[Federal Register Volume 65, Number 53 (Friday, March 17, 2000)]
[Notices]
[Pages 14694-14705]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 00-6572]
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Part III
Department of Housing and Urban Development
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Fiscal Year 2000 Funding Availability for the Assisted Living
Conversion Program (ALCP) for Section 202 Projects; Notice
Federal Register / Vol. 65, No. 53 / Friday, March 17, 2000 /
Notices
[[Page 14694]]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4581-N-01]
Fiscal Year 2000 Notice of Funding Availability for the Assisted
Living Conversion Program (ALCP) for Section 202 Projects
AGENCY: Office of the Assistant Secretary for Housing-Federal Housing
Commissioner, HUD.
ACTION: Notice of funding availability (NOFA).
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SUMMARY: This NOFA announces the FY 2000 funding available for
conversions of units within existing Section 202 projects into licensed
Assisted Living Facilities (ALFs).
Purpose of the Program. The purpose of this program is to provide
the owners/borrowers of Section 202, 202/8 and 202 Project Rental
Assistance Contract (PRAC) projects designed for the elderly with a
grant to allow conversion of some or all of the units in these housing
projects into ALFs serving frail elderly, as defined in Section
232(B)(6) of the National Housing Act.
Available Funds. $50 million for Section 202 conversions to ALFs.
Eligible Applicants. Only owners/borrowers of eligible developments
(as described in Section III of this NOFA) may apply for and become the
recipient of a grant.
Application Due Date. July 17, 2000.
Match. None required.
ADDITIONAL INFORMATION:
I. Application Due Date, Application Kits, and Technical Assistance
Application Due Date. Your completed application (one original and
four copies) is due on or before 6:00 pm, local time, on July 17, 2000,
at the address shown below:
Addresses for Submitting Applications. The official place for
receipt of your application is ONLY in the designated lead Multifamily
Hub in the HUD State Office.
You must ALSO send one copy of your application to the Office of
Portfolio Management, Room 6160, ATTN: ALCP Staff, HUD Building, 451
Seventh Street, SW, Washington, DC 20410
Submit an original and three copies of the ALCP application to the
lead HUD Multifamily Hub, as designated in Section II of this NOFA,
with jurisdiction over your development.
Appendix A to this NOFA lists the four (4) lead Multifamily Hubs
with the Program Centers under them, to facilitate applicants knowing
the correct location to send the application. Appendix B to this NOFA
consists of a list of the four (4) lead HUD Housing Multifamily Hubs
designated to receive ALCP applications, with addresses and phone
numbers.
Application Submission Procedures. Mailed Applications. If your
application is mailed, your application will be considered timely filed
if postmarked on or before 12:00 midnight on the application due date
and received by the appropriate HUD Multifamily Hub on or within ten
(10) days of the application due date.
Applications Sent by Overnight/Express Mail Delivery. If your
application is sent by overnight delivery or express mail, your
application will be considered timely filed if received at the
Multifamily Hub before or on the application due date, or upon
submission of documentary evidence that the application was placed in
transit with the overnight delivery service by no later than the
specified application due date.
Hand Carried Applications. If your application is hand carried, the
application will be accepted by a Multifamily Hub between 8:45 a.m. and
5:15 p.m., local time, Monday through Friday (except on designated
national holidays, e.g., Memorial Day (5/31/00) and Independence day
(7/4/00)). On the application due date, applications will be accepted
at the Hub up to 6:00 p.m. local time. This deadline is firm.
For Application Kits, Further Information, and Technical
Assistance. For Application Kits. You may obtain an ALCP application
kit and supplemental information by calling either the Multifamily
Housing Clearinghouse at (voice) 1-800-MULTI-70 (1-800-685-8470). There
is a separate application kit for service coordination information
(which is necessary for those needing to enhance or add service
coordination per Section III(A)(14) of this NOFA). Please make sure to
provide your name, address (including zip code), and telephone number
(including area code). The application kit is also available on the
Internet through the HUD web site at http://www.hud.gov.
For Further Information and Technical Assistance. You should
contact the lead Multifamily Hub where you will be mailing your ALCP
Application. (Please refer to Hub telephone numbers in Appendix B.)
You also may contact Aretha Williams, Housing Project Manager,
Office of Business Products, Room 6138, at (202)-708-2866 x2480, for
questions regarding the physical conversion of the ALF. Ms. Williams
can be reached, also by e:mail, at ``aretha__m.__williams@hud.gov''.
For questions about management of the ALF and coordination with
agencies of the Department of Health and Human Services and other third
parties, you may contact Jerry Nachison, Senior Housing Project
Manager, Office of Portfolio Management, Room 6168 at (202)-708-3730
x2485. Mr. Nachison may be reached also by e:mail at
``jerold__s.__nachison@hud.gov''. Both Ms. Williams and Mr. Nachison
are located at the Department of Housing and Urban Development, 451
Seventh Street, SW, Washington, DC 20410 (neither of the telephone
numbers are toll free).
If you have a hearing or speech impairment, you may access either
telephone number via TTY by calling the Federal Information Relay
Service at 1-800-877-8339.
II. Amount Allocated
This NOFA makes available $50,000,000 for the physical conversion
of section 202 projects or portions of projects to ALFs. The FY 2000
funding is in the Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, for the
fiscal year ending September 30, 2000 (Pub.L. 106-74, 113 Stat. 1047,
approved October 20, 1999).
Under the ALCP, the 18 HUD Multifamily Hubs are grouped into four
geographic areas, so that the amount of fair-shared grant funds will be
sufficient to enable reasonable competition, and insure projects of
feasible size and quality.
The four geographic areas and the lead Hub under the ALCP for each
are:
The lead Hub for the East Geographic Area is Buffalo (the other
Hubs which feed into Buffalo for the ALCP are Boston, New York,
Philadelphia, and Baltimore).
The lead Hub for the South Geographic Area is Greensboro (the other
Hubs which feed into Greensboro for the ALCP are Atlanta, Jacksonville,
and Fort Worth).
The lead Hub for the Central Geographic Area is Kansas City (the
other Hubs which feed into Kansas City for the ALCP are Chicago,
Columbus, Detroit, and Minneapolis).
The lead Hub for the West Geographic Area is San Francisco (the
other Hubs which feed into San Francisco for the ALCP are Seattle, Los
Angeles and Denver).
The allocation formula used for the ALCP reflects demographic
characteristics of age and incidence of frailty that would be expected
for program participants. The Fiscal Year (FY) 2000 formula consists of
three data
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elements from the 1990 decennial census:
(1) The number of non-institutional elderly population aged 55
years or older with a self-care limitation,
(2) The number of non-institutional elderly population aged 75 or
older with a mobility limitation, and,
(3) The number of the non-institutional elderly population aged 75
or older with both a mobility limitation and a self-care limitation.
The data were taken from the 1990 Census Special Tabulation on
Aging, STP-14, sponsored by the Administration on Aging, U.S.
Department of Health and Human Services.
A mobility limitation is defined as a health condition that has
lasted for six (6) or more months, making it difficult for the person
to go outside the home alone. This includes outside activities such as
shopping or visiting the doctor's office. A self-care limitation is
defined as a health care limitation that has lasted for six (6) months
or more which makes it difficult for the person to take care of his/her
own personal needs such as dressing, bathing, or getting around in the
home.
A fair share factor for each state was developed by taking the sum
of the three elements within each state as a percentage of the sum of
the three elements for the total United States. The resulting
percentage for each state was then adjusted to reflect the relative
difference in the cost of providing housing among the states. The total
of the grant funds available ($50 million) was multiplied by the
adjusted fair share percentage for each state, and the resulting funds
for each state were totaled for each of the four geographic areas.
The ALCP grant funds fair share allocations for the four geographic
areas are shown below:
Fiscal Year Allocation 2000 for the Assisted Living Conversion Program
(ALCP)
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Grant
Area authority
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East.................................................... $14,760,882
South................................................... 14,567,452
Central................................................. 11,989,455
West.................................................... 8,682,211
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50,000,000
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III. Program Description; Eligible and Ineligible Applicants,
Developments, and Activities
(A) Program Description
Assisted living facilities are designed to accommodate frail
elderly and people with disabilities who can live independently but
need assistance with activities of daily living (e.g., assistance with
eating bathing, grooming, dressing and home management activities. ALFs
must provide support services such as personal care, transportation,
meals, housekeeping, and laundry. Frail elderly person means an
individual 62 years of age or older who is unable to perform at least
three activities of daily living (ADLs) as defined by the regulations
for HUD's Section 202 Program (Supportive Housing for the Elderly) at
24 CFR 891.205.
Assisted living is defined in section 232(b)(6) of the National
Housing Act (12 U.S.C. 1715w). The ALCP provides funding for the
physical costs of converting some or all of the units of a section 202
development into an ALF, including the unit configuration, common and
services space and any necessary remodeling, consistent with HUD or the
State's statute/regulations (whichever is more stringent).
Typical funding will cover basic physical conversion of existing
project units, common and services space. There must be sufficient
community space to accommodate a central kitchen or dining facility,
lounges, recreation and other multiple-areas available to all residents
of the Section 202 projects, or office/staff spaces in the ALF. When
food is prepared at an off-site location, the preparation area of the
facility must be of sufficient size to allow for the installation of a
full kitchen, if necessary. You must provide supportive services for
the residents either directly or through a third party. Your
application must include a firm commitment for the supportive services
to be offered within the ALF as part of the application. You may charge
assisted living residents for meals and/or service fees. Residents may
contract with third party agencies directly for nursing, therapy or
other services not offered by the ALF.
(B) Program Requirements
The following program requirements apply:
(1) Your ALF facility must be licensed and regulated by the State
(or if there is no State law providing such licensing and regulation,
by the municipality or other subdivision in which the facility is
located). Each assisted living unit must include its own kitchen,
bathroom, living/dining area (1 bedroom unit) or bedroom/living/dining
area (efficiency unit) and must meet the state and/or local licensing,
building, zoning and other requirements for an ALF.
(2) Your ALF must be available to qualified elderly and persons
with disabilities, consistent with the rules and payment plans of the
State, who need and want the supportive services in order to remain
independent and avoid premature institutionalization.
(3) Your ALF's residents are section 202 tenants and must comply
with the requirements applicable thereto. Thus, you cannot charge
additional rent over what is charged to residents in the non-ALF
portion of the section 202 project. All admissions to the ALF must be
through the section 202 project admissions office. However, persons
accepted into the ALF also must sign an ALF admissions agreement which
shall be an addendum to the section 202 lease.
(4) At a minimum, your ALF must provide room, board (as defined in
Section III(A)(6)) of this NOFA) and continuous protective oversight
(CPO). CPO involves a range of activities and services that may include
such things as awareness by management and staff of the occupant's
condition and location as well as an ability to intervene in a crisis
for dependent and relatively independent occupants on a 24-hour basis.
The two occupant groups in an ALF are:
(a) Independent Occupants: Awareness by management and staff of the
occupant's condition and whereabouts as well as the availability of
assistance for the occupants as needed.
(b) Dependent occupants: Supervision of nutrition, assistance with
medication and continuous responsibility for the occupants' welfare.
(5) Anyone moving into an ALF unit must agree to accept as a
condition of occupancy the board and services required for the purpose
of complying with state and local law and regulation. However,
occupancy in an ALF unit may not be conditioned on receipt of other
services or board not required by state or local requirements.
(6) Your ALF must offer three meals per day to each resident.
(a) Residents in old section 202 (``SH'') projects (those approved
before 1972) which may not have kitchens in their units must take such
meals as required by their mandatory meals agreement, or by the state's
mandated requirements if more stringent (e.g., 2 meals, 2 snacks
daily).
(b) Residents whose apartments have kitchens must take at least the
number of meals a day provided by the facility, per their mandatory
meals requirement, or as required by state or local rules, if more
stringent. If the facility does not have a mandatory meals plan, then
state and local rules govern.
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In either case, ALF management must coordinate meals requirements
with the needs of residents who are out part of the day, e.g., in day
care. The meals program may not be operated at a profit by the owner/
borrower.
(7) Your ALF's operation must be part of the section 202 owner/
borrower's management organization. Some or all of its functions may be
contracted out. The ALF must predicate its budget on a two-tiered
structure under which board and supportive service income and expenses
must be maintained separately and independently from the regular income
and expenses of the section 202 project. The two components of ALF
costs are:
(a) Charges/payment for board, which may be on a sliding scale or
any other equitable fee system; and
(b) Charges/payment for necessary supportive services, which may
include a combination of resident fees, Medicaid and/or other third
party payments.
(8) Priority admissions for ALF units is as follows:
(a) Current residents desiring an ALF unit and meeting the program
requirements (no resident can be required to accept an ALF unit).
(b) Qualified individuals or families needing ALF services who are
already on the section 202 project's waiting list;
(c) Qualified individuals or families in the community needing ALF
services wanting to be added to the project's waiting list; and
Note: Qualified physically disabled non-elderly persons needing
assisted living services are eligible to occupy these units on the
same basis as elderly persons.
(9) The management of the section 202 project must set up a
separate waiting list for ALF units. ALF units must be for eligible
Section 202 residents who meet the admissions/discharge requirements as
established for assisted living by State and local licensing, or HUD
frailty requirements under 24 CFR 891.205 if more stringent.
(10) Costs of meals and supportive services are NOT covered by this
HUD grant.
These items must be paid for through other sources, e.g., a mix of
resident fees and/or third party providers. Evidence of third party
commitment(s) must be included as part of the application. (See Section
IV(B) of this NOFA.) The assisted living supportive services program
must promote independence and provide personal care assistance based on
individual needs in a home-like environment (see Section VI(B)(8)(b)
through (c) of this NOFA).
(11) Upon receipt of a grant under this program, all owner/
borrowers participating in the ALCP must provide a Declaration of
Restrictive Covenants (DRC), which will be recorded with the land, to
retain the low income character of the housing, and to maintain the
project (including the ALF), as a moderate, low, or very low income
facility (as appropriate) for at least 20 years beyond the current 40-
to-50 year term of the Section 202 mortgage loan or capital advance.
(12) In addition to the physical costs of the conversion (see
Section VI(B)(5) of this NOFA), the grant will pay for reasonable
legal, architectural and consultant fees, and temporary relocation
costs for current tenants if they must vacate their unit while
conversion work is underway (normal temporary relocation costs include
increases in rent, reconnection of telephones, moving costs and
appropriate out-of-pocket expenses).
(13) This program does NOT allow permanent displacement of any
resident living in the project at the time the application was
submitted to HUD.
(14) The ALCP requires service coordination responsible for linking
the ALF to services in the community which are available to low income
persons. All section 202 projects funded under this NOFA must have
sufficient service coordination in place, or request additional funds
if appropriate, to ensure that services meeting licensing requirements
are available to ALF residents on an ongoing basis. Service
coordination must be described in the application (see Section
VI(B)(8)(b) through (c) of this NOFA). If you need to enhance an
existing service coordination program or add one where it does not
exist, you must apply for funding through the Service Coordinator NOFA,
published elsewhere in this edition of the Federal Register, and attach
a copy of the Form HUD 424M so indicating the request to the ALCP
application. Alternatively, you may show evidence that funding for the
enhanced service coordination is provided by other sources and indicate
such funding on the HUD Form 424M which is exhibit 10(c) of your ALF
application. If you are funded under this NOFA and requested new or
enhanced service coordination in this application, you will be funded
first under the service coordinator NOFA.
In addition to above requirements, the following applicable
guidelines are stated:
(a) The ALF must be staffed either directly or through coordination
with local agencies, depending on state regulations or local
requirements. These may also serve non-ALF residents of the project on
a time available and appropriate fee basis.
(b) The ALF may cater to the special needs of residents depending
on the condition or diagnosis, such as Alzheimer's disease. If it does
so, the design/environment of such facilities must accommodate those
needs, e.g., dementia special care unit. However, the ALF CANNOT
provide a service it is not licensed by the State or locality to
provide.
Note 1: Owners of section 202/PRAC projects are reminded that
they may include a PRAC payment of up to $15/unit/month consistent
with 24 CFR 891.225(b)(2) to cover part of the cost of meals and/or
supportive services for frail elderly residents, including residents
of the ALF.
Note 2: Training for ALF staff is an eligible project cost under
existing operating procedures.
For further information on ALFs, please refer to Handbook 4600.1,
CHG-1, ``Mortgage Insurance for Residential Care Facilities,'' Chapter
13. This Handbook and recent ALF program Notices are accessible through
HUDCLIPS on HUD's web site. The URL for the HUDCLIPS Database Selection
Screen is http://www.hudclips.org/subscriber/cgi/legis.cgi. These
notices are in the Handbooks and Notices--Housing Notices database.
Enter only the number without the letter prefix (e.g., 99-16) in the
``Document number'' to retrieve the program notice.
For further guidance on service coordinators, please refer to
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's
Handbook,'' which is also available through the HUDCLIPS database.
(C) Eligible Applicants
Only owner/borrower corporations defined in 24 CFR part 278 as it
existed before April 1, 1995 (those section 202 projects funded before
1972), and in 24 CFR 891.200 and 891.500 (those section 202 projects
funded from 1976 onward) are eligible for funding. To be eligible,
owner/borrowers of any Section 202, 202/8 or Section 202/PRAC
development must meet the following criteria:
(1) Must be in compliance with your Loan Agreement, Capital Advance
Agreement, Regulatory Agreement, Housing Assistance Payment contract,
Project Rental Assistance Contract, Rent Supplement or LMSA contract,
or any other HUD grant or contract.
(2) Must be in compliance with all fair housing and civil rights
laws, statutes, regulations, and executive orders as enumerated in 24
CFR 5.105(a). See Section V(B) of this NOFA for further explanation.
Note: If your eligibility status changes during the course of
the grant term, making
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it ineligible to receive the grant (e.g., prepayment of mortgage,
sale/TPA of property, or opting out of a Section 8 Housing
Assistance payment (HAP) contract), HUD retains the right to
terminate the grant and recover funds made available through this
NOFA.
(D) Eligible Developments
Section 202, 202/8 and 202/PRAC developments for the elderly that
have been in occupancy for no less than five years since the date of
the HUD-2485 Form ``permission to occupy'' permit and have completed
Final Closing. Your project must:
(1) Meet HUD's Uniform Physical Conditions Standards at 24 CFR part
5, subpart G. Meeting these standards as described, means that the
project, based on the most recent Real Estate Assessment center (REAC)
physical inspection report and responses thereto, must have a
``satisfactory'' rating as evidenced by a score of 60 or better or an
approved and on schedule repair plan for developments scoring less than
60. Additionally, the project must have no uncorrected and outstanding
Exigent Health and Safety violations. Finally, the project must not
have on file a management review with a rating of ``minimally
satisfactory'' or ``unsatisfactory'' with open and unresolved findings.
(2) Have a residual receipts account separate from the Reserve for
Replacement account, or agree to establish this account as a condition
for getting the award(s).
(E) Ineligible Applicants
(1) Owners of Section 202 developments designed specifically for
people with disabilities.
(2) Owners of Section 232 developments and any other project
insured by one or more sections of the National Housing Act.
(3) Owners of Section 202/236 developments. These are section 202
projects which were converted to section 236 mortgage insurance during
their development phase in the early 1970s.
(4) Property management companies and agents of property management
companies.
(F) Eligible Conversion Activities
Eligible activities are:
(1) Retrofitting to meet Section 504 accessibility requirements,
minimum property standards for accessibility and/or building codes and
health and safety standards for ALFs in that jurisdiction. Examples are
items such as addition of:
(a) Sprinkler systems;
(b) An elevator or upgrades thereto;
(c) Lighting upgrades;
(d) Major physical or mechanical systems of projects necessary to
meet local code or assisted living requirements;
(e) Upgrading to accessible units for the ALF with moveable
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures,
closets, hardware and grab bars, widening of doors, etc.
(f) Upgrades to safety and emergency alert systems;
(g) Addition of hallway railings; and,
(h) Medication storage and work stations;
(2) Retrofitting to add, modify and/or outfit common space, office
or related space for ALF staff including a service coordinator and file
security, and/or a central kitchen/dining facility to support the ALF
function (e.g., outfit lounge/common space/dining furniture, kitchen
equipment for cooking/serving and dishware).
(3) Retrofitting to upgrade a regular unit to an accessible unit
for a person/family with disabilities who is being displaced from an
accessible unit in the portion of the project that is being converted
to the ALF, where such unit is not available.
(4) Temporary relocation; and,
(5) Consultant, architectural and legal fees.
(G) Ineligible Activities
You may not use funds available through this NOFA to:
(1) Add additional dwelling units to the existing project;
(2) Pay the costs of any of the necessary direct supportive
services needed to operate the ALF;
(3) Purchase or lease additional land;
(4) Rehabilitate (see definition at 24 CFR 891.105) the project for
needs unrelated directly to the conversion of units and common space
for assisted living;
(5) Use the ALCP to reduce the number of accessible units in the
project that are not part of the ALF and currently occupied by people
with disabilities who need the features of an accessible unit;
(6) Permanently relocate any resident out of the project; and,
(7) Increase the management fee.
IV. Program Requirements
Each applicant must comply with the following requirements:
(A) Statutory, Regulatory and Other Program Requirements.
You must comply with all section 202 program statutory requirement
(see Section 202 of the Housing Act of 1959 as amended) and regulatory
requirements (see 24 CFR part 891) and statutory requirements under
Section 232(b)(6). Please note that all ALCP projects must conform to
the 500-year flood plain limitation (See Section VIII of this NOFA.)
Construction of ALCP units is considered a ``critical action'' for
purposes of the flood plain requirement.
Excess Residual Receipts (over $500/unit) and Reserve for
Replacement (R4R) funds (over $1000/unit) in Project Accounts that are
not approved for another use at the time of application to HUD under
this NOFA are considered available funds and must be applied towards
the cost of conversion activities. Before making this determination,
however, HUD staff will consider the extent of repair/replacement needs
indicated in the most recent REAC physical inspection and not yet
approved and any ongoing commitments such as non-grant-based service
coordinator or other funding, where existing, deduct the estimated
costs of such items from the R4R and residual receipts balances to
determine the extent of available residual receipts and R4R funds for
the ALCP.
If funded, you must also file a HUD Form-2530 for all construction
contractors, architects, consultants, and service provider
organizations under direct contract with you that will be engaged under
this NOFA and comply with all state and local licensing, zoning and
building code requirements.
(B) Meals and Supportive Services
You must develop and submit a Supportive Services Plan (SSP) for
the services and coordination of the supportive services which will be
offered in the ALF to the appropriate State or local organization(s)
which are expected to provide those supportive services. (See Section
VI(B)(8) of this NOFA below, for the information which must be in the
SSP.) You must submit one copy of your SSP to each appropriate state or
local service funding organizations well in advance of the application
deadline, for appropriate review. The state or local funding
organization(s) must return the SSP to you with appropriate comments
and indication of funding commitment, which you will then include with
the application you submit to HUD.
You must ALSO submit the application to the appropriate
organization(s) which license ALFs in your jurisdiction. The licensing
agency(ies) must approve your plan, and must also certify that the ALF
and the proposed supportive services identified in your SSP, is
consistent with local statute and regulations and well
[[Page 14698]]
designed to serve the needs of the frail elderly and people with
disabilities who will reside in the ALF portion of your project.
Finally, you must also submit an agreement to pursue appropriate
ALF licensing in a timely manner.
(C) Minimum Size Limits for an ALF
An ALF must be economically feasible. Consistent with HUD Handbook
4600.1, CHG-1, the minimum size for an ALF is five units.
(D) Economic Opportunities for Low and Very Low-Income Persons (Section
3).
You 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), and its implementing regulations at 24 CFR part
135. You must ensure that training, employment and other economic
opportunities shall, to the greatest extent feasible, be directed
toward low and very low-income persons, particularly those who are
recipients of government assistance for housing and to business
concerns which provide economic opportunities to low and very low
income persons and including people with disabilities.
(E) Compliance with Fair Housing and Civil Rights Laws
If you, the applicant (a) have been charged with a systemic
violation of the Fair Housing Act by the Secretary alleging ongoing
discrimination; (b) are the defendant in a Fair Housing Act lawsuit
filed by the Department of Justice alleging an ongoing pattern or
practice of discrimination; or (c) have received a letter of
noncompliance findings under Title VI of the Civil Rights Act of 1964,
section 504 of the Rehabilitation Act of 1973, or section 109 of the
Housing and Community Development Act of 1974, your application will
not be evaluated under this NOFA if, the charge, lawsuit, or letter of
findings has not been resolved to the satisfaction of the Department
before the application deadline, HUD's decision regarding whether a
charge, lawsuit, or a letter of findings has been satisfactorily
resolved will be based upon whether appropriate actions have been taken
necessary to address allegations of ongoing discrimination in the
policies or practices involved in the charge, lawsuit, or letter of
findings.
(F) Additional Nondiscrimination Requirements
As you will be converting some of your project to an ALF, you
should note that 24 CFR 891.120(b) requires you to meet all
accessibility requirements. Additionally, you must comply with the
section 504 regulations at 24 CFR part 8, the Americans with
Disabilities Act and the regulations at 24 CFR part 36, as applicable.
V. Application Selection Process
(A) Review for Curable Deficiencies.
You should ensure that your application is complete before
submitting it to HUD.
HUD will screen all applications received by the deadline for
curable deficiencies. With respect to correction of deficient
applications, HUD may not, after the application due date and
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider
any unsolicited information an applicant may want to provide. HUD may
contact an applicant to clarify an item in the application or to
correct technical deficiencies. Please note, however, that HUD may not
seek clarification of items or responses that improve the substantive
quality of a response to any selection factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants. Examples of curable
(correctable) technical deficiencies include failure to submit the
proper certifications or failure to submit an application that contains
an original signature by an authorized official. In each case under
this NOFA, the appropriate HUD field office will notify you in writing
by describing the clarification or technical deficiency. You must
submit clarifications or corrections of technical deficiencies in
accordance with the information provided by the GMC within 14 calendar
days of the date of receipt of the HUD notification. (If the due 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.) If the deficiency is not corrected within this time
period, HUD will reject the application as incomplete, and it will not
be considered for funding. The following is a list of the deficiencies
that will be considered curable in ALCP applications:
Exhibits
(1) *(a) Articles of Incorporation, or certification of Articles of
Incorporation
*(b) By-laws, or certification of by-laws
(c) Exhibit 3--Evidence of occupancy for at least five years
(d) Exhibit 5(c)--Original project plans
(e) Exhibit 5(h)--Relocation
(f) Exhibit 7 --Evidence of Permissive Zoning
(g) Exhibit 8(h)--Support Letters from Governmental Agencies that
License ALFs
(10) Certifications and Forms
(a) Standard Form 424, Application for Federal Assistance
(b) Standard Form 424D, Assurances Construction Programs
(c) Form HUD 424M, Federal Assistance Funding Matrix
(d) Form HUD-50070, Drug-free Workplace
(e) Form HUD-50071, Payments to Influence Federal Transactions and
Standard Form-LLL, Disclosure of Lobbying Activities
(f) Form HUD 2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employment Identification numbers
(g) Form HUD-2992, Certification Regarding Debarment and
Suspension,
(h) Form HUD-2991, Certification of Consistency with the
Consolidated Plan (Plan), for the Jurisdiction in Which the Proposed
ALF will be located.
(i) Executive Order 12372 Certification, a certification that you
have submitted a copy of your application, if required, to the State
agency (single point of contact) for State review in accordance with
Executive Order 12372.
(j) Certification of Residual Receipts Account
(k) Conflict of Interest Certification
(l) Certification for ALF
(m) Combined Certification
The HUD Office will notify you in writing if your application is
missing any of the exhibits listed above and you will be given 14 days
from the date of receipt of the HUD notification to submit the
information required to cure the noted deficiencies. The exhibits
listed in items 1(a)+(b), above, must be dated on or before the
application deadline date. If not so dated the application will be
rejected.
After the completeness review, HUD Field Office staff will review
your application to determine whether the application meets the Field
Office threshold requirements listed below. Only if your application
meets all the threshold requirements is it eligible to be rated and
ranked.
(B) Field Office Threshold Review
In order to pass threshold, you must:
(1) Be in compliance with all fair housing and civil rights laws,
statutes, regulations, and executive orders as enumerated in 24 CFR
5.105(a), and as
[[Page 14699]]
noted earlier in this NOFA under Sections III(B)(2) and IV(E).
(2) Additionally, HUD will also reject your application if the SSP
and/or commitment and support letter(s) from the appropriate funding
organizations and the appropriate licensing agency(ies): (i) are not
submitted with your application; (ii) indicate that the ALF units,
facilities, meals and supportive services to be provided are not
designed to meet the special needs of the residents who will reside in
the ALF as defined in this NOFA, (iii) do not show commitment for
funding the meals and supportive services proposed; or (iv) indicate
that the project as proposed will not meet the licensing requirements
of the appropriate State/local agency(ies).
(C) Rating Panels
The Office of Housing's Multifamily Hubs will establish review
panels to rate all eligible applications that have passed threshold,
using Rating Factors 1-5. The panels may include knowledgeable persons
not currently employed by HUD.
(D) Rating of Applications
HUD staff teams will review and rate ALCP applications in
accordance with the Ranking and Selection procedures (see Section V(E)
of this NOFA below). All applications will be either rated or
technically rejected at the end of technical review. If your
application meets all program eligibility requirements after completion
of technical review, it will be rated according to the rating selection
factors in Section V(F) of this NOFA. HUD reserves the right to reduce
the cost of the application if any proposed components are ineligible
or if the cost of items is not deemed reasonable.
HUD will NOT reject an ALCP application based on technical review
without notifying you of that rejection with all the reasons for the
rejection, and providing you an opportunity to appeal. As discussed
above, you will have 14 calendar days from the date of HUD's written
notice to appeal a technical rejection to the Multifamily Hub where the
applications were sent originally. HUD staff make a determination on an
appeal before finalizing selection recommendations.
(E) Ranking and Selection Procedures
Applications submitted in response to this NOFA that are eligible,
pass threshold and have a total score of 60 points (or more) are
eligible for ranking and selection.
(1) Hub staff teams will be established for ALCP review in each
geographic area to do the application ratings (see Section V(D) above).
See list of lead Hubs in Section II of this NOFA.
After the team's application ratings are finalized, the teams will
place all rated applications from within that geographic area in rank
order.
(2) From within this rank order, Hub staff teams in each of the
four geographic areas will select the highest ranking applications from
within that geographic area in order, without regard to which Hub the
application was submitted (see Section II of this NOFA) that can be
funded from within the dollars available.
(3) After making the initial selections, however, HUD may use any
residual funds in each geographic area to select the next rank-ordered
application by reducing the dollars requested by no more than 10
percent (10%) and reducing the number of units proposed, but in no case
reducing the number of units below the financial threshold feasibility
of five ALF units.
(4) Funds remaining after these processes are completed will be
returned to HUD Headquarters. HUD will use these funds to restore units
to any project reduced as a result of using the residual grant funds in
a geographic area. Secondly, HUD will use these funds for selecting one
or more additional applications based on field office rating and
rankings, beginning with the highest rated application nationwide. Only
one application will be selected per geographic area from the national
residual amount. If there are no approvable applications in other
geographic areas, the process will begin again with the selection of
the next highest rated application nationwide. This process will
continue until all approvable applications are selected using the
available remaining funds. If there is a tie score between two or more
applications, and there are insufficient residual funds to cover all
tied applications, HUD Headquarters staff will choose the winning
application(s) by lottery and/or reduction of grant requests consistent
with Section VI(E) (3) or (4) of this NOFA, above.
(F) Factors For Award Used To Evaluate and Rate Applications
HUD will rate ALCP applications that successfully complete
technical processing using the Rating Factors set forth below and in
accordance with the application submission requirements identified in
Section VI(B) of this NOFA, below. The maximum number of points an
application may receive under this program is 100.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Staff (15 Points)
This factor addresses your capacity to carry out the conversion in
a timely, cost-conscious and effective manner. It also reviews your
experience with the supportive services which the ALF intends to
provide to elderly residents, especially in such areas as meals, 24-
hour staffing and on-site health care. Submit information responding to
this factor in accordance with Application Submission Requirements in
Section VI(B)(4)(c), (5)(a), (8)(i), and (2)(d) of this NOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to carry out a successful
conversion of the project and to implement the plan to deliver the
supportive services on a long term basis, considering the following:
(1) (7 points) The practicality of your plan and timetable to
carry out the physical conversion of the development to the ALF.
(2) (8 points) Your past experience in providing or arranging for
supportive services either on or off site for those who are frail.
Examples are: Meals delivered to apartment of resident or in a
congregate setting (1 point), arranging for or providing personal care
(2 points), providing 24-hour staffing (1 point), providing or making
available on-site preventive health care (2 points) and other support
services (1 point).
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which the conversion is needed
by the categories of elderly persons and persons with disabilities that
the ALF is intended to serve (very low income elderly persons and
people with disabilities who have limitations in three or more
activities of daily living). The application must provide evidence of
current needs among project residents and needs of potential residents
in the housing market area for such persons including economic and
demographic information on very-low income frail elderly and people
with disabilities and information on current assisted living resources
in the market area.
The factor also addresses your inability to fund the repairs or
conversion activities from existing financial resources. In making this
determination, HUD will consider project financial information. The
Department will also review more favorably those applications which
establish a connection between the proposed ALF and the community's
[[Page 14700]]
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. Submit information responding to this
factor in accordance with Application Submission Requirements in
Section VI(B)(1)(a) through (b), (2)(a) and (9)(a) through (c) of the
NOFA. In evaluating this factor, HUD will consider:
(1) (10 points) The need for assisted living among the elderly and
disabled residents of the project taking into consideration those
currently in need and the depth of future needs given aging in place.
(2) (5 points) The need for assisted living among very-low income
elderly persons and people with disabilities in the housing market
area.
(3) (10 points) Insufficient funding for any needed conversion
work, as evidenced by the project's financial statements and
specifically the lack of excess reserve for replacement dollars (R4R)
and residual receipts. If the available R4R and residual receipts are
less than 10% of the total funds needed--10 points; if the available
R4R and residual receipts are 10-50% of need = 5 points; and, if the
available R4R and residual receipts are 51% or more of the total funds
of needed = 0 points).
Rating Factor 3: Soundness of Approach (25 Points). This factor is
rated by HUD Headquarters
This factor addresses the quality and effectiveness of your
proposal in addressing the proposed conversion, effectiveness of
service coordination and management planning and the meals and
supportive services which the ALF intends to provide. There must be a
relationship between the proposed activities, the project's and the
community's needs and purposes of the program funding for your
application to receive points for this factor. Submit information
responding to this factor in accordance with Application Submission
Requirements in Section VI(B)(5)(b) and (c), and (7) and (B)(8))(a)
through (e) and (g) and (h) of this NOFA.
In evaluating this factor, HUD will consider the following:
(1) (7 points) The extent to which the proposed ALF design will
meet the special physical needs of frail elderly or disabled persons
expected to be served at reasonable cost (consider that ALF design =
meets needs = 7 points; ALF design partially meets needs = 3 points;
and ALF design does not meet needs = 0 points).
(2) (7 points) The extent to which the ALF's proposed management
and operational plan ensures that the provision of both meals and
supportive services planned will be accomplished over time. (Consider
ALF design/management plan = meets needs of management operations, for
7 points; ALF design/management plan partially meets needs of
management operations, for 3 points; and ALF design/management plan
does not meet needs of management operations, for 0 points.)
(3) (5 points) The extent to which the proposed supportive
services meet the identified needs of the anticipated frail elderly and
disabled residents (consider Yes = 5 points; partially meets needs = 3
points; and, does not meet needs = 0 points); and
(4) (5 points) The extent to which the service coordination
function is addressed and explained as onsite and sufficient, onsite
and augmented or new, and addresses the ongoing procurement of needed
services for the residents of the ALF (does meet = 5 points, partially
meets = 3 points, does not meet = 0 points).
(5) (1 point) The extent to which there is an operating philosophy
which promotes the autonomy and independence of the frail elderly
persons it is intended to serve (is fully addressed = 1 point, no or
not addressed = 0 points).
Rating Factor 4: Leveraging Resources (30 Points).
This factor addresses your ability to secure other community
resources which can be combined with HUD's grant funds to achieve
program purposes. For the ALCP to succeed, you MUST generate local
funding for the necessary supportive services to operate the ALF. HUD
also encourages local funding for some of necessary conversion work, or
other work needed in the project (e.g., general modernization) which is
NOT specifically linked to the ALF).
Submit information responding to this factor in accordance with
Application Submission Requirements in Section VI(B)(5)(g), (B)(6) and
(B)(8)(f) of this NOFA.
(1) (25 points) The extent to which there are commitments for the
funding needed for the meals and the supportive services planned for
the ALF and that the total cost of the estimated budget of the ALF is
covered. Consider 90% or more commitment for the total budget with no
more than 10% general support = 25 points; 80-89.9% or more commitment
for the total budget with no more than 20% general support = 17 points;
65-79.9% firm commitment with no more than 35% general support = 12
points; 40-64.9% firm commitment for the total budget with no more than
60% general commitment = 7 points; less than 40% firm commitment for
the total budget with no more than 60% general support = 0 points.
(2) (3 points) The extent of local organizations' support which is
firmly committed to providing at least 50 percent of the total cost of
ALF conversion (consider 50% or more = 3 points, 20-49.9% = 2 points,
and under 20% = 0 points).
(3) (2 points) The extent of local organizational support which is
firmly committed to providing funds for additional repair or retrofit
necessary for the project NOT specifically directed to activities
eligible under this NOFA (consider yes = 1 point, no = 0 points).
Rating Factor 5: Comprehensiveness and Coordination (5 Points).
This factor addresses the extent to which you have evidenced
general support for conversion by participating in your community's
Consolidated Planning Process, involving the residents in the planning
and are working toward addressing the need in a holistic and
comprehensive manner through linkages with other activities in the
community. Submit information responding to this factor in accordance
with Application Submission Requirements in Section VI(B)(2)(b) through
(d) of this NOFA.
(1) (3 points) The involvement of project residents or their
representatives, in the development of the ALCP application, and your
intent to involve residents, in the development and operation of the
project and in relocation planning (Minus one (-1) point if not
addressed);
(2) (1 point) The extent to which you demonstrated that you have
been actively involved (or if not currently active, the steps you will
take to become actively involved) in your community's Consolidated
Planning/AI processes to identify and address a need/problem that is
related in whole or part, directly or indirectly to the proposed
project;
(3) (1 point) The extent to which you developed linkages with
other activities, programs or projects related to the proposed project
to coordinate your activities so solutions are holistic and
comprehensive.
VI. Application Submission Requirements
(A) Application--General
Your application must include all of the information, materials,
forms, and exhibits listed in Section VI(B). In cases
[[Page 14701]]
where your (i) articles of incorporation and (ii) by-laws have NOT
changed since the project was originally approved by HUD, self-
certification to that effect--that the documents on file with HUD are
current--is sufficient. Items in Section VI(B) for which self-
certification of currency is possible are denoted by a ``**''.
In addition to this relief of paperwork burden in preparing
applications, you will not have to submit certain new/recent
information and exhibits you have previously prepared. See individual
item descriptions, below to identify such items. An example of such an
item may be the FY 1999 Annual Financial Statement.
(B) General Application Requirements
(1) Evidence that you are a private nonprofit organization or
nonprofit consumer cooperative and have the legal ability to operate an
AFL program, per the following:
(a) Articles of Incorporation, constitution, or other
organizational documents, or self-certification of these documents, if
there has been no change in the Articles since they were originally
filed by HUD;**
(b) By-laws, or self-certification of by-laws, if there has been no
change in the by-laws since they were originally filed with HUD;**
(2) A description of your community ties and established linkages.
(a) A description of your links to the community at large and to
the minority and elderly communities in particular; and
(b) A description of your efforts to involve elderly persons,
including minority elderly persons and persons with disabilities in:
(i) The development of the application,
(ii) The development of the ALF operating philosophy,
(iii) Review of the application; and
(iv) Your intent to involve elderly persons in the operation of the
project or not.
Also, demonstrate that you made the application available to the
residents of the project (in their language(s)) AND requested and
considered comments from them (in their language(s)).
(c) A description of your involvement in your community's
Consolidated Planning and Analysis of Impediments to Fair Housing (AI)
processes including:
(i) An identification of the lead/facilitating agency(ies) that
organizes/administers the processes;
(ii) A listing of the Consolidated Plan/AI issue areas in which you
participate;
(iii) The level of your participation in the processes, including
active involvement with any neighborhood-based organizations,
associations, or any committees that support programs and activities
that enhance projects or the lives of residents of the projects, such
as the one proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning and AI
processes. (Consult the local HUD Office for the identification of the
Consolidated Plan community process for the appropriate area.)
(d) A description of the linkages that you have developed with
other related activities, programs or projects in order that the
development of the project provides a comprehensive and holistic
solution to the needs of the target population.
(3) Evidence of your project being in occupancy for at least five
years as of the date of application to HUD. This evidence must be
submitted by all applicants whose section 202 identifying number has an
``EE'' as digits 4 & 5, i.e., xxx-EExxx, OR any ``EH'' project, i.e.,
xxx-EHxxx, that was converted to PRAC.
(4) A market analysis of the need for the proposed ALF units,
including information from both the project and the housing market,
containing:
(a) Evidence of need for the ALF by current project residents:
(i) A description of the demographic characteristics of the elderly
residents currently living in the project, including the current number
of residents, distribution of residents by age and sex, an estimate of
the number of residents with frailties/limitations in activities of
daily living and an estimate of the number of residents in need of
assisted living services.
(ii) A description of the services which are currently available to
the residents and/or provided on or off-site and what services are
lacking;
(b) Evidence of the need for ALF units by very low income elderly
and disabled households in the market area; a description of the trend
in elderly and disabled population and household change; data on the
demographic characteristics of the very low income elderly in need of
assisted living services (age, race, sex, household size and tenure)
and extent of residents with frailty/limitations in existed federally-
assisted housing for the elderly (HUD and Rural Housing Service): And
an estimate of the very low income elderly and disabled in need of
assisted living taking into consideration any available state or local
data.
(c) A description of the extent, types and availability and cost of
alternate care and services locally, such as: Home health care, adult
day care, housekeeping services, meals programs, visiting nurses, on-
call transportation services, health care and providers of supportive
services who address the needs of the local low income population.
(d) A description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the ALF (covering items in Section VI(B)(4)(a) and (b) of this NOFA).
(5) A description of the physical ALF conversion, including the
following:
(a) How you propose to carry out the physical conversion (including
a timetable and relocation planning).
(b) A short narrative stating the number of units, special design
features, community and office space/storage, dining and kitchen
facility and staff space and the physical relationship to the rest of
the 202 project. Also, you must describe how this design will
facilitate the delivery of services in an economical fashion and
accommodate the changing needs of the residents over at least the next
10 years.
(c) A copy of the original plans for all units and other areas of
the development which will be included in the conversion.
(d) A description of the conversion must clearly address the
following accessibility issues: All door openings must have a minimum
clear opening of 32''; and, All bathrooms and kitchens must be
accessible to and functional for persons in wheelchairs, according to
the ``Uniform Federal Accessibility Standards.''.
(e) Architectural sketches of the conversion to a scale of \\1/4\
inch to one foot that indicate the following:
(i) All doors being widened;
(ii) Typical kitchen and bathroom reconfiguration: show all
wheelchair clearances, wall reinforcing, grab bars and elevations of
counters and work surfaces;
(iii) Bedroom/living/dining area modification, if needed;
(iv) Any reconfigured common space;
(v) Added/reconfigured office and storage space;
(vi) Monitoring stations, and
(vii) The kitchen and dining facility.
All architectural modifications must meet section 504 and ADA
requirements as appropriate.
(f) A budget showing at least estimated costs for materials,
supplies, fixtures and labor for each of the items listed in Section
VI(B)(5)(e), items i through vii, above.
(g) Include firm commitment letters with specific dollar amounts
from appropriate organization(s) for
[[Page 14702]]
conversion needs (within the scope of the ALF conversion NOFA) which
will be supported by non-HUD funding.
(h) A description of any relocation of current tenants including a
statement that:
(i) Indicates the estimated cost of temporary relocation payments
and other related services.
(ii) Identifies the staff organization that will carry out the
relocation activities; and
(iii) Identifies all tenants that will have to be temporarily moved
to another unit within the development OR from the development during
the period that the physical conversion of the project is under way.
Note: If any of the relocation costs will be funded from sources
other than the ALCP grant, you must provide evidence of a firm
commitment of these funds. When evaluating applications, HUD will
consider the total cost of proposals (i.e., cost of conversion,
temporary relocation, service coordinator and other project costs).
(6) A description of any retrofit or renovation which will be done
at the project (with third party funds) that is separate and distinct
from the ALF conversion. With such description, attach firm commitment
letters from third party organizations in specific dollar amounts which
will cover the cost of any work outside the scope of this NOFA.
(7) Evidence of permissive zoning, showing that the modifications
to include the ALF into the project as proposed are permissible under
applicable zoning ordinances or regulations, or a statement of the
proposed action required to make the proposed project permissible and
the basis for your belief that the proposed action will be completed
successfully within six months of the date of grant award by HUD. e.g.,
a summary of the results of any requests for rezoning and/or the
procedures for obtaining special or conditional use permits on land in
similar zoning classifications and the time required for such rezoning,
or preliminary indications of acceptability from zoning bodies, etc.);
(8) A supportive services plan (SSP), a copy of which must be
submitted to the appropriate state and/or local agency as instructed in
Section IV(C) of this NOFA. For those applicants needing to contact
state Medicaid offices, a list of them may be accessed on the Internet
at ``www.hcfa.gov/medicaid/scon1.htm''. The fifth character from the
end is the numeral ``1'', not the letter ``l'' that includes:
(a) A description of the supportive services needed for the frail
elderly the ALF is expected to serve. This must include at least (i)
meals and such other supportive services required locally or by the
State, and (ii) such optional services or care to be offered on an ``as
needed'' basis.
Examples of both mandatory and optional services (which will vary
from state to state) are: two meals and two snacks or three mails
daily; 24-hour protective oversight; personal care; housekeeping
services; personal counseling and transportation.
(b) A description of how you will provide the supportive services
to those who are frail and have disabilities (i.e., on or off-site or
combination of on or off-site), including an explanation of how the
service coordination role will facilitate the adequate provision of
such services to ALF residents, and how the services will meet the
identified needs of the residents.
(c) A description of how the operation of your ALF will work.
Address (i) general operating procedures, (ii) ALF philosophy and how
it will promote the autonomy and independence of the frail elderly and
persons with disabilities, (iii) what will the service coordination
function will do and the extent to which it is existing, augmented or
new, (iv) ALF staff training plans, and (v) the degree to which and how
the ALF will relate to the day-to-day operations of the rest of the
Section 202 project.
(d) The monthly individual rate for board and supportive services
for the ALF listing the total fee and components of the total fee for
the items required by State or local licensing AND list the appropriate
rate for any optional services the you plan to offer to the ALF
residents. Provide an estimate of the total annual costs of the
required board and supportive services you expect to provide and an
estimate of the amount of optional services you expect to provide.
(e) List who will pay for the board and supportive services, e.g.,
$__ for meals by sponsor, $__ for housekeeping services by city
government; $__ for personal care by State Department of Health; $__
for __ by state __ program; $__ in fees by tenants; and, $__ by __.
The amounts and commitments from both tenants and/or providers must
equal the estimated amounts necessary to cover the monthly rates for
the number of people expected to be served. If you include tenant fees
in the proposal, list and show any proposed scaling mechanism. All
amounts committed/collected must equal the annualized cost of the
monthly rates calculated by the expected percentage of units filled.
(f) A support/commitment letter from EACH listed proposed funding
source per paragraph (e), above, for the planned meals and supportive
services listed in the application. The letter must cover the total
planned annual commitment (and multiyear amount total, if different),
length of time for the commitment, and the amounts payable for each
service covered by the provider/paying organization. There must be a
letter from EACH participating organization listed in Section
VI(B)(8)(e) of this NOFA, above.
(g) A support letter from EACH governmental agency(ies) which
provides licensing for ALFs in that jurisdiction.
(h) A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. The description
should include any supportive services facilities owned/operated; your
past or current involvement in any project-based programs that
demonstrates your management capabilities. The description should
include data on the facilities and specific meals and/or supportive
services provided on a regular basis, the racial/ethnic composition of
the populations served, if available, and information and testimonials
from residents or community leaders on the quality of the services.
Note: If a funds request for service coordination for the ALF
and/or the whole project is included as part of this application,
the Form HUD-424M, indicating the dollars requested must be attached
as Exhibit 10(c). Do NOT attach the whole service coordinator
application.
(9) A description of your project's resources:
(a) A copy of the most recent project Repair and Replacement (R4R)
account statement, and an R4R analysis showing plans for its use over
the next five years, and any approvals received from the HUD field
office to date.
(b) A copy of the most recent Residual Receipts Account statement.
Indicate any approvals for the use of such receipts from the field
office for over $500/unit.
(c) Annual Financial Statement (AFS). If your FY 2000 AFS was due
to REAC more than 120 days BEFORE the due date for this application, in
the interest of reducing work burden, only include the date that it was
sent to REAC. If the AFS was due to REAC 120 days or less from the due
date of this application, you MUST include a paper copy.
(10) Forms, Certifications and Resolutions. The following exhibits,
forms, certifications and assurances are required:
(a) Standard Form 424, Application for Federal Assistance and
indication of
[[Page 14703]]
whether you are delinquent on any federal debt.
(b) Standard Form 424D, Assurances, Construction Programs
(c) Form HUD 424M, Federal Assistance Funding Matrix.
(d) Form HUD-50070, Drug-free Workplace. Certification to provide a
drug-free workplace.
(e) Form HUD-50071, Payments to Influence Federal Transactions and
Standard Form-LLL, Disclosure of Lobbying Activities. Certification of
whether any of the funds received will be used to influence any federal
transactions and disclosure of these activities, if applicable.
(f) Form-HUD 2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employment Identification numbers. A
disclosure of assistance from other government sources received in
connection with the project.
(g) Certification Regarding Debarment and Suspension (HUD-2992) (24
CFR 24.510).
(h) Form HUD-2991, Certification of Consistency with the
Consolidated Plan (Plan), for the jurisdiction in which the proposed
ALF will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the State, or by the
unit of general local government if the project will be located within
the jurisdiction of the unit of general local government authorized top
use an abbreviated strategy, and if it is willing to prepare such a
Plan.
All certifications must be made by the public official responsible
for submitting the plan to HUD. The certifications must be submitted as
part of the application by the application submission deadline date set
forth herein.
The Plan regulations are published in 24 CFR part 91.
(i) Executive Order 12372 Certification. A certification that you
have submitted a copy of your application, if required, to the State
agency (single point of contact) for State review in accordance with
Executive order 12372.
(j) Certification of Residual Receipts Account. If you do not have
an existing residual receipts account you must agree to set up one as
soon as there is surplus cash available, as a condition of getting this
grant award.
(k) A certified Board Resolution that no officer or director of the
Owner/borrower or Sponsor has or will have any financial interest in
any contract with the Owner or in any firm or corporation that has or
will have a contract with the Owner, including a current listing of all
duly qualified and sitting officers and directors by title, and the
beginning and ending dates of each person's term.
(l) Certification for ALF. Certification that you agree to apply
for an ALF license with due diligence and in a timely fashion (and that
the conversion will NOT be a nursing home or an Intermediate Care
facility).
(m) Owner/borrower's Combined Certifications.
(i) A certification of compliance with the requirements of the Fair
Housing Act, Title VI of the Civil Rights Act, the Age Discrimination
Act of 1975, Section 3 of the Housing and Urban Development Act of 1968
(12 U.S.C. 1701u) and the implementing regulations at 24 CFR part 135,
the affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M and the implementing regulations at 24 CFR part 108, and
other applicable Federal, State and local laws prohibiting
discrimination and promoting equal opportunity including affirmatively
furthering fair housing, and other certifications listed in the
application.
(ii) Certification of Compliance with section 232 of the National
Housing Act, as applicable, the Uniform Federal Accessibility Standards
(24 CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's
implementing regulations at 24 CFR part 8, and the design and
construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100, and the Americans with
Disabilities Act of 1990 for all portions of the development physically
affected by this proposal;
(iii) Davis-Bacon. Certification of compliance with the Davis-Bacon
requirements and the Contract Work Hours and Safety Standards Act as
applied to this program. While it has been determined that Davis-Bacon
does not apply statutorily to the ALCP, the Department has
administratively determined that Davis-Bacon standards and overtime
rates in accordance with the Contract-Work Hours and Safety Standards
Act will be adhered to in any ALCP conversion grant in which the total
cost of the physical conversion to an ALF (and including any additional
renovation work undertaken at the same time) is $500,000 or more (this
includes ALCP grant funds, owner funds, or any third party funds loaned
or granted in support of the conversion or other renovation for the
project associated with this grant), AND in which the ALF portion of
the project is 12 units or more.
VII. Environmental Requirements
Your ALCP application is subject to the National Environmental
Policy Act of 1969 and applicable related Federal environmental
authorities. (See 24 CFR part 50, as applicable.) An environmental
review will be completed before the award of any grant under this
program. Pursuant to 24 CFR Part 55, ALCP projects are critical actions
for purposes of floodplain management review.
VIII. Findings and Certifications
(A) Paperwork Reduction Act
The information collection requirements contained in this notice
have been submitted to the Office of Management and Budget (OMB) for
approval in accordance with the Paperwork Reduction Act of 1995 (44
U.S.C. 3501-3520). The OMB approval number, once approved, will be
published in the Federal Register. An agency may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a valid control number.
(B) Catalog of Federal Domestic Assistance Numbers
The Catalog of Federal Domestic Assistance number for this program
is 14.157.
(C) Executive Order 13132, Federalism
This notice does not have federalism implications and does not
impose substantial direct compliance costs on State and local
governments or preempt State law within the meaning of Executive Order
13132 (entitled ``Federalism''). This notice invites only applications
from 202 developments for assisted living conversion grants.
(D) Prohibition Against Lobbying Activities
You, the applicant, are subject to the provisions of section 319 of
the Department of Interior and Related Agencies Appropriation Act for
Fiscal Year 1991, 31 U.S.C. 1352 (the Byrd Amendment), which prohibits
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches
of the Federal Government in connection with a specific contract,
grant, or loan. You are required to certify, using the certification
found at Appendix A to 24 CFR part 87, that you will not, and have not,
used appropriated funds for any prohibited lobbying activities.
[[Page 14704]]
In addition, you must disclose, using Standard Form LLL,
``Disclosure of Lobbying Activities,'' any funds, other than Federally
appropriated funds, that will be or have been used to influence Federal
employees, members of Congress, and congressional staff regarding
specific grants or contracts. Tribes and tribally designated housing
entities (TDHEs) established by an Indian tribe as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but tribes and TDHEs established under State law
are not excluded from the statute's coverage.
(E) Section 102 of the HUD Reform Act; Documentation and Public Access
Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this NOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this NOFA are sufficient to indicate the basis
upon which assistance was provided or denied. This material, including
any letters of support, will be made available for public inspection
for a 5-year period beginning not less than 30 days after the award of
the assistance. Material will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations in 24 CFR part 15.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this NOFA. Update reports (also Form 2880) will be made
available along with the applicant disclosure reports, but in no case
for a period less than 3 years. All reports--both applicant disclosures
and updates--will be made available in accordance with the Freedom of
Information Act (5 U.S.C. 552) and HUD's implementing regulations at 24
CFR part 5.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR 4.7 provide that HUD will publish a notice in the Federal
Register on at least a quarterly basis to notify the public of all
decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(F) Section 103 of the HUD Reform Act
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified in 24 CFR part 4, apply to this funding competition. The
regulations continue to apply until the announcement of the selection
of successful applicants. HUD employees involved in the review of
applications and in the making of funding decisions are limited by the
regulations from providing advance information to any person (other
than an authorized employee of HUD) concerning funding decisions, or
from otherwise giving any applicant an unfair competitive advantage.
Persons who apply for assistance in this competition must confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
(G) Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations at 24 CFR part 50,
implementing 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 during business hours in the Office of
the Rules Docket Clerk, Room 10276, Department of Housing and Urban
Development, 451 Seventh Street, SW, Washington, DC 20410.
IX. Authority
The Section 202 Supportive Housing for the Elderly Program is
authorized by section 202 of the Housing Act of 1959 (12 U.S.C. 1701q),
as amended. The Assisted Living Conversion Program is authorized by
Title V, section 522 of the FY 2000 Departments of Veteran's Affairs,
HUD and Independent Agencies Appropriations Act, 2000 (12 U.S.C. 1701q-
2).
Dated: March 13, 2000.
William C. Apgar,
Assistant Secretary for Housing--Federal Housing Commission.
Appendix A--Instructions for Application Submission to the Proper Hub
(a) Applicants required to submit applications to the Buffalo
Hub are normally serviced by the Boston, Hartford, Manchester,
Providence, New York, Buffalo, Philadelphia, Charleston, Newark,
Philadelphia, Pittsburgh, Baltimore, Washington, DC, and Richmond
Field Offices.
(b) Applicants required to submit applications to the Greensboro
Hub are normally serviced by the Greensboro, Columbia, Atlanta,
Caribbean, Knoxville, Louisville, Nashville, Jacksonville, Miami,
Jackson, Ft. Worth, Albuquerque, Dallas, Houston, Little Rock, New
Orleans, San Antonio, and Shreveport Field Offices.
(c) Applicants required to submit applications to the Kansas
City Hub are normally serviced by the Cincinnati, Cleveland,
Columbus, Chicago, Indianapolis, Detroit, Grand Rapids, Des Moines,
Kansas City, Oklahoma City, Omaha, St. Louis, Tulsa, Milwaukee and
Minneapolis Field Offices.
(d) Applicants required to submit applications to the San
Francisco Hub are normally serviced by Denver, Los Angeles, San
Diego, San Francisco, Honolulu, Las Vegas, Phoenix, Sacramento,
Anchorage, Portland, Seattle and Spokane Field Offices.
[[Page 14705]]
Appendix B--HUD Field Office List for Mailing ALCP Applications
Note: The first line of the mailing address for all offices is
Department of Housing and Urban Development. Telephone numbers
listed are not toll-free.
HUD--Buffalo Hub
Buffalo Office,
Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787.
HUD--Greensboro Hub
Greensboro Office
Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055.
HUD--Great Plains
Kansas City Office
Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, OFC Phone: (913) 551-5462, FAX: (913) 551-6972.
HUD--San Francisco Hub
San Francisco Office
Phillip Burton Federal Building and U.S. Courthouse, 450 Golden Gate
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6550, TTY Number: (415) 436-6594.
[FR Doc. 00-6572 Filed 3-14-00; 8:45 am]
BILLING CODE 4210-27-P