review of applications (cont’d)

110

Review of Applications (cont’d)


• HUD Technical Processing-– Request for clarifying information or

curable items not discovered until technical processing

• 14 calendar day deadline for response

– If applicable, you must submit HUD Phase II ESA by July 14, 2003

• HUD Technical Processing-– Request for clarifying information or

curable items not discovered until technical processing

• 14 calendar day deadline for response

– If applicable, you must submit HUD Phase II ESA by July 14, 2003

111



• Schedule (cont’d) – 7/25/03 Technical reject letters

issued• Applicant can appeal within 14

calendar days• Local HUD Office responds to appeal

within 5 working days

• Schedule (cont’d) – 7/25/03 Technical reject letters

issued• Applicant can appeal within 14

calendar days• Local HUD Office responds to appeal

within 5 working days

114

Rating and Ranking of Applications

Rating and Ranking of Applications

• Approvable applications rated according to Rating Criteria in NOFA

• Approvable applications rated according to Rating Criteria in NOFA

Rating and Ranking of Applications (cont’d)

Rating and Ranking of Applications (cont’d)

• HUD holds Rating/Selection Panel– After the 14-day period for appeals, ie,

after decisions on tech reject appeals– After receipt of any Single Point of

Contact (SPOC) comments, where applicable, or end of comment period (pursuant to EO 12372)

• HUD holds Rating/Selection Panel– After the 14-day period for appeals, ie,

after decisions on tech reject appeals– After receipt of any Single Point of

Contact (SPOC) comments, where applicable, or end of comment period (pursuant to EO 12372)

115

Rating FactorsRating Factors

• 1. Capacity of the Applicant and Relevant Organizational Staff

(25 pts –202/30 pts - 811)- Housing or related services experience/scope of project

compared to your development and management (including financial) capability (15 pts)

• 1. Capacity of the Applicant and Relevant Organizational Staff

(25 pts –202/30 pts - 811)- Housing or related services experience/scope of project

compared to your development and management (including financial) capability (15 pts)

116

Rating Factors (cont’d)Rating Factors (cont’d)

• Rating Factor 1 (cont’d)– Housing or related services experience

to minority persons/families (5 pts)

– Ties to community and to minority and elderly (202) or disability communities (5 pts)

– Experience in developing integrated housing and/or project will be integrated housing (5 pts - 811 Only)

• Rating Factor 1 (cont’d)– Housing or related services experience

to minority persons/families (5 pts)

– Ties to community and to minority and elderly (202) or disability communities (5 pts)

– Experience in developing integrated housing and/or project will be integrated housing (5 pts - 811 Only)


• Rating Factor 1 (cont’d)

– A Section 811 or Section 202 fund reservation has been extended beyond 24, 36, or 48 months (except if delay was beyond your control) (-2 to - 4 pts)

– Amendment money was required as a result of the delay (except if delay was beyond your control) (-1 pt)

• Rating Factor 1 (cont’d)

– A Section 811 or Section 202 fund reservation has been extended beyond 24, 36, or 48 months (except if delay was beyond your control) (-2 to - 4 pts)

– Amendment money was required as a result of the delay (except if delay was beyond your control) (-1 pt)

117


2. Need/Extent of the Problem (15 pts)

Extent of need based on:- Your evidence of need in the area- Economic, demographic and

housing market data available to HUD (12 pts)

2. Need/Extent of the Problem (15 pts)

Extent of need based on:- Your evidence of need in the area- Economic, demographic and

housing market data available to HUD (12 pts)

118


2. Need/Extent of the Problem (cont’d)

The extent that a connection has been established between project and the Community’s Consolidated Plan,

Analysis of Impediments to Fair Housing Choice (AI) or other planning document. (3 pts)

2. Need/Extent of the Problem (cont’d)

The extent that a connection has been established between project and the Community’s Consolidated Plan,

Analysis of Impediments to Fair Housing Choice (AI) or other planning document. (3 pts)

119

Rating FactorsSection 202


3. Soundness of Approach (45 pts) - Site approvability (15 pts) - One or more of the proposed sites is not permissively zoned for the intended use (-1pt) - Site promotes greater choice of housing for minority elderly (10 pts) - Design meets physical needs of the elderly (4 pts)

3. Soundness of Approach (45 pts) - Site approvability (15 pts) - One or more of the proposed sites is not permissively zoned for the intended use (-1pt) - Site promotes greater choice of housing for minority elderly (10 pts) - Design meets physical needs of the elderly (4 pts)

120

Rating Factors (cont’d)Section 202


3. Soundness of Approach (cont’d) (45 pts)

- Size & unit mix promote efficient mgmt./ economic service

provision (3 pts)

- Design accommodates services over useful life of hsg (3 pts)

3. Soundness of Approach (cont’d) (45 pts)

- Size & unit mix promote efficient mgmt./ economic service

provision (3 pts)

- Design accommodates services over useful life of hsg (3 pts)

121



3. Soundness of Approach – (cont’d)

- Svcs meet needs of residents (3 pts)

- Svcs provided on a consistent, long-term basis (3 pts) - Proposed design incorporates visitability and universal design (1 pt)

- Involvement of elderly persons in appl dev & in dev and operation of project (3 pts)

3. Soundness of Approach – (cont’d)

- Svcs meet needs of residents (3 pts)

- Svcs provided on a consistent, long-term basis (3 pts) - Proposed design incorporates visitability and universal design (1 pt)

- Involvement of elderly persons in appl dev & in dev and operation of project (3 pts)

122



3. Soundness of Approach (40 points)

- Site approvability (10 pts)

- Site control (5 pts)

- One or more of proposed sites

is not permissively zoned (-1 pt)

3. Soundness of Approach (40 points)

- Site approvability (10 pts)

- Site control (5 pts)

- One or more of proposed sites

is not permissively zoned (-1 pt)

123



3. Soundness of Approach (40 points) - Greater housing choice (10 pts)

- Design meets needs and will facilitate integration and independence (4 pts)

- Board includes majority of persons with disabilities (5 pts)

3. Soundness of Approach (40 points) - Greater housing choice (10 pts)

- Design meets needs and will facilitate integration and independence (4 pts)

- Board includes majority of persons with disabilities (5 pts)



3. Soundness of Approach (40 points) - Involvement of persons with

disabilities in dev of appl & in dev and operation of project (3 pts)

- Extent to which you coordinated appl with other organizations (2 pts)

3. Soundness of Approach (40 points) - Involvement of persons with

disabilities in dev of appl & in dev and operation of project (3 pts)

- Extent to which you coordinated appl with other organizations (2 pts)

124


4. Leveraging Resources (5 pts)

(a) Local gov’t support (2 pts)

(b) Community activities and ability to enlist volunteers

and raise local funds (3 pts)

4. Leveraging Resources (5 pts)

(a) Local gov’t support (2 pts)

(b) Community activities and ability to enlist volunteers

and raise local funds (3 pts)

125


5. Achieving Results and Program Evaluation (10 pts)

- Project Development Timeline indicative of full understanding of development process (5 pts)

- Proj will implement practical solutions (2 pts) - Extent to which you demonstrated that project will remain viable (3 pts)

5. Achieving Results and Program Evaluation (10 pts)

- Project Development Timeline indicative of full understanding of development process (5 pts)

- Proj will implement practical solutions (2 pts) - Extent to which you demonstrated that project will remain viable (3 pts)

126

Bonus Points(2)Bonus Points(2)

Location of Project in RCs/EZs/ECs:

- Rural Community- Empowerment Zone- Enterprise Community- Urban Enhanced Enterprise Community- Strategic Planning Community

Location of Project in RCs/EZs/ECs:

- Rural Community- Empowerment Zone- Enterprise Community- Urban Enhanced Enterprise Community- Strategic Planning Community

127

Selection ProcessSelection Process

• Three Tiered– Program Center– Hub– Headquarters

• Three Tiered– Program Center– Hub– Headquarters

128

Selection Process Program Center


• Only applications scoring 75 points or more prior to addition of RC/EZ/EC Bonus Points are eligible for selection

• Only applications scoring 75 points or more prior to addition of RC/EZ/EC Bonus Points are eligible for selection



• Applications placed in rank order– Applications are selected until there

are not sufficient funds to select the next project for the number of units and dollars requested

– For 202, this must be done separately for metro and non-metro applications

• Applications placed in rank order– Applications are selected until there

are not sufficient funds to select the next project for the number of units and dollars requested

– For 202, this must be done separately for metro and non-metro applications

129

Selection Process (cont’d)Program Center

Selection Process (cont’d)Program Center

• Fund next project by reducing units up to 10% rounded to nearest whole number if:

- Project remains feasible- Will not reduce projects of 5 or less units (2 units or less if group

home)

• Cannot skip over a project

• Fund next project by reducing units up to 10% rounded to nearest whole number if:

- Project remains feasible- Will not reduce projects of 5 or less units (2 units or less if group

home)

• Cannot skip over a project

130

Selection Process (cont’d)Program Center Section 202

Selection Process (cont’d)Program Center Section 202

• Can combine residual metro & non-metro funds

• Can select next project in either category if there are sufficient funds and may use unit reduction policy if necessary

• Can combine residual metro & non-metro funds

• Can select next project in either category if there are sufficient funds and may use unit reduction policy if necessary

131

Selection ProcessHUB


• Residual funds from Program Centers combined

– Restore units that were reduced

– Fund applications in rank order with no more than one application selected per Program Center

• Residual funds from Program Centers combined

– Restore units that were reduced

– Fund applications in rank order with no more than one application selected per Program Center

132



– Repeat process until funds can no longer support next ranked project

– Utilize unit reduction policy, if possible, for last project

– Cannot skip over a project

– Repeat process until funds can no longer support next ranked project

– Utilize unit reduction policy, if possible, for last project

– Cannot skip over a project

133

Selection ProcessHeadquarters


• Residual funds from all Hubs combined

• If necessary, fund previously submitted projects from last FY not selected due to HUD error

• Residual funds from all Hubs combined

• If necessary, fund previously submitted projects from last FY not selected due to HUD error

134



• Restore unit reductions• Fund projects in rank order with no

more than 1 application selected per HUD Office– For 202 only, priority is given to non-

metro projects to comply with statutory requirement

• Repeat Process

• Restore unit reductions• Fund projects in rank order with no

more than 1 application selected per HUD Office– For 202 only, priority is given to non-

metro projects to comply with statutory requirement

• Repeat Process

135

Suggestions for Preparing Your Application

Suggestions for Preparing Your Application

• Read the General Section of the SuperNOFA and applicable Program NOFA THOROUGHLY

• If you are an inexperienced Sponsor, consider submitting an application with a well-established Co-Sponsor

• Read the General Section of the SuperNOFA and applicable Program NOFA THOROUGHLY

• If you are an inexperienced Sponsor, consider submitting an application with a well-established Co-Sponsor

Suggestions for Preparing Your Application (cont’d)


– Must also meet all program requirements

– If Co-Sponsor has 202 or 811 experience including fund reservations extended beyond 24 mths or capital advance increases(except if the delay or increase was not their fault) your application points will also be reduced

– Must also meet all program requirements

– If Co-Sponsor has 202 or 811 experience including fund reservations extended beyond 24 mths or capital advance increases(except if the delay or increase was not their fault) your application points will also be reduced

Suggestions for Preparing Your Application(cont’d)

Suggestions for Preparing Your Application(cont’d)

• Involve your entire organization

• Use a strategy chart listing all exhibits to:– Distribute workload– Coordinate your efforts– Track progress

• Involve your entire organization

• Use a strategy chart listing all exhibits to:– Distribute workload– Coordinate your efforts– Track progress

136



• Get documents from other organizations and governmental agencies ASAP

• Start Phase I ESA ASAP and keep in mind that Phase II ESA, if needed, is due in HUD Office by July 14, 2003

• Get documents from other organizations and governmental agencies ASAP

• Start Phase I ESA ASAP and keep in mind that Phase II ESA, if needed, is due in HUD Office by July 14, 2003



• Showcase the strengths of your organization

• Don’t assume HUD knows all about you

• Write clearly and concisely– State the exhibit requirement

and/or statement first, then provide the response

• Showcase the strengths of your organization

• Don’t assume HUD knows all about you

• Write clearly and concisely– State the exhibit requirement

and/or statement first, then provide the response



• Use HUD’s Rating Factors as a guide in completing your application– Make sure you answer the

question asked– Use the same wording from the

Rating Factor in your response– Be quantitative in your response,

where applicable

• Use HUD’s Rating Factors as a guide in completing your application– Make sure you answer the

question asked– Use the same wording from the

Rating Factor in your response– Be quantitative in your response,

where applicable

138



• Application should be Complete, Accurate and Well Organized– Use table of contents and tabs exactly

as organized in Appendix A– Make sure every exhibit and portion of

an exhibit is included – Make sure every document has the

required signatures and dates

• Application should be Complete, Accurate and Well Organized– Use table of contents and tabs exactly

as organized in Appendix A– Make sure every exhibit and portion of

an exhibit is included – Make sure every document has the

required signatures and dates



• Application should be Complete, Accurate and Well Organized (cont’d)– Make sure the information on the

92015 or 92016 matches the info in the narratives

– Be consistent on ALL documents

• Application should be Complete, Accurate and Well Organized (cont’d)– Make sure the information on the

92015 or 92016 matches the info in the narratives

– Be consistent on ALL documents



• Local Support– In addition to letters of support for

your organization and the proposed project, you must have letters of intent committing resources (funds, land, volunteers, services, etc.) to get full points

– A letter of support is not the same as a letter of intent

• Local Support– In addition to letters of support for

your organization and the proposed project, you must have letters of intent committing resources (funds, land, volunteers, services, etc.) to get full points

– A letter of support is not the same as a letter of intent

139



• Have a fresh pair of eyes do a final check

• Mail early to meet the June 13, 2003 deadline

• Have a fresh pair of eyes do a final check

• Mail early to meet the June 13, 2003 deadline

Legal IssuesLegal Issues

• Eligible Applicant 202: Private nonprofit org

Incorporated private institu- tion or foundation with IRS exemption811: NONPROFIT organization IRS exemption under 501(c)(3)

• Eligible Applicant 202: Private nonprofit org

Incorporated private institu- tion or foundation with IRS exemption811: NONPROFIT organization IRS exemption under 501(c)(3)

Legal Issues (cont’d)Legal Issues (cont’d)

• American Homeownership Act of 2000 – addition of limited partnership

- 202: A for-profit limited partnership sole general partner is eligible


• American Homeownership Act of 2000 – addition of limited partnership




• American Homeownership Act of 2000 (cont’d)

- Interim rule implementing

202/811 mixed finance projects

• American Homeownership Act of 2000 (cont’d)

- Interim rule implementing

202/811 mixed finance projects

Legal Issues (cont’d) Legal Issues (cont’d)

• American Homeownership Act of 2000 (cont’d)– Mixed finance partnership will be

owner and 202/811 nonprofit organization will be sole general partner

• Nonprofit organization receives capital advance and loans it to the Partnership for 9% tax credits

• Pass through for 4% tax credits

• American Homeownership Act of 2000 (cont’d)– Mixed finance partnership will be

owner and 202/811 nonprofit organization will be sole general partner

• Nonprofit organization receives capital advance and loans it to the Partnership for 9% tax credits

• Pass through for 4% tax credits

Legal Issues (cont’d) Legal Issues (cont’d)

• American Homeownership Act of 2000 (cont’d)– Only 202 or 811 Sponsors selected in

FYs 2001,2002 or 2003 and whose applications indicated an intent to have a mixed-finance project are eligible for mixed-finance. For 811, the application must have legal control of an approvable site to propose a mixed-finance project.

• American Homeownership Act of 2000 (cont’d)– Only 202 or 811 Sponsors selected in

FYs 2001,2002 or 2003 and whose applications indicated an intent to have a mixed-finance project are eligible for mixed-finance. For 811, the application must have legal control of an approvable site to propose a mixed-finance project.


• FY 2003 Appropriations Act limit on obligation/expenditure of funds– Funds must be obligated before

9/30/06 and expended before 9/30/11– Means final closing can occur no later

than 9/30/11– PRAC funds cannot be disbursed after

9/30/11; Congressional action necessary to carry out 5-yr PRAC contract

• FY 2003 Appropriations Act limit on obligation/expenditure of funds– Funds must be obligated before

9/30/06 and expended before 9/30/11– Means final closing can occur no later

than 9/30/11– PRAC funds cannot be disbursed after

9/30/11; Congressional action necessary to carry out 5-yr PRAC contract


• Changes in Application Filing Requirements Due to Security

– No hand delivered applications will be accepted.

– An original and four copies of the application must be filed with the appropriate HUD Office and should be mailed using the USPS.

– The application must be postmarked by midnight on June 13 and received in the HUD Office within 15 days of the due date

• Changes in Application Filing Requirements Due to Security

– No hand delivered applications will be accepted.

– An original and four copies of the application must be filed with the appropriate HUD Office and should be mailed using the USPS.

– The application must be postmarked by midnight on June 13 and received in the HUD Office within 15 days of the due date


• HUD Core Values and Ethical Standards– Regulatory conflict and identity

prohibitions strictly enforced– Sponsor’s conflict resolution with

application– Individual certifications after fund

reservation, directors and officers of Sponsor, Owner and development team members (also 2530)

• HUD Core Values and Ethical Standards– Regulatory conflict and identity

prohibitions strictly enforced– Sponsor’s conflict resolution with

application– Individual certifications after fund

reservation, directors and officers of Sponsor, Owner and development team members (also 2530)


• Site Control (202/811) or Site Identification (811)– Deed or long-term leasehold (75

yrs); no subleases– Contract of sale free of

limitations– Option to purchase or leasehold;

6 mths plus renewable

• Site Control (202/811) or Site Identification (811)– Deed or long-term leasehold (75

yrs); no subleases– Contract of sale free of

limitations– Option to purchase or leasehold;

6 mths plus renewable


• Site Control (202/811) or Site Identification (811)(cont’d)– Public body site including Federal

agency. Letter from responsible official if delay in official approvals

– Title policy or report showing acceptable title

• Site Control (202/811) or Site Identification (811)(cont’d)– Public body site including Federal

agency. Letter from responsible official if delay in official approvals

– Title policy or report showing acceptable title

SITE SELECTIONAND THE

ENVIRONMENTALREVIEW PROCESS

SITE SELECTIONAND THE

ENVIRONMENTALREVIEW PROCESS

CLARIFICATIONSCLARIFICATIONS

• HUD may request additional environmental information

• “Safe” Site Supplement to indicate types of information that might be requested

• HUD may request additional environmental information

• “Safe” Site Supplement to indicate types of information that might be requested

CLARIFICATIONS(cont’d)

CLARIFICATIONS(cont’d)

• Asbestos Report to be included in Phase I ESA for rehab/ demolition projects

• Sample SHPO/THPO letter

• Asbestos Report to be included in Phase I ESA for rehab/ demolition projects

• Sample SHPO/THPO letter

GeneralGeneral

• Timing of environmental review– 202s & 811s with site control: at

application processing stage– 811s approved as “site identified”:

prior to issuance of FIRM

• 202/811 Sponsors and HUD are partners

• Timing of environmental review– 202s & 811s with site control: at

application processing stage– 811s approved as “site identified”:

prior to issuance of FIRM

• 202/811 Sponsors and HUD are partners

General(cont’d)General(cont’d)

• HUD wants Sponsors to– Find a site with no concerns/ easily resolvable concerns,

especially• Toxic Hazards • Historic Preservation• Floodplain or Wetland

• HUD wants Sponsors to– Find a site with no concerns/ easily resolvable concerns,

especially• Toxic Hazards • Historic Preservation• Floodplain or Wetland


• HUD wants Sponsors to provide certain information to HUD: – Phase I ESA (including asbestos

report)– HP– Other information as requested

• HUD wants Sponsors to provide certain information to HUD: – Phase I ESA (including asbestos

report)– HP– Other information as requested


• HUD appraiser will perform environmental review based – Sponsor provided information– Research– Leg work.

• HUD appraiser will perform environmental review based – Sponsor provided information– Research– Leg work.

Curable DeficienciesCurable Deficiencies

• Phase I ESA for 202s – For 811s, if no Phase I ESA,

process as “Site Identified”

• Historic Preservation

• Phase I ESA for 202s – For 811s, if no Phase I ESA,

process as “Site Identified”

• Historic Preservation

Hazard IdentificationHazard Identification

• Phase I Environmental Site Assessment (ESA) Must use ASTM 1527-97, as amended– Required on all projects with site

control– Can be no older than 6 months

(12/13/02), unless• Updated by Environmental Professional• Must state if change or no change

• Phase I Environmental Site Assessment (ESA) Must use ASTM 1527-97, as amended– Required on all projects with site

control– Can be no older than 6 months

(12/13/02), unless• Updated by Environmental Professional• Must state if change or no change

testtest

Hazard Identification (cont’d)


• If Phase I indicates possible presence of contamination and/or hazards– Phase II required if Sponsor opts

to continue with site– Phase II must indicate total

extent of hazards– Must be submitted by July 14,

2003

• If Phase I indicates possible presence of contamination and/or hazards– Phase II required if Sponsor opts

to continue with site– Phase II must indicate total

extent of hazards– Must be submitted by July 14,

2003



• If Phase II indicates hazards, Sponsor to submit by July 14, 2003– Remediation Plan– Contract for Remediation– Must be approved by

local/State/Federal gov’t.

• Remediation at Sponsor’s expense• After remediation, must be clean:

no capping, monitoring wells, etc.

• If Phase II indicates hazards, Sponsor to submit by July 14, 2003– Remediation Plan– Contract for Remediation– Must be approved by

local/State/Federal gov’t.

• Remediation at Sponsor’s expense• After remediation, must be clean:

no capping, monitoring wells, etc.

Asbestos ReportAsbestos Report

• Part of Phase I ESA• Not required if Sponsor statement

that no rehab/ demolition of pre-1978 structures

• If friable – Abate• In non-friable & affected by

rehab/demolition – abate• Sponsor must pay for any asbestos

abatement

• Part of Phase I ESA• Not required if Sponsor statement

that no rehab/ demolition of pre-1978 structures

• If friable – Abate• In non-friable & affected by

rehab/demolition – abate• Sponsor must pay for any asbestos

abatement

Choosing an Environmentally “Safe”

Site


Site• Appendix 2 to Application

– Referenced at 68fr22042– http://www.hud.gov/offices/adm/ grants

/nofa/forms/SafeSitePub.PDF

– Excellent Discussion

• Discusses Phase I ESAs, especially for 202/811 programs

• Appendix 2 to Application – Referenced at 68fr22042– http://www.hud.gov/offices/adm/ grants

/nofa/forms/SafeSitePub.PDF

– Excellent Discussion

• Discusses Phase I ESAs, especially for 202/811 programs

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













Site (cont’d)


Site (cont’d)• Special discussions on

– Toxic & hazardous substances– USTs– Asbestos– LBP

• Special discussions on

– Toxic & hazardous substances– USTs– Asbestos– LBP

testtest

• Test– Test

• test

• Test– Test

• test

Choosing an Environmentally “Safe” Site – Supplemental

Guidance


Guidance• Attachment 3 to Application

– 68fr22043

• Types of Items– HUD might request additional

necessary information– Important for HUD to complete its

Environmental review

• Attachment 3 to Application– 68fr22043

• Types of Items– HUD might request additional

necessary information– Important for HUD to complete its

Environmental review


Guidance (cont’d)


Guidance (cont’d)• Natural Resources

– Rivers– Streams– Lakes– Ponds– Designated Wetlands– Drainage ways

• Natural Resources– Rivers– Streams– Lakes– Ponds– Designated Wetlands– Drainage ways


Guidance (cont’d)


Guidance (cont’d)• Natural Resources (cont’d)

– Swamps– Creeks– Waterways– Coastlines– Unique natural features– Endangered Species (esp. salmon

in Seattle, WA and Portland, OR)

• Natural Resources (cont’d)– Swamps– Creeks– Waterways– Coastlines– Unique natural features– Endangered Species (esp. salmon

in Seattle, WA and Portland, OR)


Guidance (cont’d)


Guidance (cont’d)• Manmade Hazards

– Industrial Operations– Airports– Landfills, dumps– Odors– Noise– Traffic– Agricultural operations– Incinerators, oil refineries– Large parking facilities/lots– Nuisances and Hazards

• Manmade Hazards– Industrial Operations– Airports– Landfills, dumps– Odors– Noise– Traffic– Agricultural operations– Incinerators, oil refineries– Large parking facilities/lots– Nuisances and Hazards

HUD Form 4128HUD Form 4128

• Used to record environmental review

• HUD appraiser performs site visit and records results on the “Sample Field Notes Checklist”

• HUD appraiser contacts Sponsor if more info is needed

• Note Items 17,18,22, and 23 on page 2 of 4128

• Used to record environmental review

• HUD appraiser performs site visit and records results on the “Sample Field Notes Checklist”

• HUD appraiser contacts Sponsor if more info is needed

• Note Items 17,18,22, and 23 on page 2 of 4128

testtest

• Test• Test

testtest

• Test– Test

• test

– Test• test

• Test– Test

• test

– Test• test

testtest

HUD Form 4128 (cont’d)HUD Form 4128 (cont’d)

• HUD appraiser completes during Technical Processing

• If cannot be completed during Technical Processing due to complexity– 202: Rejected and not

rated/ranked– 811: Process as “Site Identified”

• HUD appraiser completes during Technical Processing

• If cannot be completed during Technical Processing due to complexity– 202: Rejected and not

rated/ranked– 811: Process as “Site Identified”

HUD Form 4128 ConclusionsHUD Form 4128 Conclusions

• Acceptable as submitted• Acceptable with conditions &

safeguards placed on approval documents

• Not acceptable, then– 202: Project rejected, not rated

and ranked– 811: Process as “Site Identified”

• Acceptable as submitted• Acceptable with conditions &

safeguards placed on approval documents

• Not acceptable, then– 202: Project rejected, not rated

and ranked– 811: Process as “Site Identified”

Historic PreservationHistoric Preservation

• SHPO– Letter to SHPO/THPO– Response

• If no response– Sponsor statement indicating that

it attempted, but SHPO/THPO• Had not responded, or• Indicated would not honor request

• SHPO– Letter to SHPO/THPO– Response

• If no response– Sponsor statement indicating that

it attempted, but SHPO/THPO• Had not responded, or• Indicated would not honor request

Historic Preservation (cont’d)


• If no response (cont’d)– Or, HUD staff will contact Sponsor

regarding status of SHPO/THPO response

• If no response (cont’d)– Or, HUD staff will contact Sponsor

regarding status of SHPO/THPO response



• Sample letter to SHPO/THPO– Attachment 1 to Application

• 68fr22039-68fr22041

– Developed by HUD HPO– Includes all information necessary for

SHPO/THPO to provide comment– Allows for dual response to Sponsor &

HUD– Some field offices might have other

sample letters

• Sample letter to SHPO/THPO– Attachment 1 to Application

• 68fr22039-68fr22041

– Developed by HUD HPO– Includes all information necessary for

SHPO/THPO to provide comment– Allows for dual response to Sponsor &

HUD– Some field offices might have other

sample letters



• If no, or improper, response– HUD will then initiate process

• If no, or improper, response– HUD will then initiate process



• NRHP or no NRHP properties• If NRHP – Effect or No Effect• If Effect – Not Adverse or

Adverse• If Adverse – MOA to mitigate

adverse effects or Failure to Agree process

• Can be a long process

• NRHP or no NRHP properties• If NRHP – Effect or No Effect• If Effect – Not Adverse or

Adverse• If Adverse – MOA to mitigate

adverse effects or Failure to Agree process

• Can be a long process



• If not sufficient time to complete all above steps of historic preservation process during technical processing– 202: Reject– 811: Process as “Site Identified”

• If not sufficient time to complete all above steps of historic preservation process during technical processing– 202: Reject– 811: Process as “Site Identified”

Floodplains and WetlandsFloodplains and Wetlands

• Sponsors should try to select sites out of – 100-year floodplain– 500-year floodplain for critical

actions: special care; i.e..., not independent living projects

– Wetlands

• Sponsors should try to select sites out of – 100-year floodplain– 500-year floodplain for critical

actions: special care; i.e..., not independent living projects

– Wetlands

Floodplains and Wetlands (cont’d)


• First 6 steps of 8-step process must be completed at application stage

• New construction requires - CLOMA/CLOMR prior to firm

- FLOMA/FLOMR prior to final closing - Flood insurance during construction

• First 6 steps of 8-step process must be completed at application stage

• New construction requires - CLOMA/CLOMR prior to firm

- FLOMA/FLOMR prior to final closing - Flood insurance during construction



• If not sufficient time to complete first six steps during technical processing– 202: Reject– 811: Process as “Site Identified”

• If not sufficient time to complete first six steps during technical processing– 202: Reject– 811: Process as “Site Identified”

COMMUNITY PLANNING COMMUNITY PLANNING AND DEVELOPMENTAND DEVELOPMENT

COMMUNITY PLANNING COMMUNITY PLANNING AND DEVELOPMENTAND DEVELOPMENT

• RELOCATION

• REAL PROPERTY ACQUISITION

• CONSOLIDATED PLAN

• EMPOWERMENT ZONES (EZs) & ENTERPRISE COMMUNITIES (ECs)

• RENEWAL COMMUNITIES (RCs)

• RELOCATION

• REAL PROPERTY ACQUISITION

• CONSOLIDATED PLAN

• EMPOWERMENT ZONES (EZs) & ENTERPRISE COMMUNITIES (ECs)

• RENEWAL COMMUNITIES (RCs)

COMPONENTSCOMPONENTS

CERTIFICATIONS CERTIFICATIONS

CONSOLIDATED PLAN CONSISTENCY

CONSOLIDATED PLAN CONSISTENCY

EZ/EC PLAN CONSISTENCY EZ/EC PLAN CONSISTENCY

EXHIBIT 7 - NARRATIVE STATEMENT

PROJECT OCCUPANCY, DISPLACEMENT, RELOCATION COSTS

EXHIBIT 7 - NARRATIVE STATEMENT

PROJECT OCCUPANCY, DISPLACEMENT, RELOCATION COSTS

CERTIFICATIONSCERTIFICATIONS

BY SIGNING THE APPLICATION,THE APPLICANT CERTIFIES IT WILL

COMPLY WITH ALLPROGRAM REQUIREMENTS,

INCLUDING THE RELOCATIONAND REAL PROPERTY

ACQUISITION REQUIREMENTS

BY SIGNING THE APPLICATION,THE APPLICANT CERTIFIES IT WILL

COMPLY WITH ALLPROGRAM REQUIREMENTS,

INCLUDING THE RELOCATIONAND REAL PROPERTY

ACQUISITION REQUIREMENTS

CERTIFICATIONS

COMPLIANCE

WITH

RELOCATION AND

REAL PROPERTY

ACQUISITION

REQUIREMENTS

CERTIFICATIONS

CONSISTENCY

WITH EZ/EC PLAN

form HUD - 2 9 9 0

ONLY IF SITE IS IN A DESIGNATED

AREA

PART I, EXHIBIT 1

APPLICATION FOR CAPITAL ADVANCE

CONTAINS THE APPLICANT’S

ENTRY REGARDING SITE

LOCATION IN DESIGNATED

RC/EZ/EC

BONUS POINTS FOR

A SITE IN AN RC/EZ/EC

ONLY IF

THE SITE IS LOCATED WITHIN A DESIGNATED AREA;

SERVES RC/EZ/EC RESIDENTS;AND

IS CONSISTENT WITH STRATEGIC PLAN.

LIST OF RC/EZ/ECs

FED. REGISTER – Friday,

APRIL 25, 2003, Appendix A-2

[VOL. 68, NO. 80, APP. A-2,PAGE 21028]

OR HUD WEBSITE: www.hud.gov

FOR DESIGNATED AREAS

TO CONFIRM THELOCATION OF A SITE

IN A DESIGNATED AREA

VISIT HUD WEB PAGE:

www.hud.gov/ezec/locator

CERTIFICATIONS

CONSISTENCY WITH THE

CONSOLIDATED PLAN

form HUD - 2991

RELOCATION/DISPLACEMENTINFORMATION

APPLICATION -- PART IV,EXHIBIT 7

MANDATORY NARRATIVE STATEMENT WITH

SITE AND RELOCATIONINFORMATION

EXPLANATIONS AND COMMENTS

ARE HELPFUL !

EXPLAIN IF A SITE IS UNIMPROVED EXPLAIN IF A SITE IS UNIMPROVED

VACANT LAND, OR DESCRIBE OTHER VACANT LAND, OR DESCRIBE OTHER

SITE CONDITIONS !SITE CONDITIONS !

NARRATIVE STATEMENT

IDENTIFIES ALL “PERSONS”

OCCUPYING THE PROPERTY

FOR A PROJECT

“Persons” = Site OccupantsResidential and Nonresidential

NARRATIVE STATEMENT

INDICATES ESTIMATED

COST OF RELOCATION

PAYMENTS AND SERVICES

NARRATIVE STATEMENT

IDENTIFIES STAFFORGANIZATION THAT WILLCARRY OUT RELOCATION

ACTIVITIES

NARRATIVE STATEMENT

IDENTIFIES ALL PERSONSWHO HAVE MOVED FROM

THE PROPERTY WITHIN THEPAST 12 MONTHS

ALL ITEMS IN EXHIBIT 7

MUST BE COMPLETED WITH

RELEVANT INFORMATION

REMINDER

SPECIAL NOTE ON REAL PROPERTY ACQUISITION

Sites purchased by persons without the power of eminent domain:

Property owners must be given the following information in writing

before entering into a contract of sale, purchase option, or other

method of site control

1. The buyer does not have condemnation authority;

2. The property will be purchased only by negotiated agreement;

and

3. The estimated market value of the property.

HUD RELOCATION HUD RELOCATION CONTACTSCONTACTS

Headquarters:Headquarters:

Joan MorganJoan Morgan202 708-2470, ext. 2213202 708-2470, ext. 2213

Janice OluJanice Olu202 708-0614, ext 4587202 708-0614, ext 4587

OrOr

HUD Regional OfficesHUD Regional Offices

April 15, 2002

Section 202/811 NOFA Fair Housing Requirements

April 15, 2002Fair Housing and Equal Opportunity

April 15, 2002

Purposes

• Describe civil rights requirements

• Guidance on addressing rating factors

• Guidance on FHEO review

April 15, 2002

Major Topics

• Threshold Review• Affirmatively Furthering Fair

Housing• Rating Factors• Other Areas

April 15, 2002

Threshold Review

• Certifications• Three criteria - systemic

discrimination– Secretarial Charge Under Fair HA– DOJ Lawsuit– Letter of noncompliance findings

• Automatic rejection

April 15, 2002

Rating Factor 1 - Capacity

• “Scope, extent and quality of experience”

• Minority elderly & minority persons with disabilities

• Address following issues:– Previous experience– Ties to these segments of

the population

April 15, 2002

Rating Factor 1 - Capacity

• Variety of services and facilities

• Target population by race/ethnicity

• Information from community residents/leaders

April 15, 2002

Rating Factor 2 - Need

• Connection between AI or other planning document and the applicant’s proposal– Look at copy of AI– Note impediments and other

information– Describe impact on

impediments

April 15, 2002

Rating Factor 2 - Need

• How will project help remedy the need-related impediment identified in AI?

• Major areas of concern:– Minority elderly/persons with

disabilities housing need– Deconcentration – Underserved minority

populations

April 15, 2002

Rating Factor 3 - Soundnessof Approach

• Suitability of site– Greater Choice of Housing

Opportunities– Affirmatively Furthering Fair

Housing

April 15, 2002

Rating Factor 3 - Soundness of Approach

• Narrative Topographical and Demographic Description– Suitability of the site area– Promotes greater housing

choice– Data Sources

April 15, 2002

Rating Factor 3 - Soundness of Approach

• Site will be deemed acceptable if it:

– Expands housing opportunities in minority areas;

– Contributes to revitalization and reinvestment in minority neighborhoods;

– improvement in the level, quality and affordability of services for minority elderly/persons with disabilities.

April 15, 2002

Rating Factor 3What is a “Minority

Neighborhood”

• Percentage of persons of a particular racial or ethnic minority is at least 20 percent higher than the minority composition of the housing market as a whole

April 15, 2002


Neighborhood”

• The Neighborhood’s total minority percentage is is at least 20 percent higher than the total minority percentge for the housing market as a whole.

April 15, 2002


Neighborhood

• The neighborhood’s total percentage of minorities exceeds 50 percent of the population.

• The term “nonminority areas” is one in which the minority population is lower than 10 points.

April 15, 2002

Other Areas

• Involvement of minority elderly and persons with disabilities in:– Implementation– Development

• Relocation Plan (CPD Reviews)• Disability Issues

Common MistakesCommon Mistakes

• Failure to read the General Section and the Program NOFA THOROUGHLY.

• Hand carrying your application.• Submitting less than the required 4

copies.• Submitting an application and you

do not have the appropriate IRS tax exemption because the IRS is still processing your request.

• Failure to read the General Section and the Program NOFA THOROUGHLY.

• Hand carrying your application.• Submitting less than the required 4

copies.• Submitting an application and you

do not have the appropriate IRS tax exemption because the IRS is still processing your request.

Common Mistakes(cont’d)


• Failure to obtain proof of timely submission (USPS form 3817).

• Failure to submit a Phase I (no substitutions) completed within last 6 mths for 202s and 811s with site control. – Your application will be rejected if it’s a

202 and not submitted with application or during curable deficiency period.

– Not a curable deficiency for 811 - you will lose the 5 pts for site control.

• Failure to obtain proof of timely submission (USPS form 3817).

• Failure to submit a Phase I (no substitutions) completed within last 6 mths for 202s and 811s with site control. – Your application will be rejected if it’s a

202 and not submitted with application or during curable deficiency period.

– Not a curable deficiency for 811 - you will lose the 5 pts for site control.



• For previous fund reservations that went to initial closing after 24, 36 or 48 mths:– Reasons were not provided for

delay– No indication as to whether

amendment $ was needed

• For previous fund reservations that went to initial closing after 24, 36 or 48 mths:– Reasons were not provided for

delay– No indication as to whether

amendment $ was needed



• For a 202, failure to have site control or submitting control of a poor site

• For 202s and 811s with site control, the site control failed to meet minimum requirements (e.g., no reverters, etc., option must extend beyond 6 mths from appl deadline and be renewable)

• For a 202, failure to have site control or submitting control of a poor site

• For 202s and 811s with site control, the site control failed to meet minimum requirements (e.g., no reverters, etc., option must extend beyond 6 mths from appl deadline and be renewable)



• Proposing independent living units with shared bathrooms and kitchens – each must have a separate bathroom and kitchen

• Proposing a 202 scattered site project with only 1 unit per site –each site must have 5 units

• Proposing independent living units with shared bathrooms and kitchens – each must have a separate bathroom and kitchen

• Proposing a 202 scattered site project with only 1 unit per site –each site must have 5 units



• Site not properly zoned and no indication of likelihood that zoning will be changed

• For an 811, proposing a group home exceeding 6 residents

• Requesting more units than allocated to the applicable HUD Office

• Site not properly zoned and no indication of likelihood that zoning will be changed

• For an 811, proposing a group home exceeding 6 residents

• Requesting more units than allocated to the applicable HUD Office

review of applications (cont’d)

Documents