

residents, you must assure that: 

(i) A HOPE VI Relocation Plan was 

completed as of the application 

deadline date. To learn more about 

HOPE VI Relocation Plans, applicants 

may review Handbook 1378 and Notice 

CPD 02–08, ‘‘Guidance on the 

Application of the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act of 1970 (URA), 

as Amended, in HOPE VI Projects’’ and 

Notice 04–02, ‘‘Revision to Notice CPD 

02–08, Guidance on the Application of 

the Uniform Relocation Assistance and 

Real Property Acquisition Policies Act 

of 1970 (URA), as Amended, in HOPE 

VI Projects;’’

(ii) That it conforms to the Uniform 

Relocation Assistance and Real Property 

Acquisition Policies Act of 1970 (URA) 

requirements; and 

(iii) That it implements HOPE VI 

relocation goals, as described in section 

V.A.6. of this NOFA. This means your 

plan must describe how the HOPE VI 

Relocation Plan incorporates the HOPE 

VI relocation goals contained in section 

V.A.6. 

(b) If relocation was completed (i.e., 

the targeted public housing site is 

vacant) as of the application deadline 

date, rather than certifying that the 

HOPE VI Relocation Plan has been 

completed, you must assure that the 

relocation was completed in accordance 

with URA and/or section 18 

requirements (depending on which of 

these requirements applied to the 

demolition in question). 

(c) You must demonstrate compliance 

with this threshold through completion 


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and inclusion of the Assurances for 

HOPE VI Application document. 

(6) Resident Involvement in the 

Revitalization Program Assurance. You 

must assure that you have involved 

affected public housing residents at the 

beginning and during the planning 

process for the revitalization program, 

prior to submission of your application. 

If you have not included affected 

residents in the planning process, your 

application will not be considered for 

funding. You MUST follow the resident 

involvement requirements listed in the 

Program Requirements section, section 

III.C.3. of this NOFA. You must 

demonstrate compliance with this 

threshold through completion and 

inclusion of the Assurances for HOPE VI 

Application document. 

(7) Standard Forms and Certifications. 

The last part of your application will be 

comprised of standard certifications 

common to many HUD programs. For 

the HOPE VI application, the required 

standard forms and certifications are 

located in Section IV.B. of this NOFA. 

(8) HOPE VI Revitalization Applicant 

Certifications. You must include in your 

application a certification from the 

Chairman of your Board of 

Commissioners to the requirements 

listed in the HOPE VI Revitalization 

Applicant Certifications. You must 

include this certification in your 

attachments. 

(9) Capital Fund Financing Program 

(CFFP). This threshold applies to any 

PHA with an approved CFFP proposal 

or CFFP proposal submitted and under 

review by HUD before the 

announcement of FY 2007 HOPE VI 

Revitalization grant awards. As the 

pledges of Capital Funds are general in 

nature and not project-specific, this 

threshold applies to all CFFP proposals 

approved or submitted and under 

review by HUD for the PHA’s public 

housing portfolio, not just the public 

housing site targeted by this HOPE VI 

application. HOPE VI Revitalization 

applications may not be from PHAs that 

have CFFPs approved or in process, 

unless: 

(a) The PHA includes in the 

application an opinion from its legal 

counsel that the activities proposed 

under the HOPE VI Revitalization 

application are permitted under the 

financing documents, or to the extent 

required, any approvals required under 

the financing documents have been 

obtained; and 

(b) The PHA certifies that, to the 

extent HUD determines that the Capital 

Fund projections in its CFFP Proposal 

did not accurately or completely 

incorporate the reduction in public 

housing units that would be caused by 

the HOPE VI activity, if it receives the 

HOPE VI Revitalization grant, and prior 

to undertaking the HOPE VI activity, it 

will use Capital Funds, or other eligible 

funds to defease, redeem, or otherwise 

prepay the CFFP financing. This 

prepayment must be sufficient to 

maintain the same debt coverage ratio in 

the year immediately following any 

reduction in annual contribution 

contract (ACC) Units related to the 

HOPE VI grant (based on the thencurrent year’s capital fund allocation, 

but giving effect to the change in ACC 

Units in a manner acceptable to HUD) 

as existed prior to any reductions 

occurring as a result of the HOPE VI 

Revitalization grant. This certification 

may be provided in the form of a letter 

from the Executive Director. 

(c) HUD will consult internal CFFP 

records to verify which applicants have 

pending or approved CFFP proposals. 

b. Non-Curable Thresholds. The 

following thresholds may NOT be cured 

in accordance with the criteria 

referenced in III.C.2. above. 

(1) Number of Applications. Each 

applicant may submit a maximum of 

two HOPE VI Revitalization 

applications, in accordance with the 

criteria of this NOFA. If an applicant 

submits two applications, each 

application must target a different 

severely distressed public housing 

project, in accordance with the 

Contiguous, Single, and Scattered-Site 

Projects threshold requirement below. If 

HUD receives multiple applications 

electronically, HUD will rate and rank 

the last application for each severely 

distressed public housing development 

received and validated by Grants.gov by 

the application deadline. All other 

applications will not be considered 

eligible. In submitting multiple 

applications, applicants should provide 

the project name so that HUD’s system 

can distinguish one application from 

another submitted by the same 

organization. If applicants find after 

submitting an application that they 

want to amend or adjust their 

application and it is prior to the 

deadline date, applicants should be 

aware that they must resubmit the entire 

application, including all fax 

transmissions previously sent, to ensure 

that HUD gets a complete application. 

HUD also recommends that fax 

transmissions associated to resubmitted 

applications be sent following 

validation by Grants.gov using the fax 

transmittal cover sheet (form HUD–

96011) associated to the application. 

Submitting the fax transmittal after 

validation will ensure that your faxes 

will be associated to the most recent 

application and not a previously 

submitted application. HUD’s system 

matches faxes as they come into the 

system and if a previous application 

exists prior to the new application 

arriving, the fax will be associated to the 

application already in HUD’s system. 

HUD cannot re-associate faxes once they 

have been attached to an application. 

(a) HUD will not consider 

applications sent entirely by facsimile 

(See the General Section). 

(b) HUD will not accept for review or 

evaluation any videos submitted as part 

of the application or appendices. 

(c) HUD will not consider any 

application that does not meet the 

timely submission requirements for 

electronic submission, in accordance 

with the criteria of the General Section. 

(2) Appropriateness of Proposal. In 

accordance with section 24(e)(1) of the 

1937 Act, each application must 

demonstrate the appropriateness of the 

proposal (revitalization plan) in the 

context of the local housing market 

relative to other alternatives. You must 

discuss other possible alternatives in the 

local housing market and explain why 

the housing envisioned in the 

application is more appropriate. This is 

a statutory requirement and an 

application threshold. If you do not 

demonstrate the appropriateness of the 

proposal (revitalization plan) in the 

context of the local housing market 

relative to other alternatives, your 

application will not be considered for 

funding. Applicants must demonstrate 

compliance with this threshold in their 

narrative. Examples of alternative 

proposals may include: 

(a) Rebuilding or rehabilitating an 

existing project or units at an off-site 

location that is in an isolated, nonresidential, or otherwise inappropriate 

area; 

(b) Proposing a range of incomes, 

housing types (rental, homeownership, 

market-rate, public housing, townhouse, 

detached house, etc.), or costs that 

cannot be supported by a market 

analysis; or 

(c) Proposing to use the land in a 

manner that is contrary to the goals of 

your PHA. 

(3) Contiguous, Single, and ScatteredSite Projects. Except as provided in 

sections (a) and (b) below, each 

application must target one severely 

distressed public housing project. The 

public housing project(s) may already be 

vacated and/or demolished but may not 

be disposed of, as of the application 

deadline date. You must provide a city 

map at a scale sufficient to illustrate the 

current targeted site(s), whether 

contiguous, single, or scattered-site 

projects. 


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(a) Contiguous Projects. Each 

application may request funds for more 

than one project if those projects are 

immediately (i) adjacent to one another 

or (ii) within a quarter-mile of each 

other. If you include more than one 

project in your application, you must 

provide a map that clearly indicates that 

the projects are either adjacent or within 

a quarter-mile of each other. If HUD 

determines that they are not, your 

application will not be considered for 

funding. 

(b) Scattered Site Projects. Your 

application may request funds to 

revitalize a scattered site public housing 

project. The sites targeted in an 

application proposing to revitalize 

scattered sites (regardless of whether the 

scattered sites are under multiple 

project numbers) must fall within an 

area with a one-mile radius. You may 

identify a larger site if you can show 

that all of the targeted scattered site 

units are located within the hard edges 

(e.g., major highways, railroad tracks, 

lakeshore, etc.) of a neighborhood. If 

you propose to revitalize a project that 

extends beyond a one-mile radius or is 

otherwise beyond the hard edges of a 

neighborhood, your application will not 

be considered for funding. If you 

propose to revitalize a scattered site 

public housing project, you must 

provide a map that clearly indicates that 

the projects fall within an area with a 

one-mile radius or, if larger, are located 

within the hard edges (e.g., major 

highways, railroad tracks, lakeshore, 

etc.) of a neighborhood. 

(4) Sites Previously Funded. 

(a) You may submit a Revitalization 

application that targets part of a project 

that is being, or has been, revitalized or 

replaced under a HOPE VI 

Revitalization grant awarded in 

previous years. You may not apply for 

new HOPE VI Revitalization funds for 

units in that project that were funded by 

the existing HOPE VI Revitalization 

grant, even if those funds are inadequate 

to pay the costs to revitalize or replace 

all of the targeted units. For example, if 

a project has 700 units and you were 

awarded a HOPE VI Revitalization grant 

or other HUD public housing funds to 

address 300 of those units, you may 

submit an FY 2007 HOPE VI 

Revitalization application to revitalize 

the remaining 400 units. You may not 

apply for funds to supplement work on 

the original 300 units. If you request 

funds to revitalize/replace the units not 

funded by the previous HOPE VI 

Revitalization grant, you must provide a 

listing of which units were funded by 

the previous grant and which units are 

being proposed for funding under the 

current grant application. You must 

demonstrate compliance with this 

threshold in your narrative (including as 

listed above, as relevant). If you request 

funds to revitalize units or buildings 

that have been funded by an existing 

HOPE VI Revitalization grant, your 

application will not be considered for 

funding. 

(b) You may not request HOPE VI 

Revitalization grant funds for units 

currently under construction, in 

accordance with the section IV(E), 

Funding Restrictions. You must 

demonstrate compliance with this 

threshold in your narrative. 

(5) Separability. In accordance with 

section 24(j)(2)(A)(v) of the 1937 Act, if 

you propose to target only a portion of 

a project for revitalization, in your 

narrative you must: (1) Demonstrate to 

HUD’s satisfaction that the severely 

distressed public housing is sufficiently 

separable from the remainder of the 

project, of which the building is a part, 

to make use of the building feasible for 

revitalization. Separations may include 

a road, berm, catch basin, or other 

recognized neighborhood distinction; 

and (2) Demonstrate that the site plan 

and building designs of the revitalized 

portion will provide defensible space 

for the occupants of the revitalized 

building(s) and that the properties that 

remain will not have a negative 

influence on the revitalized buildings(s), 

either physically or socially. You must 

demonstrate compliance with this 

threshold in your narrative. If you do 

not propose to target only a portion of 

a project for revitalization, you may 

indicate, ‘‘n/a,’’ for not applicable, in 

your narrative. 

(6) Desegregation Orders. You must be 

in full compliance with any 

desegregation or other court order, and 

with any voluntary compliance 

agreements related to Fair Housing (e.g., 

Title VI of the Civil Rights Act of 1964, 

the Fair Housing Act, and section 504 of 

the Rehabilitation Act of 1973) that 

affects your public housing program and 

that is in effect on the date of 

application submission. If you are not in 

full compliance, your application will 

be ineligible for funding. HUD will 

evaluate your compliance with this 

threshold. 

(7) Dun and Bradstreet Data Universal 

Numbering System (DUNS) Number 

Requirement. This threshold is hereby 

incorporated from the General Section 

(Section III.C.2.b.). All applicants 

seeking funding directly from HUD 

must obtain a DUNS number and 

include the number in its Application 

for Federal Assistance submission. 

Failure to provide a DUNS number will 

prevent you from obtaining an award, 

regardless of whether it is a new award 

or renewal of an existing award. 

Applicants should read the complete 

instructions in the General Section for 

completing the Grants.gov registration 

process. See the General Section for 

additional information regarding this 

requirement. 

(8) Compliance with Fair Housing and 

Civil Rights Laws. This threshold is 

hereby incorporated from the General 

Section (Section III.C.2.c.). 

(9) Delinquent Federal Debts. This 

threshold is hereby incorporated from 

the General Section (Section III.C.2.e). 

Applicants that at the time of award 

have federal debt or are in default of an 

agreement with the Internal Revenue 

Service (IRS) will not be funded. 

Applicants selected for funding have an 

obligation to report to HUD changes in 

status of a current IRS agreement 

covering federal debt. 

(10) Debarment and Suspension. This 

threshold is hereby incorporated from 

the General Section (Section III.C.2.j). 

(11) Default. Existing HOPE VI 

Revitalization Grantees that are in 

default of the HOPE VI Revitalization 

grant agreement as of the application 

deadline date are not eligible for 

funding under this NOFA. A grantee is 

in default if it has received a letter from 

HUD indicating its default status and 

has not resolved the issues to HUD’s 

satisfaction. 

3. Program Requirements. 

a. Demolition. 

(1) You may not carry out nor permit 

others to carry out the demolition of the 

targeted project or any portion of the 

project until HUD approves, in writing, 

one of the following ((a)–(c)), and until 

HUD has also: (i) Approved a Request 

for Release of Funds submitted in 

accordance with 24 CFR part 58, or (ii) 

if HUD performs an environmental 

review under 24 CFR part 50, has 

approved the property for demolition, in 

writing, following its environmental 

review: 

(a) Information regarding demolition 

in your HOPE VI Revitalization 

Application, along with Supplemental 

Submissions requested by HUD after the 

award of the grant. Section 24(g) of the 

1937 Act provides that severely 

distressed public housing that is 

demolished pursuant to a revitalization 

plan is not required to be approved 

through a demolition application under 

section 18 of the 1937 Act or regulations 

at 24 CFR part 970. If you do not receive 

a HOPE VI Revitalization grant, the 

information in your application will not 

be used to process a request for 

demolition; 

(b) A demolition application under 

section 18 of the 1937 Act. While a 

section 18 approval is not required for 


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HOPE VI related demolition, you will 

not have to wait for demolition approval 

through your supplemental 

submissions, as described in section (a) 

above; or 

(c) A section 202 Mandatory 

Conversion Plan, in compliance with 

regulations at 24 CFR part 971 and other 

applicable HUD requirements, if the 

project is subject to Mandatory 

Conversion (section 202 of the Omnibus 

Consolidated Rescissions and 

Appropriations Act of 1996, Pub. L. 

104–134, approved April 26, 1996). A 

Mandatory Conversion Plan concerns 

the removal of a public housing project 

from a PHA’s inventory. 

b. Development. 

(1) For any standard (non-mixed 

finance) public housing development 

activity (whether on-site reconstruction 

or off-site development), you must 

obtain HUD approval of a standard 

development proposal submitted under 

24 CFR part 941 (or successor part). 

(2) For mixed-finance housing 

development, you must obtain HUD 

approval of a mixed finance proposal, 

submitted under 24 CFR part 941, 

subpart F (or successor part and 

subpart). 

(3) For new construction of 

community facilities primarily intended 

to facilitate the delivery of community 

and supportive services for residents of 

the project and residents of off-site 

replacement housing, you must comply 

with 24 CFR part 941 (or successor 

part). Information required for this 

activity must be included in either a 

standard or mixed finance development 

proposal, as applicable. 

c. Disposition. 

(1) Disposition of a severely distressed 

public housing site, by sale or lease, in 

whole or in part, may be done in 

accordance with section 18 of the 1937 

Act and implementing regulations at 24 

CFR part 970. 

(2) The Grantee will comply with the 

provisions of section 18 of the 1937 Act, 

24 CFR part 970, as may be modified or 

amended from time to time, and the 

provisions of its approved disposition 

application (the approved ‘‘Disposition 

Application’’), unless otherwise 

modified in writing by HUD. The 

Grantee will also comply with 

procedures for processing dispositions 

associated with mixed-finance projects 

as set forth by HUD. 

(3) A lease of one year or more that 

is not incident to the normal operation 

of a development is considered to be a 

disposition that is subject to section 18 

of the 1937 Act. 

d. Homeownership. 

(1) For homeownership replacement 

units developed under a revitalization 

plan, you must obtain HUD approval of 

a homeownership proposal. Your 

homeownership proposal must conform 

to either: 

(a) Section 24(d)(1)(J) of the 1937 Act; 

or 

(b) Section 32 of the 1937 Act (see 24 

CFR part 906). Additional information 

on this option may be found at http:// 

www.hud.gov/offices/pih/centers/sac/ 

homeownership. 

(2) The homeownership proposal 

must be consistent with the Section 8 

Area Median Income (AMI) limitations 

(80 percent of AMI) and any other 

applicable provisions under the 1937 

Act. (HUD publishes AMI tables for 

each family size in each locality 

annually. The income limit tables can 

be found at http://www.huduser.org/ 

datasets/il/il06/index.html.) 

e. Acquisition. 

(1) Acquisition Proposal. Before you 

undertake any acquisition activities 

with HOPE VI or other public housing 

funds, you must obtain HUD approval of 

an acquisition proposal that meets the 

requirements of 24 CFR 941.303. 

(2) Rental Units. For acquisition of 

rental units in existing or new 

apartment buildings, single family 

subdivisions, etc., with or without 

rehabilitation, for use as public housing 

replacement units, you must obtain 

HUD approval of a Development 

Proposal in accordance with 24 CFR 

941.304 (conventional development) or 

24 CFR 941.606 (mixed-finance 

development). 

(3) Land for Off-Site Replacement 

Units. For acquisition of land for public 

housing or homeownership 

development, you must comply with 24 

CFR part 941 or successor part. 

(4) Land for Economic DevelopmentRelated Activities. 

(a) Acquisition of land for this 

purpose is eligible only if the economic 

development-related activities 

specifically promote the economic selfsufficiency of residents. 

(b) Limited infrastructure and site 

improvements associated with 

developing retail, commercial, or office 

facilities, such as rough grading and 

bringing utilities to (but not on) the site, 

are eligible activities with prior HUD 

approval. 

f. Access to Services. For both on-site 

and any off-site units, your overall 

Revitalization plan must result in 

increased access to municipal services, 

jobs, mentoring opportunities, 

transportation, and educational 

facilities; i.e., the physical plan and selfsufficiency strategy must be wellintegrated and strong linkages must be 

established with the appropriate federal, 

state, and local agencies, nonprofit 

organizations, and the private sector to 

achieve such access. 

g. Building Standards. 

(1) Building Codes. All activities that 

include construction, rehabilitation, 

lead-based paint removal, and related 

activities must meet or exceed local 

building codes. You are encouraged to 

visit HUD’s Web site on Accessibility 

Analysis of Model Building Codes at 

http://www.hud.gov/offices/fheo/ 

disabilities/modelcodes/. You are 

encouraged to read the ‘‘Final Report of 

HUD Review of the Fair Housing 

Accessibility Requirements in the 2003 

International Building Code,’’ which 

can be accessed from the webpage 

above, along with other valuable 

information on model codes and fair 

housing accessibility guidelines. 

(2) Deconstruction. HUD encourages 

you to design programs that incorporate 

sustainable construction and demolition 

practices, such as the dismantling or 

‘‘deconstruction’’ of public housing 

units, recycling of demolition debris, 

and reusing of salvage materials in new 

construction. ‘‘A Guide to 

Deconstruction: An Overview of 

Destruction with a Focus on Community 

Development Opportunities’’ can be 

found at http://www.huduser.org/ 

publications/destech/decon.html. 

(3) Partnership for Advancing 

Technology in Housing (PATH). HUD 

encourages you to use PATH 

technologies in the construction and 

delivery of replacement housing. PATH 

is a voluntary initiative that seeks to 

accelerate the creation and widespread 

use of advanced technologies to 

radically improve the quality, 

durability, environmental performance, 

energy efficiency, and affordability of 

our nation’s housing. 

(a) PATH’s goal is to achieve dramatic 

improvement in the quality of U.S. 

housing by the year 2010. PATH 

encourages leaders from the home 

building, product manufacturing, 

insurance, and financial industries, and 

representatives from federal agencies 

dealing with housing issues to work 

together to spur housing design and 

construction innovations. PATH will 

provide technical support in design and 

cost analysis of advanced technologies 

to be incorporated in project 

construction. 

(b) Applicants are encouraged to 

employ PATH technologies to exceed 

prevailing national building practices 

by: 

(i) Reducing costs; 

(ii) Improving durability; 

(iii) Increasing energy efficiency; 

(iv) Improving disaster resistance; and 

(v) Reducing environmental impact. 


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(c) More information, the list of 

technologies, the latest PATH 

Newsletter, results from field 

demonstrations, and PATH projects can 

be found at www.pathnet.org. 

(4) Energy Efficiency. 

(a) New construction must comply 

with the latest HUD-adopted Model 

Energy Code (International Energy 

Conservation Code (IECC) 2003 or 

successor codes) issued by the Council 

of American Building Officials. 

(b) HUD encourages you to set higher 

standards, where cost effective, for 

energy and water efficiency in HOPE VI 

new construction, which can achieve 

utility savings of 30 to 50 percent with 

minimal extra cost. 

(c) You are encouraged to negotiate 

with your local utility company to 

obtain a lower rate. Utility rates and tax 

laws vary widely throughout the 

country. In some areas, PHAs are 

exempt or partially exempt from utility 

rate taxes. Some PHAs have paid 

unnecessarily high utility rates because 

they were billed at an incorrect rate 

classification. 

(d) Local utility companies may be 

able to provide grant funds to assist in 

energy efficiency activities. States may 

also have programs that will assist in 

energy efficient building techniques. 

(e) You must use new technologies 

that will conserve energy and decrease 

operating costs, where cost effective. 

Examples of such technologies include: 

(i) Geothermal heating and cooling; 

(ii) Placement of buildings and size of 

eaves that take advantage of the 

directions of the sun throughout the 

year; 

(iii) Photovoltaics (technologies that 

convert light into electrical power); 

(iv) Extra insulation; 

(v) Smart windows; and 

(vi) Energy Star appliances. 

(5) Universal Design. HUD encourages 

you to incorporate the principles of 

universal design in the construction or 

rehabilitation of housing, retail 

establishments, and community 

facilities, or when communicating with 

community residents at public meetings 

or events. 

(6) Energy Star. HUD has adopted a 

wide-ranging energy action plan for 

improving energy efficiency in all 

program areas. As a first step in 

implementing the energy plan, HUD, the 

Environmental Protection Agency, and 

the Department of Energy have signed a 

joint partnership to promote energy 

efficiency in HUD’s affordable housing 

efforts and programs. The purposes of 

the Energy Star partnership are to 

promote energy efficiency in affordable 

housing stock and to help protect the 

environment. Applicants constructing, 

rehabilitating, or maintaining housing or 

community facilities are encouraged to 

promote and adopt energy efficiency in 

design and operations. They are urged 

especially to purchase and use Energy 

Star-labeled products. Applicants 

providing housing assistance or 

counseling services are encouraged to 

promote and adopt Energy Star building 

by homebuyers and renters. Program 

activities can include developing Energy 

Star promotional and information 

materials, outreach to low- and 

moderate-income renters and buyers on 

the benefits and savings when using 

Energy Star products and appliances, 

and promoting the designation of 

community buildings and homes as 

Energy Star-compliant. For further 

information about Energy Star, see 

http://www.energystar.gov or call 888–

STAR–YES (888–782–7937), or, for the 

hearing-impaired, call 888–588–9920 

TTY. See also the energy efficiency 

requirements in section III.C.3. above. 

See section V.A.9.g. of this NOFA for 

the Energy Star sub-rating factor. 

(7) Lead-Based Paint. You must 

comply with lead-based paint 

evaluation and reduction requirements 

as provided for under the Lead-Based 

Paint Poisoning Prevention Act (42 

U.S.C. 4821, et seq.). You also must 

comply with regulations at 24 CFR part 

35, 24 CFR 965.701, and 24 CFR 

968.110(k), as they may be amended or 

revised from time to time. Unless 

otherwise provided, you will be 

responsible for lead-based paint 

evaluation and reduction activities. The 

National Lead Information Hotline is 

(800) 424–5323. 

h. Labor Standards. The following 

standards must be implemented as 

appropriate in regard to HOPE VI grants: 

(1) Labor Standards. 

(a) Davis-Bacon wage rates apply to 

development of any public housing 

rental units or homeownership units 

developed with HOPE VI grant funds 

and to demolition followed by 

construction on the site. Davis-Bacon 

rates are ‘‘prevailing’’ minimum wage 

rates set by the Secretary of Labor that 

all laborers and mechanics employed in 

the development, including 

rehabilitation, of a public housing 

project must be paid, as set forth in a 

wage determination that the PHA must 

obtain prior to bidding on each 

construction contract. The wage 

determination and provisions requiring 

payment of these wage rates must be 

included in the construction contract; 

(b) HUD-determined wage rates apply 

to: 

(i) Operation (including nonroutine 

maintenance) of revitalized housing, 

and 

(ii) Demolition followed only by 

filling in the site and establishing a 

lawn. 

(2) Exclusions. Under section 12(b) of 

the 1937 Act, wage rate requirements do 

not apply to individuals who: 

(a) Perform services for which they 

volunteered; 

(b) Do not receive compensation for 

those services or are paid expenses, 

reasonable benefits, or a nominal fee for 

the services; and 

(c) Are not otherwise employed in the 

work involved (24 CFR part 70). 

(3) If other federal programs are used 

in connection with your HOPE VI 

activities, labor standards requirements 

apply to the extent required by the other 

federal programs on portions of the 

project that are not subject to DavisBacon rates under the 1937 Act. 

i. Operation and Management 

Principles and Policies, and 

Management Agreement. HOPE VI 

Revitalization grantees will be required 

to develop Management Agreements 

that describe their operation and 

management principles and policies for 

their public housing units. You and 

your procured property manager, if 

applicable, must comply (to the extent 

required) with the provisions of 24 CFR 

part 966 in planning for the 

implementation of the operation and 

management principles and policies 

described below. 

(a) Rewarding work and promoting 

family stability by promoting positive 

incentives such as income disregards 

and ceiling rents; 

(b) Instituting a system of local 

preferences adopted in response to local 

housing needs and priorities, e. g., 

preferences for victims of domestic 

violence, residency preferences, 

working families, and disaster victims. 

Note that local preferences for public 

housing must comply with Fair Housing 

requirements at 24 CFR 960.206; 

(c) Encouraging self-sufficiency by 

including lease requirements that 

promote involvement in the resident 

association, performance of community 

service, participation in self-sufficiency 

activities, and transitioning from public 

housing; 

(d) Implementing site-based waiting 

lists that follow project-based 

management principles for the 

redeveloped public housing. Note that 

site-based waiting lists for public 

housing must comply with Fair Housing 

requirements at 24 CFR 903.7(b)(2); 

(e) Instituting strict applicant 

screening requirements such as credit 

checks, references, home visits, and 

criminal records checks; 

(f) Strictly enforcing lease and 

eviction provisions; 


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(g) Improving the safety and security 

of residents through the implementation 

of defensible space principles and the 

installation of physical security systems 

such as surveillance equipment, control 

engineering systems, etc.; 

(h) Enhancing ongoing efforts to 

eliminate drugs and crime from 

neighborhoods through collaborative 

efforts with federal, state, and local 

crime prevention programs and entities. 

j. Non-Fungibility for Moving To 

Work (MTW) PHAs. Funds awarded 

under this NOFA are not fungible under 

MTW agreements and must be 

accounted for separately, in accordance 

with the HOPE VI Revitalization grant 

Agreement, the requirements in OMB 

Circulars A–87, ‘‘Cost Principles 

Applicable to Grants, Contracts and 

Other Agreements with State and Local 

Governments;’’ A–133, ‘‘Audits of 

States, Local Governments, and NonProfit Organizations;’’ the regulations 24 

CFR part 85, ‘‘Administrative 

Requirements for Grants and 

Cooperative Agreements to State, Local, 

and Federally Recognized Indian Tribal 

Government’’ and generally accepted 

accounting principles (GAAP). 

k. Resident and Community 

Involvement. 

(1) General. You are required to 

involve the affected public housing 

residents, state and local governments, 

private service providers, financing 

agencies, and developers in the 

planning process, proposed 

implementation, and management of 

your revitalization plan. This 

involvement must be continuous from 

the beginning of the planning process 

through the implementation and 

management of the grant, if awarded. 

(2) Resident Training Session. You 

must conduct at least one training 

session for residents of the severely 

distressed project on the HOPE VI 

development process. HUD does not 

prescribe the content of this meeting. 

(3) Public Meetings. 

(a) You must conduct at least three 

public meetings with residents and the 

broader community, in order to involve 

them in a meaningful way in the process 

of developing the revitalization plan 

and preparing the application. One of 

these meetings must have taken place at 

the beginning of the planning process. 

(b) These three public meetings must 

take place on different days from each 

other and from the resident training 

session. 

(c) During these three meetings, you 

must address the issues listed below 

(i.e., all issues need not be addressed at 

each meeting): 

(i) The HOPE VI planning and 

implementation process; 

(ii) The proposed physical plan, 

including site and unit design, and 

whether the unit design is in 

compliance with Fair Housing Act and 

Uniform Federal Accessibility 

Standards (UFAS) standards; 

(iii) The extent of proposed 

demolition; 

(iv) Planned community and 

supportive service activities; 

(v) Other proposed revitalization 

activities; 

(vi) Relocation issues, including 

relocation planning, mobility 

counseling, and maintaining the HOPE 

VI community planning process during 

the demolition and reconstruction 

phases, where temporary relocation, i.e., 

relocation for a reasonable period (less 

than one year), is involved; 

(vii) Reoccupancy plans and policies, 

including site-based waiting lists; and 

(viii) Section 3 and employment 

opportunities to be created as a result of 

redevelopment activities. 

(4) Accessibility. All training sessions 

and meetings must be held in facilities 

that are accessible to persons with 

disabilities; provide services such as 

day care, transportation, and sign 

language interpreters, as needed; and, as 

practical and applicable, be conducted 

in English and the language(s) most 

appropriate for the community. 

(5) Allowable Time Period for 

Training and Meetings. 

(a) At least one public meeting, which 

included representation from both the 

affected public housing residents and 

the community, must have been held at 

the beginning of the revitalization 

planning period; 

(b) At least one training session must 

have been held after the publication 

date of this NOFA in the Federal 

Register; and 

(c) A minimum of two more public 

meetings must have been held after the 

publication date of this NOFA in the 

Federal Register. 

(d) The above minimum number of 

training sessions and meetings is 

required to meet the Resident 

Involvement threshold in section III.C.2. 

of this NOFA. Additional meetings and 

training sessions will be counted in the 

rating factors toward demonstration of 

continual inclusion of the residents and 

community. 

l. CSS Program Requirements. 

(1) Term Period. CSS programs and 

services must last for the life of the grant 

and must be carefully planned so that 

they will be sustainable after the HOPE 

VI grant period ends. 

(2) Allowed Funding Mechanisms: 

(a) Maximum CSS grant amount. 

Consistent with sections 24(d)(1)(L) and 

24(j)(3) of the 1937 Act, you may use up 

to 15 percent of the total HOPE VI grant 

to pay the costs of CSS activities. See 

section III.B.1. of this NOFA for CSS 

grant matching requirements. You may 

spend additional sums on CSS activities 

using donations; other HUD funds made 

available for that purpose; and other 

federal, state, local, PHA, or privatesector donations (leverage). 

(b) CSS Endowment Trust. Consistent 

with section 24(d)(2) of the 1937 Act, 

you may deposit up to 15 percent of 

your HOPE VI grant (the maximum 

amount of the award allowable for CSS 

activities) into an endowment trust to 

provide CSS activities. In order to 

establish an endowment trust, you must 

first execute with HUD a HOPE VI 

Endowment Trust Addendum to the 

grant agreement. When reviewing your 

request to set up an endowment trust, 

HUD will take into consideration your 

ability to pay for current CSS activities 

with HOPE VI or other funds and the 

projected long-term sustainability of the 

endowment trust to carry out those 

activities. 

(3) CSS Team and Partners. 

(a) The term ‘‘CSS Team’’ refers to 

PHA staff members and any consultants 

who will have the responsibility to 

design, implement, and manage your 

CSS program. 

(b) The term ‘‘CSS Partners’’ refers to 

the agencies and organizations that you 

will work with to provide supportive 

services for residents. A partner could 

be a local service organization such as 

a Boys or Girls Club that donates its 

building and staff to the program, or an 

agency such as the local Temporary 

Assistance for Needy Families (TANF) 

agency that works with you to ensure 

that their services are coordinated and 

comprehensive. 

(c) Partner Agreements. There are 

several relationships that you may have 

with your partners including subgrant 

agreements, contracts, memoranda of 

understanding (MOUs), memoranda of 

agreement (MOAs), and/or informal 

relationships. 

(4) Tracking and Case Management. If 

selected, the grantee is responsible for 

tracking and providing CSS programs 

and services to residents currently 

living on the targeted public housing 

site and residents already relocated from 

the site. It is imperative that case 

management services begin immediately 

upon award so that residents who will 

be relocated have time to participate in 

and benefit from CSS activities before 

leaving the site, and that residents who 

have already been relocated are able to 

participate in and benefit from CSS 

activities. 

(5) CSS Strategy and Objectives 

Requirements. 


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(a) Transition to Housing SelfSufficiency. One of HUD’s major 

priorities is to assist public housing 

residents in their efforts to become 

financially self-sufficient and less 

dependent on direct government 

housing assistance. Your CSS program 

must include a well-defined, 

measurable endeavor that will enable 

public housing residents to transition to 

other affordable housing programs and 

to regular market housing. Family SelfSufficiency (FSS) and CSS activities that 

are designed to increase education and 

income levels are considered a part of 

this endeavor, as is the establishment of 

reasonable limits on the length of time 

any household that is not headed by an 

elderly or disabled person can reside in 

a public housing unit within a HOPE VI 

Revitalization Development. 

(b) Neighborhood Networks. All 

FY2007 Revitalization grantees will be 

required to establish Neighborhood 

Networks Centers (NNC) and to promote 

the inclusion of infrastructure that 

permits unit-based access to broadband 

Internet connectivity in all new and 

replacement public housing units. This 

program provides residents with on-site 

access to computer and training 

resources that create knowledge and 

experience with computers and the 

Internet as tools to increase access to 

CSS, job training, and the job market. 

Grantees may use HOPE VI funds to 

establish NNCs and to provide unitbased Internet connectivity. More 

information on the requirements of the 

NNC program is available on the 

Neighborhood Networks Web site at 

http://www.hud.gov/nnw/ 

nnwindex.html. There will not be a 

separate FY2007-funded NOFA for 

HOPE VI Neighborhood Networks 

programs. 

(c) Quantifiable Goals. The objectives 

of your CSS program must be resultsoriented, with quantifiable goals and 

outcomes that can be used to measure 

progress and make changes in activities 

as necessary. 

(d) Appropriate Scale and Type. 

(i) CSS activities must be of an 

appropriate scale, type, and variety to 

meet the needs of all residents 

(including adults, seniors, youth ages 16 

to 21, and children) of the severely 

distressed project, including residents 

remaining on-site, residents who will 

relocate permanently to other PHA units 

or HCV-assisted housing, residents who 

will relocate temporarily during the 

construction phase, and new residents 

of the revitalized units. 

(ii) Non-public housing residents may 

also participate in CSS activities, as long 

as the primary participants in the 

activities are residents as described in 

section (i) above. 

(e) Coordination. 

(i) CSS activities must be consistent 

with state and local welfare reform 

requirements and goals. 

(ii) Your CSS activities must be 

coordinated with the efforts of other 

service providers in your locality, 

including nonprofit organizations, 

educational institutions, and state and 

local programs. 

(iii) CSS activities must be wellintegrated with the physical 

development process, both in terms of 

timing and the provision of facilities to 

house on-site service and educational 

activities. 

(f) Your CSS program must provide 

appropriate community and supportive 

services to residents prior to any 

relocation. 

m. CSS Partnerships and Resources. 

The following are examples of the kinds 

of organizations and agencies (local, 

state, and federal) that can provide you 

with resources necessary to carry out 

and sustain your CSS activities. 

(1) Local Boards of Education, public 

libraries, local community colleges, 

institutions of higher learning, nonprofit 

or for-profit educational institutions, 

and public/private mentoring programs 

that will lead to new or improved 

educational facilities and improved 

educational achievement of young 

people in the revitalized development, 

from birth through higher education. 

(2) Temporary Assistance for Needy 

Families (TANF) agencies/welfare 

departments for TANF and non-TANF 

in-kind services, and non-TANF cash 

donations, e.g., donation of TANF 

agency staff time. 

(3) Job development organizations 

that link private sector or nonprofit 

employers with low-income prospective 

employees. 

(4) Workforce Development Agencies. 

(5) Organizations that provide 

residents with job readiness and 

retention training and support. 

(6) Economic development agencies 

such as the Small Business 

Administration, which provide 

entrepreneurial training and small 

business development centers. 

(7) National corporations, local 

businesses, and other large institutions 

such as hospitals that can commit to 

provide entry-level jobs. Employers may 

agree to train residents or commit to 

hire residents after they complete jobs 

preparedness or training programs that 

are provided by you, other partners, or 

the employer itself. 

(8) Programs that integrate 

employment training, education, and 

counseling, and where creative 

partnerships with local boards of 

education, state charter schools, TANF 

agencies, foundations, and private 

funding sources have been or could be 

established. 

(9) Sources of capital such as 

foundations, banks, credit unions, and 

charitable, fraternal, and business 

organizations. 

(10) Nonprofit organizations such as 

the Girl Scouts and the Urban League 

(each of which has a Memorandum of 

Agreement (MOA) with HUD). Copies of 

these MOAs can be found on the 

Community and Supportive Services 

page of the HOPE VI Web site at 

http://www.hud.gov/hopevi. 

(11) Civil rights and fair housing 

organizations. 

(12) Local area agencies on aging. 

(13) Local agencies and organizations 

serving persons with disabilities. 

(14) Nonprofit organizations such as 

grassroots faith-based and other 

community-based organizations. HUD 

encourages you to partner or subgrant 

with nonprofit organizations, including 

grassroots faith-based and other 

community-based organizations, to 

provide CSS activities. See HUD’s 

Center for Faith-Based and Community 

Initiatives Web site at http:// 

www.hud.gov/offices/fbci/index.cfm. 

(a) HUD will consider an organization 

a ‘‘grassroots’’ organization if it is 

headquartered in the local community 

to which it provides services; and 

(i) Has an annual social services 

budget of no more than $300,000. This 

cap includes only the portion of the 

organization’s budget allocated to 

providing social services. It does not 

include other portions of the budget 

such as salaries and expenses; or 

(ii) Has six or fewer full-time 

equivalent employees. 

(b) Local affiliates of national 

organizations are not considered 

‘‘grassroots.’’

(15) Federal agencies and their 

community and supportive servicerelated programs, including youthrelated programs. For example, many 

federal agencies have youth-related 

programs such as the Department of 

Justice’s Weed and Seed program; the 

Department of Agriculture’s 4–H 

program; the Department of Labor’s 

Youthbuild program; and programs 

within the Department of Health and 

Human Services. 

n. Fair Housing and Equal 

Opportunity Requirements. 

(1) Site and Neighborhood Standards 

for Replacement Housing. You must 

comply with the Fair Housing Act and 

Title VI of the Civil Rights Act of 1964, 

and regulations thereunder. In 

determining the location of any 


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replacement housing, you must comply 

with either the site and neighborhood 

standards regulations at 24 CFR 

941.202(b)–(d) or with the standards 

outlined in this NOFA. Because the 

objective of the HOPE VI program is to 

alleviate distressed conditions at the 

development and in the surrounding 

neighborhood, replacement housing 

under HOPE VI that is located on the 

site of the existing development or in its 

surrounding neighborhood will not 

require independent approval by HUD 

under Site and Neighborhood 

Standards. The term ‘‘surrounding 

neighborhood’’ means the neighborhood 

within a 3-mile radius of the site of the 

existing development. 

(a) HOPE VI Goals Related to Site and 

Neighborhood Standards. You are 

expected to ensure that your 

revitalization plan will expand assisted 

housing opportunities outside lowincome areas and areas of minority 

concentration and will accomplish 

substantial revitalization in the project 

and its surrounding neighborhood. You 

are also expected to ensure that eligible 

households of all races and ethnic 

groups will have equal and meaningful 

access to the housing. 

(b) Objectives in Selecting HUDAssisted Sites. The fundamental goal of 

HUD’s fair housing policy is to make 

full and free housing choice a reality. 

Housing choice requires that all 

households may choose the type of 

neighborhood where they wish to 

reside; that minority neighborhoods are 

no longer deprived of essential public 

and private resources; and that stable, 

racially mixed neighborhoods are 

available as a meaningful choice for all. 

To make full and free housing choice a 

reality, sites for HUD-assisted housing 

investment should be selected so as to 

advance two complementary goals: 

(i) Expand assisted housing 

opportunities in non-minority 

neighborhoods, opening up choices 

throughout the metropolitan area for all 

assisted households; and 

(ii) Reinvest in minority 

neighborhoods, improving the quality 

and affordability of housing there to 

represent a real choice for assisted 

households. 

(c) Nondiscrimination and Equal 

Opportunity Requirements. In 

determining the location of any 

replacement housing, you must comply 

with the Fair Housing Act, Title VI of 

the Civil Rights Act of 1964, section 504 

of the Rehabilitation Act of 1973, and 

implementing regulations. 

(d) Grantee Election of Requirements. 

You may, at your election, separately 

with regard to each site you propose, 

comply with the development 

regulations regarding Site and 

Neighborhood Standards (24 CFR 

941.202(b)–(d)), or with the Site and 

Neighborhood Standards contained in 

this section. 

(e) Replacement housing located onsite or in the surrounding neighborhood. 

Replacement housing under HOPE VI 

that is located on the site of the existing 

project or in its surrounding 

neighborhood will not require 

independent approval under Site and 

Neighborhood Standards, since HUD 

will consider the scope and impact of 

the proposed revitalization to alleviate 

severely distressed conditions at the 

public housing project and its 

surrounding neighborhood, in assessing 

the application to be funded under this 

NOFA. 

(f) Off-Site Replacement Housing 

Located Outside the Surrounding 

Neighborhood. Unless you demonstrate 

that there are already significant 

opportunities in the metropolitan area 

for assisted households to choose nonminority neighborhoods (or that these 

opportunities are under development), 

HOPE VI replacement housing not 

covered by section (e) above may not be 

located in an area of minority 

concentration (as defined in paragraph 

(g) below) without the prior approval of 

HUD. Such approval may be granted if 

you demonstrate to the satisfaction of 

HUD that: 

(i) You have made determined and 

good faith efforts, and found it 

impossible with the resources available, 

to acquire an appropriate site(s) in an 

area not of minority concentration; or 

(ii) The replacement housing, taking 

into consideration both the CSS 

activities or other revitalizing activities 

included in the revitalization plan, and 

any other revitalization activities in 

operation or firmly planned, will 

contribute to the stabilization or 

improvement of the neighborhood in 

which it is located, by addressing any 

serious deficiencies in services, safety, 

economic opportunity, educational 

opportunity, and housing stock. 

(g) Area of Minority Concentration. 

The term ‘‘area of minority 

concentration’’ is any neighborhood in 

which: 

(i) The percentage of households in a 

particular racial or ethnic minority 

group is at least 20 percentage points 

higher than the percentage of that 

minority group for the housing market 

area; i.e., the Metropolitan Statistical 

Area (MSA) in which the proposed 

housing is to be located; 

(ii) The neighborhood’s total 

percentage of minority persons is at 

least 20 percentage points higher than 

the total percentage of all minorities for 

the MSA as a whole; or 

(iii) In the case of a metropolitan area, 

the neighborhood’s total percentage of 

minority persons exceeds 50 percent of 

its population. 

(2) Housing and Services for Persons 

with Disabilities. 

(a) Accessibility Requirements. HOPE 

VI developments are subject to the 

accessibility requirements contained in 

several federal laws. All applicable laws 

must be read together and followed. PIH 

Notice 2003–31, available at http:// 

www.hud.gov/offices/pih/publications/ 

notices/, and subsequent updates or 

successor notices, provide an overview 

of all pertinent laws and implementing 

regulations pertaining to HOPE VI. All 

HOPE VI multifamily housing projects, 

whether they involve new construction 

or rehabilitation, are subject to the 

section 504 accessibility requirements 

described in 24 CFR part 8. See, in 

particular, 24 CFR 8.20–8.24. In 

addition, under the Fair Housing Act, 

all new construction of covered 

multifamily buildings must contain 

certain features of accessible and 

adaptable design. Units covered are all 

those in elevator buildings with four or 

more units and all ground floor units in 

buildings without elevators. The 

relevant accessibility requirements are 

provided on HUD’s Fair Housing and 

Equal Opportunity (FHEO) Web site at 

http://www.hud.gov/groups/ 

fairhousing.cfm. 

(b) Specific Fair Housing 

requirements are: 

(i) The Fair Housing Act (42 U.S.C. 

3601–19) and regulations at 24 CFR part 

100. 

(ii) The prohibitions against 

discrimination on the basis of disability, 

including requirements that multifamily 

housing projects comply with the 

Uniform Federal Accessibility 

Standards, and that you make 

reasonable accommodations to 

individuals with disabilities under 

section 504 of the Rehabilitation Act of 

1973 (29 U.S.C. 794) and regulations at 

24 CFR part 8. 

(iii) Title II of the Americans with 

Disabilities Act (42 U.S.C 12101 et seq.) 

and its implementing regulations at 28 

CFR part 35. 

(iv) The Architectural Barriers Act of 

1968 (42 U.S.C. 4151) and the 

regulations at 24 CFR part 40. 

(c) Accessible Technology. The 

Rehabilitation Act Amendments of 1998 

apply to all electronic information 

technology (EIT) used by a grantee for 

transmitting, receiving, using, or storing 

information to carry out the 

responsibilities of any federal grant 

awarded. It includes, but is not limited 


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to, computers (hardware, software, word 

processing, e-mail, and web pages), 

facsimile machines, copiers, and 

telephones. When developing, 

procuring, maintaining, or using EIT, 

grantees must ensure that the EIT 

allows: 

(i) Employees with disabilities to have 

access to and use information and data 

that are comparable to the access and 

use of data by employees who do not 

have disabilities; and 

(ii) Members of the public with 

disabilities seeking information or 

service from a grantee must have access 

to and use of information and data that 

are comparable to the access and use of 

data by members of the public who do 

not have disabilities. If these standards 

impose an undue burden on a grantee, 

they may provide an alternative means 

to allow the individual to use the 

information and data. No grantee will be 

required to provide information services 

to a person with disabilities at any 

location other than the location at 

which the information services are 

generally provided. 

o. Relocation Requirements. 

(1) Requirements. 

(a) You must carry out relocation 

activities in compliance with a 

relocation plan that conforms to the 

following statutory and regulatory 

requirements, as applicable: 

(i) Relocation or temporary relocation 

carried out as a result of rehabilitation 

under an approved revitalization plan is 

subject to the Uniform Relocation 

Assistance and Real Property 

Acquisition Policies Act of 1970 (URA), 

the URA regulations at 49 CFR part 24, 

and regulations at 24 CFR 968.108 or 

successor part. 

(ii) Relocation carried out as a result 

of acquisition under an approved 

revitalization plan is subject to the URA 

and regulations at 24 CFR 941.207 or 

successor part. 

(iii) Relocation carried out as a result 

of disposition under an approved 

revitalization plan is subject to section 

18 of the 1937 Act, as amended. 

(iv) Relocation carried out as a result 

of demolition under an approved 

revitalization plan is subject to the URA 

regulations at 49 CFR part 24. 

(b) You must provide suitable, 

accessible, decent, safe, and sanitary 

housing for each family required to 

relocate as a result of revitalization 

activities under your revitalization plan. 

Any person (including individuals, 

partnerships, corporations, or 

associations) who moves from real 

property or moves personal property 

from real property directly (1) because 

of a written notice to acquire real 

property in whole or in part, or (2) 

because of the acquisition of the real 

property, in whole or in part, for a HUDassisted activity, is covered by federal 

relocation statute and regulations. 

Specifically, this type of move is 

covered by the acquisition policies and 

procedures and the relocation 

requirements of the URA, and the 

implementing government-wide 

regulation at 49 CFR part 24 and 

Handbook 1378. These relocation 

requirements cover any person who 

moves permanently from real property 

or moves personal property from real 

property directly because of acquisition, 

rehabilitation, or demolition for an 

activity undertaken with HUD 

assistance. 

(2) Relocation Plan. Each applicant 

must complete a HOPE VI Relocation 

plan, in accordance with the 

requirements stated in section III.C.2. of 

this NOFA. 

(a) The HOPE VI Relocation plan is 

intended to ensure that PHAs adhere to 

the URA and that all residents who have 

been or will be temporarily or 

permanently relocated from the site are 

provided with CSS activities such as 

mobility counseling and direct 

assistance in locating housing. Your 

HOPE VI Relocation plan must serve to 

minimize permanent displacement of 

current residents of the public housing 

site who wish to remain in or return to 

the revitalized community. Your HOPE 

VI Relocation plan must also furnish 

alternative permanent housing for 

current residents of the public housing 

site who do not wish to remain in or 

return to the revitalized community. 

Your CSS program must provide for the 

delivery of community and supportive 

services to residents prior to any 

relocation, temporary or permanent. 

(b) You are encouraged to involve 

HUD-approved housing counseling 

agencies, including faith-based, 

nonprofit, and other organizations, and 

individuals in the community to which 

relocatees choose to move, in order to 

ease the transition and minimize the 

impact on the neighborhood. HUD will 

view favorably innovative programs 

such as community mentors, support 

groups, and the like. 

(c) If applicable, you are encouraged 

to work with surrounding jurisdictions 

to assure a smooth transition if residents 

choose to move from your jurisdiction 

to the surrounding area. 

p. Design. HUD is seeking excellence 

in design. You must carefully select 

your architects and planners, and enlist 

local affiliates of national architectural 

and planning organizations such as the 

American Institute of Architects, the 

American Society of Landscape 

Architects, the American Planning 

Association, the Congress for the New 

Urbanism, and the department of 

architecture at a local college or 

university to assist you in assessing 

qualifications of design professionals or 

in participating on a selection panel that 

results in the procurement of excellent 

design services. You should select a 

design team that is committed to a 

process in which residents, including 

young people and seniors, the broader 

community, and other stakeholders 

participate in designing the new 

community. 

Your proposed site plan, new units, 

and other buildings must be designed to 

be compatible with and enrich the 

surrounding neighborhood. Local 

architecture and design elements and 

amenities should be incorporated into 

the new or rehabilitated homes so that 

the revitalized sites and structures will 

blend into the broader community and 

appeal to the market segments for which 

they are intended. Housing, community 

facilities, and economic development 

space must be well integrated. You must 

select members of your team who have 

the ability to meet these requirements. 

q. Internet Access. You must have 

access to the Internet and provide HUD 

with e-mail addresses of key staff and 

contact people. 

r. Non-Public Housing Funding for 

Non-Public Housing or Replacement 

Units. Public housing funds may only 

be used to develop Replacement 

Housing. You may not use public 

housing funds, which include HOPE VI 

funds, to develop retail or commercial 

space, economic development space, or 

housing units that are not Replacement 

Housing, as defined in this NOFA. 

s. Market-Rate Housing and Economic 

Development. If you include market-rate 

housing, economic development, or 

retail structures in your revitalization 

plan, such proposals must be supported 

by a market assessment from an 

independent third party, credentialed 

market research firm, or professional. 

This assessment should describe its 

assessment of the demand and 

associated pricing structure for the 

proposed residential units, economic 

development or retail structures, based 

on the market and economic conditions 

of the project area. 

t. Eminent Domain and Public Use. 

Section 726 of the FY 2007 HUD 

Appropriations Act, under which this 

NOFA is funded, prohibits any use of 

these funds ‘‘to support any Federal, 

State, or local projects that seek to use 

the power of eminent domain, unless 

eminent domain is used only for a 

public use.’’ The term ‘‘public use’’ is 

expressly stated not ‘‘to include 

economic development that primarily 


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benefits private entities.’’ Accordingly, 

applications under this NOFA may not 

propose mixed-use projects in which 

housing is complemented appreciably 

with commercial facilities (i.e., 

economic development), if eminent 

domain is used for the site. 

u. Cost Control Standards. (1) Your 

hard development costs must be 

realistically developed through the use 

of technically competent methodologies, 

including cost estimating services, and 

should be comparable to industry 

standards for the kind of construction to 

be performed in the proposed 

geographic area. 

(2) Your cost estimates must represent 

an economically viable preliminary plan 

for designing, planning, and carrying 

out your proposed activities, in 

accordance with local costs of labor, 

materials, and services. 

(3) Your projected soft costs must be 

reasonable and comparable to industry 

standards. Upon award, soft costs will 

be subject to HUD’s ‘‘Safe Harbor’’ cost 

control standards. For rental units, these 

safe harbors provide specific limitations 

on such costs as developer’s fees 

(between 9 and 12 percent), PHA 

administration/consultant cost (no more 

than 3 to 6 percent of the total project 

budget), contractor’s fee (6 percent), 

overhead (2 percent), and general 

conditions (6 percent). HUD’s Cost 

Control and Safe Harbor Standards can 

be found on HUD’s HOPE VI Web site. 

(4) If you are eligible for funding, 

HUD will delete any unallowable items 

from your budget and may reduce your 

grant accordingly. 

v. Timeliness of Development 

Activity. Grantees must proceed within 

a reasonable timeframe, as indicated 

below. In determining reasonableness of 

such timeframe, HUD will take into 

consideration those delays caused by 

factors beyond your control. These 

timeframes must be reflected in the form 

of a program schedule, in accordance 

with the timeframes below: 

(1) Grantees must submit 

Supplemental Submissions within 90 

days from the date of HUD’s written 

request. 

(2) Grantees must submit CSS work 

plans within 90 days from the execution 

of the grant agreement. 

(3) Grantees must start construction 

within 12 months from the date of 

HUD’s approval of the Supplemental 

Submissions, as requested by HUD after 

grant award. This time period may not 

exceed 18 months from the date the 

grant agreement is executed. 

(4) Grantees must submit the 

development proposal (i.e., whether 

mixed-finance development, 

homeownership development, etc.) for 

the first phase of construction within 12 

months of grant award. The program 

schedule must indicate the date on 

which the development proposal for 

each phase of the revitalization plan 

will be submitted to HUD. 

(5) The closing of the first phase must 

take place within 15 months of grant 

award. For this purpose, ‘‘closing’’

means all financial and legal 

arrangements have been executed and 

actual activities (construction, etc.) are 

ready to commence. 

(6) Grantees must complete 

construction within 48 months from the 

date of HUD’s approval of your 

Supplemental Submissions. This time 

period for completion may not exceed 

54 months from the date the grant 

agreement is executed. 

(7) All other required components of 

the revitalization plan and any other 

submissions not mentioned above must 

be submitted in accordance with the 

Quarterly Report Administrative and 

Compliance Checkpoints Report, as 

approved by HUD. 

w. HOPE VI Endowment Trust 

Addendum to the Grant Agreement. 

This document must be executed 

between the grantee and HUD in order 

for the grantee to use CSS funds in 

accordance with this NOFA. 

x. Revitalization Plan. After HUD 

conducts a post-award review of your 

application and makes a visit to the site, 

you will be required to submit 

components of your revitalization plan 

to HUD, as provided in the HOPE VI 

Revitalization Grant Agreement. These 

components include, but are not limited 

to: 

(a) Supplemental Submissions, 

including a HOPE VI Program Budget; 

(b) A Community and Supportive 

Services work plan, in accordance with 

guidance provided by HUD; 

(c) A standard or mixed-finance 

development proposal, as applicable; 

(d) A demolition and disposition 

application, as applicable; and 

(e) A homeownership proposal, as 

applicable. 

y. Pre-Award Accounting System 

Surveys. This requirement is hereby 

incorporated from Section III.C. of the 

General Section. 

z. Name Check Review. This 

requirement is hereby incorporated from 

Section III.C. of the General Section. 

aa. False Statements. A false 

statement in an application is grounds 

for denial or termination of an award 

and possible punishment as provided in 

18 U.S.C. 1001. 

bb. Prohibition Against Lobbying 

Activities. This requirement is hereby 

incorporated from Section III.C. of the 

General Section. 

cc. Conducting Business in 

Accordance with Core Values and 

Ethical Standards. This requirement is 

hereby incorporated from Section III.C. 

of the General Section. 

dd. Providing Full and Equal Access 

to Grassroots Faith-Based and Other 

Community-Based Organizations in 

HUD Program Implementation. This 

requirement is hereby incorporated from 

Section III.C. of the General Section. 

ee. Number of Units. The number of 

units that you plan to develop should 

reflect your need for replacement units, 

the need for other affordable units, and 

the market demand for market units, 

along with financial feasibility. The 

number of planned new construction 

public housing units may not result in 

a net increase from the number of public 

housing units owned, assisted, or 

operated by the PHA on October 1, 

1999, including any public housing 

units demolished as part of any 

revitalization effort. The total number of 

units to be developed may be less than, 

or more than, the original number of 

public housing units in the targeted 

public housing project. HUD will review 

requests to revitalize projects with small 

numbers of units on an equal basis with 

those with large numbers of units. 

ff. Environmental Requirements. 

(1) HUD Approval. HUD notification 

that you have been selected to receive 

a HOPE VI grant constitutes only 

preliminary approval. Grant funds may 

not be released under this NOFA 

(except for activities that are excluded 

from environmental review under 24 

CFR part 58 or 50) until the responsible 

entity, as defined in 24 CFR 58.2(a)(7), 

completes an environmental review and 

you submit and obtain both HUD 

approval of a request for release of funds 

and the responsible entity’s 

environmental certification, in 

accordance with 24 CFR part 58 (or 

HUD has completed an environmental 

review under 24 CFR part 50, where 

HUD has determined to conduct the 

environmental review). 

(2) Responsibility. If you are selected 

for funding and an environmental 

review has not been conducted on the 

targeted site, the responsible entity must 

assume the environmental review 

responsibilities for projects being 

funded by HOPE VI. If you object to the 

responsible entity conducting the 

environmental review, on the basis of 

performance, timing, or compatibility of 

objectives, HUD will review the facts 

and determine who will perform the 

environmental review. At any time, 

HUD may reject the use of a responsible 

entity to conduct the environmental 

review in a particular case on the basis 

of performance, timing, or compatibility 


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of objectives, or in accordance with 24 

CFR 58.77(d)(1). If a responsible entity 

objects to performing an environmental 

review, or if HUD determines that the 

responsible entity should not perform 

the environmental review, HUD may 

designate another responsible entity to 

conduct the review or may itself 

conduct the environmental review in 

accordance with the provisions of 24 

CFR part 50. You must provide any 

documentation to the responsible entity 

(or HUD, where applicable) that is 

needed to perform the environmental 

review. 

(3) Phase I and Phase II 

Environmental Site Assessments. If you 

are selected for funding, you must have 

a Phase I environmental site assessment 

completed in accordance with the 

ASTM Standards E 1527–05, as 

amended, for each affected site. A Phase 

I assessment is required whether the 

environmental review is completed 

under 24 CFR part 50 or 24 CFR part 58. 

The results of the Phase I assessment 

must be included in the documents that 

must be provided to the responsible 

entity (or HUD) for the environmental 

review. If the Phase I assessment 

recognizes environmental concerns or if 

the results are inconclusive, a Phase II 

environmental site assessment will be 

required. 

(4) Request for Release of Funds. You, 

and any participant in the development 

process, may not undertake any actions 

with respect to the project that are 

choice-limiting or could have 

environmentally adverse effects, 

including demolishing, acquiring, 

rehabilitating, converting, leasing, 

repairing, or constructing property 

proposed to be assisted under this 

NOFA, and you, and any participant in 

the development process, may not 

commit or expend HUD or local funds 

for these activities, until HUD has 

approved a Request for Release of Funds 

following a responsible entity’s 

environmental review under 24 CFR 

part 58, or until HUD has completed an 

environmental review and given 

approval for the action under 24 CFR 

part 50. In addition, you must carry out 

any mitigating/remedial measures 

required by the responsible entity (or 

HUD). If a remediation plan, where 

required, is not approved by HUD and 

a fully funded contract with a qualified 

contractor licensed to perform the 

required type of remediation is not 

executed, HUD reserves the right to 

determine that the grant is in default. 

(5) If the environmental review is 

completed before HUD approval of the 

HOPE VI Supplemental Submissions 

and you have submitted your Request 

for Release of Funds (RROF), the 

supplemental submissions approval 

letter shall state any conditions, 

modifications, prohibitions, etc., 

required as a result of the environmental 

review, including the need for any 

further environmental review. You must 

carry out any mitigating/remedial 

measures required by HUD, or select an 

alternate eligible property, if permitted 

by HUD. If HUD does not approve the 

remediation plan and a fully funded 

contract with a qualified contractor 

licensed to perform the required type of 

remediation is not executed, HUD 

reserves the right to determine that the 

grant is in default. 

(6) If the environmental review is not 

completed and you have not submitted 

the RROF before HUD approval of the 

supplemental submissions, the letter 

approving the supplemental 

submissions will instruct you and any 

participant in the revitalization process 

to refrain from undertaking, obligating, 

or expending HUD or non-HUD funds 

on physical activities or other choicelimiting actions until HUD approves 

your RROF and the related certification 

of the responsible entity (or HUD has 

completed the environmental review). 

The supplemental submissions approval 

letter also will advise you that the 

approved supplemental submissions 

may be modified on the basis of the 

results of the environmental review. 

(7) There must not be any open issues 

or uncertainties related to 

environmental issues, public policy 

factors (such as sewer moratoriums), 

proper zoning, availability of all 

necessary utilities, or clouds on title 

that would preclude development in the 

requested locality. You will certify to 

these facts when signing the HOPE VI 

Revitalization Grant Application 

Certifications. 

(8) HUD’s environmental Web site is 

located at http://www.hud.gov/offices/ 

cpd/environment/index.cfm. 

gg. Match Donations and Leverage 

Resources—Post Award. After award, 

during review of grantee mixed-finance, 

development, or homeownership 

proposals, HUD will evaluate the nature 

of Match and Leverage resources to 

assess the conditions precedent to the 

availability of the funds to the grantee. 

HUD will assess the availability of the 

participating party(ies)’s financing, the 

amount and source of financing 

committed to the proposal by the 

participating party(ies), and the firm 

commitment of those funds. HUD may 

require an opinion of the PHA’s and the 

owner entity’s counsel (or other party 

designated by HUD) attesting that 

counsel has examined the availability of 

the participating party’s financing, and 

the amount and source of financing 

committed to the proposal by the 

participating party(ies), and has 

determined that such financing has been 

firmly committed by the participating 

party(ies) for use in carrying out the 

proposal, and that such commitment is 

in the amount required under the terms 

of the proposal. 

hh. Evidence of Use. Grantees will be 

required to show evidence that 

matching resources were actually 

received and used for their intended 

purposes through quarterly reports as 

the project proceeds. Sources of 

matching funds may be substituted after 

grant award, as long as the dollar 

requirement is met. 

ii. Grantee Enforcement. Grantees 

must pursue and enforce any 

commitment (including commitments 

for services) obtained from any public or 

private entity for any contribution or 

commitment to the project or 

surrounding area that was part of the 

match amount. 

jj. LOCCS Requirements. The grantee 

must record all obligations and 

expenditures in LOCCS. 

kk. Final Audit. Grantees are required 

to obtain a complete final closeout audit 

of the grant’s financial statements by a 

certified public accountant, in 

accordance with generally accepted 

government audit standards. A written 

report of the audit must be forwarded to 

HUD within 60 days of issuance. Grant 

recipients must comply with the 

requirements of 24 CFR part 84 or 24 

CFR part 85, as stated in OMB Circulars 

A–110, A–87, and A–122, as applicable. 

ll. Section 3. HOPE VI grantees must 

comply with section 3 of the Housing 

and Urban Development Act of 1968 (12 

U.S.C. 1701u) (Economic Opportunities 

for Low- and Very-Low-Income Persons 

in Connection with Assisted Projects) 

and its implementing regulations at 24 

CFR part 135. Information about section 

3 can be found at HUD’s section 3 Web 

site at http://www.hud.gov/offices/fheo/ 

section3/section3.cfm. 

mm. General Section References. The 

following subsections of section III.C. of 

the General Section are hereby 

incorporated by reference: 

(1) The Americans with Disabilities 

Act of 1990; 

(2) Affirmatively Furthering Fair 

Housing; 

(3) Economic Opportunities for Lowand Very Low-Income Persons (section 

3); 

(4) Executive Order 13166, Improving 

Access to Services for Persons With 

Limited English Proficiency (LEP); 

(5) Accessible Technology; 

(6) Procurement of Recovered 

Materials; 


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(7) Participation in HUD-Sponsored 

Program Evaluation; 

(8) Executive Order 13202, 

Preservation of Open Competition and 

Government Neutrality Towards 

Government Contractors’ Labor 

Relations on Federal and Federally 

Funded Construction Projects; 

(9) OMB Circulars and Governmentwide Regulations Applicable to 

Financial Assistance Programs; and 

(10) Drug-Free Workplace. 

nn. Program Requirements that Apply 

to Match. See Section III.B.1. 

oo. Program Requirements that Apply 

to Match and Leverage. Applicants must 

follow these requirements in compiling 

and documenting their match and 

leverage resources for purposes of the 

NOFA. 

(1) You must actively enlist other 

stakeholders who are vested in and can 

provide significant financial assistance 

to your revitalization effort, both for 

match and leverage, and for physical 

development and CSS. 

(2) Types of Resources. HUD seeks to 

fund mixed-finance developments that 

use HOPE VI funds to match funds 

requested and leverage the maximum 

amount of other funds, particularly from 

private sources, that will result in 

revitalized public housing, other types 

of assisted and market-rate housing, and 

private retail and economic 

development. There are four types of 

resources: Development, CSS, 

Anticipatory, and Collateral. 

Development and CSS match and 

leverage are program requirements, the 

types of resources for which are 

discussed below. Anticipatory and 

Collateral leverage are included only in 

the Leverage rating factor, but follow the 

requirements below for purposes of 

scoring. 

(3) General Requirements. These 

general requirements apply to all match 

and leverage resource commitments. 

(a) Firmly Committed. All resources 

for match and leverage must be firmly 

committed. ‘‘Firmly committed’’ means 

that the amount of the resource and its 

dedication to HOPE VI Revitalization 

activities must be explicit, in writing, 

and signed by a person authorized to 

make the commitment. 

(b) Endorsements or general letters of 

support from organizations or vendors 

alone will not count as resources and 

should not be included in the 

application or on a Resources Summary 

Form. As noted above, resources must 

be firmly committed. 

(c) Commitment letters must detail 

the dollar amount and term of the 

commitment (e.g., Agency X has 

committed to the residents of the public 

housing development $100,000 for each 

of 5 years, for a total of $500,000). 

Letters that do not include specific 

dollar amounts or terms will not be 

counted. 

(d) Signature. Resource commitments 

must be written and be signed by the 

appropriate official. 

(e) Dating. Match and leverage 

commitment letters must represent valid 

and accurate commitments. Resource 

commitment letters dated prior to 5 

years before the NOFA publication date 

will not be accepted. 

(f) If the commitment document for 

any match or leverage funds/in-kind 

services is not included in the 

application and provided before the 

NOFA deadline date, the related match 

or leverage will not be considered. 

(g) Depending upon the specific 

Memorandum of Understanding (MOU), 

an MOU alone may not firmly commit 

funds, e.g., when an MOU states that a 

donation agreement may be discussed in 

the future. If an MOU does firmly 

commit funds, MOU language that does 

so should be highlighted or mentioned 

in the application. To ensure inclusion 

of funds, MOUs should be accompanied 

by commitment letters or contracts. 

(h) The PHA’s staff time and benefits 

are not an eligible match or leverage 

resource. 

(4) Development Resources. 

(a) Types of Development Resources. 

Types of Development Resources may 

include: 

(i) Private mortgage-secured loans, 

insured loans and other debt. 

(a) Where there is both a construction 

loan and a permanent take-out loan that 

will replace that construction loan, you 

must provide documentation of both, 

but only the value of the permanent 

loan will be counted. 

(b) If you have obtained a 

construction loan but not a permanent 

loan, the value of the acceptably 

documented construction loan will be 

counted. 

(c) Your application or commitment 

letters must include each loan’s interest 

rate, expected term maturity, and the 

frequency of repayment. 

(d) For privately financed 

homeownership, acceptable 

documentation of construction loans 

only will be considered. Permanent 

financing will not be counted as a 

development resource. 

(ii) Donations and contributions. 

(iii) Housing trust funds. 

(iv) Net sales proceeds from a 

completed homeownership project. 

Homeownership down payments from 

homebuyers will not be counted. Down 

payment assistance may be counted as 

a physical development resource if it is 

provided by a third-party entity not 

related to the homebuyer. 

(v) Funds committed to build private 

sector housing in direct connection with 

the HOPE VI Revitalization plan. 

(vi) Tax Increment Financing (TIF). A 

TIF will only be considered for match/ 

leverage scoring under this NOFA if, as 

documented in a letter from the unit of 

local government responsible for 

approving the TIF: The TIF district has 

been formally created; the unit of local 

government responsible for approving 

the TIF has issued an approval (as of the 

application deadline) allowing the TIF 

to benefit the HOPE VI project; and the 

letter includes an estimate of the 

amount of resources anticipated to be 

generated by the TIF in relation to the 

HOPE VI. 

(vii) Tax Exempt Bonds. Your 

application must include a description 

of the use and term. 

(viii) Other Public Housing Funds. 

Other public housing sources include 

HOPE VI Revitalization funds from 

other grants, HOPE VI Demolition 

funds, HOPE VI Neighborhood 

Networks funds, HOPE VI Main Street 

funds, Capital Fund program funds, and 

proposals to use operating subsidy for 

debt service. These HUD public housing 

funds will NOT be counted for points 

under CSS, Development, and Collateral 

leverage in this NOFA. (However, they 

can be used as part of your revitalization 

plan.) Other public housing funds, 

except for HOPE VI Revitalization 

funds, will be counted toward your 

leverage rating for Anticipatory 

leverage. You may NOT include 

amounts from HOPE VI program 

funding, including HOPE VI 

Revitalization, HOPE VI Demolition, 

HOPE VI Neighborhood Networks, or 

HOPE VI Main Street grants, toward 

your match requirement. (Capital Funds 

may be counted for match; see Section 

III.B.1 for information on match). 

(ix) Other Federal Funds. Other 

federal sources may include non-public 

housing funds provided by HUD. 

(x) Sale of Land. The value of land 

may be included as a development 

resource only if this value is a sales 

proceed. Absent a sales transaction, the 

value of land may not be counted. 

(xi) Donations of Land. Donations of 

land may be counted as a development 

resource, only if the donating entity 

owns the land to be donated. Donating 

entities may include a city, county/ 

parish, church, community 

organization, etc. The application must 

include documentation of this 

ownership, signed by the appropriate 

authorizing official. 

(xii) Low-Income Housing Tax Credits 

(LIHTC). 

(a) Low-Income Tax Credits are 

authorized by section 42 of the IRS 


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Code, which allows investors to receive 

a credit against federal tax owed in 

return for providing funds to developers 

to help build or renovate housing that 

will be rented only to lower-income 

households, for a minimum period of 15 

years. 

(b) There are two types of credits, 

both of which are available over a 10- 

year period: A 9 percent credit on 

construction/rehab costs, and a 4 

percent credit on acquisition costs and 

all development costs financed partially 

with below-market federal loans (e.g., 

tax-exempt bonds). Tax credits are 

generally reserved annually through 

State Housing Finance Agencies, a 

directory of which can be found at 

http://www.ncsha.org/section.cfm/4/39/ 

187. 

(c) Only LIHTC commitments that 

have been secured as of the application 

deadline date will be considered for 

match/leverage scoring under this 

NOFA. LIHTC commitments that are not 

secured (i.e., documentation in the 

application does not demonstrate they 

have been reserved by the state or local 

housing finance agency) will not be 

counted for match/leverage scoring. 

Only tax credits that have been reserved 

specifically for revitalization performed 

through this NOFA will be counted. 

(d) Endorsements or general letters of 

support from organizations or vendors 

alone will not count as resources and 

should not be included in the 

application or on a Resources Summary 

Form. 

(e) If you propose to include LIHTC 

equity as a development resource for 

any phase of development, your 

application must include a LIHTC 

reservation letter from your state or 

local housing finance agency in order to 

have the tax credit amounts counted in 

match/leverage scoring. This letter must 

constitute a firm commitment and can 

only be conditioned on the receipt of 

the HOPE VI grant. HUD acknowledges 

that, depending on the housing finance 

agency, documentation for 4 percent tax 

credits may be represented in the form 

of a tax-exempt bond award letter. 

Accordingly, it will be accepted for 

match/leverage scoring purposes under 

this NOFA if you demonstrate that this 

is the only available evidence of 4 

percent tax credits, and assuming that 

this documentation clearly indicates 

that tax-exempt bonds have been 

committed to the project. 

(b) Sources of Development 

Resources. Sources of Development 

Resources may include: 

(i) Public, private, and nonprofit 

entities, including LIHTC purchasers; 

(ii) State and local housing finance 

agencies; 

(iii) Local governments; 

(iv) The city’s housing and 

redevelopment agency or other 

comparable agency. HUD will consider 

this to be a separate entity with which 

you are partnering if your PHA is also 

a redevelopment agency or otherwise 

has citywide responsibilities. 

(v) You may seek a pledge of 

Community Development Block Grant 

(CDBG) funds for improvements to 

public infrastructure such as streets, 

water mains, etc. related to the 

revitalization effort. CDBG funds are 

awarded by HUD by formula to units of 

general local government and to states, 

which may then award a grant or loan 

to certain other entities for revitalization 

activities. As a general rule, CDBG funds 

may not be used for the construction of 

new permanent housing. More 

information about the CDBG at http:// 

www.hud.gov/offices/cpd/index.cfm. 

(vi) The city, county/parish, or state 

may provide HOME funds to be used for 

the development of housing units 

assisted with HOPE VI funds. The 

HOME Investment Partnership program 

provides funds for affordable housing 

that are distributed from HUD to units 

of general local governments and states. 

Funds may be used for new 

construction, rehabilitation, acquisition 

of standard housing, assistance to 

homebuyers, and tenant-based rental 

assistance. HOME-assisted rental 

housing units are subject to HOME rent 

limits, income limits, property 

standards, leases, tenant selection, and 

long-term affordability requirements. 

HOME funds may be used for the 

development of units assisted with 

HOPE VI funds, but they may not be 

used for housing assisted with public 

housing capital funds under section 9(d) 

of the 1937 Act. Information about the 

HOME program can be found at 

http://www.hud.gov/offices/cpd/ 

affordablehousing/programs/home/ 

index.cfm. 

(vii) Foundations; 

(viii) Government Sponsored 

Enterprises such as the Federal Home 

Loan Bank, Fannie Mae, and Freddie 

Mac; 

(ix) HUD and other federal agencies; 

(x) Financial institutions, banks, or 

insurers; and 

(xi) Other private funders. 

(5) Community and Supportive 

Services Resources. 

a. General. 

(1) HUD seeks to fund mixed-finance 

developments that use HOPE VI funds 

to leverage the maximum amount of 

other resources to support CSS activities 

in order to ensure the successful 

transformation of the lives of residents 

and the sustainability of the revitalized 

public housing development. Match and 

leveraging of HOPE VI CSS funds with 

other funds and services is critical to the 

sustainability of CSS activities so that 

they will continue after the HOPE VI 

funds have been expended. 

Commitments of funding or in-kind 

services related to the provision of CSS 

activities may be counted as CSS 

resources and toward match and the 

calculation of CSS leverage, in 

accordance with the requirements 

below. 

(a) For CSS leverage (not match), 

include only funds/in-kind services that 

will be newly generated for HOPE VI 

activities. If an existing service provider 

significantly increases the level of 

services provided at the site, the 

increased amount of funds may be 

counted, except for TANF cash benefits. 

HUD will not count any funds for 

leverage points that have already been 

provided on a routine basis, such as 

TANF cash benefits and in-kind services 

that have been supporting ongoing CSStype activities. 

(b) Existing and newly generated 

TANF cash benefits will not count as 

leverage. Newly generated non-cash 

services provided by TANF agencies 

will count as leverage. 

(c) Even though an in-kind CSS 

contribution may count as a resource, it 

may not be appropriate to include on 

the sources and uses attachment. Each 

source on the sources and uses 

attachment must be matched by a 

specific and appropriate use. For 

example, donations of staff time may 

not be used to offset costs for 

infrastructure. 

(d) Note that wages projected to be 

paid to residents through jobs or 

projected benefits (e.g., health/ 

insurance/retirement benefits) related to 

projected resources to be provided by 

CSS partners may not be counted. 

(e) Resources must be directly 

applicable to the revitalization of the 

targeted public housing project and the 

transformation of the lives of residents 

of the targeted public housing project. 

Resources that are committed to 

individuals other than the residents of 

the targeted public housing 

development cannot be counted. 

(2) Types of Community and 

Supportive Services Resources. Types of 

Community and Supportive Services 

resources may include, but are not 

limited to: 

(a) Materials; 

(b) A building; 

(c) A lease on a building; 

(d) Other infrastructure; 

(e) Time and services contributed by 

volunteers; 

(f) PHA staff salaries and benefits; 


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(g) Supplies; 

(h) The value of supportive services 

provided by a partner agency, in 

accordance with the eligible CSS 

activities described in section III.C.1. 

(3) Sources of Community and 

Supportive Services Resources. In order 

to achieve quantifiable self-sufficiency 

results, you must form partnerships 

with organizations that are skilled in the 

delivery of services to residents of 

public housing and that can provide 

commitments of resources to support 

those services. You must actively enlist 

as partners other stakeholders who are 

vested in and can provide commitments 

of funds and in-kind services for the 

CSS portion of your revitalization effort. 

See Section III.C.3.m. above for 

examples of the kinds of organizations 

and agencies that can provide you with 

resources necessary to carry out and 

sustain your CSS activities. 

IV. Application and Submission 

Information 

A. Addresses To Request Application 

Package 

This section describes how applicants 

may obtain application packages and 

request technical assistance. Copies of 

the published NOFA and application 

forms for HUD programs are made 

available at Grants.gov at the following 

Web site: http://www.grants.gov/ 

applicants/apply_for_grants.jsp. 

1. Technical Assistance and Resources 

for Electronic Grant Applications 

a. Grants.gov Customer Support. 

Applicants having difficulty accessing 

the application and instructions or 

having technical problems can receive 

customer support from Grants.gov by 

calling (800) 518-GRANTS (this is a tollfree number) or by sending an e-mail to 

support@grants.gov. The customer 

support center is open from 7 a.m. to 9 

p.m. eastern time, Monday through 

Friday, except federal holidays. The 

customer service representatives will 

assist applicants in accessing the 

information and addressing technology 

issues. 

b. Desktop Users Guide for Submitting 

Electronic Grant Applications. HUD has 

published on its Web site a detailed 

Desktop Users Guide that walks 

applicants through the application 

submission process, beginning with 

finding a funding opportunity, 

completing the registration process, and 

downloading and submitting the 

electronic application. The guide 

includes helpful step-by-step 

instructions, screen shots, and errorproof tips to assist applicants in 

becoming familiar with submitting 

applications electronically. The guide is 

available online at http://www.hud.gov/ 

offices/adm/grants/deskuserguide.pdf. 

c. HUD’s Registration Brochure. HUD 

has a registration brochure that provides 

detailed information on the registration 

process. See http://www.hud.gov/ 

offices/adm/grants/regbrochure.pdf. 

d. HUD’s Finding and Applying for 

Grant Opportunities Brochure. HUD 

also has a brochure that will guide you 

through the process of finding and 

applying for grants. See HUD’s Finding 

and Applying for Grant Opportunities 

brochure at http://www.hud.gov/offices/ 

adm/grants/findapplybrochure.pdf. 

e. HUD’s NOFA Information Center. 

Applicants that do not have Internet 

access and need to obtain a copy of a 

NOFA can contact HUD’s NOFA 

Information Center toll-free at (800) 

HUD–8929. Persons with hearing or 

speech impairments may access this 

number via TTY by calling the Federal 

Information Relay Service at (800) 877–

8339. The NOFA Information Center is 

open between 10 a.m. and 6:30 p.m. 

eastern time, Monday through Friday, 

except federal holidays. 

f. HUD Staff. HUD staff will be 

available to provide you with general 

guidance and technical assistance about 

this notice or about individual program 

NOFAs. However, HUD staff is not 

permitted to help prepare your 

application. Following selection of 

applicants, but before announcement of 

awards are made, HUD staff is available 

to assist in clarifying or confirming 

information that is a prerequisite to the 

offer of an award or annual 

contributions contract (ACC) by HUD. If 

you have program-related questions, 

contact the agency contact listed in this 

NOFA. 

B. Content and Form of Application 

Submission 

1. Instructions on How To Register for 

Electronic Application Submission 

Applicants must submit their 

applications electronically through 

Grants.gov. Before you can do so, you 

must complete several important steps 

to register as a submitter. The 

registration process can take 

approximately 2 to 4 weeks to complete. 

Therefore, registration should be done 

in sufficient time before you submit 

your application. See Section IV.B. of 

the General Section for detailed 

information regarding the Grants.gov 

registration process. 

2. Instructions on How To Download an 

Application Package and Application 

Instructions 

a. The Application Package and 

Application Instructions. The general 

process for downloading, completing, 

submitting, and tracking grant 

application packages is described at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. See Section IV.B. 

of the General Section for additional 

information on this topic. 

3. Instructions on How To Complete the 

Selected Grant Application Package 

See Section IV.B. of the General 

Section for detailed information on this 

topic. 

4. Application Submission 

a. Paper Application Submissions. 

HUD’s regulations allow for a waiver of 

the electronic submission requirement 

for cause. If your organization is granted 

a waiver, you should follow the 

instructions below regarding paper 

application submissions. Unless 

otherwise indicated, the executive 

director of the applicant PHA, or his or 

her designee, must sign each form or 

certification that is required to be 

submitted with the application, whether 

part of an attachment or a standard 

certification; signatures need not be 

original in the duplicate Headquarters 

copy and the duplicate field office copy. 

b. Application Layout. These criteria 

apply to all applicants, unless otherwise 

noted. 

(1) Double-space your narrative pages. 

Single-spaced pages will be counted as 

two pages; 

(2) Use 81⁄2 × 11-inch paper (one side 

only, if you receive a waiver of the 

electronic submission). Only the city 

map may be submitted on an 81⁄2 by 14- 

inch sheet of paper. Larger pages will be 

counted as two pages; 

(3) All margins should be 

approximately one inch. If any margin 

is smaller than 1⁄2 inch, the page will be 

counted as two pages; 

(4) Use 12-point, Times New Roman 

font; 

(5) Any pages marked as sub-pages 

(e.g., with numbers and letters such as 

75A, 75B, 75C), will be treated as 

separate pages; 

(6) If a section is not applicable, 

indicate n/a; 

(7) Mark each Exhibit and Attachment 

with the appropriate tab/title page, as 

listed below. No material on the tab/title 

page will be considered for review 

purposes; 

(8) No more than one page of text may 

be placed on one sheet of paper; i.e., 

you may not shrink pages to get two or 

more on a page. Shrunken pages, or 

pages where a minimized/reduced font 

are used, will be counted as multiple 

pages; 


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(9) Do not format your narrative in 

columns. Pages with text in columns 

will be counted as two pages; 

(10) If you are granted a waiver from 

the electronic submission requirement: 

The applications (copy and original) 

should each be packaged in a three-ring 

binder; and 

(11) Narrative pages must be 

numbered. HUD recommends that 

applicants consecutively number the 

pages of the Attachments section to 

ensure proper assembly of their 

application if submitted electronically. 

c. Application Page Count. These 

criteria apply to all applicants. 

(1) Narrative Exhibits. 

(a) The first part of your application 

will be comprised of narrative exhibits. 

Your narratives will respond to each 

rating factor in the NOFA and will also 

respond to threshold requirements. 

Among other things, your narratives 

must describe your overall planning 

activities, including, but not limited to, 

relocation, community, and supportive 

services, and development issues. 

(b) Each HOPE VI Revitalization 

application must contain no more than 

100 pages of narrative exhibits. Any 

pages after the first 100 pages of 

narrative exhibits will not be reviewed. 

Although submitting pages in excess of 

the page limitations will not disqualify 

an application, HUD will not consider 

the information on any excess pages, 

which may result in a lower score or 

failure of a threshold. Text submitted at 

the request of HUD to correct a technical 

deficiency will not be counted in the 

100-page limit. 

(2) Attachments. 

(a) The second part of your 

application will be comprised of 

Attachments. These documents will also 

respond to the rating factors in the 

NOFA, as well as threshold and 

mandatory documentation 

requirements. They will include 

documents such as maps, photographs, 

letters of commitment, application data 

forms, various certifications unique to 

HOPE VI Revitalization, and other 

certifications. 

(b) Each HOPE VI Revitalization 

application must contain no more than 

125 pages of attachments. Any pages 

after the first 125 pages of attachments 

will not be considered. Although 

submitting pages in excess of the page 

limit will not disqualify an application, 

HUD will not consider the information 

on any excess pages, which may result 

in a lower score or failure to meet a 

threshold. 

(3) Exceptions to page limits. The 

documents listed below constitute the 

only exceptions and are not counted in 

the page limits listed in Sections (1) and 

(2) above: 

(a) Additional pages submitted at the 

request of HUD in response to a 

technical deficiency. 

(b) Attachments that provide 

documentation of commitments from 

Development, CSS, Collateral, and 

Anticipatory resource providers 

(Attachments 19–22). 

(c) Attachments that provide 

documentation of site control and site 

acquisition, in accordance with Section 

III of this NOFA (Attachment 18). 

(d) Narratives and Attachments, as 

relevant, required to be submitted only 

by existing HOPE VI Revitalization 

grantees, in accordance with Sections 

V.A. of this NOFA (Capacity). 

(e) Information required of MTW 

applicants only. 

(f) Standard forms (Attachment 33). 

(g) Blank/extra pages generated as part 

of standard forms. 

(h) Tabs/title pages that are blank or 

display a title/header. 

d. Electronic Submissions: Additional 

Format and Title Instructions. 

(1) Exhibits. Exhibits are as listed 

below in Section IV.B.6. of this NOFA. 

Each Exhibit should be contained in a 

separate file and section of the 

application. Each file should contain 

one title page. Do not create title pages 

separately from the document it goes 

with. 

(a) Exhibit Title Pages. HUD will use 

title pages as tabs when it downloads 

and prints the application. Provided the 

information on the title page is limited 

to the list in Section (b) below, the title 

pages will not be counted when HUD 

determines the length of each Exhibit, or 

the overall length of the Exhibits. 

(i) Each title page should only 

contain: 

(A) The name of the Exhibit, as 

described below in section IV.B.6. of 

this NOFA, e.g., ‘‘Narrative Exhibit A: 

Summary Information;’’

(B) The name of the applicant; and 

(C) The name of the file that contains 

the Exhibit. 

(b) Exhibit File Names and Types. 

(i) All Exhibit files in the application 

must be contained in one Exhibit ZIP 

file. 

(ii) Each file within the ZIP file must 

be formatted so it can be read by 

Microsoft Word (.doc (version 9)). 

(iii) Each file name must include the 

information below, in the order stated: 

(A) Short version of the applicant’s 

name, e.g., town, city, county/parish, 

etc., and state; and 

(B) The word ‘‘Exhibit’’ and the 

Exhibit letter (A through I), as listed in 

section IV.B.6. of this NOFA; 

(C) An example of an Exhibit file 

name is, ‘‘Atlanta GA Exhibit A.’’

(2) Attachments. Attachments are as 

listed below in section IV.B.6. of this 

NOFA. Each Attachment should be 

contained in a separate file and section 

of the application. Each Attachment that 

is not a HUD form should contain one 

title page. 

(a) Attachment Title Pages. HUD will 

use title pages as tabs if it downloads 

and prints the application. Provided the 

information on the title page is limited 

to the list in section (b) below, the title 

pages will not be counted when HUD 

determines the length of each 

Attachment or the overall length of the 

Attachments. HUD forms do not require 

title pages. 

(i) Each title page should only 

contain: 

(A) The name of the Attachment, as 

described below in section IV.B.6. of 

this NOFA, e.g., ‘‘Attachment 10: 

Extraordinary Site Costs Certification;’’

(B) The name of the applicant; and 

(C) The name of the file that contains 

the Attachment. 

(b) Attachment File Names and Types. 

(i) All Attachments that are not listed 

separately on grants.gov and are 

formatted as PureEdge forms, e.g., SF–

424, must be contained in one (or more 

as needed) Attachment ZIP file. 

(ii) Each file within the ZIP file must 

be formatted so it can be read by 

Microsoft Word (.doc (version 9)), 

Microsoft Excel 2000 (.xls), or Acrobat 

(.pdf) format compatible with Adobe 

Reader 6.0 or later. Grants.gov does not 

accept Vista or Microsoft Office 2007 

formats. 

(A) Attachments that are downloaded 

from grants.gov in MS Excel format may 

be submitted in Excel format. 

(B) Attachments that are downloaded 

from grants.gov in text format, e.g., 

certifications, should be submitted in 

Adobe Acrobat (.pdf) format. 

(C) Third-party documents, e.g., 

leverage commitment letters, pictures, 

etc., should be scanned and attached to 

your electronic application in Adobe 

Acrobat (.pdf) format or may be 

submitted via facsimile using form 

HUD–96011, Third Party 

Documentation Facsimile Transmittal 

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov). Also: 

(iii) Each file name must include the 

information below, in the following 

order: 

(A) A short version of the applicant’s 

name, e.g., the town, city, county/ 

parish, etc., and state; and 

(B) The word ‘‘Attachment’’ and the 

Attachment number, as listed in section 

IV.B.6. of this NOFA; 

(C) An example of an Exhibit file 

name is, ‘‘Atlanta GA Attachment 1.’’

5. Documentation requirements are 

provided in the ‘‘Threshold 


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Requirements’’ section (Section III.C.2.), 

‘‘Program Requirements’’ section 

(Section III.C.3), and ‘‘Rating Factors’’

section (Section V.A) of this NOFA. 

Applicants must carefully review and 

follow documentation requirements. 

6. Application Content. The following 

is a list of narrative exhibits, 

attachments, and instructions for each, 

that are required as part of the 

application. Non-submission of these 

items may lower your rating score or 

make you ineligible for award under 

this NOFA. Review the threshold 

requirements in section III.C. and the 

Rating Factors of section V.A. to 

ascertain the effects of non-submission. 

HUD forms required by this NOFA are 

included in the electronic application at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp. Applicants that are 

granted a waiver to the electronic 

submission requirement must include 

the narrative exhibits and attachments 

in the application in the order listed 

below. Here is the order for the Table of 

Contents and the order in which paper 

applications must be submitted, if you 

are granted a waiver to the electronic 

application submission requirement: 

(1) Acknowledgment of Application 

Receipt, form HUD–2993 (applies only 

if you are granted a waiver to the 

electronic submission requirement); 

(2) Application for Federal 

Assistance, Standard Form SF–424; and 

(3) HOPE VI Revitalization 

Application Table of Contents. 

a. Narrative Exhibits 

(1) Narrative Exhibit A: Summary 

Information 

(2) Narrative Exhibit B: Capacity 

(3) Narrative Exhibit C: Need 

(4) Narrative Exhibit D: Resident and 

Community Involvement 

(5) Narrative Exhibit E: Community 

and Supportive Services 

(6) Narrative Exhibit F: Relocation 

(7) Narrative Exhibit G: Fair Housing 

and Equal Opportunity 

(8) Narrative Exhibit H: WellFunctioning Communities 

(9) Narrative Exhibit I: Soundness of 

Approach 

b. Attachments 

(1) Attachments 1 through 7: HOPE VI 

Application Data Form, form HUD–

52860–A 

(2) Attachment 8: HOPE VI Budget, 

form HUD–52825–A 

(3) Attachment 9: TDC–Grant 

Limitations Worksheet, form HUD–

52799 

(4) Attachment 10: Extraordinary Site 

Costs Certification, if applicable 

(5) Attachment 11: City Map 

(6) Attachment 12: Assurances for a 

HOPE VI Application: for Developer, 

HOPE VI Revitalization Resident 

Training & Public Meeting Certification, 

Relocation Plan (whether relocation is 

completed or is yet to be completed) 

(7) Attachment 13: Program Schedule 

(8) Attachment 14: Certification of 

Severe Physical Distress 

(9) Attachment 15: Photographs of the 

Severely Distressed Housing 

(10) Attachment 16: Neighborhood 

Conditions 

(11) Attachment 17: Preliminary 

Market Assessment Letter, if relevant 

(12) Attachment 18: Documentation of 

Site Control for Off-Site Public Housing 

(13) Attachments 19 through 22: 

HOPE VI Revitalization Leverage 

Resources, form HUD–52797 

(14) Attachment 23: Documentation of 

Environmental, and Neighborhood 

Standards 

(15) Attachment 24: Land Use 

Certification or Documentation 

(16) Attachment 25: Evaluation 

Commitment Letter(s) 

(17) Attachment 26: Current Site Plan 

(18) Attachment 27: Photographs of 

Architecture in the Surrounding 

Community 

(19) Attachment 28: Conceptual Site 

Plan 

(20) Attachment 29: Conceptual 

Building Elevations 

(21) Attachment 30: HOPE VI 

Revitalization Application Certifications 

(22) Attachment 31: HOPE VI 

Revitalization Project Readiness 

Certification, form HUD–52787 

(23) Attachment 32: Capital Fund 

Financing Program Threshold: Legal 

Counsel Opinion and Executive Director 

Certification, if applicable 

(24) Attachment 33: Standard Forms 

and Certifications 

(a) Application for Federal Assistance 

(SF–424); 

(b) Acknowledgment of Application 

Receipt (form HUD–2993), applicable 

ONLY if the applicant obtains a waiver 

from the electronic submission 

requirement; 

(c) Disclosure of Lobbying Activities 

(SF–LLL), if applicable; 

(d) Applicant/Recipient Disclosure/ 

Update Report (form HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

(e) Program Outcome Logic Model 

(form HUD–96010); 

(f) America’s Affordable Communities 

Initiative (form HUD–27300) (and 

supporting documentation); 

(g) If applicable, Funding Application 

for Housing Choice Voucher Assistance 

prepared in accordance with Notice PIH 

2007–10 (and any reinstatement of or 

successor to that Notice), including the 

Section 8 Tenant-Based Assistance 

Rental Certificate Program and the 

Rental Voucher Program, form HUD–

52515; 

(h) form HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov), if applicable. 

Further Documentation Guidance on 

Narrative Exhibits and Attachments. 

Please be sure to carefully review 

sections III, IV, and V for program and 

documentation requirements for all the 

elements below. 

a. Exhibit A. Verify that you have 

included information relating to the 

following exhibits. 

(1) Executive Summary. Provide an 

Executive Summary, not to exceed three 

pages. Describe your Revitalization 

plan, as clearly and thoroughly as 

possible. Do not argue for the need for 

the HOPE VI grant, but explain what 

you would do if you received such a 

grant. Briefly describe why the targeted 

project is severely distressed, provide 

the number of units, and indicate how 

many of the units are occupied. 

Describe specific plans for the 

revitalization of the site. Include income 

mix, basic features (such as restoration 

of streets), and any mixed use or nonhousing components. If you are 

proposing off-site replacement housing, 

provide the number and type of units 

and describe the off-site locations. 

Describe any homeownership 

components included in your Plan, 

including the numbers of units. Briefly 

summarize your plans for community 

and supportive services. State the 

amount of HOPE VI funds you are 

requesting and list the other major 

funding sources you will use for your 

mixed-finance development. Identify 

whether you have procured a developer 

or whether you will act as your own 

developer. 

(2) Physical Plan. Describe your 

planned physical revitalization 

activities: 

(a) Rehabilitation of severely 

distressed public housing units, in 

accordance with sections I(C) and III(C) 

of the NOFA; 

(b) Development of public housing 

replacement rental housing, both on-site 

and off-site, in accordance with sections 

I(C) and III(C) of the NOFA; 

(c) Indicate whether you plan to use 

PATH technologies and Energy Star in 

the construction of replacement 

housing, in accordance with section 

III(C) of the NOFA; 

(d) Market rate housing units (see 

sections III(C)); 

(e) Units to be financed with lowincome housing tax credits; 

(f) Replacement homeownership 

assistance for displaced public housing 

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eligible low-income families, in 

accordance with sections I(C) and III(C) 

of the NOFA. Also describe any marketrate homeownership units planned, 

sources, and uses of funds. Describe the 

relationship between the HOPE VI 

activities and costs and the 

development of homeownership units, 

both public housing and market rate. If 

you are selected for funding, you will be 

required to submit a Homeownership 

Proposal (homeownership term sheet); 

(g) Rehabilitation or new construction 

of community facilities primarily 

intended to facilitate the delivery of 

community and supportive services for 

residents of the targeted development 

and residents of off-site replacement 

housing, in accordance with sections 

I(C) and III(C). Describe the type and 

amount of such space and how the 

facilities will be used in CSS program 

delivery or other activities; 

(h) Zoning, land acquisition, and 

infrastructure and site improvements. 

Note that HOPE VI grant funds may not 

be used to pay hard development costs 

or to buy equipment for retail or 

commercial facilities; 

(3) Hazard Reduction. Review 

sections I(C), III(C), and IV(E) of the 

NOFA. For units to be rehabilitated or 

demolished, describe the extent of any 

required abatement of environmentally 

hazardous materials such as asbestos. 

(4) Demolition. Review sections I(C) 

and III(C) of the NOFA. Describe your 

plans for demolition, including the 

buildings (dwelling and non-dwelling 

units) proposed to be demolished, the 

purpose of the demolition, and the use 

of the site after demolition. If the 

proposed demolition was previously 

approved as a section 18 demolition 

application, state the date the section 18 

demolition application was submitted to 

HUD and the date it was approved by 

HUD. Indicate whether you plan to 

implement the concept of 

Deconstruction, as described in section 

III(C) of the NOFA. 

(5) Disposition. Review sections I(C) 

and III(C) of the NOFA. Describe the 

extent of any planned disposition of any 

portion of the site. Cite the number of 

units or acreage to be disposed, the 

method of disposition (sale, lease, 

trade), and the status of any disposition 

application made to HUD. 

(6) Site Improvements. Review 

sections I(C), III(C), and IV(E) of the 

NOFA. Describe any proposed on-site 

improvements, including infrastructure 

requirements, changes in streets, etc. 

Describe all public improvements 

needed to ensure the viability of the 

proposed project with a narrative 

description of the sources of funds 

available to carry out such 

improvements. 

(7) Site Conditions. Review sections 

I(C), III(C), and IV(E) of the NOFA. 

Describe the conditions of the site to be 

used for replacement housing. Listing 

all potential contamination or danger 

sources (e.g., smells, fire, heat, 

explosion, and noise) that might be 

hazardous or cause discomfort to 

residents, PHA personnel, or 

construction workers. List potential 

danger sources, including commercial 

and industrial facilities, brownfields 

and other sites with potentially 

contaminated soil, commercial airports, 

and military airfields. Note any facilities 

and/or activities within one mile of the 

proposed site. 

(8) Separability. See Section III(C) of 

the NOFA. If applicable, address the 

separability of the revitalized 

building(s) within the targeted project. 

This is a threshold. 

(9) Proximity. If applicable, describe 

how two contiguous projects meet the 

requirement of section III(C) of the 

NOFA, or how scattered sites meet the 

requirements of section III(C) of the 

NOFA. 

b. Exhibit B. Capacity. Verify that you 

have included information relating to 

the following exhibits: 

(1) PHAS, Maintenance, and SEMAP. 

Respond to the Rating Factors at 

V(A)(1)(g), V(A)(1)(h), and V(A)(1)(i) of 

the NOFA. 

(2) Development Capacity of 

Developer. Respond to Rating Factor 

V(A)(1)(a). 

(3) Development Capacity of 

Applicant. Respond to Rating Factor 

V(A)(1)(b). 

(4) Capacity of Existing HOPE VI 

Revitalization grantees. Respond to 

Rating Factor V(A)(1)(c) of the NOFA. 

This rating factor applies only to PHAs 

with existing HOPE VI Revitalization 

grants from FYs 1993 to 2003. 

Expenditure information will be taken 

from Line of Credit Control System 

(LOCCS) as of the application deadline 

date. 

(5) CSS Program Capacity. Respond to 

Rating Factor V(A)(1)(d) of the NOFA. 

(6) Property Management Capacity. 

Respond to Rating Factor V(A)(1)(e) of 

the NOFA. 

(7) PHA or MTW Plan. Respond to 

Rating Factor V(A)(1)(f) of the NOFA. 

c. Exhibit C. Need. Verify that you 

have included information relating to 

the following: 

(1) Need for Revitalization: Severe 

Physical Distress of the Public Housing 

Site. Respond to Rating Factor 

V(A)(2)(a) of the NOFA. 

(2) Need for Revitalization: Impact of 

the Severely Distressed Site on the 

Surrounding Neighborhood. Respond to 

Rating Factor V(A)(2)(b) of the NOFA. 

(3) Need for HOPE VI Funding 

(Obligation of Capital Funds). Respond 

to Rating Factor V(A)(2)(c) of the NOFA. 

(4) Previously Funded Sites. Respond 

to section III(C)(2) of the NOFA. This is 

a threshold requirement. 

(5) Need for Affordable, Accessible 

Housing in the Community. Respond to 

Rating Factor V(A)(2)(d) of the NOFA. 

(6) Need for Affordable Accessible 

Housing in the Nation. Respond to 

Rating Factor V(A)(2)(e) of the NOFA. 

d. Exhibit D. Resident and 

Community Involvement. Verify that 

you have included information relating 

to the following. Discuss your 

communications about your 

development plan and HUD 

communications with residents, 

community members, and other 

interested parties. Include the resident 

training attachment. Review program 

requirements in section III and respond 

to Rating Factor V(A)(4). 

e. Exhibit E. Community and 

Supportive Services. Respond to section 

V(A)(5). Verify that you have included 

information relating to the following: 

Endowment Trust. If you plan to place 

CSS funds in an Endowment Trust, 

review section III(C) and section 

V(A)(5), and state the dollar amount and 

percentage of the entire grant that you 

plan to place in the Trust. 

f. Exhibit F. Relocation. Verify that 

you have included information relating 

to the following: 

(1) Housing Choice Voucher (HCV) 

Needs. Review section III(C) and V(A)(6) 

of the NOFA. State the number of HCVs 

that will be required for relocation if 

this HOPE VI application is approved, 

both in total and the number needed for 

FY 2007. Indicate the number of units 

and the bedroom breakout. Applicants 

must prepare their HCV assistance 

applications for the targeted project in 

accordance with the requirements of 

Notice PIH 2007–10 (and any 

reinstatement of or successor to that 

Notice) and submit it in its entirety with 

the HOPE VI Revitalization Application 

(not just form HUD 52515). This 

application should be placed at the back 

of the application with the other 

Standard Forms and Certifications. HUD 

will process the HCV assistance 

applications for funded HOPE VI 

applicants. 

(2) Relocation Plan. Review sections 

III(C)(2) and III(C)(3) of the NOFA and 

respond to Rating Factor V(A)(6). For 

additional guidance, refer to Handbook 

1378 and form HUD–52774. 

g. Exhibit G. Fair Housing and Equal 

Opportunity. Verify that you have 


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included information relating to the 

following: 

(1) Accessibility. Respond to Rating 

Factor V(A)(7)(a)(1). 

(2) Universal Design. Respond to 

Rating Factor V(A)(7)(a)(2). 

(3) Fair Housing. Respond to Rating 

Factor V(A)(7)(b). 

(4) Section 3. Respond to Rating 

Factor V(A)(7)(c). 

h. Exhibit H. Verify that you have 

included information relating to the 

following: 

(1) Unit Mix and Need for Affordable 

Housing. Respond to Rating Factor 

V(A)(8)(a); 

(2) Off-Site Housing. Respond to 

Rating Factor V(A)(8)(b); and 

(3) Homeownership Housing. 

Respond to Rating Factor V(A)(8)(c). 

i. Exhibit I. Verify that you have 

included information relating to the 

following: 

(1) Appropriateness of Proposal. 

Respond to the threshold requirement in 

section III(C)(2). 

(2) Appropriateness and Feasibility of 

the Plan. Respond to Rating Factor 

V(A)(9)(b); 

(3) Neighborhood Impact and 

Sustainability of the Plan. Respond to 

Rating Factor V(A)(9)(c); 

(4) Project Readiness. Respond to 

Rating Factor V(A)(9)(d) by completing 

the certification form provided; 

(5) Program Schedule. Respond to 

Rating Factor V(A)(9)(e); 

(6) Design. Describe the features of 

your proposed design and respond to 

Rating Factor V(A)(9)(f); 

(7) Energy Star. Respond to Rating 

Factor V(A)(9)(g); and 

(8) Evaluation. Respond to Rating 

Factor V(A)(9)(h). 

j. Attachments 1 through 7. These 

attachments are required in all 

applications. For instruction on how to 

fill out Attachments 1 through 7, see 

Appendix 1, Instructions for the HOPE 

VI Application Data Forms. 

k. Attachment 8. This attachment is 

required in all applications. In addition 

to the instructions included in the 

HOPE VI Budget form, general guidance 

on preparing a HOPE VI budget can be 

found on the Grant Administration page 

of the HOPE VI Web site, http:// 

www.hud.gov/offices/pih/programs/ph/ 

hope6/. 

l. Attachment 9. Form HUD–52799, 

‘‘TDC/Grant Limitations Worksheet.’’

This attachment is required in all 

applications. The Excel workbook will 

assist you in determining your TDC 

limits required in section IV.E. 

m. Attachment 10. Extraordinary Site 

Costs Certification. This attachment is 

applicable only if you request funds to 

pay for extraordinary site costs, outside 

the TDC limits. See section IV.E. 

n. Attachment 11. City Map. This 

attachment is required in all 

applications. Review section III(C). 

Provide a to-scale city map that clearly 

identifies the following in the context of 

existing city streets, the central business 

district, other key city sites, and census 

tracts: 

(1) the existing development; 

(2) replacement neighborhoods, if 

available; 

(3) off-site properties to be acquired, 

if any; 

(4) the location of the federally 

designated Empowerment Zone or 

Enterprise Community (if applicable); 

and 

(5) other useful information to place 

the project in the context of the city, 

county/parish, or municipality, and 

other revitalization activity underway or 

planned. 

If you request funds for more than one 

project or for scattered site housing, the 

map must clearly show that the 

application meets the NOFA’s site and 

unit requirements. If you have received 

a waiver from the electronic submission 

requirement, this map may be submitted 

on 81⁄2′′ by 14′′ paper. 

o. Attachment 12. Assurances for a 

HOPE VI Application: for Developer, 

HOPE VI Revitalization Resident 

Training and Public Meeting 

Certification, and Relocation Plan 

(whether relocation is completed or is 

yet to be completed). Please complete 

this assurance document. Do not sign; a 

signature is not required. 

p. Attachment 13. Program Schedule. 

Review Rating Factor V.A.9.e. 

q. Attachment 14. Certification of 

Severe Physical Distress. This 

attachment is required in all 

applications. In accordance with 

sections I(C) and III(C)(2) and (3), an 

engineer or architect must complete 

Attachment 14. No backup 

documentation is required for this 

certification. 

r. Attachment 15. Photographs of the 

Severely Distressed Housing. This 

attachment is required in all 

applications. Review Rating Factor 

V(A)(2)(a). Submit photographs of the 

targeted severely distressed public 

housing that illustrate the extent of 

physical distress. 

s. Attachment 16. Neighborhood 

Conditions. This attachment is required 

in all applications. Submit 

documentation described in Rating 

Factor V(A)(2)(b). Documentation may 

include crime statistics, photographs or 

renderings, socio-economic data, trends 

in property values, evidence of property 

deterioration and abandonment, 

evidence of underutilization of 

surrounding properties, and other 

indications of neighborhood distress 

and/or disinvestment. 

t. Attachment 17. Preliminary Market 

Assessment Letter, if relevant. This is 

applicable if you include market rate 

housing in your application, in 

accordance with section V.9., 

Soundness of Approach. 

u. Attachment 18. Documentation of 

Site Control for Off-Site Public Housing. 

This is applicable if your plan includes 

off-site housing or other development. If 

applicable, provide evidence of site 

control for rental replacement units or 

land, in accordance with section 

III(C)(2). See section IV(B) for 

documentation requirements. You must 

include a cover sheet with your 

documented evidence of site control in 

the Attachments section. This cover 

sheet must provide a table that matches 

the off-site parcels proposed in your 

application for housing development to 

the corresponding documented 

evidence of site control for those 

parcels. Specifically, this table should 

provide in one column the name of each 

parcel, as identified in your application. 

A second column should contain the 

name of the documented evidence 

corresponding to each parcel. A third 

column should provide the location of 

the documented evidence in the 

attachment (page number, etc.) and any 

other necessary detail about the 

evidence. If more than one unit will be 

built on a parcel, this must also be 

identified in the table. The purpose of 

this table is to aid reviewers’ ability to 

determine whether your application 

complies with this threshold. 

Accordingly, applicants should provide 

site control information as clearly and 

consistently as possible. 

v. Attachments 19 through 22. HOPE 

VI Revitalization Leverage Resources, 

form HUD–52797. These attachments 

are included in form HUD–52797, 

‘‘HOPE VI Revitalization Leverage 

Resources’’ and are required in all 

applications. 

(1) Physical Development Resources. 

In accordance with Rating Factor 

V(A)(3)(b), complete Attachment 19, as 

provided in the application, by entering 

the dollar value of each resource that 

will be used for physical development. 

For each resource entered, you must 

submit backup documentation in 

Attachment 19. See section III.C, 

‘‘Program Requirements’’ and ‘‘Program 

Requirements that Apply to Match and 

Leverage’’ for resource and 

documentation requirements. 

(2) CSS Resources. In accordance with 

Rating Factor V(A)(3)(c), complete this 

Attachment 20, as provided in the 

application, by entering the dollar value 

of all resources that will be used for CSS 


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activities. For each resource entered, 

submit backup documentation in 

Attachment 20. See section III.C, 

‘‘Program Requirements’’ and ‘‘Program 

Requirements that Apply to Match and 

Leverage’’ for resource and 

documentation requirements. 

(3) Anticipatory Resources. Complete 

Attachment 21, as provided in the 

Application, by entering the dollar 

value of all anticipatory resources as 

described in Rating Factor V(A)(3)(d). 

For each resource entered, submit 

backup documentation in Attachment 

21. See section III.C, ‘‘Program 

Requirements’’ and ‘‘Program 

Requirements that Apply to Match and 

Leverage’’ for resource and 

documentation requirements. 

(4) Collateral Resources. Complete 

Attachment 22, as provided in the 

Application, by entering the dollar 

value of all collateral resources as 

described in Rating Factor V(A)(3)(e). 

For each resource entered, submit 

backup documentation behind 

Attachment 22. See section III.C, 

‘‘Program Requirements’’ and ‘‘Program 

Requirements that Apply to Match and 

Leverage’’ for resource and 

documentation requirements. 

w. Attachment 23. Documentation of 

Environmental, and Neighborhood 

Standards. This is applicable if your 

plan includes off-site housing or other 

off-site development. Provide a 

certification that the site(s) acquired for 

off-site public housing meet 

environmental and site and 

neighborhood standards, as provided in 

section V(A)(8)(b)(2). This certification 

may be in the form of a letter. 

x. Attachment 24. Land Use 

Certification or Documentation. 

Complete this certification in 

accordance with the land use threshold 

in section III(C)(2). This attachment may 

be a certification or copies of the actual 

land use documentation. The 

certification may be in the form of a 

letter. 

y. Attachment 25. Evaluation 

Commitment Letter(s). This attachment 

is required in all applications. Review 

section V(A)(9)(h) and provide the 

requested commitment letter(s) that 

addresses the indicated evaluation 

areas. 

z. Attachment 26. Current Site Plan. 

This attachment is required in all 

applications. The Site Plan shows the 

targeted public housing site’s various 

buildings and identifies which 

buildings are to be rehabilitated, 

demolished, or disposed of. Demolished 

buildings should be shown and labeled 

as such. 

aa. Attachment 27. Photographs of 

Architecture in the Surrounding 

Community. This attachment is required 

in all applications. Provide photographs 

to demonstrate that your plan conforms 

to the Design requirements of section 

III.C.3. and Rating Factor V(A)(9)(f). 

bb. Attachment 28. Conceptual Site 

Plan. This attachment is required in all 

applications. The Conceptual Site Plan 

indicates where your plan’s proposed 

construction and rehabilitation 

activities will take place and any 

planned acquisition of adjacent property 

and/or buildings. Review the design 

requirements of section III.C.3. and 

Rating Factor V(A)(9)(f). 

cc. Attachment 29. Conceptual 

Building Elevations. This attachment is 

required in all applications. Review the 

design requirements of section III.C.3. 

and Rating Factor V(A)(9)(f). Include 

building elevation drawings for the 

various types of your proposed housing. 

dd. Attachment 30. HOPE VI 

Revitalization Application 

Certifications. This attachment is 

required in all applications. This form is 

contained in the electronic application 

at http://www.grants.gov/applicants/ 

apply_for_grants.jsp. Note that these 

certifications (four page document) must 

be signed by the chairman of the board 

of the PHA, NOT the executive director. 

ee. Attachment 31. HOPE VI 

Revitalization Project Readiness 

Certification, form HUD–52787. This 

attachment is required in all 

applications. Complete Attachment 31 

by indicating which of the items in 

Rating Factor V(A)(9)(d) of the NOFA 

have been completed. 

ff. Attachment 32. Capital Fund 

Financing Program Threshold: Legal 

Counsel Opinion and Executive Director 

Certification, if applicable. Review the 

CFFP threshold requirement in section 

III.C. and provide an opinion from your 

legal counsel and certification from the 

executive director, if applicable. 

gg. Attachment 33. Standard Forms 

and Certifications. 

(a) Application for Federal Assistance 

(SF–424). Note: Applicants must enter 

their legal name in box 8.a. of the SF–

424 as it appears in the Central 

Contractor Register (CCR). See the 

General Section regarding CCR 

registration. This form will be placed at 

the front of your application; 

(b) Acknowledgment of Application 

Receipt (form HUD–2993), which is 

applicable ONLY if the applicant 

obtains a waiver from the electronic 

submission requirement; this will be 

placed at the front of your application; 

(c) Disclosure of Lobbying Activities 

(SF–LLL), if applicable; 

(d) Applicant/Recipient Disclosure/ 

Update Report (form HUD–2880) (‘‘HUD 

Applicant Recipient Disclosure Report’’

on Grants.gov); 

(e) Program Outcome Logic Model 

(form HUD–96010); 

(f) America’s Affordable Communities 

Initiative (form HUD–27300) and 

supporting documentation; 

(g) If applicable, Funding Application 

for Housing Choice Voucher Assistance 

prepared in accordance with Notice PIH 

2007–10 (and any reinstatement of or 

successor to that Notice), including 

Section 8 Tenant-Based Assistance 

Rental Certificate Program, Rental 

Voucher Program, and form HUD–

52515. It is applicable only if you are 

requesting HCVs that are related to your 

proposed plan. In preparing the request 

for vouchers, applicants must follow 

PIH Notice 2007–10 and any successor 

notices; 

(h) Form HUD–96011, ‘‘Third Party 

Documentation Facsimile Transmittal’’

(‘‘Facsimile Transmittal Form’’ on 

Grants.gov), if applicable. 

C. Submission Dates and Times 

1. Applications submitted through 

Grants.gov must be received and 

validated by Grants.gov no later than 

11:59:59 p.m. eastern time on the 

application deadline date. Because there 

are several steps in the upload and 

receipt process, applicants are advised 

to submit their applications at least 48 

to 72 hours in advance of the deadline 

date and when the Grants.gov help desk 

is open, so that any issues can be 

addressed prior to the deadline date and 

time. HUD recommends uploading your 

application using Internet Explorer or 

Netscape. 

2. See the General Section for detailed 

information regarding the following 

topics: 

a. Confirmation of Submission to 

Grants.gov. 

b. Application Submission Validation 

Check. 

c. Application Validation and 

Rejection Notification. 

d. Late applications. 

D. Intergovernmental Review/State 

Points of Contact (SPOC) 

Executive Order 12372, 

‘‘Intergovernmental Review of Federal 

Programs,’’ was issued to foster 

intergovernmental partnership and 

strengthen federalism by relying on state 

and local processes for the coordination 

and review of federal financial 

assistance and direct federal 

development. HUD’s implementing 

regulations are published at 24 CFR part 

52. The executive order allows each 

state to designate an entity to perform a 

state review function. Applicants can 

find the official listing of State Points of 


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Contact (SPOCs) for this review process 

at http://www.whitehouse.gov/omb/ 

grants/spoc.html. States not listed at 

that web address have chosen not to 

participate in the intergovernmental 

review process and, therefore, do not 

have a SPOC. If your state has a SPOC, 

you should contact the SPOC to see if 

it is interested in reviewing your 

application before submission to HUD. 

Please make sure that you allow 

ample time for SPOC review when 

developing and submitting your 

applications. If your state does not have 

a SPOC, you can submit your 

application directly to HUD using 

Grants.gov. 

E. Funding Restrictions 

1. Statutory Time Limits 

a. Required Obligation Date. Funds 

appropriated for the HOPE VI program 

for FY 2007 must be obligated on or 

before September 30, 2008. Any funds 

that are not obligated by that date will 

be recaptured by the Treasury, and 

thereafter will not be available for 

obligation for any purpose. 

b. Required Expenditure Date. In 

accordance with 31 U.S.C. 1552, all FY 

2007 HOPE VI funds must be expended 

by September 30, 2013. Any funds that 

are not expended by that date will be 

cancelled and recaptured by the 

Treasury, and thereafter will not be 

available for obligation or expenditure 

for any purpose. 

2. Ineligible Activities 

a. You may not use HOPE VI 

Revitalization grant funds to pay for any 

revitalization activities carried out on or 

before the date of the letter announcing 

the award of the HOPE VI Grant. 

b. Market-Rate Units. HOPE VI funds 

may not be used to develop market-rate 

units or affordable housing units that do 

not qualify as public housing or 

homeownership replacement units. 

c. Retail or Commercial Development. 

HOPE VI funds may not be used for 

hard construction costs related to, or for 

the purchase of equipment for, retail, 

commercial, or non-public housing 

office facilities. 

3. Total Development Cost (TDC) 

a. The ‘‘TDC Limit’’ (24 CFR 941.306, 

Notice PIH 2007–19 (HA), or extending 

Notice) refers to the maximum amount 

of HUD funding that HUD will approve 

for development of specific public 

housing and other eligible replacement 

housing units to be developed under a 

HOPE VI Revitalization grant and/or 

under an Annual Contributions Contract 

for public housing development and 

modernization of public housing under 

the Capital Fund. The TDC limit applies 

only to the costs of development of 

public housing that are paid directly 

with HUD public housing funds, 

including HOPE VI funds; a PHA may 

exceed the TDC limit using non-public 

housing funds such as CDBG, HOME, 

low-income housing tax credit equity, 

etc. 

b. The HUD TDC Cost Tables are 

issued for each calendar year for the 

building type and bedroom distribution 

for the public housing replacement 

units. When making your TDC 

calculations, use the TDC limits in effect 

at the time this HOPE VI NOFA is 

published. TDC definitions and limits in 

the final rule are summarized as 

follows: 

(1) The total cost of development, 

which includes relocation costs, is 

limited to the sum of: 

(a) Up to 100 percent of HUD’s 

published TDC limits for the costs of 

demolition and new construction, 

multiplied by the number of HOPE VI 

public housing replacement units; and 

(b) Ninety percent of the TDC limits, 

multiplied by the number of public 

housing units after substantial 

rehabilitation and reconfiguration. 

(2) The TDC limit for a project is 

made up of the following components: 

(a) Housing Cost Cap (HCC): HUD’s 

published limit on the use of public 

housing funds for the cost of 

constructing the public housing units, 

which includes unit hard costs, 

builder’s overhead and profit, utilities 

from the street, finish landscaping, and 

a hard cost contingency. Estimates 

should take into consideration the 

Davis-Bacon minimum wage rate and 

other requirements as described in 

‘‘Labor Standards,’’ section III.C. of this 

NOFA. You may not request HOPE VI 

Revitalization grant funds for units 

currently under construction. 

(b) Community Renewal (CR): The 

balance of funds remaining within the 

project’s TDC limit after the housing 

construction costs described in (a) above 

are subtracted from the TDC limit. This 

is the amount of public housing funds 

available to pay for PHA administration, 

planning, infrastructure and other site 

improvements, community and 

economic development facilities, 

acquisition, relocation, demolition, and 

remediation of units to be replaced onsite, and all other development costs. 

(3) CSS. You may request an amount 

not to exceed 15 percent of the total 

HOPE VI grant to pay the costs of CSS 

activities, as described in section III.C. 

of this NOFA. These costs are in 

addition to, i.e., excluded from, the TDC 

calculation above. 

(4) Demolition and Site Remediation 

Costs of Unreplaced On-site Units. You 

may request an amount necessary for 

demolition and site remediation costs of 

units that will not be replaced on-site. 

This cost is in addition to (i.e., excluded 

from) the TDC calculation above. 

(5) Extraordinary Site Costs. 

(a) You may request a reasonable 

amount to pay extraordinary site costs, 

which are construction costs related to 

unusual pre-existing site conditions that 

are incurred, or anticipated to be 

incurred. If such costs are significantly 

greater than those typically required for 

similar construction, are verified by an 

independent, certified engineer or 

architect (see section IV.B. for 

documentation requirements), and are 

approved by HUD, they may be 

excluded from the TDC calculation 

above. Extraordinary site costs may be 

incurred in the remediation and 

demolition of existing property, as well 

as in the development of new and 

rehabilitated units. Examples of such 

costs include, but are not limited to: 

Abatement of extraordinary 

environmental site hazards; removal or 

replacement of extensive underground 

utility systems; extensive rock and soil 

removal and replacement; removal of 

hazardous underground tanks; work to 

address unusual site conditions such as 

slopes, terraces, water catchments, 

lakes, etc.; and work to address flood 

plain and other environmental 

remediation issues. Costs to abate 

asbestos and lead-based paint from 

structures are normal demolition costs. 

Extraordinary measures to remove leadbased paint that has leached into the 

soil would constitute an extraordinary 

site cost. 

(b) Extraordinary site costs must be 

justified and verified by a licensed 

engineer or architect who is not an 

employee of the PHA or the city. The 

engineer or architect must provide his 

or her license number and state of 

registration. If this certification is not 

included in the application after the 

cure period described in section IV.B.4. 

of the General Section, extraordinary 

site costs will not be allowed in the 

award amount. In that case, the amount 

of the extraordinary site costs included 

in the application will be subtracted 

from the grant amount. 

4. Cost Control Standards 

See the Cost Control Standards in 

Section III.C.3.u. 

5. Withdrawal of Grant Amounts 

In accordance with section 24(i) of the 

1937 Act, if a grantee does not proceed 

within a reasonable timeframe, as 

described in section III.C.3.w. 


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(Timeliness of Development Activities) 

of this NOFA, HUD shall withdraw any 

unobligated grant amounts. HUD shall 

redistribute any withdrawn amounts to 

one or more other applicants eligible for 

HOPE VI assistance or to one or more 

other entities capable of proceeding 

expeditiously in the same locality in 

carrying out the Revitalization plan of 

the original grantee. 

F. Other Submission Requirements 

1. Waiver of Electronic Submission 

Requirement. Applicants interested in 

applying for funding under this NOFA 

must submit their applications 

electronically or request a waiver from 

the electronic submission process. 

Waiver requests must be submitted in 

writing and sent via fax (followed in the 

mail by the original signed request). 

Waiver requests must be submitted 

(received via fax) no later than 15 days 

prior to the application deadline date 

and should be addressed to Ms. 

Dominique Blom, Deputy Assistant 

Secretary for Public Housing 

Investments, Department of Housing 

and Urban Development, 451 Seventh 

Street, SW, Room 4130, Washington, DC 

20410, and faxed to the attention of Ms. 

Leigh van Rij at (202) 401–2370. The 

original version of the request must 

follow in the mail, sent to the above 

address. If you are granted a waiver 

from the electronic submission process, 

your application must be received by 

HUD no later than 11:59:59 p.m. eastern 

time on the application deadline date. 

See the General Section for additional 

information. 

If you are granted a waiver from the 

electronic application submission 

requirement, your waiver approval will 

provide the information on the number 

of copies of the application you are 

required to submit and where to submit 

the application. Paper applications must 

be received in the designated HUD 

office by the application deadline date. 

2. Proof of Timely Submission. All 

applicants must submit their 

applications via grants.gov http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp in time for receipt 

and validation by 11:59:59 p.m. eastern 

time on the application deadline date. 

Because validation can take up to 72 

hours, applicants should submit with 

ample time for the process to be 

completed. Applicants are also advised 

to submit with sufficient time to correct 

any deficiencies that would prevent the 

acceptance of their application by 

Grants.gov. (Refer to the General Section 

for specific procedures regarding proof 

of timely submission of applications.) 

V. Application Review Information 

A. Criteria 

1. Rating Factor: Capacity—23 Points 

Total 

a. Capacity of the Development Team—

5 Points 

Address this Rating Factor through 

your narrative. This rating factor looks 

at the capacity of the development team 

as a whole. The term ‘‘your Team’’

includes PHA staff who will be involved 

in HOPE VI grant administration, and 

any alternative management entity that 

will manage the revitalization process 

and be responsible for meeting 

construction time tables and obligating 

amounts in a timely manner. This 

includes any developer partners, 

program managers, property managers, 

subcontractors, consultants, attorneys, 

financial consultants, and other entities 

or individuals identified and proposed 

to carry out program activities. 

(1) You will receive up to 5 points if 

your application demonstrates that: 

(a) Your developer or other team 

members have extensive, recent (within 

the last 5 years), and successful 

experience in the redevelopment of 

public housing, including planning, 

implementing, and managing physical 

development, financing, leveraging, and 

partnership activities; 

(b) Your developer or other team 

members have extensive, recent (within 

the last five years), and successful 

experience in mixed-finance and mixedincome development, including 

planning, implementing, and managing 

physical development, financing, 

leveraging, and partnership activities; 

(c) You propose development using 

low-income tax credits, and your 

developer or other team members have 

relevant tax credit experience; and 

(d) If homeownership, rent-to-own, 

cooperative ownership, or other major 

development components are proposed, 

your developer or other team member 

has relevant, successful experience in 

development, sales, or conversion 

activities. 

(2) You will receive up to 3 points if 

your developer or other team members 

have some but not extensive experience 

in the factors described above. 

(3) You will receive zero points if 

your developer or other team members 

do not have the experience described 

above and the application does not 

demonstrate that it has the capacity to 

carry out your Revitalization plan. You 

will also receive zero points if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. 

b. Development Capacity of Applicant—

5 Points 

Address this Rating Factor through 

your narrative. This rating factor looks 

at the development capacity of ONLY 

the applicant (not other members of the 

development team). 

(1) You will receive up to 5 points if 

your application demonstrates that: 

(a) Separate from your team, you have 

extensive, recent (within the last 5 

years), and successful experience in the 

redevelopment of public housing, 

including planning, implementing, and 

managing physical development, 

financing, leveraging, and partnership 

activities; 

(b) Separate from your team, you have 

extensive, recent (within the last 5 

years), and successful experience in 

mixed-finance and mixed-income 

development, including planning, 

implementing, and managing physical 

development, financing, leveraging, and 

partnership activities; 

(c) As relevant, you have identified 

potential gaps in your current staffing in 

relation to development activities, and 

you have plans to fill such gaps, 

internally or externally, in a timely 

manner in order to implement 

successfully your Revitalization plan; 

(d) You have demonstrated that 

physical development activities will 

proceed as promptly as possible 

following grant award, and you will be 

able to begin significant construction 

within 18 months of the award of the 

grant. Applicants must provide a 

program schedule, developed in 

accordance with the timeframes in 

section III.C. (Timeliness of 

Development) and V.A.9.e., in order to 

demonstrate this criterion. 

(1) You will receive up to 3 points if 

you have some but not extensive 

experience in the factors described 

above. 

(2) You will receive zero points if you 

do not have the experience described 

and the application does not 

demonstrate that it has the capacity to 

carry out your Revitalization plan. You 

will also receive zero points if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. 

c. Capacity of Existing HOPE VI 

Revitalization Grantees 

HUD will use data from the Quarterly 

Reports to evaluate this Rating Factor. 

(1) This section applies only to 

applicants that have received HOPE VI 

Revitalization grants for FYs 1993 to 

2003. If an applicant has more than one 

HOPE VI Revitalization grant, each will 

be rated separately, not averaged, and 


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the highest deduction will be made. 

Applicants with HOPE VI Revitalization 

grants only from FY 2004, 2005 or FY 

2006, or no existing HOPE VI 

Revitalization grants are not subject to 

this section. 

(2) As indicated in the following 

tables, up to 5 points will be deducted 

if a grantee has failed to achieve 

adequate progress in relation to 

expenditure of HOPE VI Revitalization 

grant funds. Expenditure data will be 

taken from LOCCS as of the application 

deadline date. 

Percent of HOPE VI Revitalization grant funds Expended Points 

deducted 

Grants Awarded in FY 1993–1999 

Less than 100 Percent .............. 5 Points 

Grants Awarded in FY2000 

90–100 Percent ......................... 0 Points. 

80–89 Percent ........................... 1 Point. 

75–79 Percent ........................... 2 Points. 

70–74 Percent ........................... 3 Points. 

65–69 Percent ........................... 4 Points. 

Less than 65 Percent ................ 5 Points. 

Grants Awarded in FY2001 

80–100 Percent ......................... 0 Points. 

70–79 Percent ........................... 1 Point. 

60–69 Percent ........................... 2 Points. 

50–59 Percent ........................... 3 Points. 

40–49 Percent ........................... 4 Points. 

Less than 40 Percent ................ 5 Points. 

Grants Awarded in FY2002 

60–100 Percent ......................... 0 Points. 

50–59 Percent ........................... 1 Point. 

40–49 Percent ........................... 2 Points. 

30–39 Percent ........................... 3 Points. 

20–29 Percent ........................... 4 Points. 

Less than 20 Percent ................ 5 Points. 

Grants Awarded in FY2003 

25–100 Percent ......................... 0 Points. 

20–24 Percent ........................... 1 Point. 

15–19 Percent ........................... 2 Points. 

10–14 Percent ........................... 3 Points. 

5–9 Percent ............................... 4 Points. 

Less than 5 Percent .................. 5 Points. 

d. CSS Program Capacity—3 Points 

See sections I. and III. of this NOFA 

for detailed information on CSS 

activities. Address this Rating Factor 

through your narrative. 

(1) You will receive 2 points if your 

application demonstrates one of the 

following. If you fail to demonstrate one 

of the following, you will receive zero 

points: 

(a) If you propose to carry out your 

CSS plan in-house and you have recent, 

quantifiable, successful experience in 

planning, implementing, and managing 

the types of CSS activities proposed in 

your application, or 

(b) If you propose that a member(s) of 

your team will carry out your CSS plan; 

that this procured team member(s) has 

the qualifications and demonstrated 

experience to plan, implement, manage, 

and coordinate the types of activities 

proposed; and that you have the 

capacity to manage that team member, 

including a plan for promptly hiring 

staff or procuring this team member. 

(2) You will receive 1 point if your 

application demonstrates that: 

(a) You have an existing HOPE VI 

grant and your current CSS team will be 

adequate to implement a new program, 

including new or changing programs, 

without weakening your existing team. 

(b) You do not have an existing HOPE 

VI Revitalization grant and you 

demonstrate how your proposed CSS 

team will be adequate to implement a 

new program, including new or 

changing services, without weakening 

your existing staffing structure. 

e. Property Management Capacity—3 

Points 

Address this Rating Factor through 

your narrative. 

(1) Property management activities 

may be the responsibility of the PHA or 

another member of the team, which may 

include a separate entity that you have 

procured or will procure to carry out 

property management activities. In your 

application you will describe the 

number of units and the condition of the 

units currently managed by you or your 

property manager, your annual budget 

for those activities, and any awards or 

recognition that you or your property 

manager have received. 

(2) Past Property Management 

Experience—2 Points. 

(a) You will receive 2 points if your 

application demonstrates that you or 

your property manager currently have 

extensive knowledge and recent (within 

the last 5 years), successful experience 

in property management of the housing 

types included in your revitalization 

plan. This may include market-rate 

rental housing, public housing, and 

other affordable housing, including 

rental units developed with low-income 

housing tax credit assistance. If your 

Revitalization plan includes 

cooperatively owned housing, rent-toown units, or other types of managed 

housing, in order to receive the points 

for this factor, you must demonstrate 

recent, successful experience in the 

management of such housing by the 

relevant member(s) of your team. 

(b) You will receive one point if your 

application demonstrates that you or 

your property manager has some but not 

extensive experience of the kind 

required for your Revitalization plan. 

(c) You will receive zero points if 

your application does not demonstrate 

that you or your property manager have 

the experience to manage your proposed 

plan, or if your application does not 

address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

(3) Property Management Plan—1 

Point. 

(a) You will receive one point if your 

application describes how you or your 

property manager will administer the 

following elements of a property 

management plan: 

(i) Property maintenance 

(ii) Rent collection 

(iii) Public and Indian Housing 

Information Center (PIC) 50058 

reporting 

(iv) Site-based management 

experience 

(v) Tenant grievances 

(vi) Evictions 

(vii) Occupancy rate 

(viii) Unit turnaround 

(ix) Preventive maintenance 

(x) Work order completion 

(xi) Project-based budgeting 

(xii) Management of homeownership 

and rent-to-own programs 

(xiii) Energy Audits 

(xiv) Utility/Energy Incentives 

(b) You will receive zero points if 

your application does not describe how 

you or your property manager will 

administer all the elements of a property 

management plan as listed above, or if 

there is not sufficient information 

provided to evaluate this factor. 

f. PHA or MTW Plan—1 Point 

(1) You will receive one point if your 

application demonstrates that you have 

incorporated the revitalization plan 

described in your application into your 

most recent PHA plan or MTW Annual 

plan (whether approved by HUD or 

pending approval). In order to qualify as 

‘‘incorporated’’ under this factor, your 

PHA or MTW plan must indicate the 

intent to pursue a HOPE VI 

Revitalization grant and the public 

housing development for which it is 

targeted. 

(2) You will receive zero points if you 

have not incorporated the revitalization 

plan described in your application into 

your PHA or MTW plan, or if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. 

g. Public Housing Assessment System 

(PHAS)—2 Points 

(1) If you have been rated as an 

Overall High Performer for your most 


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recent PHAS review as of the 

application deadline date, you will 

receive 2 points. 

(2) If you have been rated as an 

Overall Standard Performer for your 

most recent PHAS review as of the 

application deadline date, you will 

receive one point. 

(3) If you have been rated as a 

Troubled Performer that is either 

Troubled in One Area or Overall 

Troubled as of the application deadline 

date, you will receive zero points. 

(4) For this rating factor, MTW PHA 

applicants will be rated on their 

compliance with their MTW 

Agreements. 

(a) If you are in compliance with your 

MTW Agreement, you will receive 2 

points. 

(b) If you are not in compliance with 

your MTW Agreement, you will receive 

zero points. 

h. Regular Maintenance—2 Points 

(1) Through PHAS, HUD measures the 

prevalence of items that need to be fixed 

(defects) in PHAs’ public housing 

developments. PHAs receive a report 

entitled ‘‘Comparison of the Top 20 

Observed Defects (Projected).’’ HUD 

conducts analyses related to this report. 

In these analyses, HUD separates the 

regular maintenance projected defects 

from the total projected defects (other 

categories of defects include capital and 

life threatening/exigent health and 

safety), applies them across all units in 

the PHA’s inventory and develops a rate 

of defects per unit. HUD will compare 

the PHA’s most recent PHAS-projected 

number of regular maintenance defects 

per unit to the previous projected 

number of regular maintenance defects 

per unit. 

(a) You will receive 2 points if your 

projected number of regular 

maintenance defects per unit has 

improved. 

(b) You will receive zero points if 

your projected number of regular 

maintenance defects per unit have not 

improved. 

(2) MTW PHA. For this rating factor, 

MTW PHA applicants will be rated on 

their compliance with their MTW 

Agreements. 

(a) If you are in compliance with your 

MTW Agreement, you will receive 2 

points. 

(b) If you are not in compliance with 

your MTW Agreement, you will receive 

zero points. 

i. Section 8 Management Assessment 

Program (SEMAP)—2 Points 

(1) If you have been rated as a High 

Performer for your most recent SEMAP 

rating as of the application deadline 

date, you will receive 2 points. 

(2) If you have been rated as Standard 

for your most recent SEMAP rating as of 

the application deadline date, you will 

receive one point. 

(3) If you have been rated as Troubled 

for your most recent SEMAP rating as of 

the application deadline date, you will 

receive zero points. 

(4) For this rating factor, MTW PHA 

applicants will be rated on their 

compliance with their MTW 

Agreements. 

(a) If you are in compliance with your 

MTW Agreement, you will receive 2 

points. 

(b) If you are not in compliance with 

your MTW Agreement, you will receive 

zero points. 

2. Rating Factor: Need—20 Points Total 

a. Severe Physical Distress of the Public 

Housing Development—6 Points 

(1) HUD will evaluate the extent of 

the severe physical distress of the 

targeted public housing development. If 

the targeted units have already been 

demolished, HUD will evaluate your 

description of the extent of the severe 

physical distress of the site as of the day 

the demolition application was 

approved by HUD. You will receive 

points for the following separate 

subfactors, as indicated. 

(a) You will receive up to 2 points if 

your application demonstrates that there 

are major deficiencies in the project’s 

infrastructure, including roofs, 

electrical, plumbing, heating and 

cooling, mechanical systems, 

settlement, and other deficiencies in 

Housing Quality Standards. 

(b) You will receive up to 2 points if 

your application demonstrates that there 

are major deficiencies in the project site, 

including poor soil conditions, 

inadequate drainage, deteriorated 

laterals and sewers, and inappropriate 

topography. 

(c) You will receive up to 2 points if 

your application demonstrates that there 

are major design deficiencies, including 

inappropriately high population 

density, room, and unit size and 

configurations; isolation; indefensible 

space; significant utility expenses 

caused by energy conservation 

deficiencies that may be documented by 

an energy audit; and inaccessibility for 

persons with disabilities with regard to 

individual units (less than 5 percent of 

the units are accessible), entranceways, 

and common areas. 

b. Severe Distress of the Surrounding 

Neighborhood—3 Points 

(1) HUD recognizes that public 

housing developments that meet the 

criteria of severe distress (as defined in 

the Definitions section) have a negative 

impact on their surrounding 

neighborhood. HUD will evaluate the 

extent of the distress existing in the 

surrounding neighborhood, as of the 

NOFA publication date, in order to 

identify those public housing 

development neighborhoods in greatest 

need. HUD will evaluate this by looking 

at physical decline of, and 

disinvestment by, public and private 

entities in the surrounding 

neighborhood; crime statistics; poverty 

levels; socio-economic data; trends in 

property values; evidence of property 

deterioration and abandonment; 

evidence of underutilization of 

surrounding properties; indications of 

neighborhood disinvestment; and 

photographs of the surrounding 

neighborhood. This information must be 

provided by the applicant in their 

narrative and attachments. 

(2) You will receive 3 points if your 

application demonstrates that the 

surrounding neighborhood has a severe 

level of distress, based on the items 

above. Every item above must be 

addressed in order to earn full points. 

(3) You will receive 2 points if your 

application demonstrates the 

surrounding neighborhood has a 

moderate level of distress, based on the 

items above. 

(4) You will receive zero points if 

your application does not demonstrate 

that the surrounding neighborhood is 

distressed, or if your application does 

not address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

c. Need for HOPE VI Funding—3 Points 

(1) HUD will evaluate the extent to 

which you could undertake the 

proposed revitalization activities 

without a HOPE VI grant. Large amounts 

of available FY 2002 to 2006 Capital 

Funds (but not Replacement Housing 

Factor funds (RHF)) for purposes of this 

NOFA indicate that the revitalization 

could be carried out without a HOPE VI 

grant. Available Capital Funds are 

defined as non-obligated funds that 

have not been earmarked for other 

purposes in your PHA Plan. Funds 

earmarked in the PHA Plan for uses 

other than the revitalization proposed in 

this application will not be considered 

as available. Based on the above 

definition, to determine the amount of 

available FY 2002 to 2006 Capital 

Funds, applicants must indicate in their 

application the amount in the narrative 

of their application. See section IV.B. of 

this NOFA for documentation 

requirements. 


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(2) You will receive 3 points if your 

available Capital Funds balance is up to 

20 percent of the amount of HOPE VI 

funds requested. 

(3) You will receive 2 points if your 

available balance is 21 to 45 percent of 

the amount of HOPE VI funds requested. 

(4) You will receive 1 point if your 

available balance is 46 to 80 percent of 

the amount of HOPE VI funds requested. 

(5) You will receive zero points if 

your available balance is more than 80 

percent of the amount of HOPE VI funds 

requested. 

d. Need for Affordable Accessible 

Housing in the Community—3 Points 

(1) Your application must 

demonstrate the need for other housing 

available and affordable to families 

receiving tenant-based assistance under 

Section 8 (HCV), as described below and 

must be the most recent information 

available at the time of the application 

deadline. 

(2) For purposes of this factor, the 

need for affordable housing in the 

community will be measured by HCV 

program utilization rates or public 

housing occupancy rates, whichever of 

the two reflects the most need. In 

figuring the HCV utilization rate, 

determine and provide the percentage of 

HCV units out of the total number 

authorized or the percentage of HCV 

funds expended out of the total amount 

authorized, whichever percentage is 

higher. In figuring the public housing 

occupancy rate, provide the percentage 

of units occupied out of the total in your 

federal public housing inventory, 

excluding the targeted public housing 

site. You should base your calculation 

only on the federal public housing units 

you manage. You may not exclude units 

in your public housing inventory that 

are being reserved for relocation needs 

related to other HOPE VI Revitalization 

grant(s); or units in your public housing 

inventory that are being held vacant for 

uses related to a section 504 voluntary 

compliance agreement. If you are a nonMTW site, you must use information 

consistent with the Section Eight 

Management Assessment Program 

(SEMAP) and/or the Public Housing 

Assessment System (PHAS) 

submissions. If you are an MTW site, 

and do not report into SEMAP and/or 

PHAS, you must demonstrate your 

utilization and/or occupancy rate using 

similar methods and information 

sources in order to earn points under 

this rating factor. 

(3) You will receive 3 points if your 

application demonstrates that the higher 

of: 

(a) The utilization rate of your HCV 

program is 97 percent or higher; or 

(b) The occupancy rate of your public 

housing inventory is 97 percent or 

higher. 

(c) HUD will use the higher of the two 

rates to determine your score. 

(4) You will receive 2 points if your 

application demonstrates that the higher 

of: 

(a) The utilization rate of your HCV 

program is between 95 and 96 percent; 

or, 

(b) The occupancy rate of your public 

housing inventory is between 95 and 96 

percent. 

(c) HUD will use the higher of the two 

rates to determine your score. 

(5) You will receive one point if your 

application demonstrates that the higher 

of: 

(a) The utilization rate of your HCV 

program is between 93 and 94 percent; 

or 

(b) The occupancy rate of your public 

housing inventory is between 93 and 94 

percent. 

(c) HUD will use the higher of the two 

rates to determine your score. 

(6) You will receive zero points if 

both the utilization rate of your Housing 

Choice Voucher program and the 

occupancy rate of your public housing 

inventory are less than 93 percent. 

e. Need for Affordable Housing in the 

Nation—5 Points Total 

(1) HUD will award 5 points to each 

application for which the targeted 

public housing development(s) is 

located in a Gulf Opportunity (GO) Zone 

(either Katrina only, Rita only, or Rita 

and Katrina). The applicant must 

demonstrate this in their narrative, as 

certified to via the SF–424. This 

information will be verified by HUD. 

For more information on GO Zones, see 

http://www.hud.gov/offices/cpd/ 

economicdevelopment/programs/rc/ 

index.cfm. 

(2) If the targeted public housing 

development(s) is not located in a Gulf 

Opportunity Zone, the application will 

earn zero points for this rating factor. 

3. Rating Factor: Leveraging—16 Points 

Total 

a. Leverage 

Although related to match, leverage is 

strictly a rating factor. Leverage consists 

of firm commitments of funds and other 

resources. HUD will rate your 

application based on the amount of 

funds and other resources that will be 

leveraged by the HOPE VI grant as a 

percentage of the amount of HOPE VI 

funds requested. There are four types of 

Leverage: Development and CSS, as 

described in the ‘‘Program 

Requirements’’ in section III.C.3. of this 

NOFA; Anticipatory and Collateral, as 

described in this rating factor. Each 

resource may be used for only one 

leverage category. Any resource listed in 

more than one category will be 

disqualified from all categories. In 

determining Leverage ratios, HUD will 

include as Leverage the match amounts 

that are required by section III.C.2. of 

this NOFA. Applicants must follow the 

Program Requirements for Match and 

Leverage section of section III.C.3. of 

this NOFA when preparing their 

leverage documentation. If leverage 

sources and amounts are not 

documented in accordance with 

sections III.C.3., they will not be 

counted toward your leverage amounts. 

b. Development Leveraging—7 Points 

For each commitment document, 

HUD will evaluate the strength of 

commitment and add the amounts that 

are acceptably documented. HUD will 

then calculate the ratio of the amount of 

HUD funds requested to the amount of 

funds that HUD deems acceptably 

documented. HUD will round figures to 

two decimal points, using standard 

rounding rules. See section III.C.3, 

Program Requirements, and Program 

Requirements for Match and Leverage 

for resource and documentation 

requirements. These requirements 

MUST be followed in order to earn 

points under the leverage rating factor. 

(1) You will receive 7 points if the 

ratio of the amount of HOPE VI funds 

requested for physical development 

activities (not including CSS, 

administration, or relocation) to the 

dollar value of documented, committed 

development resources from other 

sources is 1:3 or higher. 

(2) You will receive 6 points if the 

ratio is between 1:2.50 and 1:2.99 

(3) You will receive 5 points if the 

ratio is between 1:2.0 and 1:2.49. 

(4) You will receive 4 Points if the 

ratio is between 1:1.50 and 1:1.99. 

(5) You will receive 3 points if the 

ratio is between 1:1.0 and 1:1.49. 

(6) You will receive 2 points if the 

ratio is between 1:0.50 and 1:0.99. 

(7) You will receive one point if the 

ratio is between 1:0.25 and 1:0.49. 

(8) You will receive zero points if the 

ratio is less than 1:0.25, or if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. You will receive 0 

Points if your application does not 

request HOPE VI funds for CSS 

purposes. 

c. CSS Leveraging—5 Points 

See section III.C.3., Program 

Requirements, Program Requirements 

for Match and Leverage for resource and 


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documentation requirements. These 

requirements MUST be followed in 

order to earn points under the leverage 

rating factor. 

(1) You will receive 5 points if the 

ratio of the amount of HOPE VI funds 

requested for CSS activities to the dollar 

value of documented, committed CSS 

resources leveraged from other sources 

is 1:2 or higher. 

(2) You will receive 4 points if the 

ratio is between 1:1.75 and 1:1.99. 

(3) You will receive 3 points if the 

ratio is between 1:1.5 and 1:1.749. 

(4) You will receive 2 points if the 

ratio is between 1:1.25 and 1:1.49. 

(5) You will receive one point if the 

ratio is between 1:1 and 1:1.249. 

(6) You will receive zero points if the 

ratio is less than 1:1, or if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. You will receive 

zero points if your application does not 

request HOPE VI funds for CSS 

purposes. 

d. Anticipatory Resources Leveraging—

2 Points 

Anticipatory Resources relate to 

activities that have taken place in the 

past and that were conducted in direct 

relation to a HOPE VI Revitalization 

grant. In many cases, PHAs, cities, or 

other entities may have carried out 

revitalization activities (including 

demolition) in previous years in 

anticipation of your receipt of a HOPE 

VI Revitalization grant. These 

expenditures, if documented, may be 

counted as leveraged anticipatory 

resources. They cannot duplicate any 

other type of resource and cannot be 

counted towards match. Public Housing 

funds other than HOPE VI 

Revitalization, e.g., HOPE VI Demolition 

grant funds, HOPE VI Neighborhood 

Networks grant funds, HOPE VI Main 

Street grant funds, and Capital Fund 

Program, may be included, and will be 

counted, toward your Anticipatory 

Resources rating below. For 

Anticipatory Resources ratios, ‘‘HOPE 

VI funds requested for physical 

development activities’’ is defined as 

your total requested amount of funds 

minus your requested CSS, 

administration amounts, and relocation. 

HUD will presume that your combined 

CSS, administration, and relocation 

amounts are the total of Budget Line 

Items 1408 (excluding non-CSS 

Management Improvements), 1410, and 

1495 on the form HUD–52825-A, 

‘‘HOPE VI Budget,’’ that is included in 

your application. See section III.C.3, 

Program Requirements, Program 

Requirements for Match and Leverage 

for resource and documentation 

requirements. These requirements 

MUST be followed as relevant in order 

to earn points under the leverage rating 

factor. 

(1) You will receive 2 points if the 

ratio of the amount of HOPE VI funds 

requested for physical development 

activities to the amount of your 

documented anticipatory resources is 

1:0.1 or higher. 

(2) You will receive zero points if the 

ratio of the amount of HOPE VI funds 

requested for physical development 

activities to the amount of your 

documented anticipatory resources is 

less than 1:0.1. 

e. Collateral Investment Leveraging—2 

Points 

Collateral investment includes 

physical redevelopment activities that 

are currently underway, or have yet to 

begin but are projected to be completed 

before October 1, 2010. The expected 

completion time must be addressed in 

your application. In order for a leverage 

source to be counted as collateral 

investment, your application must 

demonstrate that the related activities 

will directly enhance the new HOPE VI 

community, but will occur whether or 

not a Revitalization grant is awarded to 

you and the public housing project is 

revitalized. This includes economic or 

other kinds of development activities 

that would have occurred with or 

without the anticipation of HOPE VI 

funds. These resources cannot duplicate 

any other type of resource and cannot be 

counted as match. Examples of 

collateral investments include local 

schools, libraries, subways, light rail 

stations, improved roads, day care 

facilities, and medical facilities. See 

section III.C.3, Program Requirements, 

and Program Requirements for Match 

and Leverage for resource and 

documentation requirements. These 

requirements MUST be followed as 

relevant in order to earn points under 

the leverage rating factor. 

(1) You will receive 2 points if the 

ratio of the amount of HOPE VI funds 

requested for physical development 

activities (not including CSS or 

administration) to the amount of your 

documented collateral resources is 1:1.0 

or higher. 

(2) You will receive zero points if the 

ratio of the amount of HOPE VI funds 

requested for physical development 

activities (not including CSS or 

administration) to the amount of your 

documented collateral resources is less 

than 1:1.0. 

4. Rating Factor: Resident and 

Community Involvement—3 Points 

Total 

a. HUD will evaluate the nature, extent, 

and quality of the resident and 

community outreach and involvement 

you have achieved by the time your 

application is submitted, as well as your 

plans for continued and additional 

outreach and involvement beyond the 

minimum threshold requirements. See 

section III.C. of this NOFA for Resident 

and Community Involvement 

requirements. 

b. Resident and Community 

Involvement—3 Points 

You will receive one point for each of 

the following criteria met in your 

application, which are over and above 

the threshold requirements listed in 

section III.C. of this NOFA. 

(1) Your application demonstrates 

that you have communicated regularly 

and significantly with affected 

residents, state and local governments, 

private service providers, financing 

entities, developers, and other members 

of the surrounding community about the 

development of your revitalization plan 

by giving residents and community 

members information about your actions 

regarding the revitalization plan and 

providing a forum where residents and 

community members can contribute 

recommendations and opinions with 

regard to the development and 

implementation of the revitalization 

plan. 

(2) Your application demonstrates 

your efforts, past and proposed, to make 

appropriate HUD communications about 

HOPE VI available to affected residents 

and other interested parties, e.g., a copy 

of the NOFA, computer access to the 

HUD Web site, etc. 

(3) Your application demonstrates 

your plans to provide affected residents 

with reasonable training on the general 

principles of development, technical 

assistance, and capacity building so that 

they may participate meaningfully in 

the development and implementation 

process. 

5. Rating Factor: Community and 

Supportive Services—12 Points Total 

a. CSS Program Requirements. See 

section III.C.3. for CSS program 

requirements. In your application, you 

will describe your CSS plan, including 

any plans to implement a CSS 

Endowment Trust. Each of the following 

subfactors will be rated separately. 

b. Case Management—2 points. 

(1) You will receive 2 points if your 

application (including the Logic Model) 

demonstrates that you are already 

providing case management services to 


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the targeted residents by this proposal 

as of the application deadline; 

(2) You will receive one point if your 

application (including the Logic Model) 

demonstrates that you will be able to 

provide case management within 30 

days from the date of the grant award 

letter so that residents who will be 

relocated have time to participate and 

benefit from CSS activities before 

leaving the site. 

(3) You will receive zero points if 

your application (including the Logic 

Model) does not demonstrate either of 

the above criteria, or if your application 

does not include sufficient information 

to be able to evaluate this factor. 

c. Needs Assessment and Results—3 

Points 

(1) You will receive 3 points if your 

application (including the Logic Model) 

demonstrates that a comprehensive 

resident needs assessment has been 

completed as of the application 

deadline date and that this needs 

assessment is the basis for the CSS 

program proposed in the application. 

You must describe and quantify the 

results of the needs assessment. 

(2) You will receive up to 2 points if 

your application (including the Logic 

Model) demonstrates that a resident 

needs assessment has been completed as 

of the application deadline date, but 

does not show that the needs 

assessment was comprehensive and 

clearly linked to the proposed CSS 

program, and/or does not describe and 

quantify the results of the needs 

assessment. 

(3) You will receive zero points if 

your application (including the Logic 

Model) does not demonstrate any of the 

above criteria, or if your application 

does not include sufficient information 

to be able to evaluate this factor. 

d. Transition to Housing SelfSufficiency—5 Points 

You will receive up to 5 points if you 

address the methods you will use to 

assist public housing residents in their 

efforts to transition to other affordable 

and market-rate housing, i.e., to gain 

‘‘housing self-sufficiency.’’ Please see 

section III(C)(3)(l) for information on 

transition to housing self-sufficiency. 

(1) You will receive up to 5 points if 

your application (including the Logic 

Model) demonstrates that your CSS 

program includes and addresses all 

three of the below items. Your CSS 

Program: 

(a) Provides measurable outcomes for 

this endeavor; 

(b) Describes in detail how your other 

CSS and FSS activities relate to the 

transition of public housing residents to 

housing self-sufficiency; and 

(c) Specifically addresses the 

grassroots, community-based and faithbased organizations, etc. that will join 

you in the endeavor. 

(2) You will receive up to 2 points if 

your application (including the Logic 

Model) demonstrates that your CSS 

program includes and addresses at least 

two of the above three items (a) through 

(c) above. 

(3) You will receive zero points if 

your application (including the Logic 

Model) demonstrates that your CSS 

Program includes and addresses less 

than two of the above items in (a) 

through (c) above. 

e. Quality and Results Orientation in 

CSS Program—2 Points 

(1) You will receive 2 points if you 

have proposed in your application 

(including the Logic Model) a 

comprehensive, high quality, resultsoriented CSS program that is based on 

a case management system and that 

provides services/programs to meet the 

needs of all residents groups (e.g., 

youth, adult, elderly, disabled) targeted 

by the application. These services/ 

programs may be provided directly or 

by partners. They must be designed to 

assist residents affected by the 

revitalization in transforming their lives 

and becoming self-sufficient, as 

relevant. 

(2) You will receive up to 1 point if 

you have proposed in your application 

(including the Logic Model) a CSS 

program that meets some but not all of 

the criteria in the paragraph above; 

(1) You will receive zero points if 

your application (including the Logic 

Model) does not demonstrate any of the 

above criteria, or if your application 

does not include sufficient information 

to be able to evaluate this factor. 

6. Rating Factor: Relocation—5 Points 

Total 

See sections III.C. of this NOFA for 

Relocation and Relocation Plan 

requirements. For all applicants, 

whether you have completed, or have 

yet to complete, relocation of all 

residents of the targeted project, your 

HOPE VI Relocation Plan must include 

the three goals set out in section 24 of 

the 1937 Act, as described in sections 

a.(1), a.(2), and a.(3) below. 

a. You will receive up to 5 points for 

this Factor if you describe thoroughly 

how your Relocation Plan: 

(1) Includes a description of specific 

activities that have minimized, or will 

minimize, permanent displacement of 

residents of the units that will be 

rehabilitated or demolished in the 

targeted public housing site, provided 

that those residents wish to remain in or 

return to the revitalized community; 

(2) Includes a description of specific 

activities that will give existing 

residents priority over other families for 

future occupancy of public housing 

units in completed HOPE VI 

Revitalization Development projects, or, 

for existing residents that can afford to 

live in non-public housing HOPE VI 

units, priority for future occupancy of 

those planned units; and 

(3) Includes a description of specific 

CSS activities that will be provided to 

residents prior to any relocation; 

b. You will receive up to 3 points for 

this Factor if your Relocation Plan 

complies with some but not all of the 

criteria above. 

c. You will receive zero points for this 

Factor if: (1) Your Relocation Plan does 

not comply with any of the 

requirements above; or (2) Your 

application does not provide sufficient 

information to evaluate this rating 

factor. 

7. Rating Factor: Fair Housing and Equal 

Opportunity—6 Points Total 

a. FHEO Disability Issues—3 Points 

Total 

(1) Accessibility—2 Points. 

(a) Over and above the accessibility 

requirements listed in section III.C.3. of 

this NOFA, you will receive 2 points if 

your application demonstrates that you 

have a detailed plan to: 

(i) Provide accessibility in 

homeownership units (e.g., setting a 

goal of constructing a percentage of the 

homeownership units as accessible 

units for persons with mobility 

impairments; promising to work with 

prospective disabled buyers on 

modifications to be carried out at a 

buyer’s request; exploring design 

alternatives that result in townhouses 

that are accessible to persons with 

disabilities); 

(ii) Provide accessible units for all 

eligible populations ranging from onebedroom units for non-elderly single 

persons with disabilities through units 

in all bedroom sizes to be provided; 

(iii) Provide for accessibility 

modifications, where necessary, to HCVassisted units of residents who relocate 

from the targeted project to private or 

other public housing due to 

revitalization activities. The Department 

has determined that the costs of such 

modifications are eligible costs under 

the HOPE VI program; 

(iv) Where playgrounds are planned, 

propose ways to make them accessible 

to children with disabilities, over and 

above statutory and regulatory 

requirements; and 


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(v) Where possible, design units with 

accessible front entrances. 

(b) You will receive one point if your 

application demonstrates that you have 

a detailed plan to implement from one 

to four of the accessibility priorities 

stated above, explaining why and how 

you will implement the identified 

accessibility priorities. 

(c) You will receive zero points if 

your application does not demonstrate 

that you have a detailed plan that meets 

the specifications above, or if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. 

(2) Universal Design—1 Point. 

(a) You will receive one point if your 

application demonstrates that you have 

a specific plan to meet: 

(i) The adaptability standards adopted 

by HUD at 24 CFR 8.3 that apply to 

those units not otherwise covered by the 

accessibility requirements. Adaptability 

is the ability of certain elements of a 

dwelling unit, such as kitchen counters, 

sinks, and grab bars, to be added to, 

raised, lowered, or otherwise altered, to 

accommodate the needs of persons with 

or without disabilities, or to 

accommodate the needs of persons with 

different types or degrees of disability. 

For example, the wiring for visible 

emergency alarms may be installed so 

that a unit can be made ready for 

occupancy by a hearing-impaired 

person (For information on adaptability, 

see http://www.hud.gov/offices/pih/ 

programs/ph/hope6/pubs/glossary.pdf); 

and 

(ii) The visitability standards 

recommended by HUD that apply to 

units not otherwise covered by the 

accessibility requirements. Visitability 

standards allow a person with mobility 

impairments access into the home, but 

do not require that all features be made 

accessible. A visitable home also serves 

persons without disabilities, such as a 

mother pushing a stroller or a person 

delivering a large appliance. See http:// 

www.hud.gov/offices/pih/programs/ph/ 

hope6/pubs/glossary.pdf for information 

on visitability. The two standards of 

visitability are: 

(A) At least one entrance at grade (no 

steps), approached by a sidewalk; and 

(B) The entrance door and all interior 

passage doors are at least 2 feet, 10 

inches wide, allowing 32 inches of clear 

passage space. 

(b) You will receive zero points if 

your application does not demonstrate 

that you have specific plans to 

implement both (i) and (ii) as specified 

above, or if your application does not 

address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

b. Fair Housing and Affirmative 

Marketing—1 Point Total 

(1) Fair Housing—one point 

(a) You will receive one Point if your 

application demonstrates that: 

(i) You have made and will make 

specific efforts to attract families from 

all segments of the population on a 

nondiscriminatory basis and with a 

broad spectrum of incomes to the 

revitalized site through intensive 

affirmative marketing efforts and how 

these efforts contribute to the 

deconcentration of low-income 

neighborhoods; 

(ii) You have made and will make 

specific efforts to target your marketing 

and outreach activities to those persons 

and groups least likely to know about 

these housing opportunities, in order to 

promote housing choice and 

opportunity throughout your 

jurisdiction and contribute to the 

deconcentration of both minority and 

low-income neighborhoods. In your 

application, you must describe how 

your outreach and marketing efforts will 

reach out to persons of different races 

and ethnic groups, families with or 

without children, persons with 

disabilities and able-bodied persons, 

and the elderly; and 

(iii) The specific steps you plan to 

take through your proposed activities to 

affirmatively further fair housing. These 

steps can include, but are not limited to: 

(A) Addressing impediments to fair 

housing choice relating to your 

operations; 

(B) Working with local jurisdictions to 

implement their initiatives to 

affirmatively further fair housing; 

(C) Implementing, in accordance with 

Departmental guidance, relocation plans 

that result in increased housing choice 

and opportunity for residents affected 

by HOPE VI revitalization activities 

funded under this NOFA; 

(D) Implementing admissions and 

occupancy policies that are 

nondiscriminatory and help reduce 

racial and national origin 

concentrations; and 

(E) Initiating other steps to remedy 

discrimination in housing and promote 

fair housing rights and fair housing 

choice. 

(b) You will receive zero points if you 

do not address all of the above issues, 

or if your application does not address 

this factor to an extent that makes 

HUD’s rating of this factor possible. 

c. Economic Opportunities for Low- and 

Very Low-Income Persons (Section 3)—

2 Points 

(1) HOPE VI grantees must comply 

with section 3 of the Housing and Urban 

Development Act of 1968 (12 U.S.C. 

1701u) (Economic Opportunities for 

Low- and Very-Low-Income Persons in 

Connection with Assisted Projects) and 

its implementing regulations at 24 CFR 

part 135. Information about section 3 

can be found at HUD’s section 3 Web 

site at http://www.hud.gov/offices/fheo/ 

section3/section3.cfm. 

(2) You will receive 2 points if your 

application demonstrates that you have 

a feasible plan to implement section 3 

that not only meets the minimum 

requirements described in section (1) 

above but also exceeds those 

requirements. Your plan must include 

your goals by age group, types of jobs, 

and other opportunities to be provided, 

and plans for tracking and evaluation. 

Section 3 firms must be in place quickly 

so that residents are trained in time to 

take advantage of employment 

opportunities such as jobs and other 

contractual opportunities in the predevelopment, demolition, and 

construction phases of the 

revitalization. Your section 3 plan must 

demonstrate that you will, to the 

greatest extent feasible, direct training, 

employment, and other economic 

opportunities to: 

(a) Low- and very low-income 

persons, particularly those who are 

recipients of government assistance for 

housing; and 

(b) Business concerns which provide 

economic opportunities to low- and 

very low-income persons. 

(3) You will receive zero points if 

your plan to implement section 3 does 

not meet the standards listed in section 

(1) and (2) above, or if your application 

does not address this factor to an extent 

that makes HUD’s rating of this factor 

possible. 

8. Rating Factor: Well-Functioning 

Communities—8 Points Total 

a. Affordable Housing—Up to 3 Points 

(1) Housing Definitions. For the 

purposes of this rating section, housing 

units are defined differently than in PIH 

housing programs, as follows: 

(a)‘‘Project-based affordable housing 

units’’ are defined as on-site and off-site 

housing units where there are 

affordable-housing use restrictions on 

the unit, e.g., public housing, projectbased HCV (Section 8) units, LIHTC 

units, HOME units, affordable 

homeownership units, etc. 

(b)‘‘Public housing’’ is defined as 

rental units that will be subject to the 

ACC. 

(2) Unit Mix and Need for Affordable 

Housing. 

(a) Your proposed unit mix should 

sustain or create more project-based 


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affordable housing units that will be 

available to persons eligible for public 

housing in markets where the plan 

shows there is demand for the 

maintenance or creation of such units. 

While it is up to you to determine the 

unit mix that is appropriate for your 

site, it is essential that this unit mix 

include a sufficient amount of public 

housing rental units and other projectbased affordable units. To the extent 

that the local market shows there is a 

demand for it, applicants are 

encouraged to create additional projectbased affordable housing units to be 

made available for persons eligible for 

public housing. 

(b) For purposes of this factor, HUD 

will determine whether you need 

project-based affordable housing by 

using your HCV program utilization rate 

or public housing occupancy rate, 

whichever of the two reflects the least 

need. In figuring the HCV utilization 

rate, determine and provide the 

percentage of HCV units out of the total 

number authorized or the percentage of 

HCV funds expended out of the total 

amount authorized, whichever 

percentage is higher. In figuring the 

public housing occupancy rate, provide 

the percentage of units occupied out of 

the total in your federal public housing 

inventory, excluding the units in the 

targeted project. You should base your 

calculation only on the federal public 

housing units you manage. You may not 

exclude units in your public housing 

inventory that are being reserved for 

relocation needs related to other HOPE 

VI Revitalization grant(s); or units in 

your public housing inventory that are 

being held vacant for uses related to a 

section 504 voluntary compliance 

agreement. If you are a non-MTW site, 

you must use information consistent 

with the Section Eight Management 

Assessment Program (SEMAP) and/or 

the Public Housing Assessment System 

(PHAS) submissions. If you are an MTW 

site, and do not report into SEMAP and/ 

or PHAS, you must demonstrate your 

utilization and/or occupancy rate using 

similar methods and information 

sources in order to earn points under 

this rating factor. 

(3) Scoring when there will be No 

Need for More Affordable Housing after 

the Targeted Project is Demolished—1 

Point. 

(a) You will receive 1 point for this 

factor if your application demonstrates 

that either: 

(i) The utilization rate of your HCV 

program is less than 95 percent; or 

(ii) The occupancy rate of your public 

housing inventory is less than 95 

percent. 

(iii) If either (i) or (ii) above is less 

than 95 percent, the other percentage 

will be disregarded. 

(4) Scoring when there Will be Need 

for More Affordable Housing after the 

Targeted Project is Demolished—up to 3 

Points. 

(a) For this factor, HUD considers you 

in need of project-based affordable 

housing if both: 

(i) The utilization rate of your HCV 

program is 95 percent or more; and 

(ii) The occupancy rate of your public 

housing inventory is 95 percent or more. 

(iii) If either (i) or (ii) above are less 

than 95 percent, you do not need 

affordable housing. You qualify for (3) 

above, not this section (4). 

(b) The percentages below are defined 

as the number of planned project-based 

affordable units divided by the number 

of public housing units that the targeted 

project contains or contained; 

(c) You will receive 3 points if your 

application demonstrates that the 

number of project-based affordable units 

in your plan is 125 percent or more of 

the number of public housing units that 

the targeted project contains or 

contained; 

(d) You will receive 2 points if your 

application demonstrates that the 

number of project-based affordable units 

in your plan is 110 to 124 percent of the 

number of public housing units that the 

targeted project contains or contained; 

(e) You will receive 1 point if your 

application demonstrates that the 

number of project-based affordable units 

in your plan is 100 to 109 percent of the 

number of public housing units that the 

targeted project contains or contained. 

(f) You will receive zero points if your 

application demonstrates that the 

number of project-based affordable units 

in your plan is less than the number of 

public housing units that the targeted 

project contains or contained or if your 

application does not address this factor 

to an extent that makes HUD’s rating of 

this factor possible. 

b. Off-Site Housing—1 Point 

(1) Factor Background. 

(a) Although not required, you are 

encouraged to consider development of 

replacement housing in locations other 

than the original severely distressed site 

(i.e., off-site housing). Locating off-site 

housing in neighborhoods with low 

levels of poverty and low concentrations 

of minorities will provide maximized 

housing alternatives for low-income 

residents who are currently on-site and 

advance the goal of creating 

desegregated, mixed-income 

communities. The effect on-site will be 

to assist in the deconcentration of lowincome residents and increase the 

number of replacement units. 

(b) Although it is acknowledged that 

off-site housing is not appropriate in 

some communities, if you do not 

propose to include off-site housing in 

your Revitalization plan, you are not 

eligible to receive this point. 

(c) If you propose an off-site housing 

component in your application, you 

must be sure to include that component 

when you discuss other components 

(e.g., on-site housing, homeownership 

housing, etc.). Throughout your 

application, your unit counts and other 

numerical data must take into account 

the off-site component. 

(2) Scoring. You will receive one 

point if you propose to develop an offsite housing component(s) and 

document that: (a) You have site control 

of the property(ies) in accordance with 

Section III.C.2; (b) the site(s) does not 

suffer from any known or suspected 

environmental hazards or have any 

open issues or uncertainties related to 

public policy factors (such as sewer 

moratoriums), proper zoning, 

availability of all necessary utilities, or 

clouds on title that would preclude 

development in the requested locality; 

and (c) the site(s) meets site and 

neighborhood standards, in accordance 

with Section III.C.3 of this NOFA. 

c. Homeownership Housing—4 Points 

The Department has placed the 

highest priority on increasing 

homeownership opportunities for lowand moderate-income persons, persons 

with disabilities, the elderly, minorities, 

and families where English may be a 

second language. Too often these 

individuals and families are shut out of 

the housing market through no fault of 

their own. HUD encourages applicants 

to work aggressively to open up the 

realm of homeownership. 

(1) Your application will receive 4 

points if it demonstrates that your 

revitalization plan includes 

homeownership and that you have a 

feasible, well-defined plan for 

homeownership. In order to 

demonstrate this, your application 

should include descriptions of the 

following: 

(a) The purpose of your 

homeownership program; 

(b) The number of units planned and 

their location(s); 

(c) A description and justification of 

the families that will be targeted for the 

program; 

(d) The proposed source of your 

construction and permanent financing 

of the units; and 

(e) A description of the 

homeownership counseling you or a 


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HUD-approved housing counseling 

agency will provide to prospective 

families, including such subjects as the 

homeownership process, housing in 

non-impacted areas, credit repair, 

budgeting, home maintenance, home 

financing, and mortgage lending. 

(2) You will receive 2 points for this 

factor if you address in your description 

one to four of the items listed under (1) 

above. 

(3) You will receive zero points for 

this factor if you do not propose to 

include homeownership units in your 

Revitalization plan, if your proposed 

program is not feasible and well 

defined, or if your application does not 

address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

9. Rating Factor: Soundness of 

Approach—30 Points Total 

a. Quality and Consistency of the 

Application—2 Points 

(1) The information and strategies 

described in your application must be 

well organized, coherent, and internally 

consistent. Numbers and statistics in 

your narratives must be consistent with 

the information provided in the 

attachments. Also, the physical and CSS 

aspects of the application must be 

compatible and coordinated with each 

other. Pay particular attention to the 

data provided for: 

(a) Types and numbers of units; 

(b) Budgets; 

(c) Other financial estimates, 

including sources and uses; and 

(d) Numbers of residents affected. 

(2) You will receive 2 points if your 

application demonstrates a high level of 

quality and consistency. 

(3) You will receive one point if your 

application has a high level of quality, 

but contains minor internal 

discrepancies; 

(4) You will receive zero points if 

your application fails to demonstrate an 

acceptable level of quality and 

consistency. 

b. Appropriateness and Feasibility of 

the Plan—5 Points 

(1) You will receive 5 points if your 

application demonstrates the following 

about your revitalization plan: 

(a) It is appropriate and suitable, in 

the context of the community and other 

revitalization options, in accordance 

with the Appropriateness of Proposal 

threshold in section III.C. of this NOFA; 

(b) Fulfills the needs that your 

application demonstrated for Rating 

Factor 2; 

(c) Is marketable, in the context of 

local conditions; 

(d) If you include market-rate 

housing, economic development, or 

retail structures in your revitalization 

plan, you must provide a signed letter 

from an independent, third party, 

credentialed market research firm, or 

professional that describes its 

assessment of the demand and 

associated pricing structure for the 

proposed residential units, economic 

development, or retail structures, based 

on the market and economic conditions 

of the project area. 

(e) Is financially feasible, as 

demonstrated in the financial 

structure(s) proposed in the application; 

(f) Does not propose to use public 

housing funds for non-public housing 

uses; 

(g) If extraordinary site costs have 

been identified, a certification of these 

costs has been provided in the 

application; 

(h) Describes the cost controls that 

will be used in implementing the 

project, in accordance with the Funding 

Restrictions and Program Requirements 

sections of this NOFA; 

(i) Includes a completed TDC/Grant 

Limitations Worksheet in the 

application and follows the Funding 

Restrictions and Program Requirements 

sections of this NOFA. 

(2) You will receive 3 points if your 

application demonstrates some but not 

all of the criteria above. 

(3) You will receive zero points if 

your application does not demonstrate 

the criteria above or your application 

does not provide sufficient information 

to evaluate this factor. 

c. Neighborhood Impact and 

Sustainability of the Plan—5 Points 

(1) You will receive up to 5 points if 

your application demonstrates your 

revitalization plan, including plans for 

retail or office space, or other economic 

development activities, as appropriate, 

will: 

(a) Result in a revitalized site that will 

enhance the neighborhood in which the 

project is located; 

(b) Spur outside investment into the 

surrounding community; 

(c) Enhance economic opportunities 

for residents; and 

(d) Remove an impediment to 

continued redevelopment or start a 

community-wide revitalization process. 

(2) You will receive up to 3 points if 

your application demonstrates that your 

revitalization plan will have only a 

moderate effect on activities in the 

surrounding community, as described in 

(1)(a) through (d) above. 

(3) You will receive zero Points if 

your application does not demonstrate 

that your revitalization plan will have 

an effect on the surrounding 

community, as described in (a) through 

(d) above, or if your application does 

not address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

d. Project Readiness—7 Points 

HUD places top priority on projects 

that will be able to commence 

immediately after grant award. You will 

receive the following points for each 

applicable subfactor certified in your 

application. 

(1) You will receive 2 points if the 

targeted severely distressed public 

housing site is completely vacant, i.e., 

all residents have been relocated. 

(2) You will receive 2 points if the 

targeted severely distressed public 

housing site is cleared, i.e., all buildings 

are demolished, or your revitalization 

plan only includes rehabilitation and no 

demolition of public housing units. 

(3) You will receive one point if a 

Master Development Agreement (MDA) 

has been developed and is ready to be 

submitted to HUD. However, in cases 

where the PHA (not an affiliate/ 

subsidiary/instrumentality) will act as 

its own developer for all components of 

the revitalization plan, an MDA is not 

needed and the one point will be 

awarded automatically. 

(4) You will receive one point if your 

preliminary site design is complete. 

(5) You will receive one point if you 

have held five or more public planning 

sessions leading to resident acceptance 

of the plan. 

e. Program Schedule—5 Points 

You will receive 5 points if the 

program schedule provided in your 

application incorporates all the 

timelines/milestones required in 

Section III.C.3.v., ‘‘Timeliness of 

Development Activity,’’ paragraphs (1)–

(6). If your schedule does not 

incorporate all the timelines/milestones, 

you will earn zero points. 

f. Design—3 Points 

(1) You will receive up to 3 points if 

your proposed site plan, new dwelling 

units, and buildings demonstrate that: 

(a) You have proposed a site plan that 

is compact, pedestrian-friendly, with an 

interconnected network of streets and 

public open space; 

(b) Your proposed housing, 

community facilities, and economic 

development facilities are thoroughly 

integrated into the community through 

the use of local architectural tradition, 

building scale, grouping of buildings, 

and design elements; and 

(c) Your plan proposes appropriate 

enhancements of the natural 


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environment that are appropriate to the 

site’s soils and microclimate. 

(2) You will receive one point if your 

proposed site plan, new dwelling units, 

and buildings demonstrate design that 

adequately addresses one or two, but 

not all three of the elements in (1) 

above. 

(3) You will receive zero points if 

your proposed design is perfunctory or 

otherwise does not address the elements 

in (1) above. You will also receive zero 

points if your application does not 

address this factor to an extent that 

makes HUD’s rating of this factor 

possible. 

g. Energy Star—1 Point 

(1) Promotion of Energy Star 

compliance is a HOPE VI Revitalization 

program requirement. See section 

III.C.3. of this NOFA. 

(2) You will receive one point if your 

application demonstrates that you will: 

(a) Use Energy Star-labeled products; 

(b) Promote Energy Star design of 

replacement units; and 

(c) Include Energy Star in 

homeownership counseling. 

(3) You will receive zero points if 

your application does not demonstrate 

that you will perform (2)(a) through (c) 

above. 

h. Evaluation—2 Points 

You are encouraged to work with your 

local university(ies), other institutions 

of learning, foundations, or others to 

evaluate the performance and impact of 

their HOPE VI revitalization plan over 

the life of the grant. The proposed 

methodology must measure success 

against goals you set at the outset of 

your revitalization activities. Evaluators 

must establish baselines and provide 

ongoing interim reports that will allow 

you to make changes as necessary as 

your project proceeds. Where possible, 

you are encouraged to form partnerships 

with Historically Black Colleges and 

Universities (HBCUs); Hispanic-Serving 

Institutions (HSIs); Community 

Outreach Partnership Centers (COPCs); 

the Alaskan Native/Native Hawaiian 

Institution Assisting Communities 

Program (as appropriate); and others in 

HUD’s University Partnerships Program. 

(1) You will receive 2 points if your 

application includes a letter(s) from an 

institution(s) of higher learning, 

foundations, or other organization that 

specializes in research and evaluation 

that provides a commitment to work 

with you to evaluate your program and 

describes its proposed approach to carry 

out the evaluation if your application is 

selected for funding. The letter must 

provide the extent of the commitment 

and involvement, the extent to which 

you and the local institution of higher 

learning will cooperate, and the 

proposed approach. The commitment 

letter must address all of the following 

areas for evaluation in order to earn full 

points: 

(a) The impact of your HOPE VI effort 

on the lives of the residents; 

(b) The nature and extent of economic 

development generated in the 

community; 

(c) The effect of the revitalization 

effort on the surrounding community, 

including spillover revitalization 

activities, property values, etc.; and 

(d) Your success at integrating the 

physical and CSS aspects of your 

strategy. 

(2) You will receive zero points if 

your application does not include a 

commitment letter that addresses each 

of the areas above (paragraphs(1) (a)–

(d)). 

10. Rating Factor: Incentive Criteria on 

Regulatory Barrier Removal—2 Points 

Total 

a. Description 

Applicants must follow the guidance 

provided in the General Section under 

section V.B. concerning the Removal of 

Regulatory Barriers to Affordable 

Housing in order to earn points under 

this rating factor. Information from the 

General Section V.B. is provided below, 

in part. In FY 2007, HUD continues to 

make removal of regulatory barriers a 

policy priority. Through the 

Department’s America’s Affordable 

Communities Initiative, HUD is seeking 

input into how it can work more 

effectively with the public and private 

sectors to remove regulatory barriers to 

affordable housing. Increasing the 

affordability of rental and 

homeownership housing continues to be 

a high priority of the Department. 

Addressing these barriers to housing 

affordability is a necessary component 

of any overall national housing policy. 

Under this policy priority, higher rating 

points are available to (1) governmental 

applicants that are able to demonstrate 

successful efforts in removing regulatory 

barriers to affordable housing and (2) 

nongovernmental applicants that are 

associated with jurisdictions that have 

undertaken successful efforts in 

removing barriers. To obtain the policy 

priority points for efforts to successfully 

remove regulatory barriers, applicants 

must complete form HUD–27300, 

‘‘Questionnaire for HUD’s Initiative on 

Removal of Regulatory Barriers.’’ Copies 

of HUD’s notices published on this issue 

can be found on HUD’s Web site at 

http://www.hud.gov/offices/adm/grants/ 

fundsavail.cfm. Form HUD–27300 is 

included in the electronic application 

for this program available at http:// 

www.grants.gov/applicants/ 

apply_for_grants.jsp. 

b. Scoring 

(1) Local jurisdictions and counties/ 

parishes with land use and building 

regulatory authority applying for 

funding, as well as PHAs, nonprofit 

organizations, and other qualified 

applicants applying for funds for 

projects located in these jurisdictions, 

are invited to answer the 20 questions 

under Part A. 

(2) State agencies or departments 

applying for funding, as well as PHAs, 

nonprofit organizations, and other 

qualified applicants applying for funds 

for projects located in unincorporated 

areas or areas not otherwise covered in 

Part A are invited to answer the 15 

questions under Part B. 

(3) Applicants that will be providing 

services in multiple jurisdictions may 

choose to address the questions in either 

Part A or Part B for that jurisdiction in 

which the preponderance of services 

will be performed if an award is made. 

(4) In no case will an applicant 

receive more than 2 points for barrier 

removal activities under this policy 

priority. 

(5) Under Part A, an applicant that 

scores at least five in column 2 will 

receive one point in the NOFA 

evaluation. An applicant that scores 10 

or more in column 2 will receive 2 

points in the NOFA evaluation. 

(6) Under Part B, an applicant that 

scores at least four in Column 2 will 

receive one point in the NOFA 

evaluation. An applicant that scores 

eight or greater will receive a total of 2 

points in the respective evaluation. 

(7) A limited number of questions on 

form HUD–27300 expressly request the 

applicant to provide brief 

documentation with its response. Other 

questions require that, for each 

affirmative statement made, the 

applicant supply a reference, Internet 

address, or brief statement indicating 

where the back-up information may be 

found and a point of contact, including 

a telephone number or e-mail address. 

To obtain an understanding of this 

policy priority and how it can affect 

their score, applicants are encouraged to 

read HUD’s three notices, which are 

available at http://www.hud.gov/ 

initiatives/affordablecom.cfm. 

Applicants that do not provide the 

Internet addresses, references, or 

documentation will not get the policy 

priority points. 


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B. Reviews and Selection Process 

HUD’s selection process is designed 

to ensure that grants are awarded to 

eligible PHAs that submit the most 

meritorious applications. HUD will 

consider the information you submit by 

the application deadline date. After the 

application deadline date, HUD may 

not, consistent with its regulations in 24 

CFR part 4, subpart B, consider any 

unsolicited information that you or any 

third party may want to provide. 

1. Application Screening 

a. HUD will screen each application 

to determine if: 

(1) It meets the threshold criteria 

listed in section III.C. of this NOFA; and 

(2) It is deficient, i.e., contains any 

Technical Deficiencies. 

b. See section III.C. of this NOFA for 

case-by-case information regarding 

thresholds and technical deficiencies. 

See section IV.B. of this NOFA for 

documentation requirements that will 

support threshold compliance and will 

avoid technical deficiencies. 

c. Corrections to Deficient 

Applications—Cure Period. The 

subsection entitled, ‘‘Corrections to 

Deficient Applications,’’ in section V.B. 

of the General Section is incorporated 

by reference and applies to this NOFA, 

except that clarifications or corrections 

of technical deficiencies in accordance 

with the information provided by HUD 

must be submitted within 14 calendar 

days of the date of receipt of the HUD 

notification. (If the deadline date falls 

on a Saturday, Sunday, or federal 

holiday, your correction must be 

received by HUD on the next day that 

is not a Saturday, Sunday, or federal 

holiday.) 

d. Applications that will not be rated 

or ranked. HUD will not rate or rank 

applications that are deficient at the end 

of the cure period stated in section V.B. 

of the General Section or that have not 

met the thresholds described in section 

III.C. of this NOFA. Such applications 

will not be eligible for funding. 

2. Preliminary Rating and Ranking 

a. Rating. 

(1) HUD staff will preliminarily rate 

each eligible application, SOLELY on 

the basis of the rating factors described 

in section V.A. of this NOFA. 

(2) When rating applications, HUD 

reviewers will not use any information 

included in any HOPE VI application 

submitted in a prior year. 

(3) HUD will assign a preliminary 

score for each rating factor and a 

preliminary total score for each eligible 

application. 

(4) The maximum number of points 

for each application is 125. 

b. Ranking. 

(1) After preliminary review, 

applications will be ranked in score 

order. 

3. Final Panel Review 

a. A Final Review Panel made up of 

HUD staff will: 

(1) Review the Preliminary Rating and 

Ranking documentation to: 

(a) Ensure that any inconsistencies 

between preliminary reviewers have 

been identified and rectified; and 

(b) Ensure that the Preliminary Rating 

and Ranking documentation accurately 

reflects the contents of the application. 

(2) Assign a final score to each 

application; and 

(3) Recommend for selection the most 

highly rated applications, subject to the 

amount of available funding, in 

accordance with the allocation of funds 

described in section II of this NOFA. 

4. HUD reserves the right to make 

reductions in funding for any ineligible 

items included in an applicant’s 

proposed budget. 

5. In accordance with the FY 2007 

HOPE VI appropriation, HUD may not 

use HOPE VI funds to grant competitive 

advantage in awards to settle litigation 

or pay judgments. 

6. Tie Scores 

If two or more applications have the 

same score and there are insufficient 

funds to select all of them, HUD will 

select for funding the application(s) 

with the highest score for the Soundness 

of Approach Rating Factor. If a tie 

remains, HUD will select for funding the 

application(s) with the highest score for 

the Capacity Rating Factor. HUD will 

select further tied applications with the 

highest score for the Need Rating Factor. 

7. Remaining Funds 

a. HUD reserves the right to reallocate 

remaining funds from this NOFA to 

other eligible activities under section 24 

of the 1937 Act. 

(1) If the total amount of funds 

requested by all applications found 

eligible for funding under section V.B. 

of this NOFA is less than the amount of 

funds available from this NOFA, all 

eligible applications will be funded and 

those funds in excess of the total 

requested amount will be considered 

remaining funds. 

(2) If the total amount of funds 

requested by all applications found 

eligible for funding under this NOFA is 

greater than the amount of funds 

available from this NOFA, eligible 

applications will be funded until the 

amount of non-awarded funds is less 

than the amount required to feasibly 

fund the next eligible application. In 

this case, the funds that have not been 

awarded will be considered remaining 

funds. 

8. The following sub-sections of 

section V. of the General Section are 

hereby incorporated by reference: 

a. HUD’s Strategic Goals; 

b. Policy Priorities; 

c. Threshold Compliance; 

d. Corrections to Deficient 

Applications; 

e. Rating; and 

f. Ranking. 

VI. Award Administration Information 

A. Award Notices 

1. Initial Announcement. The HUD 

Reform Act prohibits HUD from 

notifying you as to whether or not you 

have been selected to receive a grant 

until it has announced all grant 

recipients. If your application has been 

found to be ineligible or if it did not 

receive enough points to be funded, you 

will not be notified until the successful 

applicants have been notified. HUD will 

provide written notification to all 

applicants, whether or not they have 

been selected for funding. 

2. Award Letter. The notice of award 

letter is signed by the Assistant 

Secretary for Public and Indian Housing 

(grants officer) and will be delivered by 

fax and the U.S. Postal Service. 

3. Revitalization Grant Agreement. 

When you are selected to receive a 

Revitalization grant, HUD will send you 

a HOPE VI Revitalization grant 

agreement, which constitutes the 

contract between you and HUD to carry 

out and fund public housing 

revitalization activities. Both you and 

HUD will sign the cover sheet of the 

grant agreement, form HUD–1044. It is 

effective on the date of HUD’s signature, 

which is the second signature. The grant 

agreement differs from year to year. Past 

Revitalization grant agreements can be 

found on the HOPE VI Web site at 

http://www.hud.gov/hopevi. 

4. Applicant Debriefing. Upon 

request, HUD will provide an applicant 

a copy of the total score received by 

their application and the score received 

for each rating factor. 

5. General Section References. The 

following sub-section of section VI.A. of 

the General Section is hereby 

incorporated by reference: Adjustments 

to Funding. 

B. Administrative and National Policy 

Requirements 

1. Program Requirements. See the 

Program Requirements in section III.C.3. 

of this NOFA for information on HOPE 

VI program requirements that grantees 

must follow. 


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2. Conflict of Interest in Grant 

Activities. 

a. Prohibition. In addition to the 

conflict-of-interest requirements in 24 

CFR part 85, no person who is an 

employee, agent, consultant, officer, or 

elected or appointed official of a grantee 

and who exercises or has exercised any 

functions or responsibilities with 

respect to activities assisted under a 

HOPE VI grant, or who is in a position 

to participate in a decision-making 

process or gain inside information with 

regard to such activities, may obtain a 

financial interest or benefit from the 

activity, or have an interest in any 

contract, subcontract, or agreement with 

respect thereto, or the proceeds 

thereunder, either for himself or herself 

or for those with whom he or she has 

family or business ties, during his or her 

tenure or for one year thereafter. 

b. HUD-Approved Exception. 

(1) Standard. HUD may grant an 

exception to the prohibition above on a 

case-by-case basis when it determines 

that such an exception will serve to 

further the purposes of HOPE VI and its 

effective and efficient administration. 

(2) Procedure. HUD will consider 

granting an exception only after the 

grantee has provided a disclosure of the 

nature of the conflict, accompanied by: 

(a) An assurance that there has been 

public disclosure of the conflict; 

(b) A description of how the public 

disclosure was made; and 

(c) An opinion of the grantee’s 

attorney that the interest for which the 

exception is sought does not violate 

state or local laws. 

(d) Consideration of Relevant Factors. 

In determining whether to grant a 

requested exception as discussed, HUD 

will consider the cumulative effect of 

the following factors, where applicable: 

(i) Whether the exception would 

provide a significant cost benefit or an 

essential degree of expertise to the 

Revitalization plan and demolition 

activities that would otherwise not be 

available; 

(ii) Whether an opportunity was 

provided for open competitive bidding 

or negotiation; 

(iii) Whether the person affected is a 

member of a group or class intended to 

be the beneficiaries of the Revitalization 

plan and Demolition plan, and the 

exception will permit such person to 

receive generally the same interests or 

benefits as are being made available or 

provided to the group or class; 

(iv) Whether the affected person has 

withdrawn from his or her functions or 

responsibilities, or from the decisionmaking process, with respect to the 

specific activity in question; 

(v) Whether the interest or benefit was 

present before the affected person was 

in a position as described in section (iii) 

above; 

(vi) Whether undue hardship will 

result either to the grantee or the person 

affected when weighed against the 

public interest served by avoiding the 

prohibited conflict; and 

(vii) Any other relevant 

considerations. 

3. Salary Limitation for Consultants. 

Unless specifically authorized by law, 

FY 2007 funds may not be used to pay 

or to provide reimbursement for 

payment of the salary of a consultant, 

whether retained by the federal 

government or the grantee, at a rate 

more than the equivalent of the high pay 

for members of the Senior Executive 

Service (SES). For information on the 

Executive Pay Band levels, please see 

the Office Personnel Management 

(OPM) Web site band paid for level IV 

of the Executive Schedule, at http:// 

www.opm.gov/oca/06tables/html/ 

es.asp. 

4. Flood Insurance. In accordance 

with the Flood Disaster Protection Act 

of 1973 (42 U.S.C. 4001–4128), your 

application may not propose to provide 

financial assistance for acquisition or 

construction (including rehabilitation) 

of properties located in an area 

identified by the Federal Emergency 

Management Agency (FEMA) as having 

special flood hazards, unless: 

a. The community in which the area 

is situated is participating in the 

National Flood Insurance program (see 

44 CFR parts 59 through 79), or less 

than one year has passed since FEMA 

notification regarding such hazards; and 

b. Where the community is 

participating in the National Flood 

Insurance Program, flood insurance is 

obtained as a condition of execution of 

a grant agreement. 

5. Coastal Barrier Resources Act. In 

accordance with the Coastal Barrier 

Resources Act (16 U.S.C. 3501), your 

application may not target properties in 

the Coastal Barrier Resources System. 

6. Policy Requirements. 

a. OMB Circulars and Administrative 

Requirements. You must comply with 

the following administrative 

requirements related to the expenditure 

of federal funds. OMB circulars can be 

found at http://www.whitehouse.gov/ 

omb/circulars/index.html. Copies of the 

OMB circulars may be obtained from 

EOP Publications, Room 2200, New 

Executive Office Building, Washington, 

DC 20503; telephone (202) 395–7332 

(this is not a toll-free number). The Code 

of Federal Regulations can be found at 

http://www.gpoaccess.gov/cfr/ 

index.html. 

(1) Administrative requirements 

applicable to PHAs are: 

(a) 24 CFR part 85 (Administrative 

Requirements for Grants and 

Cooperative Agreements to State, Local, 

and Federally Recognized Indian Tribal 

Governments), as modified by 24 CFR 

part 941 or successor part, subpart F, 

relating to the procurement of partners 

in mixed-finance developments. 

(b) OMB Circular A–87 (Cost 

Principles for State, Local, and Indian 

Tribal Governments); and 

(c) 24 CFR 85.26 (audit requirements). 

(2) Administrative requirements 

applicable to nonprofit organizations 

are: 

(a) 24 CFR part 84 (Grants and 

Agreements with Institutions of Higher 

Education, Hospitals, and other 

Nonprofit Organizations); 

(b) OMB Circular A–122 (Cost 

Principles for Nonprofit Organizations); 

and 

(c) 24 CFR 84.26 (audit requirements). 

(3) Administrative requirements 

applicable to for profit organizations 

are: 

(a) 24 CFR part 84 (Grants and 

Agreements with Institutions of Higher 

Education, Hospitals, and other 

Nonprofit Organizations); 

(b) 48 CFR part 31 (contract cost 

principles and procedures); and 

(c) 24 CFR 84.26 (audit requirements). 

C. Reporting 

1. Quarterly Report. 

a. If you are selected for funding, you 

must submit a quarterly report to HUD. 

(1) HUD will provide training and 

technical assistance on the filing and 

submitting of quarterly reports. 

(2) Filing of quarterly reports is 

mandatory for all grantees, and failure 

to do so within the required timeframe 

will result in suspension of grant funds 

until the report is filed and approved by 

HUD. 

(3) Grantees will be held to the 

milestones that are reported on the 

Quarterly Report Administrative and 

Compliance Checkpoints Report, as 

approved by HUD. 

(4) Grantees must also report 

obligations and expenditures in LOCCS, 

or its successor system, on a quarterly 

basis. 

2. Logic Model Reporting. 

a. The reporting shall include 

submission of a completed Logic Model 

indicating results achieved against the 

proposed output goal(s) and proposed 

outcome(s), which you stated in your 

approved application and agreed upon 

with HUD. The submission of the Logic 

Model and required information should 

be in accord with the reporting 

timeframes as identified in your grant 

agreement. 


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b. The goals and outcomes that you 

include in the Logic Model should 

reflect your major activities and 

accomplishments under the grant. For 

example, you would include unit 

construction, demolition, etc., from the 

‘‘bricks-and-mortar’’ portion of the 

grant. As another example, for the CSS 

portion of the grant, you may include 

the number of jobs created or the 

number of families that have reached 

self-sufficiency, but you would not 

include information on specific job 

training and self-sufficiency courses. 

c. As a condition of the receipt of 

financial assistance under this NOFA, 

all successful applicants will be 

required to cooperate with all HUD staff 

or contractors performing HUD-funded 

research and evaluation studies. 

3. Final Report. 

a. The grantees shall submit a final 

report, which will include a financial 

report and a narrative evaluating overall 

performance against its HOPE VI 

Revitalization plan. Grantees shall use 

quantifiable data to measure 

performance against goals and 

objectives outlined in its application, as 

well as against the responses to the 

Management Questions contained in the 

Logic Model. The financial report shall 

contain a summary of all expenditures 

made from the beginning of the grant 

agreement to the end of the grant 

agreement and shall include any 

unexpended balances. 

b. Racial and Ethnic Data. HUD 

requires that funded recipients collect 

racial and ethnic beneficiary data. It has 

adopted the OMB’s Standards for the 

Collection of Racial and Ethnic Data. In 

view of these requirements, you should 

use form HUD–27061, Racial and Ethnic 

Data Reporting Form (instructions for its 

use), included in the electronic 

application for this program available at 

http://www.grants.gov/applicants/ 

apply_for_grants.jsp, a comparable 

program form, or a comparable 

electronic data system for this purpose. 

c. The final narrative and financial 

report shall be due to HUD 90 days after 

either the full expenditure of funds, or 

when the grant term expires, whichever 

comes first. 

VII. Agency Contacts 

A. Technical Assistance 

1. Before the application deadline 

date, HUD staff will be available to 

provide you with general guidance and 

technical assistance. However, HUD 

staff is not permitted to assist in 

preparing your application. If you have 

a question or need a clarification, you 

may call or send an e-mail message to 

the Office of Public Housing 

Investments, Attention: Leigh van Rij, at 

(202) 402–5788 (this is not a toll-free 

number), leigh_e._van_rij@hud.gov. The 

mailing address is: Office of Public 

Housing Investments, Department of 

Housing and Urban Development, 451 

Seventh Street, SW., Room 4130, 

Washington, DC 20410–5000; telephone 

numbers (202) 401–8812; fax (202) 401–

2370 (these are not toll-free numbers). 

Persons with hearing or speech 

impairments may access these 

telephone numbers through a text 

telephone (TTY) by calling the toll-free 

Federal Information Relay Service at 

(800) 877–8339. 

2. Frequently Asked Questions and 

General HOPE VI Information. Before 

the application deadline date, 

frequently asked questions (FAQs) on 

the NOFA will be posted to HUD’s 

grants Web site at http://www.hud.gov/ 

offices/adm/grants/otherhud.cfm. 

3. You may obtain general 

information about HUD’s HOPE VI 

programs from HUD’s HOPE VI Web site 

at http://www.hud.gov/offices/pih/ 

programs/ph/hope6/. 

B. Technical Corrections to the NOFA 

1. Technical corrections to this NOFA 

will be posted on the Grants.gov Web 

site. 

2. Any technical corrections will also 

be published in the Federal Register. 

3. You are responsible for monitoring 

these sites during the application 

preparation period. 

VIII. Other Information 

A. Waivers. Any HOPE VI-funded 

activities at public housing projects are 

subject to statutory requirements 

applicable to public housing projects 

under the 1937 Act, other statutes, and 

the annual contributions contract (ACC). 

Within such restrictions, HUD seeks 

innovative solutions to the longstanding problems of severely distressed 

public housing projects. You may 

request, for the revitalized project, a 

waiver of HUD regulations, subject to 

statutory limitations and a finding of 

good cause under 24 CFR 5.110, if the 

waiver will permit you to undertake 

measures that enhance the long-term 

viability of a project revitalized under 

this program. HUD will assess each 

request to determine whether good 

cause is established to grant the waiver. 

B. Environmental Impact. A Finding 

of No Significant Impact with respect to 

the environment has been made for this 

notice, in accordance with HUD 

regulations at 24 CFR part 50 that 

implement section 102(2)(C) of the 

National Environmental Policy Act of 

1969 (42 U.S.C. 4332). The Finding of 

No Significant Impact is available for 

public inspection between 8 a.m. and 5 

p.m. in the Office of General Counsel, 

Regulations Division, Department of 

Housing and Urban Development, 451 

Seventh Street, SW., Room 10276, 

Washington, DC 20410–0500. 

C. General Section References. The 

following sub-sections of section VIII of 

the General Section are hereby 

incorporated by reference: 

1. Executive Order 13132, Federalism; 

2. Public Access, Documentation, and 

Disclosure; 

3. Section 103 of the HUD Reform 

Act. 

D. Paperwork Reduction Act 

Statement. The information collection 

requirements contained in this 

document have been approved by the 

OMB under the Paperwork Reduction 

Act of 1995 (44 U.S.C. 3501–3520) and 

assigned OMB Control Number 2577–

0208. In accordance with the Paperwork 

Reduction Act, HUD may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information, 

unless the collection displays a 

currently valid OMB control number. 

The public reporting burden for the 

collection of information is estimated to 

average 190 hours per annum per 

respondent for the application and grant 

administration. This includes the time 

for collecting, reviewing, and reporting 

the data for the application, quarterly 

reports, and final report. The 

information will be used for grantee 

selection and monitoring the 

administration of funds. Response to 

this request for information is required 

in order to receive the benefits to be 

derived. 

[FR Doc. 07–3713 Filed 7–27–07; 8:45 am] 

BILLING CODE 4210–67–P 


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