us-hud-fair-housing-guidance-97-2fheo-59271a8fd1df•Fiscal Year 1997 Guidance for FHEO Review of Applications for Section 202 and Section 811 - Supportive-Housing for the Elderly and Persons with Disabilities Programs
Fiscal Year 1997 Guidance for FHEO Review of Applications for Section 202 and Section 811 - Supportive-Housing for the Elderly and Persons with Disabilities Programs
us-hud-fair-housing-guidance-97-2fheo-59271a8fd1dfFiscal Year 1997 Guidance for FHEO Review of Applications for Section 202 and Section 811 - Supportive-Housing for the Elderly and Persons with Disabilities ProgramsGuidance
U.S. Department of Housing and Urban Development
Office of Fair Housing and Equal Opportunity
Special Attention of: Notice: FHEO 97-2
All State Representatives Issued: August 6, 1997
All State Coordinators
All Program Operations and Expires: August 31, 1998
Compliance Center Directors
All Multifamily Housing Directors Cross References:
All Housing Directors
Subject: Fiscal Year 1997 Guidance for FHEO Review of
Applications for Section 202 and Section 811 -
Supportive-Housing for the Elderly and Persons with
Disabilities Programs
PURPOSE
This Notice provides detailed guidance to Fair Housing and
Equal Opportunity (FHEO) staff for their review and analysis of
applications for the Section 202 and Section 811-Supportive
Housing for the Elderly and Persons With Disabilities Programs.
In accordance with the Department's reinvention efforts and with
the consolidation of the regulations for both programs because
of their similarities, this guidance was revised also to
consolidate the two previously separate FHEO Guidances for the
Section 811 and the Section 202 Programs. It discusses and
clarifies FHEO's responsibilities for both the Section 811 and
Section 202 Programs. As such, FHEO staff shall consult the
appropriate Handbook, NOFA and regulations for each program's
requirements. Knowledge of overall program requirements is
especially important for FHEO staff to carry out their
responsibilities. This Notice highlights only program changes
that affect FHEO, and is intended as a companion document to:
- HUD regulations 24 CFR Part 891 (Final Rule). In
1996, the Department consolidated and streamlined into
one set of regulations, many parts of the Section 202
and Section 811 regulations that were similar in
substance. 24 CFR Parts 885, 889, and 890 have been
deleted and replaced with a new Part 891.
- Fiscal Year 1997 Notice of Fund Availability (NOFA)
(FR Vol. 62, No. 101 May 27, 1997), Supportive Housing
For Persons With Disabilities.
EPSS: Distribution: W-3-1, W-2 (FHEO) , R-1 , R-2
- Fiscal Year 1997 Notice of Fund Availability (NOFA)
(FR Vol. 62, No. 101 / May 27, 1.997), Supportive
Housing For the Elderly.
- HUD Handbook for the Section 811 program (HUD 4571.2
REV-1) Supportive Housing for Persons With
Disabilities.
- HUD Handbook for the Section 202 program (HUD 4571.3
REV-1), Supportive Housing for the Elderly.
- Notice H-97-13 - This Notice is effective from
5/14/97 to 5/31/98. It consolidates and
updates instructions for the application
processing and selection program
requirements of the Sec. 202 Program.
- Notice H-97-30 - This Notice is effective from
5/23/97 to 5/23/98. It consolidates and
updates instructions for the application
processing and selection program
requirements of the Sec. 811 Program.
FHEO field staff may obtain copies of documents listed above
from the Office of Counsel, the Office of Housing, or by
contacting their Program Coordinator.
REVISIONS TO FHEO REVIEW PROCEDURES
FISCAL YEAR 1997 CHANGES:
1. Suitability of the site from the standpoint of promoting a
greater choice of housing opportunities for minority elderly
and minority persons with disabilities.
Former Secretary Cisneros, in his December 16, 1996
memorandum, directed the Department to include a selection
factor addressing affirmatively furthering fair housing in
NOFAs. The application submission requirement responding to
this criterion has been broadened to include a narrative
description of how the Sponsor will use the site to
affirmatively further fair housing opportunities for
minority elderly persons and minority persons with
disabilities.
2. Change in definition of minority sponsor.
In conformance with 60 FR 46159, September 5, 1995, Section
2452.226-70, Hasidic Jew has been deleted from the
definition of minority sponsor.
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3. FHEO Selection Criteria included in NOFA and Housing Notice.
The range of points (0 to 10) for each of FHEO's two rated
factors is included in the NOFA and the Housing Notice for
the Section 202 Program and the Section 811 Program.
FISCAL YEAR 1996 CHANGES REMAIN IN EFFECT:
1. Review of Applications
FHEO does a complete analysis of applications including the
review for compliance with equal opportunity laws and the
Department's Site and Neighborhood Standards (formerly
FHEO's Threshold Review).
FHEO provisions in the regulations:
891.125 - Site & Neighborhood Standards (S&N)
applicable to both programs'
requirements.
891.155 - Other Federal Requirements; civil
rights related program requirements are
cross-referenced to 24 CFR Part 5.
Note that for the Sec. 811 Program, the S&N Standards have
been relaxed to allow the jurisdiction more flexibility in
the placement of Sec. 811 projects. Language has been
changed from "must" to "should" to remove restrictions on
the consideration of sites adjacent to, or in areas where
specifically designed facilities or housing to serve persons
with disabilities already exist. FHEO review of this factor
is not required.
2. Revised List of Exhibits for FHEO's Review
The Department has rearranged or deleted some of the
information requested from Sponsors and reduced the number
of Exhibits in the application. FHEO reviews the following
exhibits:
Sec. 202 - 1, 3(a), 3(b), 3(c), 3(e), 4(a), 4(c), 8 and 12.
Sec. 811 - 1, 3(a), 3(b), 3(d), 3(e), 3(f), 3(h), 4(a),
4(e), 8 and 12.
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3. Revised Standard Rating Criteria
Section 202: The Factors for the Standard Rating Criteria
are: Sponsor's ability to develop and operate the proposed
housing on a long-term basis (52 points); need for
supportive housing for persons and the suitability of the
site, (28 points); and the adequacy of supportive services
(20 points). The maximum number of points an application
can earn without bonus points is 100. An application can
earn an additional 10 bonus points for a maximum total of
110 points.
Section 811: The Factors for the Standard Rating Criteria
have been reduced from three to two: Sponsor's ability to
develop and operate the proposed housing on a long-term
basis (57 points), need for supportive housing for persons
with disabilities in the area to be served, the extent to
which the Sponsor has site control and the suitability of
the site, (43 points). The maximum number of points an
application can earn without bonus points is 100. An
application can earn an additional 25 bonus points for a
maximum total of 125 points.
4. FHEO Rated Factors Reduced From Three (3) to Two (2)-, but
FHEO Points Remain at Twenty (20)
FHEO continues to rate applicants on previous experience in
serving/housing minorities and the extent to which the
housing site promotes a greater choice of housing
opportunities for elderly minority persons and minority
persons with disabilities. The number of points awarded by
FHEO remains at last year's total of twenty (20) points, a
maximum of ten (10) points for each factor.
5. Sponsor's Experience in Providing Opportunities for Minority
and Women-owned Businesses Deleted as Rated Factor
Recognizing that the Sponsor's experience in providing
opportunities for minority and women-owned businesses is not
indicative of an applicant's ability to develop and operate
the proposed program on a long-term basis, FHEO discontinued
using this criterion as a rating factor. The points for
this factor were reallocated to the category of the
applicant's previous experience in serving or housing
minorities. The Department, however, continues to require
applicants to provide information on their contracting
experience with minority and women-owned businesses.
Sponsors must still describe their experience in contracting
with minority- and women-owned businesses over the last
three years; as well as their experience in contracting with
small businesses. In addition, they must provide
information about their participation in joint ventures by
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describing the joint venture, the partners involved and the
Sponsor's involvement. The Department establishes Minority
Business Enterprise (MBE) goals. (These goals do not affect
the rating of Section 202 or Section 811 applications.) A
minority Sponsor is one in which more than 50 percent of the
board members are minority (i.e., African- American,
Hispanic, Native American, or Asian-Pacific).
6. Use of Term "Minority Persons" Refers to Elderly and Persons
with Disabilities
With the combining of the Section 202/811 Programs in this
Guidance, the term "minority persons" as used throughout
this guidance refers to elderly minority persons as used for
the Section 202 Program, and minority persons with
disabilities, as used for the Section 811 Program.
7. Bonus Points (5) for Sponsor's Involvement of Elderly
(Section 202 Program) and Persons with Disabilities (Section
811), Including Minorities..... To Be Rated by Multifamily
Housing
The Sponsor's involvement of elderly and persons with
disabilities, including minority elderly and minority
persons with disabilities in the implementation of the
project, is to be rated by Multifamily Housing instead of
FHEO.
APPLICATION PRESUBMISSION
Field Offices no longer publish an Invitation for
Applications. Instead, the Notice of Fund Availability (NOFA)
published by Headquarters in the Federal Register will serve as
the invitation. Field Offices must still notify media which
service elderly persons and minorities/persons with disabilities,
all persons and organizations on their mailing lists, minority
and other organizations involved in housing and community
development within their jurisdiction, and groups with a special
interest in housing for the elderly and persons with
disabilities. FHEO shall assist in this endeavor by providing
the names and addresses of the minority media, minority
organizations and fair housing groups/organizations to Housing's
Processing Control and Reports staff.
FHEO also participates in the Field Office's Section 811 and
Section 202 Workshops and pre-workshops by presenting information
to all potential sponsors on the equal opportunity requirements
of the program and the type of information required in the
applications. Additionally, FHEO staff should remind all
workshop attendees of the need to fully and clearly articulate:
(1) their experience in providing housing and services to
minorities; and (2) how the proposed site will promote greater
housing opportunities for minority persons.
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DEFINITIONS
Minority: A racial or ethnic group, members of which have
been subjected to prejudice or cultural bias by
virtue of belonging to the group, without regard
to individual qualities. Such groups include, but
are not limited
to:
(1) African Americans. Persons having origins in
any of the African racial groups of Africa.
(2) Hispanic Americans. All persons of Mexican,
Puerto Rican, Cuban, South or Central
American, Caribbean and other Spanish or
Portuguese culture or origin.
(3) Native Americans. Persons having origins in
any of the original peoples of North America
or the Hawaiian Islands, in particular,
American Indians, Eskimos, Aleuts and Native
Hawaiians.
(4) Asian-Pacific Americans. Persons having
origins in Japan, China, the Philippines,
Vietnam, Korea, Samoa, Guam, the U.S. Trust
Territories of the Pacific, Northern
Marianas, Laos, Cambodia, Taiwan and India.
Disability: With respect to an individual, is a physical
or mental impairment that substantially limits one
or more of the major life activities of such
individual. The term "person with disabilities"
shall include:
(1) A person who has a developmental disability,
as defined in Section 102(7) of the
Developmental Disabilities Assistance and Bill
of Rights Act [42 U.S.C. 6001(5)], i.e., if he
or she has a severe chronic disability which:
(i) Is attributable to a mental or physical
impairment or combination of mental and
physical impairments;
(ii) Is manifested before the person attains
age twenty-two;
(iii) Is likely to continue indefinitely;
(iv) Results in substantial functional
limitation in three or more of the
following areas of major life activity:
(A) Self-care;
(B) Receptive and expressive language;
(C) Learning;
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(D) Mobility;
(E) Self-direction;
(F) Capacity for independent living;
(G) Economic self-sufficiency; and
(v) Reflects the person's need for a
combination and sequence of special,
interdisciplinary, or generic care,
treatment, or other services which are
of lifelong or extended duration and are
individually planned or coordinated;
(2) A person with a chronic mental illness, i.e.,
a severe and persistent mental or emotional
impairment that seriously limits his or her
ability to live independently, and which
impairment could be improved by more suitable
housing conditions.
(3) A person with the human acquired
immunodeficiency virus, alcohol or drug
addiction, as defined 42 U.S.C. 8013(k)(2).
(Adapted from 24 CFR Section 891.305)
Elderly: A person who is 62 years of age or older.
Minority neighborhood: A neighborhood in which any one of
the following statistical conditions
exists:
(1) The percentage of persons of a particular
racial or ethnic minority is at least 20
points higher than that minority's percentage
in the housing market as a whole;
(2) The neighborhood's total percentage of
minority persons is at least 20 points higher
than the total percentage of minorities for
the housing market area as a whole; or
(3) In the case of a metropolitan area, the
neighborhood's total percentage of minority
persons exceeds 50 percent of its population.
Housing Market Area: That geographic region from which
it is likely that renters/purchasers would be
drawn for a given multifamily housing
project. A housing market area most often
corresponds to a Metropolitan Statistical
Area (MSA).
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APPLICATION PROCESSING
The selection process has been simplified to include only
Initial Screening and Technical Processing. During Initial
Screening, applications will be reviewed to determine if all
parts are included. The Department will not review the contents
of the application at this time. At the end of Initial
Screening, "Acknowledgment Letters" will be sent to Sponsors
informing them that the applications are acceptable for Technical
Processing, or "Deficiency Letters" will be sent informing
sponsors of any missing parts of the application. Sponsors must
correct deficiencies within 8 calendar days from the date of the
deficiency letter.
TECHNICAL PROCESSING
During Technical Processing, applications will undergo a
complete analysis by appropriate disciplines within HUD. As part
of this analysis, FHEO staff evaluates the application by
answering the questions listed on TECHNICAL PROCESSING REVIEW AND
FINDINGS MEMORANDUM - FAIR HOUSING AND EOUAL OPPORTUNITY listed
in Notice H-96-53. The instructions provided below are intended
to be used in conjunction with the Memorandum.
QUESTION 1:
Based on the application submission, even without a site
visit, does the proposed site meet Site and Neighborhood
Standards?
EXHIBIT(S):
Exhibits 4 (a) and 4 (e) for the Sec. 811 Program and
Exhibits 4 (a) and 4 (c) for the Sec. 202 Program on site
location and racial composition of the neighborhood with map
data. OTHER DATA SOURCES:
Census Tract and mapping data used for community and fair
housing planning; a personal visit to the site.
EVALUATION:
Even without a site visit, FHEO can determine that the
proposed site meets Site and Neighborhood Standards requirements,
including minority and disabled concentration considerations.
FHEO staff utilize data in the Exhibits on the location of
the site and the racial composition of the neighborhood to
determine whether the site meets the civil rights portion of
HUD's Site and Neighborhood Standards. The following section is
an adaptation of the language found in the regulations at 24 CFR
891.125(b)&(c).
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a. AU sites and neighborhoods must be suitable from the
standpoint of facilitating and furthering full compliance
with the applicable provisions of Title VI of the Civil
Rights Act of 1964, the Fair Housing Act, Executive Order
11063, Section 504 of the Rehabilitation Act of 1973, and
implementing HUD regulations.
b. New construction sites must not be located in an area of
minority concentration (except as permitted in paragraph "c.
" below), and must not be located in a racially mixed area
if the project will cause a significant increase in the
proportion of minority to non-minority residents in the
area.
C. New construction projects may be located in an area of
minority concentration only if:
(1) sufficient, comparable opportunities exist for housing
minority persons with disabilities, in the income range
to be served by the proposed project, outside areas of
minority concentration.
(a) In determining whether there are "sufficient"
housing opportunities for minorities outside areas
of minority concentration, the term "sufficient"
does not require an equal number of assisted units
within and outside of areas of minority
concentration in every locality. Rather,
application of this standard should produce a
reasonable distribution of assisted units each year
which over a period of several years will approach
an appropriate balance of housing opportunities
within and outside areas of minority concentration.
An appropriate balance in any jurisdiction must be
determined in light of local conditions affecting
the range of housing choices available for very low
income minority persons with disabilities and in
relation to the racial mix of the locality's
population.
(b) Units may be considered "comparable opportunities"
if they have the same household type (households
with persons with disabilities) and tenure type
(owner/renter); require approximately the same
total tenant payment; serve the same income group;
are located in the same housing market; and are in
standard condition.
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(c) Application of this sufficient, comparable
opportunities standard involves assessing the
overall impact of HUD's assisted housing on the
availability of housing choices for very low income
minority persons with disabilities in and outside
areas of minority concentration, and must take into
account the extent to which the following factors
are present, along with any other factor relevant
to housing choice:
1 A significant number of assisted housing units
are available outside areas of minority
concentration.
2 There is significant integration of assisted
housing projects constructed or rehabilitated
in the past ten years, relative to the racial
mix of the eligible population.
3 There are racially integrated neighborhoods in
the locality.
4 Programs are operated by the locality to
assist minority persons with disabilities who
wish to find housing outside areas of minority
concentration.
5 Households with minority persons with
disabilities have benefited from local
activities (e.g., acquisition and writedown of
sites, tax relief programs for homeowners,
acquisition of units for use as assisted
housing units) undertaken to expand choice for
minority families outside areas of minority
concentration.
6 A significant proportion of minority persons
with disabilities has been successful in
finding units in non-minority areas under the
Section 8 Certificate and Housing Voucher
programs.
7 Comparable housing opportunities have been
made available outside areas of minority
concentration through other programs.
(2) the project is necessary to meet overriding housing needs
which cannot be met in that housing market area.
(a) A determination of overriding need may be made if:
1 The site is an integral part of an overall local
strategy for the preservation or restoration of
the immediate neighborhood; or
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2 The site is located in a neighborhood
experiencing significant private investment
which is demonstrably changing the economic
character of the area (a "revitalizing area").
(b) However, an overriding need may not serve as the
basis for determining that a site is acceptable
if:
1 Discrimination on the basis of race, color,
creed, sex, or national origin renders sites
outside areas of minority concentration
unavailable; or
2 The use of this standard in recent years has
had the effect of circumventing the
Department's obligation to provide housing
choice.
QUESTION 2:
Is the sponsor in compliance with civil rights laws and
regulations?
EXHIBIT(S):
Exhibit 12, Part 1. Certification in connection with the
Development and Operation of a Section 811 and/or Section 202
Supportive Housing for Elderly and/or Persons with Disabilities
Project.
OTHER DATA SOURCES:
FHEO shall make the above determination with assistance from
the FHEO Compliance Division. The FHEO Compliance Division will
advise if the sponsor is in compliance based upon
compliance/monitoring/audit findings, complaint determinations.
EVALUATION:
If the Sponsor is in compliance, and if there is no evidence
to the contrary (i.e., compliance/monitoring/audit findings,
complaint determinations), FHEO can accept the certification. If
a Sponsor is not in compliance with one of the civil rights laws
and/or implementing regulations, the certification cannot be
accepted.
The Sponsor is in compliance with civil rights laws and
regulations, as follows:
a. There is no pending civil rights suit against the
Sponsor instituted by the Department of Justice;
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b. There is no outstanding finding of non-compliance
with civil rights statutes, Executive Orders or
regulations as a result of formal administrative
proceedings, unless the Sponsor is operating under a
Reapproved compliance agreement designed to correct
the area(s) of noncompliance;
c. There is no unresolved Secretarial charge of
discrimination issued under Section 810(g) of the Fair
Housing Act, as implemented by 24 CFR 103.400;
d. There has not been an adjudication of a civil rights
violation in a civil action brought against it by a
private individual, unless the Sponsor is operating in
compliance with a court order designed to correct the
area(s) of noncompliance; and,
e. There has not been a deferral of the processing of
applications from the Sponsor imposed by HUD under
Title VI of the Civil Rights Act of 1964, the Attorney
General's Guidelines (28 CFR 50.3), or the HUD Title
VI regulations (24 CFR
1.8) and procedures (HUD Handbook 8040.1), or under
Section 504 of the Rehabilitation Act of 1973 and the
HUD Section 504 Regulations (24 CFR 8.57).
QUESTION 3:
Are the sponsor's certifications acceptable in connection
with compliance with civil rights laws, regulations, executive
orders, and equal opportunity requirements?
EXHIBIT(S):
Exhibit 12, Part 1. Certification in connection with the
Development and Operation of a Section 811 and/or Section 202
Supportive Housing for Elderly and/or Persons with Disabilities
Project.
OTHER SOURCES OF DATA:
This is a- statement of Sponsor's intent to comply with
civil rights laws and should be included with the application.
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EVALUATION:
This question differs from Question 2, which considers the
Sponsor's past history with respect to civil rights laws. This
requests a certification of Sponsor's intent to comply with civil
rights laws. FHEO reviews to determine if the Sponsor's
certification is acceptable based on its previous record as
'indicated in Question 2.
RATING FACTOR 1.
The scope, extent and quality of the Sponsor's experience in
providing housing or related services to minority persons or
families (10 points).
EXHI[BIT(S): Exhibit 3.
OTHER SOURCES OF DATA:
Information on Sponsor's previous experience may be
available from the Asset Management staff or FHEO monitoring or
compliance review activity.
EVALUATION:
FHEO CRITERIA FOR FACTOR 1
10 points Sponsor has significant previous experience
in housing/serving minorities (i.e., previous
housing assistance/related service to minorities
was equal to or greater than the percentage of
minorities in the jurisdiction where the previous
housing/service experience occurred); and the
Sponsor has ties to the minority community.
8-9 points Sponsor has significant previous experience
in housing/serving minorities. There is no
evidence that the Sponsor has ties to the minority
community.
5-7 points Sponsor has minimal experience in
housing/serving -minorities (i.e., previous
housing assistance/related service to minorities
was less than the percentage of minorities in the
jurisdiction where the previous housing/related
service experience occurred) and the Sponsor has
ties to the minority community.
3-4 points Sponsor has minimal experience in
housing/serving minorities but the Sponsor does
not have ties to the minority community.
1-2 points The Sponsor does not have experience in
housing/serving minorities, but there is evidence
that the Sponsor has ties to the minority
community.
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Experience in Providing Housing or Related Services
Sponsors must have experience in providing either housing or
supportive services to the elderly, persons with disabilities,
families or minority groups. FHEO's focus is on whether the
housing or related services that were provided by the Sponsor
were directed toward minorities.
FHEO utilizes data contained in the Exhibits in the
application for an overall picture of the Sponsor's previous
housing and/or services experience. Where the Sponsor has HUD
housing experience, FHEO should consider information provided by
Multifamily Housing staff in connection with the Sponsor's
previous participation certificate review.
If the Sponsor has no previous housing experience, it is
particularly important for FHEO staff to examine all data and all
relevant experience reported in the application. Nonprofit
organizations with little or no housing experience should have an
opportunity (based upon their service experience) to compete
successfully with larger organizations with significant housing
experience. This is particularly true if the Sponsor is a
minority organization or if the Sponsor is new to the program and
proposes a project that will serve minority elderly and minority
persons with disabilities.
In evaluating a Sponsor's experience in serving minorities,
FHEO should consider:
a. The variety of services and facilities provided;
b. The description of persons, by race and ethnicity,
served by the activities; and, if available,
c. Information from residents in the community
regarding the quality of the activities.
Examples of activities that should be examined include:
housing counseling, nutrition and food services, special housing
referral, screening and information projects.
Review of Sponsor's Ties to the Minority Community
As part of its analysis of Sponsor experience, FHEO reviews
the narrative statement in Exhibit 3 to determine the extent of
the Sponsor's ties to the minority community. FHEO's review
includes any documentation submitted by the Sponsor, such as
letters from minority community leaders, heads of organizations,
etc.
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Sponsor's supportive services may not be a condition for
occupancy
FHEO staff may review some applications that propose to
restrict occupancy to persons having similar disabilities, i.e.,
subcategories of the three major disability categories of
physically disabled, developmentally disabled or chronically
mentally W. With the approval of the Secretary, a sponsor may
restrict occupancy to persons with disabilities who have similar
disabilities and require a similar set of supportive services in
a supportive housing environment. However, no qualified
individual, regardless of disability will be denied housing if
the individual can benefit from the housing and/or the services
provided. The sponsor must assure that (1) the residents will
receive supportive services based on their individual needs, and
that (2) applicants will not be required to accept supportive
services as a condition of occupancy.
RATING FACTOR 2:
Suitability of the site from the standpoint of promoting a
greater choice of housing opportunities for minority persons (10
points)
EXHIBIT(S): Exhibit 4.
OTHER SOURCES OF DATA:
Information is available from the Consolidated Plan; census
reports and community and fair housing planning mapping systems;
monitoring or compliance review reports; FHEO and Housing Asset
Management's files and HUD's in-house tracking data system for
Section 8 Applications and Contracts - Multifamily Tenant
Characteristics System (MTCS).
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EVALUATION:
Desirability of the Location
FHEO reviews the proposed site from the standpoint of
promoting a greater choice of housing opportunities for minority
persons. This differs from Question 1 where FHEO evaluated the
proposed site from the standpoint of compliance with the Site and
Neighborhood Standards threshold requirement.
In determining whether a site promotes housing choice for
minority elderly and minority persons with disabilities, FHEO
staff must consider the existence of other assisted housing for
minority elderly and minority persons with disabilities
(including Section 202, other Section 811 and low rent public
housing projects) and the locations) of such housing. Using
information contained in the Exhibits, FHEO staff would have
already determined whether a minority concentrated area has an
unmet need for housing for minority elderly and minority persons
with disabilities (see "3" above); FHEO staff now determines
whether the proposed housing addresses that need. Depending upon
local circumstances, a favor-able site can be one that is:
a. Located in a non-minority neighborhood, where there is no
existing assisted housing for minority elderly and minority
persons with disabilities in the housing market area or the
existing assisted housing for minority elderly and minority
persons with disabilities is located in a minority
concentrated area;
b. Located in a racially mixed neighborhood, where there is no
existing assisted housing for the minority elderly and
minority persons with disabilities in the housing market
area or the existing assisted housing for the minority
elderly and minority persons with disabilities is located
in a minority concentrated area;
c. Located in a minority concentrated area, where there is
existing assisted housing for the minority elderly and
minority persons with disabilities but there is still an
identified need for such housing in that community; or,
d. Located in a minority concentrated area with a need for
assisted housing for minority elderly and minority persons
with disabilities, where the existing assisted housing for
minority elderly and minority persons with disabilities is
located outside the minority concentrated area.
However, if a site does not affect housing choice (i.e., the
site is located in an area where minority elderly and minority
persons with disabilities can select from housing
opportunities both within and outside minority concentrated
areas), the points under Factor 2 should not be awarded.
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The FHEO Rating Criterion for Factor 2 awards points
considering the existence and location of existing housing for
minority persons and whether a minority concentrated area has an
unmet need for such housing in determining whether a site
promotes housing choice.
Situation #1 - Housing market area where there is no
existing assisted housing for elderly (including Section
202, low rent public housing and other assisted housing
projects). There is a need for such housing both inside
and outside areas of minority concentration.
10 points The site is located in a racially mixed area
with a need for such housing.
8 points The site is located in a nonminority area with
a need for such housing.
5 points The site is located in a minority concentrated
area with a need for such housing. The
Sponsor has comparable, rental units outside
of the minority concentrated area that will be
available to elderly minority persons through
vacancies and/or turnover thus providing a
housing choice to those elderly minority
persons who live outside the minority
community.
3 points The site is located in a minority concentrated
area with a need for housing. Sponsor does
not have comparable rental units outside of
the minority concentrated area.
0 points None of the above. The site, although
acceptable, does not promote a greater choice
of housing opportunities for minority elderly
persons.
Situation #2 - Housing market area where there is
existing assisted housing for the minority elderly
(including Section 202, low rent public hod-sing and
other assisted housing projects for minority elderly
persons) and such housing is located in a nonminority
area. There is an unmet need to house minority elderly
and minority elderly persons in a minority concentrated
area:
10 points The site is located in a minority
concentrated area with an unmet housing need
for elderly and/or minority elderly or
minority persons with disabilities.
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8 points The site is located in a racially mixed
area bordering the minority concentrated area
with an unmet need for housing minority
elderly or minority persons with disabilities.
5 points The site is located in a nonminority area but
Sponsor has comparable, rental units in
the minority concentrated area that will
be available to minority elderly or
minority persons with disabilities
through vacancies and/or turnover, thus
providing a housing choice to minority
elderly or minority persons with
disabilities who desire to remain in the
minority community.
0 points None of the above. The site, although
acceptable, does not promote a greater
choice of housing opportunities for
minority elderly or minority persons
with disabilities.
Situation #.3 - Housing market area where the existing
housing for minority elderly or minority persons with
disabilities is located in an area of minority
concentration. There is still a housing need in the
minority concentrated area, as well as in the community
as a whole:
10 points The site is located in a racially mixed
area.
8 points The site is located in a nonminority
area.
5 points The site is located in a minority area
but Sponsor has comparable, rental units
outside of the minority concentrated area
that will be available to minority elderly or
minority persons with disabilities (through
vacancies and/or turnover), thus providing a
housing choice to minority elderly or
minority persons with disabilities who live
outside the minority community.
0 points None of the above. The site, although
acceptable, does not promote a greater choice
of housing opportunities for minority elderly
or minority persons with disabilities.
Situation #4 - Housing market area where few or no
minorities live. (There are no or few areas of minority
concentration.)
10 points The site is located in a housing market
area with a population of only a few
minorities.
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5 points The site is located in a housing market area
with a population of no minorities.
Situation #5 - Housing market area where existing
assisted housing for the minority elderly and minority
persons with disabilities is inside a minority
concentrated area and also outside a minority
concentrated area. Both areas have an unmet need for
housing for minorities.
10 points The site is located Outside and the
majority of assisted housing is located
inside.
10 points The site is located Inside and the
majority of assisted housing is located
outside.
5 points The site is located Outside and the
majority of assisted housing is located
outside.
5 points The site is located Inside and the
majority of assisted housing is located
inside.
Situation #6 - Housing market area where few or no
nonminorities live. (There are no or few areas of
nonminority concentration.)
10 points The site is located in a housing market
area with a population of only a few
nonminorities.
5 points The site is located in a housing market
area with a population of no nonminorities.
ADDITIONAL FINDINGS:
To answer the questions below, a "YES" or "NO" response is
required.
1. Does the project address a low participation rate and an
identified need for housing for very low income minority
persons?
Refer to Rating Factor 2.
2. Based upon data submitted in Exhibit 3(b), does the Sponsor
indicate ties to the minority community?
Refer to Rating Factor 1.
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3. Is the Sponsor's project consistent with the affirmatively
furthering fair housing provisions of the jurisdiction's
Consolidated Plan Certification?
Refer to Exhibit I 1, Certification of Consistency with the
Consolidated Plan. FHEO indicates whether the Sponsor's
project is consistent with the affirmatively furthering fair
housing provisions of the jurisdiction's Consolidated Plan
certification. Such projects are those that promote a greater
choice of housing opportunities for minority persons.
4. For projects with relocation indicated, is the information
submitted in Exhibit 8 acceptable?
If displacement/relocation is indicated, FHEO staff shall
review Exhibit 8 to determine whether the Sponsor has
submitted the required racial and ethnic data on the
persons/businesses to be displaced and whether the Sponsor's
relocation advisory procedures promote a greater choice of
housing opportunities for minority persons/households.
Where displacement of minority persons is involved, services
must include steps to ensure
that such persons have a reasonable opportunity to relocate to
decent, safe, and sanitary replacement dwellings that are within
their financial means, in a full range of neighborhoods,
including those which are outside areas of minority
concentration.
If the comparable replacement dwellings are located in areas
of minority concentration, minority persons should, if possible,
be given opportunities to relocate to replacement dwellings not
located in such areas. Additionally, where relocation occurs,
FHEO should assess the merits of the Relocation Plan in assigning
points to Factor 2.
Note that Community Planning and Development (CPD) completes
the relocation plan review.
5. Has the Sponsor submitted the required racial and ethnic data
on the persons/businesses to be displaced?
Refer to Exhibit 8.
COMPLETION OF FHEO REVIEW
After its review, FHEO staff prepare the Technical
Processing Review and Findings Memorandum to document findings as
to FHEO's recommended rating and the acceptability or non-acceptability
of each application. The review sheets are
forwarded to the Multifamily Housing Representative through the
Processing Control and Reports (PC&R) Staff.
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The MHR reconciles any conflicting review comments by
obtaining agreements from affected offices or by referring the
matter to the Multifamily Housing Director for a decision. The
manner of resolving conflicting comments must be documented and
retained with the appropriate review sheets. (FHEO comments are
not affected by this process because FHEO is the only discipline
recommending points for Factors I and 2.)
The MHR will also prepare technical rejection letters based
upon the reviews of each technical discipline. No application
rejected during Technical Processing can be rated or considered
by the Rating Panel unless, based upon the Sponsor's appeal, the
application is reinstated.
SELECTION PROCESS
The Multifamily Housing Director convenes a rating panel
comprised of the MHR and staff from other technical disciplines,
including FHEO. The Panel evaluates all approvable applications
on the basis of their merits relative to those of other
approvable applications and determines those to be selected for
funding.
As part of the Field Office panel, the FHEO representative
reviews the list of applications identified for selection and
provides advice and guidance to panel members regarding those
that will best meet the fair housing and equal opportunity
objectives. Because there are usually far more applications than
can be funded, FHEO's role on the panel is essential.
Where multiple disciplines review the same selection factor,
final points are determined by averaging the points awarded by
individual disciplines. (See Standard Rating Criteria Form.) Once
final points are assigned, the applications (along with
appropriate justification data) are rated and ranked.
Field Office recommendations for selections of the Section
811 and Section 202 applications (with the appropriate
justification data) are then forwarded to the Headquarters Office
of Elderly and Assisted Housing, for final selections as approved
by the Assistant Secretary for Housing.
Affirmative Fair Housing Marketing Plans
FHEO does not review the Affirmative Fair Housing Marketing
Plan P), HUD Form 935.2, until the Sponsor is selected for
funding. The AFHMP will be requested at a later stage of
processing.
If FHEO reviews the AFHMP and FHEO finds it to be deficient,
FHEO may indicate such but the application is not rejected on
this basis during Technical Processing. There is time to work
with the Sponsor to resolve problems or to obtain necessary
modifications to the AFHMP.
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FHEO staff should follow the guidance contained in HUD's
Affirmative Fair Housing Marketing Handbook, 8025.1 REV-2.
Outreach To Persons With Disabilities
24 CFR 8.6 of the Section 504 regulation requires recipients
to take appropriate steps to ensure effective communication with
applicants, beneficiaries, and members of the public who are
disabled. Since the Section 811 Program is targeted for persons
with disabilities, Sponsors should be aware of methods to
specifically reach this population group. Therefore, in addition
to utilizing newspapers and radio stations, Sponsors may also use
qualified sign language and oral interpreters, readers or taped
and Braille materials, and should inform those organizations
which serve persons with disabilities in the community, in order
to reach persons with all types of disabilities, such as visual
and hearing impairments or those who are developmentally disabled
with minimal reading skills, or persons who are confined to their
homes. Sponsors are not required to submit their outreach
procedures to HUD for approval (as is the case for the
Affirmative Fair Housing Marketing Plan); however, documentation
of the outreach efforts should be maintained on site in the
rental office and available for HUD inspection.
We hope this guidance will assist FHEO field staff in their
review of Section 811 and 202 applications. For additional
information, please contact William D. Gregorie, Acting Director,
Office of Program Operations and Standards (202 708-0288) or your
Program Coordinator at 202 708-2288.
Susan M. Forward
Deputy Assistant Secretary for
Enforcement and Investigations
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