# Public and Indian Housing Drug Elimination Program; Notice of Funding AvailabilityFY 1997

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## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** May 23, 1997
- **Citation:** 62 FR 28538

## Text

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4181-N-01]

Public and Indian Housing Drug Elimination Program; Notice of
Funding Availability--FY 1997

AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.

ACTION: Public and Indian Housing Drug Elimination Program Notice of
Funding Availability (NOFA) for Fiscal Year (FY) 1997.

-----------------------------------------------------------------------

SUMMARY: This NOFA announces HUD's FY 1997 funding of $250,649,052
under the Public and Indian Housing Drug Elimination Program (PHDEP)
for use in reducing/eliminating drug-related crime. Hereafter, the term
housing authority (HA) shall include public housing agencies (PHAs) and
Indian housing authorities (IHAs).
In the body of this document is information concerning the purpose
of the NOFA, applicant eligibility, available amounts, selection
criteria, financial requirements, management, and application
processing, including how to apply, how selections will be made, and
how applicants will be notified of results.

DATES: Applications must be received at the local HUD Field Office on
or before Friday, August 8, 1997, at 3:00 pm, local time. This
application deadline is firm as to date and hour. In the interest of
fairness to all competing applicants, the Department will treat as
ineligible for consideration any application that is received after the
deadline. Applicants should take this practice into account and make
early submission of their materials to avoid any risk of loss of
eligibility brought about by any unanticipated or delivery-related
problems. A FAX is not acceptable.

ADDRESSES:

(a) Application Kit: An application kit may be obtained, and
assistance provided, from the local HUD Field Office with delegated
public housing responsibilities over an applying public housing
authority, or from the Area Offices of Native American Programs
(AONAPs) having jurisdiction over an Indian housing authority making an
application, or by calling HUD's Drug Information and Strategy
Clearinghouse (DISC) on (800) 578-3472. The application kit contains
information on all exhibits and certifications required under this
NOFA. Applicants requiring additional information may use the funding
cross-reference under HUD's Business and Community Partner HomePage on
the Internet's World Wide Web (http://www.hud.gov/bushome.HTML).
(b) Application Submission: An applicant shall submit only one
application per housing authority under each NOFA. Joint applications
are not permitted under this program with the following exception:
housing authorities under a single administration (such as housing
authorities managing another housing authority under contract or
housing authorities sharing a common executive director) shall submit a
single application, even though each housing authority has its own
operating budget. Applications (Original and Three Identical Copies of
the Original Application) must be received by the deadline at the local
HUD Field Office with responsibilities over the applying public housing
authorities, Attention: Director, Office of Public Housing or, in the
case of Indian housing authorities, to the local HUD Administrator,
AONAPs with jurisdiction over the applying Indian housing authorities,
as appropriate. A complete listing of these offices is provided in
Appendix ``A'' of this NOFA. It is not sufficient for an application to
bear a postage date within the submission time period. Applications
submitted by facsimile are not acceptable. Applications received after
the deadline date of Friday, August 8, 1997, at 3:00 pm, Local Time,
Will Not be Considered.

FOR FURTHER INFORMATION CONTACT: For questions concerning the PHDEP
contact: the local HUD Field Office, Director, Office of Public Housing
or the National Office of Native American Programs (NONAPs)/local
Administrator, AONAPs (Appendix ``A'' of this NOFA), HUD's DISC on
(800) 578-3472 and/or Malcolm (Mike) E. Main in the Office of Crime
Prevention and Security, Office for Community Relations and
Involvement, Office of Public and Indian Housing, Room 4112, on (202)
708-1197, extension 4232.
For questions concerning the Federally Assisted Housing Low-Income
Housing Drug Elimination Program (AHDEP), and/or other Federally
Assisted Housing Low-Income Housing programs contact Michael E. Diggs,
Office of Multifamily Housing Programs, Office of Housing, Room 6130 on
(202) 708-0614, extension 2514. A separate NOFA will be published by
the Office of Multifamily Housing Programs, Office of Housing for AHDEP
and other programs. The address for the above Headquarters persons is:
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410. Hearing-or-speech impaired persons may call (800)
877-8339. (Federal Information Relay Service TTY). Except for the
``800'' number, these telephone numbers are not toll-free.

SUPPLEMENTARY INFORMATION:

Promoting Comprehensive Approaches to Housing and Community Development

HUD is interested in promoting comprehensive, coordinated
approaches to housing and community development. Economic development,
community development, public housing revitalization, homeownership,
assisted housing for special needs populations, supportive services,
and welfare-to-work initiatives can work better if linked at the local
level. Toward this end, the Department in recent years has developed
the Consolidated Planning process designed to help communities
undertake such approaches.
In this spirit, it may be helpful for applicants under this NOFA to
be aware of other related HUD NOFAs that have recently been published
or are expected to be published in the near future. By reviewing these
NOFAs with respect to their program purposes and the eligibility of
applicants and activities, applicants may be able to relate the
activities proposed for funding under this NOFA to the recent and
upcoming NOFAs and to the community's Consolidated Plan.
The related NOFAs HUD is publishing elsewhere in this issue of the
Federal Register are: the Federally Assisted Housing Drug Elimination
NOFA, the Drug Elimination Technical Assistance NOFA, and the Safe
Neighborhoods Grants NOFA.
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
applicants to upcoming and recent NOFAs as each NOFA is published. In
addition, a complete schedule of NOFAs to be published during the
fiscal year and those already published appears under the HUD Homepage
on the Internet, which can be accessed at http://www.hud.gov/
nofas.html. Additional steps on NOFA coordination may be considered for
FY 1998.
For help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal
government.

Coordination With Local Law Enforcement Agencies

In addition to working closely with residents and local governing
bodies, it

[[Page 28539]]

is critically important that housing authorities establish ongoing
working relationships with Federal, State and local law enforcement
agencies in their efforts to address crime and violence in and around
their housing developments. The Department firmly believes that the war
on crime and violence in public and Indian housing can only be won
through the concerted and cooperative efforts of housing authorities
and law enforcement agencies working together in cooperation with
housing authority residents and local governing bodies. As such, the
Department expects housing authorities to demonstrate in their PHDEP
grant applications and anti-crime plans how they propose to establish
or enhance their working relationships and cooperation with law
enforcement agencies.
Under the revised Public Housing Management Assessment Program
(PHMAP) published on December 30, 1996 (61 FR 68894), Indicator #8,
Security, calls for housing authorities to establish cooperative
systems for tracking crime and reporting incidents of crime to police
authorities to improve law enforcement and crime prevention. The
Department encourages housing authorities participating in PHDEP to not
only establish and implement such systems, but to engage in ongoing
dialogue and special cooperative efforts with their local law
enforcement agencies as a means of developing and putting into effect
needed anti-crime initiatives at housing developments.

Operation Safe Home

Operation Safe Home was announced jointly by Vice President Albert
Gore, former HUD Secretary Henry G. Cisneros, former Treasury Secretary
Lloyd Bentsen, Attorney General Janet Reno, and representatives of the
Office of National Drug Control Policy (ONDCP) at a White House
briefing on February 4, 1994. Operation Safe Home is a major
Departmental initiative focusing on violent and drug-related crime
within public housing authorities. As such, it is a holistic
enforcement approach which combines aggressive law enforcement
interdiction efforts with a housing authority's crime prevention and
intervention initiatives. Operation Safe Home is structured to combat
the level of violent crime activities occurring within public and
assisted housing, and enhance the quality of life within such complexes
via three simultaneous approaches:

--Strong, collaborative law enforcement efforts focused on reducing the
level of violent crime activities occurring within public and assisted
housing;
--Collaboration between law enforcement agencies and public housing
managers and residents in devising methods to prevent violent crime;
and
--The introduction of HUD, DOJ and other agency initiatives
specifically geared to preventing crime.

For more information on Operation Safe Home, contact Lee Isdell,
Office of the Inspector General, Department of Housing and Urban
Development, Room 8256, 451 Seventh Street, SW., Washington, DC. 20410,
telephone (202) 708-0430, fax number (202) 401-2505, Internet E:mail
www.hud.gov./oig/oigindex.html. A telecommunications device for hearing
or speech impaired persons (TDD) is available at (202) 708-0850. (These
are not toll-free telephone numbers.)

Operation Weed and Seed

Operation Weed and Seed, conducted through the U.S. Department of
Justice, is a comprehensive, multi-agency approach to combatting
violent crime, drug use, and gang activity in high-crime neighborhoods.
The goal is to ``weed out'' crime from targeted neighborhoods and then
to ``seed'' the targeted sites with a wide range of crime and drug
prevention programs, and human services agency resources to prevent
crime from reoccurring. Operation Weed and Seed further emphasizes the
importance of community involvement in combatting drugs and violent
crime. Community residents need to be empowered to assist in solving
crime-related problems in their neighborhoods. In addition, the private
sector needs to get involved in reducing crime. All of these entities,
Federal, State, and local government, the community and the private
sector should work together in partnership to create a safer, drug-free
environment.
The Weed and Seed strategy involves four basic elements:
Law enforcement must ``weed out'' the most violent offenders by
coordinating and integrating the efforts of Federal, State, and local
law enforcement agencies in targeted high-crime neighborhoods. No
social program or community activity can flourish in an atmosphere
poisoned by violent crime and drug abuse.
Local municipal police departments should implement community
policing in each of the targeted sites. Under community policing, law
enforcement should work closely with the housing authority and
residents of the community to develop solutions to the problems of
violent and drug-related crime. Community policing serves as a
``bridge'' between the ``weeding'' (law enforcement) and ``seeding''
(neighborhood revitalization) components.
After the ``weeding'' takes place, law enforcement and social
services agencies, the private sector, and the community must work to
prevent crime and violence from reoccurring by concentrating a broad
array of human services--drug and crime prevention programs, drug
treatment, educational opportunities, family services, and recreational
activities--in the targeted sites to create an environment where crime
cannot thrive.
Federal, State, local, and private sector resources must focus on
revitalizing distressed neighborhoods through economic development and
must provide economic opportunities for residents.
For further information on Operation Weed and Seed, contact the U.S
Department of Justice, Office of Justice Programs, 366 Indiana Avenue,
Room 304S, N.W., Washington, D.C., 20531 on (202) 616-1152, FAX number:
(202) 616-1159, or Internet E:mail: [email protected].
Specific activities undertaken pursuant to Operation Safe Home and
Operation Weed and Seed may be eligible for PHDEP funding if they meet
the funding criteria outlined in this NOFA. All activities must relate
to one of the four selection criteria. Selection Criterion 4, in
section I.(d)(4) of this NOFA, below, identifies areas of collaboration
between applicants and Federal, State, Tribal and local law enforcement
agencies.
In this FY 1997 NOFA, the Department is focusing attention on three
specific characteristics of the PHDEP program. First, the PHDEP program
has proven to be one of the Department's most successful tools in
assisting housing authorities in leveraging commercial, cash, non-
profit and other local government resources for the purpose of reducing
or eliminating drug-related crime. One of the other important
characteristics of the PHDEP is that a large number of PHDEP activities
are implemented in community facilities that are owned and operated by
housing authorities. Finally, HUD wants to emphasize that a
comprehensive anti-crime strategy in housing authorities should include
effective administration of housing authority screening, leasing and
eviction policies. Bearing these issues in mind, housing authorities
applying for PHDEP funds are strongly encouraged:
To use PHDEP resources to establish collaborative
relationships with, and increase over and above existing levels, the
efforts of local

[[Page 28540]]

municipal police departments and/or other law enforcement agencies,
local social and/or religious organizations, and other public and
private nonprofit organizations who provide community-wide services to
offer substance abuse prevention, intervention, treatment, aftercare,
education, assessment, and referral programs and services.
To include in their comprehensive anti-crime strategies a
discussion of how the proposed PHDEP drug and crime prevention
activities will be coordinated with larger Empowerment and Enterprize
Zone strategies and Welfare Reform efforts, especially in the areas of
training and employment of PHA residents. The PHDEP application may
include specific opportunities for resident employment and training
with such activities as contracting or hiring of residents as security
guard personnel, housing authority police officers, and for referrals
to employment and training opportunities. The applicant must
demonstrate how the employment and training qualifies as an eligible
activity. PHDEP applicants should coordinate with Federal, Tribal,
State and local agencies to increase employment and training
opportunities for low-income residents, and thereby decrease drug-
related crime. Many communities are already developing and providing
such services, and housing authorities are strongly encouraged to
provide community facility space to allow the provision of these
services for residents living ``in and around'' public and Indian
housing authorities.
To increase the use of housing authority community
facilities, and bring back a community focus to housing authority
properties. Expenses related to community policing; police mini-
stations; and resident training, substance abuse prevention,
intervention, treatment, structured aftercare, and other human
resources programs that comply with the requirements of this program
Are Eligible Program Expenses. The Department encourages applicants to
use housing authority community facilities in all eligible PHDEP
activities. Community policing, resident training, substance abuse
prevention, intervention and treatment (dependency, structured
aftercare, and support systems) are all activities most effectively
implemented in housing authority community facilities. While all PHDEP
activities must be carried out ``in and around'' housing authorities,
often the use of the community facilities is taken for granted, and not
considered when planning effective implementation of PHDEP activities.
The Department encourages applicants to consider current and future use
of their community facilities for eligible activities, and to
incorporate a strategy regarding facilities for on-site service
delivery.
As applicable, to incorporate ``One Strike and You're
Out'' elements in applications to ensure PHAs have available the
broadest range of tools for making and maintaining a safe residential
community. ``One Strike and You're Out'' activities in applications may
be eligible program expenses but to qualify as eligible activities,
they must be included in the plan to address the crime problem in
public housing developments required under Selection Criterion 2 in
section I.(d)(2). Factors related to the One Strike initiative, such as
screening applicants and lease enforcement, are examined under
Selection Criterion 3 in section I.(d)(3) of this NOFA. As a part of
the Public Housing Management Assessment Program (PHMAP), PHA
performance will be measured, in part, by PHMAP indicator #8,
``Security'', which was included in the revised PHMAP rule published on
December 30, 1996 (61 FR 68894). Any successful, comprehensive anti-
crime strategy in public housing should address the elements of the
PHMAP security indicator: tracking and reporting crime-related
problems, screening applicants, enforcing lease requirements, and
stating and achieving anti-crime strategies/goals in appropriate HUD
grant programs.
Any application that proposes any of the above activities must
relate the activity directly to one or more of the four selection
criteria in section I.(d) of this NOFA.
In addition, the Department is very concerned about PHDEP program
performance by grantees because of practices such as: lack of
implementation of the approved PHDEP grant plan/timetables;
inconsistent draw down of funds based upon the approved plan;
inadequate tracking and measuring of performance regarding the
reduction/elimination of crime in housing authorities and
developments(s). With funding of some grantees provided for over seven
years, tracking and measuring performance is necessary, and
requirements for performance and outcome measurements are outlined in
this NOFA. Applicants with previous unsatisfactory PHDEP, or other
grant program, performance will be at a disadvantage with respect to
the third selection criterion, the capability of the applicant to carry
out the plan, at section I.(d)(3), below, of this NOFA.

Paperwork Reduction Act Statement

The information collection requirements contained in this Notice
have been approved by the Office of Management and Budget under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), and assigned OMB
control number 2577-0124, which expires October 31, 1999. 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.

I. Purpose and Substantive Authority

(a) Authority. These grants are authorized under Chapter 2,
Subtitle C, Title V of the Anti-Drug Abuse Act of 1988 (42 U.S.C. 11901
et. seq.), as amended by section 581 of the National Affordable Housing
Act of 1990 (NAHA), approved November 28, 1990, Pub. L. 101-625, and
section 161 of the Housing and Community Development Act of 1992 (HCDA
1992) (Pub. L. 102-550, approved October 28, 1992).
(b) Allocation amounts. (1) Fiscal Year 1997 Funding. The
Departments of Veterans Affairs and Housing and Urban Development, and
Independent Agencies Appropriations Act, 1997, (approved September 26,
1996, Pub. L. 104-204), (97 App. Act) appropriated $290 million for the
Drug Elimination Program. Of the total $290 million appropriated, $1
million will fund drug information clearinghouse services; $10 million
will fund drug elimination technical assistance, contracts and other
assistance training, program assessments, and execution for or on
behalf of public housing agencies and resident organizations (including
the cost of necessary travel for participants in such training); $10
million shall be used in connection with efforts to combat violent
crime in public and assisted housing under the Operation Safe Home
Program administered by the Inspector General of HUD; and $16.875
million for the Federally Assisted Low-Income Housing Drug Elimination
Program, which is administered by the Office of Housing and is made
available through a separate NOFA. Additionally, a funding amount of
$39,000 in FY 1997 funds is being awarded to the Randolph County
Housing Authority, Randolph County, IL, a successful FY 1996 PHDEP
grantee which was mistakenly denied this amount in FY 1996 funding for
eligible law enforcement activities; $1,524,501 is being awarded to the
Chicago Housing Authority, Chicago, IL., which was mistakenly denied
this amount in FY 1996 funding for treatment activities; $8,400 is
being

[[Page 28541]]

awarded to the Tulsa Housing Authority which was incorrectly denied a
project expense in its FY 1995 application, and finally $400,100 is
being awarded to the Philadelphia Housing Authority, Philadelphia, PA,
which was incorrectly denied this amount for an eligible law
enforcement expense in its FY 1996 application. In addition, $496,053
of prior PHDEP carryover and recovery program funds will be made
available under the FY 1997 PHDEP NOFA. Accordingly, the total funding
available, to remain available until expended, for funding under this
FY 1997 PHDEP NOFA is $250,649,052. HUD is not funding the Youth Sports
Program (YSP) for FY 1997, although YSP-type activities under programs
to reduce/eliminate drug activities are eligible program expenses under
section I.(c)(6) of this NOFA.
(2) Maximum Grant Award Amounts. HUD is distributing grant funds
under this NOFA on a national competition basis. Maximum grant award
amounts are computed on a sliding scale, using an overall maximum cap,
depending upon the number of housing authority units. The unit count
includes rental, Turnkey III Homeownership, Mutual Help Homeownership
and Section 23 leased housing bond-financed projects, although units in
the Turnkey III Homeownership, Mutual Help Homeownership and Section 23
bond-financed programs are counted only if they have not been conveyed.
Applicants should note that in determining the unit count for PHA-owned
or IHA-owned rental housing, a long-term vacancy unit, as defined in 24
CFR 950.102 or 990.102, is still included in the count. Eligible
projects must be covered by an annual contributions contract (ACC)
during the period of the grant award. For information and specific
guidance regarding PHA/IHA unit count contact the local HUD Field
Office; or Headquarters, Joan Dewitt, Director, PIH Finance and Budget
Division, on (202) 708-1872, extension 4035, and/or Deborah Lalancette,
Director, NONAP, Housing Management on (303) 675-1600, extension 3300.
The maximum grant awards are as follows, although, as discussed
below, in section I.(b)(4) of this NOFA (Reduction of Requested Grant
Amounts and Special Conditions), the Department may adjust the amount
of any grant award. These estimates of the maximum grant awards are
based on the amount of funds available in FY 1997.
For housing authorities with 1-1,250 units: The Minimum grant award
amount is $50,000 or a Maximum grant award cap of $300.00 per unit;
For housing authorities with 1,251-24,999 units: The Maximum grant
award is a maximum grant award cap of $260.00 per unit;
For housing authorities with 25,000-49,999 units: The Maximum grant
award is a maximum grant award cap of $230.00 per unit; and
For housing authorities with 50,000 or more units: The Maximum
grant award is a maximum cap of $200.00 per unit; up to, but not to
exceed, a Maximum grant award of $35 million.
An applicant shall not apply for more funding than is permitted in
accordance with the maximum grant award amount as described above. Any
application requesting funding that exceeds the maximum grant award
amount permitted will be rejected and will not be eligible for any
funding unless a computational error was involved in the FY 1997 PHDEP
funding request. Section IV of this NOFA provides guidance regarding
curable and noncurable deficiencies in the application. A computational
error will be considered a curable deficiency in the application.
Section III.(d) (Checklist of Application Requirements) of this NOFA
requires applicants to compute the maximum grant award amount for which
they are eligible. In accordance with sections I.(b)(2)(i) through
(iii) of this NOFA, applicants are required to validate/confirm the
housing authorities unit count with the local HUD Field Office prior to
submission of the application. The amount computed in this way must be
compared with the dollar amount requested in the application to make
certain the amount requested does not exceed the maximum grant award.
Units identified after the application deadline date will not be
accepted as part of the unit count.
(3) Reallocation. All awards will be made to fully fund an
application, except as provided in section I.(b)(4) of this NOFA
(Reduction of Requested Grant Amounts and Special Conditions) below.
(4) Reduction of Requested Grant Amounts and Special Conditions.
HUD may approve an application for an amount lower than the amount
requested, withhold funds after approval, take other remedies that may
be legally available, and/or the grantee will be required to comply
with special conditions added to the grant agreement, in accordance
with 24 CFR 85.12 (PHAs), and 24 CFR 950.135 (IHAs) as applicable, and
the requirements of this NOFA, or where:
(i) HUD determines the amount requested for one or more eligible
activities is unreasonable or unnecessary;
(ii) The application does not otherwise meet applicable cost
limitations established for the program;
(iii) The applicant has requested an ineligible activity;
(iv) Insufficient amounts remain in that funding round to fund the
full amount requested in the application and HUD determines that
partial funding is a viable option;
(v) The applicant failed under previous PHDEP grants to drawdown
grant funds according to its plan, budget, and timetable, and/or failed
to submit HUD required performance and financial reports in a timely
manner. In addition, reports did not demonstrate satisfactory outcomes
that reduced/eliminated drug-related crime; or
(vi) The applicant has demonstrated an inability to manage other
HUD grants.
(c) Eligibility. Funding under this NOFA is available only for
housing authorities. Although section 161 of the Housing and Community
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992)
makes public housing resident management corporations (RMCs) eligible
for PHDEP funding, the 97 App. Act limited the funds appropriated ``for
grants to public and Indian housing agencies.'' RMCs may continue to
receive funding from housing authority grantees, as sub-grantees, to
develop security programs and substance abuse prevention programs
involving site residents as they have in the past. The Department has
determined that the term ``in or around'' means within, or adjacent to,
the physical boundaries of a public or Indian housing development. The
effect of this definition is to make certain that program funds and
program activities are targeted to benefit, as directly as possible,
the residents of public and Indian housing developments, the intended
beneficiaries of the program under the authorizing statute. The
definition is also consistent with, but not as strictly limited as, the
use of ``around'' in Federal criminal law, which makes it a Federal
crime to dispense drugs within 1,000 feet of public housing property.
An application for funding under this program may be for one or more of
the eligible activities. Every application must describe how the
proposed activities relate to the selection criteria in Section I.(d),
below, of this NOFA, and how the proposed activities will reduce or
eliminate drug-related crime. Concerning the definition of ``drug-
related crime'', the 97 App. Act provides that the term ``drug-related
crime'', as defined in 42 U.S.C.

[[Page 28542]]

11905(2), shall also include other types of crime as determined by HUD.
Accordingly, for purposes of this NOFA, the term ``drug-related crime''
as defined in 42 U.S.C. 11905(2) shall also include other crimes as
reported under the FBI's Uniform Crime Reporting Program (UCR) system.
These crimes are divided into two sections, Part I and Part II crimes.
Part I crimes are: criminal homicide, forcible rape, robbery,
aggravated assault (to include domestic violence--use of a weapon or by
means likely to produce death or great bodily harm), burglary-breaking
or entering, larceny-theft (except motor vehicle theft), motor vehicle
theft, and arson. Part II crimes are other assaults, forgery and
counterfeiting, fraud, embezzlement, vandalism, weapons (carrying,
possessing), prostitution and commercialized vice, sex offenses (except
forcible rape, prostitution and commercialized vice), drug abuse
violations, gambling, offenses against the family and children, driving
under the influence, liquor laws, drunkenness, disorderly conduct,
vagrancy, all other offenses, suspicion, and offenses related to curfew
and loitering laws and runaways.
The following is a listing of eligible activities under this
program and guidance as to their parameters:
(1) Employment of Security Personnel. Employment of security
personnel is permitted under this section. Employment of security
personnel is divided into two categories: Security personnel services,
and housing authority police departments.
(i) General requirements. The following requirements apply to all
employment of security personnel activities funded under this NOFA:
(A) Compliance. Security guard personnel and public housing
authority police departments funded by this NOFA must meet, and
demonstrate compliance with, all relevant Federal, State, Tribal or
local government insurance, licensing, certification, training,
bonding, or other similar law enforcement requirements.
(B) Law enforcement service agreement. The applicant and the local
law enforcement agency, and if relevant, the contract provider of
security personnel services, are required to enter into a law
enforcement service agreement, in addition to the housing authority's
cooperation agreement, that describes the following:
(1) The activities to be performed by security guard personnel or
the public housing authority police department; the scope of authority,
written policies, procedures, and practices that will govern security
personnel or public housing authority police department performance
(i.e., a policy manual as described in section I.(c)(1)(i)(C), below,
of this NOFA); and how security guard personnel or the public housing
authority police department shall coordinate activities with the local
law enforcement agency;
(2) The types of activities that the approved security guard
personnel or the public housing authority police department are
expressly prohibited from undertaking.
(C) Policy manual. Security guard personnel services and public
housing authority police departments funded under this NOFA shall be
guided by a policy manual that directs the activities of its personnel
and contains the policies, procedures, and general orders that regulate
conduct and describe in detail how jobs are to be performed. The policy
manual must exist before execution of the grant agreement. The housing
authority shall ensure all security guard personnel and housing
authority police officers are trained, at a minimum, in the following
areas that must be covered in the policy manual: use of force, resident
contacts, enforcement of HA rules, response criteria to calls,
pursuits, arrest procedures, reporting of crimes and workload, feedback
procedures to victims, citizens' complaint procedures, internal affairs
investigations, towing of vehicles, authorized weapons and other
equipment, radio procedures internally and with local police, training
requirements, patrol procedures, scheduling of meetings with residents,
reports to be completed, record keeping and position descriptions on
all personnel, post assignments, monitoring, and self-evaluation
program requirements.
(D) Data management. A daily activity and incident complaint form
approved by the housing authority must be used by security personnel
and officers funded under this NOFA for the collection and analysis of
criminal incidents and responses to service calls. Security guard
personnel and housing authority police departments funded under this
NOFA must establish and maintain a system of records management for the
daily activity and incident complaint forms that appropriately ensures
the confidentially of personal criminal information. Management
Informational Systems (MIS) (computers, software, and associated
equipment) and management personnel in support of these activities are
eligible for funding.
(ii) Security Personnel Services. Contracting for, or direct
housing authority employment of, security personnel services in and
around housing development(s) is Permitted under this program.
Contracts for security personnel services must be awarded on a
competitive basis.
(A) Eligible services--over and above. Security guard personnel
funded by this program must perform services that are over and above
those usually performed by local municipal law enforcement agencies on
a routine basis. Eligible services may include patrolling inside
buildings, providing personnel services at building entrances to check
for proper identification, or patrolling and checking car parking lots
for appropriate parking decals.
(B) Employment of residents. Housing authorities are Permitted and
encouraged to demonstrate in plans the employment of qualified
resident(s) as security guard personnel, and/or to contract with
security guard personnel firms that demonstrate in a proposed contract
a program to employ qualified residents as security guard personnel. An
applicant's program of eliminating drug-related crime should promote
``welfare to work'' in housing authorities and development(s).
(iii) Employment of Personnel and Equipment for HUD Authorized
Housing Authority Police Departments. Funding for equipment and
employment of housing authority police department personnel is
Permitted for housing authorities that already have their own public
housing authority police departments. The below-listed eleven (11)
housing authorities have been identified by HUD as having eligible
public housing police departments/agencies under the FY 1997 PHDEP:

Baltimore Housing Authority and Community Development, Baltimore, MD
Boston Housing Authority, Boston, MA
Buffalo Housing Authority, Buffalo, NY
Chicago Housing Authority, Chicago, IL
Cuyahoga Metropolitan Housing Authority, Cleveland, OH
Housing Authority of the City of Los Angeles, Los Angeles, CA
Housing Authority of the City of Oakland, Oakland, CA
Philadelphia Housing Authority, Philadelphia, PA
Housing Authority of the City of Pittsburgh, Pittsburgh, PA
Waterbury Housing Authority, Waterbury, CT
Virgin Islands Housing Authority, Virgin Islands

(A) On September 22, 1995, the Department issued Notice PIH 95-58
(Guidelines for Creating, Implementing and Managing Public Housing
Authority

[[Page 28543]]

Police Departments in Public Housing Authorities). This notice
identifies the prerequisites for creating public housing police
departments and provides guidance regarding technical assistance to
housing authorities to assist in making decisions regarding public
housing security, analysis of security needs, and performance measures
and outcomes.
(B) Housing authorities that have established their own public
housing authority police departments, but are not included on this
list, may file a written request to be recognized by the Department as
a public housing authority police department by contacting the Office
of the Deputy Assistant Secretary for Community Relations and
Involvement, Public and Indian Housing, Department of Housing and Urban
Development, Room 4126, 451 Seventh Street, SW., Washington, DC 20410.
This request must be submitted and approved by the Department prior to
the submission of the FY 1997 PHDEP application. Hearing-or-speech
impaired persons may call (800) 877-8339. (Federal Information Relay
Service TTY.) Except for the ``800'' number, these telephone numbers
are not toll-free.
(C) An applicant seeking funding for this activity must describe
the current level of local law enforcement agency baseline services
being provided to the housing authority/development(s) proposed for
assistance. Local law enforcement baseline services are defined as
ordinary and routine services provided to the residents as a part of
the overall city and county-wide deployment of police resources, to
respond to crime and other public safety incidents, including: 911
communications, processing calls for service, routine patrol officer
responses to calls for service, and investigative follow-up of criminal
activity.
(D) Applicants for funding of housing authority public housing
authority police department officers must have car-to-car (or other
vehicles) and portable-to-portable radio communications links between
public housing authority police officers and local municipal law
enforcement officers to assure a coordinated and safe response to
crimes or calls for services. The use of scanners (radio monitors) is
not sufficient to meet the requirements of this section. Applicants
that do not have such links must submit a plan and timetable for the
implementation of such communications links, which is an activity
eligible for funding. A housing authority funded under the FY 1994,
1995, and/or 1996 PHDEP for public housing police departments shall
demonstrate in its plan what progress has been made in implementing its
communications links. The Department will monitor results of the
housing authority's plan and timetable.
(E) Public housing authority police departments funded under this
program that are not employing a community policing concept must submit
a plan and timetable for the implementation of community policing. A
housing authority funded under the FY 1994, 1995, and/or 1996 PHDEP for
public housing police departments shall demonstrate in its plan what
progress has been made in implementing its community policing program.
The Department will monitor results of the housing authority's plan and
timetable.
(1) Community policing has a variety of definitions; however, for
the purposes of this program, it is defined as follows: Community
policing is a method of providing law enforcement services that
stresses a partnership among residents, police, schools, churches,
government services, the private sector, and other local, State,
Tribal, and Federal law enforcement agencies to prevent crime and
improve the quality of life by addressing the conditions and problems
that lead to crime and the fear of crime.
(2) This method of policing involves a philosophy of proactive
measures, such as foot patrols, bicycle patrols, motor scooters
patrols, KOBAN activities (community police officers who operate
through community-based facilities in housing authorities [e.g.,
community center, police mini station] providing human resource
activities as described in section I.(c)(6) of this NOFA with inner-
city youth who demonstrate high risk behaviors which can lead to drug-
related crime), and citizen contacts. For additional information
regarding KOBAN community policing contact Malcolm (Mike) E. Main,
(202) 708-1197, extension 4232. This concept empowers police officers
at the beat and zone level and residents in neighborhoods in an effort
to: Reduce crime and fear of crime; assure the maintenance of order;
provide referrals of residents, victims, and the homeless to social
services and government agencies; assure feedback of police actions to
victims of crime; and promote a law enforcement value system on the
needs and rights of residents.
(F) Housing authority police departments funded under this program
that are not nationally or state accredited must submit a plan and
timetable for such accreditation. Housing authorities may use either
their State accreditation program, if one exists, or the Commission on
Accreditation for Law Enforcement Agencies (CALEA) for this purpose.
Use of grant funds for public housing police department accreditation
activities is permitted. Housing authorities receiving grants under
section I.(c)(1)(iii) of this NOFA (public housing police departments)
are required to hire a public housing police department accreditation
specialist to manage the accreditation program. Housing authority
police departments must submit a plan and timetable in order to be
funded for this activity. Any public housing police department funded
under the FY 1994, 1995, and/or 1996 PHDEP shall demonstrate in its
plan what progress has been made in implementing its accreditation
program and the projected date of accreditation. The Department will
monitor results of the housing authority's plan and timetable.
(G) Housing authorities that have been identified by HUD in section
I.(c)(1)(iii), (public housing police departments) above, of this NOFA
as having authorized public housing police departments are permitted to
use PHDEP funds to purchase or lease any law enforcement clothing or
equipment, such as, vehicles, uniforms, ammunition, firearms/weapons,
police vehicles; including cars, vans, buses, and protective vests, or
any other equipment that supports their crime prevention and security
mission. Housing authorities not identified by HUD in Section
I.(c)(1)(iii), above, of this NOFA as having an authorized public
housing police department are not permitted to use PHDEP funds to
directly purchase any clothing or equipment for use by local municipal
police departments and/or other law enforcement agencies.
(2) Reimbursement of Local Law Enforcement Agencies for Additional
(Supplemental--Over and Above Baseline Services) Security and
Protective Services.
(i) Additional (supplemental) security and protective services Are
Permitted under this program, but such services must be over and above
the local police department's current level of baseline services.
Housing authorities are required to identify the level of local law
enforcement services that they are required to receive pursuant to
their local cooperation agreements, as well as the current level of
services being received. For purposes of this NOFA, local police
department baseline services are defined as ordinary and routine
services, including patrols, police officer responses to 911
communications and other calls for service, and investigative follow-up
of

[[Page 28544]]

criminal activity, provided to HA residents as a part of the overall
deployment of police resources by the local jurisdiction in which the
HA is located.
In addition to providing reimbursement to local law enforcement
agencies for an increase over current baseline services to housing
authorities, funds may be used in a manner consistent with the
requirements of this NOFA for the equipment and employment of a local
police division or bureau dedicated exclusively to providing law
enforcement services (over and above local law enforcement baseline
services) to a housing authority. For convenience of reference, the
particular eligible activity of the equipment and employment of a local
police division or bureau dedicated exclusively to providing law
enforcement services (over and above local law enforcement baseline
services) to a housing authority is referred to as an HA-dedicated
police division/bureau. All of the requirements of this section
I.(c)(2) apply to this activity. In addition, specific requirements for
an HA-dedicated police division/bureau appear at section
I.(c)(2)(viii), below.
(ii) An applicant seeking funding for activities under this section
I.(c)(2) of the NOFA must first define the local police department's
current level of baseline services to the HA residents. The description
of baseline services must include the number of officers and equipment
and the actual percent of their time assigned to the housing
authority's development(s) proposed for funding. The applicant must
then demonstrate in its plan to what extent the proposed funded
activity will represent an increase over and above these baseline
services.
(iii) Equipment and personnel funded under this NOFA shall be used
exclusively for the housing authority's crime prevention and
comprehensive security efforts, which must be conducted in connection
with the establishment of a law enforcement mini-station facility and/
or presence on the funded premises or scattered site developments of
the housing authority. Housing authorities are permitted to purchase,
but must demonstrate accountability for, communications and security
equipment to improve collection, analysis, and use of information about
drug-related crime in their development(s), such as surveillance
equipment (e.g., Closed Circuit Television (CCTV), software, cameras,
monitors, components and supporting equipment), computers accessing
national, Tribal, State or local government security networks and
databases, facsimile machines, telephone equipment, bicycles, and motor
scooters, or other communications and security equipment. The
communications and security equipment must be used in connection with
the establishment of law enforcement mini-station(s) and/or other law
enforcement facility(s) on the funded premises or scattered site
developments of the housing authority. The communication and security
equipment shall be the property of, and maintained by, the housing
authority.
(iv) The local law enforcement agency shall collect its police
officer's PHDEP-funded activity (not just hours of work) information
for the housing authority. The local law enforcement agency must use a
housing authority-approved activity form for the collection, analysis
and reporting of activities by officers funded under this NOFA.
(v) Expenditures for activities under this section must not be
incurred by the housing authority (grantee) and funds will not be
released by the local HUD Field Office until the grantee and the local
law enforcement agency execute a contractual agreement, with an
operational plan, for the additional (supplemental) law enforcement
services. The agreement must state that the funding to be provided by
the HA for additional services is over and above the police agency's
approved budget and that the PHDEP funds will not be used to replace
funds for law enforcement services in the local government's approved
budget. The local police department or law enforcement agency shall be
reimbursed in accordance with this contractual agreement.
(vi) The Department advocates and strongly encourages local
community policing collaborations, between housing authorities and
local police departments and agencies, regarding reduction/elimination
of drug-related crime to improve safety and security for residents in
housing authorities. For additional background on community policing
strategy, see the discussion at section I.(c)(1)(iii)(E) of this NOFA.
(vii) The Department advocates and strongly encourages housing
authorities to work closely with local police departments to permit the
admission to public housing of police officers and other security
personnel, whose visible presence may serve as a deterrent to drug-
related crime. Section 519 of the Cranston-Gonzalez National Affordable
Housing Act (42 U.S.C. 1437a-1) permits housing authorities to allow
police officers and other security personnel not otherwise eligible for
occupancy to reside in public or Indian housing dwelling units under a
plan that will increase security for residents while minimizing both
the reduction of available dwelling units and loss of housing authority
income. HUD's final rule implementing section 519 is located at subpart
E of 24 CFR part 960. For assistance regarding this program, contact
the local HUD Field Office and/or the Office of the Deputy Assistant
Secretary for Public and Assisted Housing Operations, Linda Campbell,
Director, Marketing and Leasing Management Division, (202) 708-0744
and/or Malcolm (Mike) Main, (202) 708-1197, extension 4232.
(viii) HA-dedicated police division/bureau. The following
additional requirements apply to an application proposing to establish
an HA-dedicated police division/bureau, which is a police division or
bureau of the local law enforcement agency, consisting of full-time
officers, dedicated exclusively to providing law enforcement services
to a housing authority:
(A) To be an eligible activity for funding under this NOFA, an HA-
dedicated police division must first be recognized by HUD. Local
governments who wish to establish an HA-dedicated police division must
file a written request to be recognized by the Department by contacting
the Office of the Deputy Assistant Secretary for Community Relations
and Involvement, Public and Indian Housing, Department of Housing and
Urban Development, Room 4126, 451 Seventh Street, SW., Washington, DC
20410. This request must be submitted to and approved by HUD prior to
the submission of the FY 1997 PHDEP application. Hearing-or-speech
impaired persons may call (800) 877-8339. (Federal Information Relay
Service TTY.) Except for the ``800'' number, these telephone numbers
are not toll-free.
(B) The HA and the local law enforcement agency must have executed
a written law enforcement service agreement that includes: a short (up
to two years) and long (up to three years) range operational plan that
identifies the strategy, number of law enforcement personnel and the
equipment that will be dedicated exclusively to providing law
enforcement services to the HA's developments; specific performance
measurements; procedures for communications and coordination with the
housing authority; job descriptions of the officers; and the local
government's and the housing authority's roles and responsibilities.
(viii) In order to assist housing authorities to develop and
administer relevant, fair, and productive law enforcement service
contracts with local

[[Page 28545]]

police departments for the delivery of effective security services to
the housing authority residents, a sample contract for law enforcement
services is provided with the application kit. A sample model law
enforcement contract is provided in the application kit and also may be
obtained by calling HUD's DISC, on 1-800-578-3472.
(3) Physical Improvements to Enhance Security.
(i) Physical improvements that are specifically designed to enhance
security are permitted under this program. These improvements may
include (but are not limited to) the installation of barriers, speed
bumps, lighting systems, fences, surveillance equipment (e.g., Closed
Circuit Television (CCTV), software, fax, cameras, monitors, components
and supporting equipment) bolts, locks; and the landscaping or
reconfiguration of common areas so as to discourage drug-related crime
in the housing authorities and development(s) proposed for funding.
(ii) An activity cost that is funded under any other HUD program,
such as the modernization program at 24 CFR part 968, shall not also be
funded by this program. Housing authorities are encouraged to fund
physical security improvements under their approved modernization
programs whenever possible since the PHDEP program is designed
essentially to fund ``soft'' costs rather than ``hard'' costs. The
applicant must demonstrate program compliance, accountability,
financial and audit controls of PHDEP funds and prevent duplication of
funding any activity. Housing authorities shall not co-mingle funds of
HUD multiple programs such as: CIAP, CGP, OTAR, ED/SS, TOP, HOPE
projects, Family Investment, Elderly Service Coordinator, and Operating
Subsidy.
(iii) Funding is not permitted for physical improvements that
involve the demolition of any units in a development.
(iv) Funding is not permitted for any physical improvements that
would result in the displacement of persons.
(v) Funding is not permitted for the acquisition of real property.
(vi) Funding is permitted for purchase or lease of house trailers
used for eligible community policing, educational, employment, and
youth activities.
(vii) All physical improvements must also be accessible to persons
with disabilities. For example, some types of locks, buzzer systems,
and doors, are not accessible to persons with limited strength or
mobility, or to persons who are hearing impaired. All physical
improvements must meet the accessibility requirements of 24 CFR part 8.
(4) Employment of Investigators.
(i) Employment of and equipment for one or more individuals is
permitted under this program to:
(A) Investigate drug-related crime ``in or around'' the real
property comprising any housing authority's development(s); and
(B) Provide evidence relating to any such crime in any
administrative or judicial proceedings.
(ii) Housing authorities that employ investigators funded by this
program must meet and demonstrate compliance with all relevant Federal,
Tribal, State or local government insurance, licensing, certification,
training, bonding, or other similar law enforcement requirements.
(iii) The housing authority (grantee), and the provider of the
investigative services are required to enter into and execute a written
agreement that describes the following:
(A) The nature of the activities to be performed by the housing
authority investigators, their scope of authority, reports to be
completed, established policies, procedures, and practices that will
govern their performance (i.e., a Policy Manual as described in section
I.(c)(1)(i)(C) of this NOFA) and how housing authority investigators
will coordinate their activities with local, State, Tribal, and Federal
law enforcement agencies; and
(B) The types of activities that the housing authority
investigators are expressly prohibited from undertaking.
(iv) Under this section, reimbursable costs associated with the
investigation of drug-related crimes (e.g., travel directly related to
the investigator's activities, or costs associated with the
investigator's testimony at judicial or administrative proceedings) may
only be those directly incurred by the investigator.
(v) Housing authority investigator(s) shall report on drug-related
crime and other part I and part II crimes in the housing authority and
developments. Housing authorities shall establish, implement and
maintain a system of records management that ensures confidentiality of
criminal records and information. Housing authority-approved activity
forms must be used for the collection, analysis and reporting of
activities by housing authority investigators funded under this
section. Management Informational Systems (MIS) (Computers, software,
hardware, and associated equipment) and management personnel are
encouraged and are eligible program expenses in support of a housing
authority's crime and workload data collection activity and its crime
prevention and security mission.
(vi) Funding is permitted for housing authority investigator(s) to
use PHDEP funds to purchase or lease any law enforcement clothing or
equipment, such as vehicles, uniforms, ammunition, firearms/weapons, or
vehicles; including cars, vans, buses, protective vests, and any other
supportive equipment, to support the activities of the investigators.
(vii) Expenditures for activities under this section will not be
incurred by the housing authority (grantee) and funds will not be
released by the local HUD Field Office until the grantee has met all of
the above requirements.
(5) Voluntary tenant patrols. Active voluntary tenant patrol
activities, to include purchase of uniforms, equipment and related
training, are permitted under this section. For the purposes of this
section, the elimination of drug-related crime within and around the
housing authority/development(s) requires the active involvement and
commitment of residents and their organizations.
(i) The provision of training and equipment (including uniforms)
for use by voluntary tenant patrols acting in cooperation with
officials of local law enforcement agencies is permitted under this
program. Members must be volunteers and must be residents of the
housing authority's development(s). Voluntary tenant patrols
established under this program are expected to patrol in the housing
authority's development(s) proposed for assistance, and to report
illegal activities to appropriate housing authority staff, and local,
State, Tribal, and Federal law enforcement agencies, as appropriate.
Housing authorities are required to obtain liability insurance to
protect themselves and the members of the voluntary tenant patrol
against potential liability for the activities of the patrol under this
program. The cost of this insurance is an eligible program expense.
(ii) The housing authority (grantee) and cooperating local law
enforcement agency, and the members of the voluntary tenant patrol are
required, prior to expending any grant funds, to enter into and execute
a written housing authority/local municipal police department agreement
that describes the following:
(A) The nature of the activities to be performed by the voluntary
tenant patrol, the patrol's scope of authority, assignment, the
established policies, procedures, and practices that will govern the
voluntary tenant patrol's

[[Page 28546]]

performance and how the patrol will coordinate its activities with the
law enforcement agency;
(B) The types of activities that a voluntary tenant patrol is
expressly prohibited from undertaking, including, but not limited to,
the carrying or use of firearms or other weapons, nightstick, clubs,
handcuffs, or mace in the course of their duties under this program;
(C) The initial and follow-up voluntary tenant patrol training the
members receive from the local law enforcement agency (training by the
local law enforcement agency is required before putting the voluntary
tenant patrol into effect); and
(D) Voluntary tenant patrol members must be advised that they may
be subject to individual or collective liability for any actions
undertaken outside the scope of their authority and that such acts are
not covered under a housing authority's liability insurance.
(iii) Uniforms, communication and related equipment eligible for
funding under this program shall be reasonable, necessary, justified
and related to the operation of the voluntary tenant patrol and must be
otherwise permissible under local, State, Tribal, or Federal law.
(iv) Under this program, bicycles, motor scooters, all season
uniforms and associated equipment (voluntary tenant patrol uniforms and
equipment must be identified with specific housing authority/
development(s) identification and markings) to be used, exclusively, by
the members of the housing authority's voluntary tenant patrol are
eligible items.
(v) PHDEP grant funds shall not be used for any type of financial
compensation, such as any full-time wages or salaries for voluntary
tenant and/or patrol participants. Funding for housing authority
personnel or resident(s) to be hired to coordinate this activity is
permitted.
(6) Programs to reduce/eliminate the use of drugs (prevention,
intervention, treatment, short/long range structured aftercare and
individual support systems). Programs that reduce/eliminate drug-
related crime ``in or around'' the premises of the housing authority/
development(s), including substance abuse prevention, intervention, and
referral programs, and programs of local social and/or religious and
other organizations that provide treatment services [contractual or
otherwise] for dependency/remission, and structured aftercare/support
system programs, are permitted under this program. The applicant must
establish a confidentiality policy regarding medical and disability-
related information. For purposes of this section, the goals of this
program are best served by focusing resources directly upon housing
authority residents and families. Successful strategies (best
practices) have incorporated substance abuse prevention, intervention
and treatment (dependency/remission and short and long term aftercare)
activities into a ``continuum of care'' approach that assists persons
that are using or are at-risk of using drugs and/or committing drug-
related crime by providing alternative activities, such as; education,
training and employment development opportunities. The applicant's goal
must be to reduce/eliminate drug-related crime through a program
designed to provide education, training and employment opportunities
for residents. Such programs create a prime opportunity for housing
authorities to leverage resources and bring additional Federal, State
and local resources into the housing authority community. While housing
authorities provide space and other infrastructure, other public or
private agencies can provide staff and other resources with limited
cost or no cost. Applicants are encouraged to use the PHDEP resources
in this fashion. A community-based approach requires a culturally
appropriate strategy. Curricula, activities, and staff should address
the cultural issues of the local community, which requires familiarity
and facility with the language and cultural norms of the community. As
applicable, this strategy should discuss cultural competencies
associated with Hispanic, African-American, Asian, Native American or
other racial or other ethnic communities. Applicants are encouraged to
develop a substance abuse/sobriety (remission)/treatment (dependency)
strategy to facilitate substance abuse prevention, intervention,
treatment, and structured aftercare efforts, that include outreach to
community resources, youth activities, and that facilitate bringing
these resources onto the premises, or providing resident referrals to
treatment programs or transportation to out-patient treatment programs
away from the premises. Funding is permitted for reasonable, necessary
and justified purchasing or leasing (whichever can be documented as the
most cost effective) of vehicles for grant administration, resident
youth and adult education, and training and employment opportunity
activities directly related to reducing/eliminating drug-related crime.
Based upon the current Diagnostic and Statistical Manual (DSM) of
Mental Disorders, of the American Psychiatric Association dated May
1994, as it applies to substance abuse, dependency and structured
aftercare, related activities and programs are eligible for funding
under this program. For additional information regarding the DSM Manual
contact APPI, 1400 K Street, NW., Suite 1100, Washington, DC 20005 on 1
(800) 368-5777 or World Wide Web site at http:\\www.appi.org. Funding
is permitted for reasonable, necessary and justified program costs,
such as meals, beverages and transportation, incurred only for
training, education and employment activities, as set forth in OMB
Circular A-87, directly related to reducing/eliminating drug-related
crime.
(i) Prevention. Prevention programs that will be considered for
funding under this part should provide a comprehensive prevention
approach for the housing authority resident(s) that addresses the
individual resident and his or her relationship to family, peers, and
the community and that reduces/eliminates drug-related crime.
Prevention programs should include activities designed to identify and
change the factors present in housing authorities that lead to drug-
related crime, and thereby lower the risk of drug usage. Many
components of a comprehensive approach, such as refusal and restraint
skills training programs or drug, substance abuse/dependency, family
counseling, may already be available in the community of the
applicant's housing developments.
(A) Educational Opportunities. The causes and effects of illegal
drug/substance abuse must be discussed in a culturally appropriate and
structured setting to educate young people with the working knowledge
and skills they need to reject illegal drugs, which has been identified
by the Office of National Drug Control Policy as one of the top five
goals and objectives to address in their 10-Year Strategy Commitment.
Grantees may contract (in accordance with 24 CFR 85.36) with
professionals to provide such knowledge and skills with training
programs or workshops. The professionals contracted to provide these
services shall be required to base their services upon the needs
assessment and program plan of the grantee. These educational
opportunities may be a part of resident meetings, youth activities, or
other gatherings of public and Indian housing residents.
(B) Family and Other Support Services. For purposes of this
section, the term ``supportive services'' means services to provide
housing authority families with access to prevention, educational and
employment

[[Page 28547]]

opportunities, such as: Child care; employment training; computer
skills training; remedial education; substance abuse counseling;
assistance in the attainment of certification of high school
equivalency; and other services to reduce drug-related crime. In
addition, substance abuse and other prevention programs must
demonstrate that they will provide directly, or otherwise make
available, services designed to distribute substance/drug education
information, to foster effective parenting skills, and to provide
referrals for treatment and other available support services in the
housing development or the community for housing authority families.
(C) Adult and Youth Services. Prevention programs must demonstrate
that they have included groups composed of young people as a part of
their prevention programs. These groups should be coordinated by adults
with the active participation of youth to organize youth leadership,
sports, recreational, cultural and other activities involving housing
authority youth. The dissemination of information designed to reduce
drug-related crime, such as, prevention programs, employment
opportunities; employment training; literacy training; computer skills
training; remedial education; substance abuse and dependency/remission
counseling; assistance in the attainment of certification of high
school equivalency; and other appropriate services and the development
of peer leadership skills and other prevention activities must be a
component of youth services.
(D) Economic and Educational Opportunities for Resident Adult and
Youth Activities. Prevention programs must demonstrate a capacity to
provide housing authority residents the opportunities for interaction
with or referral to established higher education or vocational
institutions with the goal of developing or building on the residents'
skills to pursue educational, vocational and economic goals. Programs
such as computer learning centers for both adults and youth, employment
service centers coordinated with Federal, Tribal, State and local
employment offices, and micro-business centers are eligible under this
program. The application should demonstrate that the proposed
activities will provide housing authority residents the opportunity to
interact with private sector businesses in their immediate and
surrounding communities for the same desired goals. Economic and
educational opportunities for residents and youth activities should be
discussed in the context of ``welfare to work'' and related Federal,
Tribal, State and local government efforts for employment training,
education and employment opportunities related to ``welfare to work''
goals. Limited educational scholarships are permitted under this
section. No one individual award may exceed $500.00, and there is a
total maximum cap scholarship program award of $25,000. Educational
scholarship FY 1997 PHDEP funds must be obligated and expended during
the term of the grant. The applicant must demonstrate in its plan and
timetable the scholarship strategy; the financial and audit controls
that will be used; and projected outcomes. Student financial assistance
is permitted for individual public housing scholarship activities.
These activities must be reasonable, necessary and justified.
(ii) Intervention. The aim of intervention is to provide housing
authority residents' substance abuse/dependency remission services, and
assist them in modifying their behavior and maintaining remission, and
in obtaining early substance abuse, treatment and structured aftercare,
if necessary.
(iii) Substance Abuse/Dependency Treatment.
(A) Treatment funded under this program should be ``in or around''
the premises of the housing authority/development(s) proposed for
funding. The Department has defined the term ``in or around'' to mean
within, or adjacent to, the physical boundaries of a public or Indian
housing development. The intent of this definition is to make certain
that program funds and program activities are targeted to benefit, as
directly as possible, public and Indian housing developments, the
intended beneficiaries of PHDEP. The goals of this program are best
served by focusing its resources directly upon the residents of housing
authorities and development(s). The applicant must establish a
confidentiality policy regarding medical and disability-related
information.
(B) Funds awarded under this program shall be targeted towards the
development and implementation of sobriety maintenance, substance-free
maintenance support groups, substance abuse counseling, referral
treatment services and short or long range structured aftercare, or the
improvement of, or expansion of, such program services for housing
authority residents.
(C) Each proposed drug program must address, but is not limited to,
the following goals:
(1) Increase resident accessibility to treatment services;
(2) Decrease drug-related crime ``in or around'' the housing
authority/development(s) by reducing and/or eliminating drug use among
residents; and
(3) Provide services designed for youth and/or adult drug abusers
and recovering addicts, e.g., prenatal and postpartum care, specialized
family and parental counseling, parenting classes, or other supportive
services such as domestic or youth violence counseling.
(D) Independent approaches that have proven effective with similar
populations will be considered for funding. Applicants must consider in
the overall strategy the following criteria:
(1) Formal referral arrangements to other treatment programs in
cases where the resident is able to obtain treatment costs from sources
other than this program.
(2) Family/youth counseling.
(3) Linkages to educational and vocational training and employment
counseling.
(4) Coordination of services from and to appropriate local
substance abuse/treatment agencies, HIV-related service agencies,
mental health and public health programs.
(E) As applicable, applicants must demonstrate a working
partnership with the Single State Agency or local, Tribal or State
license provider or authority with substance abuse program(s)
coordination responsibilities to coordinate, develop and implement the
substance dependency treatment proposal.
(F) Applicants must demonstrate that counselors (contractual or
otherwise) meet Federal, State, Tribal, and local government licensing,
bonding, training, certification and continuing training re-
certification requirements.
(G) The Single State Agency or authority with substance abuse and
dependency programs coordination responsibilities must certify that the
proposed program is consistent with the State plan; and that the
service(s) meets all Federal, State, Tribal and local government
medical licensing, training, bonding, and certification requirements.
(H) Funding is permitted for drug treatment of housing authority
residents at local in-patient medical (contractual or otherwise)
treatment programs and facilities. PHDEP funding for structured in-
patient drug treatment under PHDEP funds is limited to 60 days, and
structured drug out-patient treatment, which includes individual/family
aftercare, is limited to 6 months. The applicant must demonstrate how
individuals that complete drug treatment will be provided employment

[[Page 28548]]

training, education and employment opportunities related to ``welfare
to work,'' if applicable.
(I) Funding is permitted for detoxification procedures designed to
reduce or eliminate the short-term presence of toxic substances in the
body tissues of a patient.
(J) Funding is not permitted for maintenance drug programs.
Maintenance drugs are medications that are prescribed regularly for a
short/long period of supportive therapy (e.g. methadone maintenance),
rather than for immediate control of a disorder.
(K) All activities described in this section I.(c)(6) of the NOFA
to reduce/eliminate the use of drugs and reduce/eliminate drug-related
crime should demonstrate efforts to coordinate with Federal, Tribal,
State and local employment training and development services, ``welfare
to work'' efforts, or other new ``welfare reform'' efforts related to
education, training and employment of housing authority residents
receiving Federal, Tribal, State or local assistance, in public and
Indian housing authorities/development(s).
(L) Funding is Permitted to contractually hire organizations and/or
consultant(s) to conduct independent assessments and evaluations of the
effectiveness of the PHDEP program.
(7) Resident management corporations (RMCs), resident councils
(RCs), and resident organizations (ROs). Funding under this program is
permitted for housing authorities RMCs and incorporated RCs and ROs to
develop security and substance abuse prevention programs involving site
residents. Such programs may include (but are not limited to) voluntary
tenant patrol activities, substance abuse education, intervention, and
referral programs, youth programs, and outreach efforts. For the
purposes of this section I.(c)(7), the elimination of drug-related
crime within housing authorities/developments requires the active
involvement and commitment of public housing residents and their
organizations. To enhance the ability of housing authorities to combat
drug-related crime within their developments, Resident Councils (RCs),
Resident Management Corporations (RMCs), and Resident Organizations
(ROs) will be permitted to undertake program management functions
specified in this part, notwithstanding the otherwise applicable
requirements of 24 CFR parts 950 and 964. In order to implement the
approved activity, the housing authority shall be the grantee and enter
into a sub-contract with the RMC/RC/RO setting forth the amount of
funds, applicable terms, conditions, financial controls, payment
mechanism schedule, performance and financial report requirements,
special conditions, including sanctions for violation of the agreement,
and monitoring. Expenditures for activities under this section will not
be incurred by the housing authority (grantee) and/or funds will not be
released by the local HUD Field Office until the grantee has met all of
the above requirements. Activities described in this section of the
NOFA should demonstrate efforts to coordinate with Federal, Tribal,
State and local employment training and development services, ``welfare
to work'' efforts, or other new but related ``welfare reform'' efforts
related to education, employment training and employment of housing
authority residents receiving Federal, Tribal, State or local
assistance.
(8) FY 1997 PHDEP program performance measurements and outcomes in
reducing and eliminating drug-related crime in housing authorities. HUD
will evaluate an applicant's performance under previous PHDEP grant(s).
The local HUD Field Office will evaluate the applicant's: financial
controls; audit compliance; program performance; drawdown of funds;
performance and financial reporting; grant agreement special condition
compliance; accomplishment of stated goals and objectives in reducing
and eliminating drug-related crime; and program adjustments made in
response to previous ineffective and/or unsatisfactory grant
performance. If the evaluation discloses a pattern under past PHDEP
grants of ineffective or unsatisfactory grant performance with no
corrective measures attempted, and with a lack of positive outcomes, it
will result in a deduction of points from the FY 1997 PHDEP application
under Selection Criterion 3, below. Since this is a competitive
program, HUD does not guarantee continued funding of any previously
funded PHDEP grant(s) or future PHDEP grants.
(9) PHA-owned housing. Funding may be used for the activities
described in Sections I.(c)(1) through (7) (eligible activities) of
this NOFA, to eliminate drug-related crime in housing owned by public
housing agencies that is not public housing assisted under the United
States Housing Act of 1937 and is not otherwise federally assisted (for
example, housing that receives tenant subsidies under Section 8 is
federally assisted and would not qualify, but housing that receives
only State, Tribal or local assistance would qualify), but only if they
meet all of the following:
(i) The housing is located in a high intensity drug trafficking
area designated pursuant to section 1005 of the Anti-Drug Abuse Act of
1988; and
(ii) The PHA owning the housing demonstrates, on the basis of
information submitted in accordance with the requirements of sections
I.(d)(1), below, of this NOFA, that drug-related crime at the housing
has a detrimental affect on or about the housing.
The High Intensity Drug Trafficking Areas (HIDTAs) are areas
identified as having the most critical drug trafficking problems that
adversely impact the rest of the country. These areas are designated as
HIDTAs by the Director, Office of National Drug Control Policy (ONDCP),
pursuant to the Anti-Drug Abuse Act of 1988. As of April 1997 the
following areas were confirmed by the ONDCP as designated HIDTAs:

--New York City HIDTA: consists of the city of New York and all the
municipalities therein and Nassau, Suffolk, and Westchester Counties
(in New york), and Union, Hudson, Essex, Bergen, and Passaic Counties
and all municipalities therein (in New Jersey);
--Washington, DC--Baltimore, MD HIDTA: consists of Washington, DC; the
city of Baltimore, and Baltimore, Howard, Anne Arundel, Prince
George's, Montgomery and Charles Counties (in Maryland); and the city
of Alexandria and Arlington, Fairfax, Prince William, and Loundoun
Counties (in Virginia) and all municipalities therein;
--Miami HIDTA: consists of the city of Miami and the surrounding areas
of Broward, Dade, and Monroe Counties and all municipalities therein;
--Houston HIDTA: consists of the city of Houston and surrounding areas
of Harris, and Galveston Counties and all municipalities therein;
--Lake County HIDTA: consists of Lake County, Indiana, and all
municipalities therein;
--Gulf Coast HIDTA: consist of Baldwin, Jefferson, Mobile, and
Montgomery Counties (in Alabama); Caddo, East Baton Rouge, Jefferson,
and Orleans Parishes (in Louisiana); and Hancock, Harrison, Hinds, and
Jackson Counties (in Mississippi) and the municipalities therein;
--Midwest HIDTA: consists of Muscatine, Polk, Pottawattamie, Scott and
Woodbury Counties (in Iowa); Cherokee, Crawford, Johnson, Labette,
Leacenworth, Saline, Seward, and Wyandotte Counties (in Kansas); Cape
Garardeau, Christian, Clay, Jackson, Lafayette, Lawrence, Ray, Scott,
and St. Charles Counties, and the City of St. Louis, MO (in Missouri);
Dakota,

[[Page 28549]]

Dawson, Douglas, Hall, Lancaster, Sarpy, and Scott's Bluff Counties (in
Nebraska); Clay, Codington, Custer, Fall River, Lawrence, Lincoln,
Meade, Minnehaha, Penninton, Union, and Yankton Counties (in South
Dakota); and all municipalities therein;
--Rocky Mountains HIDTA: consists of Adams, Arapahoe, Denver, Douglas,
Eagle, El Pasco, Garfield, Jefferson, La Plate, and Mesa Counties (in
Colorado); Davis, Salt Lake, Summit, Utah, and Weber Counties (in
Utah); Laramie, Natrona, and Sweetwater Counties (in Wyoming) and all
municipalities therein;
--Southwest Border HIDTA: consists of San Diego and Imperial Counties
(in California), and all municipalities therein; Yuma, Maricopa, Pinal,
Pima, Santa Cruz, and Cochise Counties, (in Arizona) and all
municipalities therein; Bernalillo, Hidalgo, Grant, Luna, Dona Ana,
Eddy, Lea, and Otero Counties, (in New Mexico) and all municipalities
therein; El Paso, Hudspeth, Culberson, Jeff Davis, Presidio, Brewster,
Pecos, Terrell, Crockett Counties (in West Texas) and all
municipalities therein; exar, Val Verde, Kinney, Maverick, Zavala,
Dimmit, La Salle, Webb, Zapata, Jim Hogg, Starr, Hildago, Willacy and
Cameron Countries (in South Texas) and all municipalities therein;
--Northwest HIDTA: consists of King, Pierce, Skagit, Snohomish,
Thurston, Whatcom and Yakima Counties (in the State of Washington) and
all municipalities therein;
--Los Angeles HIDTA: consists of the city of Los Angeles and
surrounding areas of Los Angeles, Orange, Riverside, and San Bernadino
Counties, and all municipalities therein; and
--Puerto Rico/U.S. Virgin Islands HIDTA: consists of the U.S.
territories of Puerto Rico and the Virgin Islands.

For further information on HIDTAs contact Rich Yamamoto, at the
ONDCP, Executive Office of the President, Washington, DC 20500 on (202)
395-6755, and/or La'Wan A. Sweetenberg on (202) 395-6603, fax (202)
395-6721.
(10) Ineligible Activities. PHDEP funding is not permitted for any
of the activities listed below, unless otherwise specified in this
NOFA.
(i) Funding is not permitted under this NOFA for costs incurred
before the effective date of the grant agreement (Form HUD-1044),
including, but not limited to, consultant fees related to the
development of an application or the actual writing of the application.
(ii) Funding is not permitted under this NOFA for the purchase of
controlled substances for any purpose. Controlled substance shall have
the meaning provided in section 102 of the Controlled Substance Act (21
U.S.C. 802).
(iii) Funding is not permitted under this NOFA for compensating
informants, including confidential informants. These should be part of
the baseline services provided and budgeted by local law enforcement
agencies.
(iv) Funding is not permitted under this NOFA for the direct
purchase or lease of any law or military enforcement clothing or
equipment, such as vehicles, including cars, vans, buses, uniforms,
ammunition, firearms/weapons, protective vests, and any other
supportive equipment. Exceptions are set forth in sections
I.(c)(1)(iii)(G) and I.(c)(4)(vi) (public housing police departments,
and investigator activities) of this NOFA. In addition, funds may be
used to contract for the equipment and employment of a HA-dedicated
police division under section I.(c)(2) of this NOFA.
(v) Funding is not permitted under this NOFA for any wages or
salaries for voluntary tenant patrol participants. Housing authorities
are permitted to fund housing authority/resident coordinator(s) to be
hired for this activity. Staffing must be reasonable, necessary and
justified. Excessive staffing is not permitted.
(vi) Funding is not permitted under this NOFA for the costs of
constructing any facility space in a building or unit, although funding
is permitted for the costs of retrofitting/modifying existing building
space owned by the housing authorities for eligible activities/programs
such as: community policing mini-station operations, adult/youth
education, and employment training facilities. The goal of this funding
is to reduce/eliminate drug-related crime and form partnerships with
Federal, Tribal, State and local government resources. Program costs
are permitted if shared among other HUD programs. The applicant must
demonstrate the use of program compliance, accountability, financial
and audit controls of PHDEP funds and controls to prevent duplicate
funding of any activity. Housing authorities shall not co-mingle funds
of multiple programs such as CIAP, CGP, OTAR, TOP, ED/SS, Family
Investment Center, Elderly Service Coordinators, and Operating Subsidy.
House trailers of any type that are not designated as a building are
eligible items for purchase or lease for specific community policing,
educational, employment, and youth activities.
(vii) Funding is not permitted under this NOFA for organized fund
raising, advertising, financial campaigns, endowment drives,
solicitation of gifts and bequests, rallies, marches, community
celebrations and similar expenses.
(viii) Funding is not permitted under this NOFA for the costs of
entertainment, amusements, or social activities and for the expenses of
items such as meals, beverages, lodgings, rentals, transportation, and
gratuities related to these ineligible activities. However, under
section I.(c)(6) of this NOFA, funding is permitted for reasonable,
necessary and justified program costs, as defined in OMB Circular A-87,
such as meals, beverages and transportation, incurred only for
prevention programs, employment training, education and youth
activities directly related to reducing/eliminating drug-related crime.
(x) Funding is not permitted under this NOFA for the costs (such
as, court costs, attorneys fees) related to screening or evicting
residents for drug-related crime. However, housing authority
investigators funded under this program may participate in judicial and
administrative proceedings as provided in Section I.(c)(4), Employment
of Investigator(s), of this NOFA.
(xi) Although participation in activities with Federal drug
interdiction or drug enforcement agencies is encouraged, the transfer
of PHDEP grant funds to any Federal agency is not permitted under this
NOFA.
(xii) Funding is not permitted under this NOFA for establishing
councils, resident associations, resident organizations, and resident
corporations since HUD funds these activities under a separate NOFA.
(xiii) Indirect costs as defined in OMB Circular A-87 are not permitted
under this program. Only direct costs are permitted.
(xiv) PHDEP grant funds shall not be used to supplant existing
positions/activities. For purposes of the PHDEP program supplanting is
defined as ``taking the place of or to supersede''.
(xv) The PHDEP is targeted by statute at controlled substances as
defined at section 102 of the Controlled Substances Act (21 U.S.C.
802). Since alcohol is a legal substance, alcohol exclusive activities
and programs are not eligible for funding under this NOFA. When an
individual's condition meets medical criteria for more than one
substance abuse disorder, multiple diagnoses will generally be made,
which may include alcohol.
(d) Selection Criteria. HUD will review each application that it
determines meets the requirements of this NOFA and evaluate it by
assigning

[[Page 28550]]

points in accordance with the selection criteria. An application for
funding under this program may be for one or more eligible activities.
An applicant shall submit only one application under each NOFA.
Joint applications are not permitted under this program with the
following exception: Housing authorities under a single administration
(such as housing authorities managing another housing authority under
contract or housing authorities sharing a common executive director)
shall submit a single application, even though each housing authority
has its own operating budget.
The number of points that an application receives will depend on
the extent to which the application is responsive to the information
requested in the selection criteria. An application must receive a
score of at least 70 points out of the maximum of 100 points that may
be awarded under this competition to be eligible for funding.
The scoring of applications under the first two criteria will be
done by a panel at the national PHDEP application processing site.
Scoring under Selection Criterion 3 will be done by the Field Offices
that receive the applications, and scoring under Selection Criterion 4
will be done by the Secretary's Representative for the area of the
country from which an application originates. After applications have
been scored, Headquarters will rank the applications on a national
basis. Awards will be made in ranked order until all funds are
expended. HUD will select the highest ranking applications that can be
fully funded. Applications with tie scores will be selected in
accordance with the procedures in Section I.(e) (Ranking Factors). The
terms ``housing'' and ``development(s)'' as used in the application
selection criteria and submission requirements may include, as
appropriate, housing described in Section I.(c)(9) (PHA-Owned Housing),
above, of this NOFA. Each application submitted for a grant under this
NOFA will be evaluated on the basis of the following selection
criteria:
(1) First criterion: the extent of the drug-related crime
associated with drug-related crime problems in the applicant's
development or developments proposed for assistance. (Maximum Points:
35) To permit HUD to make an evaluation on the basis of this criterion,
an application must include a description of the extent and nature of
drug-related crime, ``in or around'' the housing authority/
development(s) proposed for funding. The description must provide the
following information:
(i) Objective crime data. The best available objective data on the
nature, source, and frequency of drug-related crime ``in and around''
the housing authority and development(s) proposed for activity in this
grant. Such data should consist of verifiable records, and not
anecdotal reports. The requirements related to such data may include
(but not necessarily be limited to), as appropriate:
(A) The nature and frequency of drug-related crime ``in or around''
housing authorities/development(s) as reflected by crime statistics and
other supporting data from Federal, State, Tribal, or local law
enforcement agencies.
(B) Housing authority, police, or other verifiable information from
records on the types and sources of drug-related crime in the housing
authority's development(s) proposed for assistance.
(C) Verifiable, descriptive data as to the types of offenders
committing drug-related crime associated with drug-related local
problems in the applicant's housing authority and development(s) (e.g.,
age, residence).
(D) The number of lease terminations or evictions for drug-related
crime at the housing authority and development(s).
(E) The number of local emergency room admissions for drug use or
that result from drug-related crime. Such information may be obtained
from police departments and/or fire departments, emergency medical
services agencies and hospitals.
(F) The number of police calls for service from housing authorities
development(s) that include resident initiated calls, officer-initiated
calls, domestic violence calls, drug distribution complaints, found
drug paraphernalia, gang activity, graffiti that reflects drugs or
gang-related activity, vandalism, drug arrests, and abandoned vehicles.
(G) The number of residents placed in treatment and structured
aftercare, the number of residents that successfully completed
treatment, and number of residents that successfully completed long
range after-care treatment for substance abuse/dependency.
(H) Where appropriate, the statistics should be reported both in
real numbers and as an annual percentage of the residents in each
development (e.g., 20 arrests in a two-year period for distribution of
heroin in a development with 100 residents reflects a 20% occurrence
rate). The data should cover the most recent two-year period. If the
data from the most recent two-year period is not used, an explanation
should be provided. To the extent feasible, the data provided should be
compared with data from the prior two year period to show whether the
current data reflects a percentage increase or decrease in drug-related
crime during that prior period of time within housing authorities.
(I) A reduction in drug-related crime in the housing authorities
and development(s) where previous PHDEP grants have been in effect will
not be considered a disadvantage to the applicant.
(J) If funding is being sought for housing owned by public housing
agencies that is not public housing assisted under the United States
Housing Act of 1937 and is not otherwise Federally assisted, the
application should demonstrate that the housing is located in a high
intensity drug trafficking area designated pursuant to section 1005 of
the Anti-Drug Abuse Act of 1988, and the application must demonstrate
that drug-related crime at the housing has a detrimental affect in or
around the real property comprising the public or other federally
assisted low-income housing. For the purposes of this NOFA in or around
means: within, or adjacent to, the physical boundaries of a housing
development. (Maximum Points: 25)
(ii) Other supporting data on the extent of drug-related crime. To
the extent that objective data as described above may not be available,
or to complement that data, the assessment may use data from other
verifiable sources that have a direct bearing on drug-related crime in
the developments proposed for assistance under this program. However,
if other relevant information is to be used in place of, rather than to
complement, objective data, the application must indicate the reasons
why objective data could not be obtained and what efforts were made to
obtain it and what efforts will be made during the grant period to
begin obtaining the data. Examples of these data include (but are not
necessarily limited to):
(A) Surveys of residents and staff in the housing authority and
targeted developments surveyed on drug-related crime or on-site reviews
to determine drug/crime activity; and government or scholarly studies
or other research in the past year that analyze drug-related crime
activity in the targeted developments.
(B) Vandalism cost at the housing authority and targeted
developments, to include elevator vandalism (where appropriate) and
other vandalism attributable to drug-related crime.
(C) Information from schools, health service providers, residents
and Federal, State, local, and Tribal officials, and the verifiable
opinions and observations of

[[Page 28551]]

individuals having direct knowledge of drug-related crime and the
nature and frequency of these problems in the developments proposed for
assistance. (These individuals may include Federal, State, Tribal, and
local government law enforcement officials, resident or community
leaders, school officials, community medical officials, substance
abuse, treatment (dependency/remission) or counseling professionals, or
other social service providers.)
(D) The school dropout rate and level of absenteeism for youth that
the applicant can relate to drug-related crime. If crime or other
statistics are not available at the development or precinct level the
applicant may use other verifiable, reliable and objective data.
(iii) In awarding points, HUD will evaluate the extent to which the
applicant has provided the above data that reflects drug-related crime
in the developments targeted for activity, both in terms of the
frequency and nature of the drug-related crime in the housing
authority's development(s) proposed for funding as reflected by
information submitted under paragraphs (1)(i)(ii) and (iii) of this
section; and the extent to which such data reflects an increase in
drug-related crime over a period of two year(s) in the housing
authority and development(s) proposed for assistance. (Maximum points:
5)
(iv) In awarding points, HUD will evaluate the extent to which the
applicant has analyzed the data compiled under paragraphs (1)(i)(ii)
and (iii) of this section, and has articulated its needs, analyzed the
data, performance measurements/outcomes, and strategies for reducing
drug-related crime in the housing authority and development(s) proposed
for assistance. (Maximum points: 5)
(2) Second criterion: the quality of the plan to address the crime
problem in the public or Indian housing developments proposed for
assistance, including the extent to which the plan includes initiatives
that can be sustained over a period of several years. (Maximum points:
35) In assessing this criterion, HUD will consider the following
factors:
(i) To permit HUD to make an evaluation on the basis of this
criterion, an application must include the applicant's plan for
addressing drug-related crime. The narrative must demonstrate the
relationship between the extent of the crime detailed in Selection
Criterion 1, section I.(d)(1) of this NOFA, and the potential crime
reduction and elimination of specific drug-related crime described in
the implementation of the plan. The narrative must include a
description of the applicant's activities for addressing (solutions and
prevention) and the strategy to reduce the specific drug-related crime
in each of the developments proposed for assistance under this part.
The activities eligible for funding under this program are listed in
Section I.(c) of this NOFA, above. The applicant's plan must include
all of the activities that will be undertaken to address the problem,
whether or not they are funded under this program. If the same
activities are proposed for all of the developments that will be
covered by the plan, the activities do not need to be described
separately for each development. Where different activities are
proposed for different developments, these activities and the
developments where they will take place must be separately described
and the narrative must demonstrate the relationship between the extent
of the crime detailed in Selection Criterion 1, section I.(d)(1) of
this NOFA, and the potential crime reduction and elimination of
specific drug-related crime described in the implementation of the
plan.
The description of the plan in the application must include (but
not necessarily be limited to) the following information:
(A) A detailed narrative describing each activity proposed for
PHDEP funding in the applicant's plan, any additional relevant
activities being undertaken by the applicant (e.g., law enforcement
services, prevention, treatment, aftercare programs for residents
provided by an agency other than HUD, and modifications to community
facilities), and how the narrative demonstrates the relationship
between the extent of the crime detailed in Selection Criterion 1,
section I.(d)(1) of this NOFA, and the potential crime reduction and
elimination of drug-related crime described in the implementation of
the plan, and how all of these activities interrelate. The applicant
should specifically address how the activities form a comprehensive
strategy relating to drug-related crime. The strategy should include
(as applicable) management practices such as ``One Strike and You're
Out'' policy [Refer to Notice PIH 96-16 (HA) Subject: ``One Strike and
You're Out'' Screening and Eviction Guidelines for Public Housing
Authorities published April 12, 1996] that improves resident screening
and eviction policies and procedures, local law enforcement techniques
(such as community policing), and a combination of substance/drug abuse
prevention, intervention, referral, and treatment (dependency) and
aftercare programs. As applicable, the narrative should demonstrate how
the proposed activities will be coordinated with Federal, Tribal,
local, and State Empowerment or Enterprise Zones, ``welfare to work''
or other welfare reform measures related to specific drug-related crime
prevention through employment training, education, and employment
opportunities for housing authority residents. In addition, the
applicant should demonstrate how its proposed activities will
complement, and be coordinated with, current activities.
(B) The narrative must demonstrate how the applicant will provide
qualified staff/contractors to manage the proposed PHDEP activities.
The applicant must include the portion of the staff's time that will be
spent administering this grant, and the skills which qualify him/her
for administering the types of proposed activities (management, law
enforcement, security personnel, programs to reduce/eliminate drugs
such as: intervention, prevention, treatment). The applicant must
include a reasonable staffing plan and position descriptions which
relate to the proposed activities, and must justify the need for the
proposed staff.
(C) If grant amounts are to be used for contracting for/or
employment of security guard personnel services in housing authorities/
development(s), the application must describe how the requirements of
section I.(c)(1)(i) (Employment of Security Personnel) of this NOFA
will be met.
(D) If grant amounts are to be used for housing authority police
department equipment and personnel, the application must describe how
the requirements of Section I.(c)(1)(ii) (Housing Authority Police
Departments) of this NOFA will be met.
(E) If grant amounts are to be used for a dedicated district/
precinct/zone municipal public housing division and/or bureau, the
application must describe how the requirements of Section I.(c)(1)(iii)
(dedicated district/precinct/zone municipal public housing division
and/or bureau) of this NOFA will be met.
(F) If grant amounts are to be used for reimbursement of local
municipal law enforcement agencies for additional security and
protective services, the application must describe how the requirements
of Section I.(c)(2) (Reimbursement of Local Law Enforcement Agencies)
of this NOFA will be met.
(G) If grant amounts are to be used for physical improvements in
housing authority/development(s) proposed for funding under Section
I.(c)(3) (Physical Improvements) of this NOFA, the application must
describe how these

[[Page 28552]]

improvements will be coordinated with the applicant's modernization
program, if any, under 24 CFR part 950, subpart I, or 24 CFR part 968.
(H) If grant amounts are to be used for employment of
investigators, the application must describe how the requirements of
Section I.(c)(4) (Employment of Investigators) of the NOFA will be met.
(I) If grant amounts are to be used for voluntary tenant patrols,
the application must describe how the requirements of Section I.(c)(5)
(Voluntary Tenant Patrol) of this NOFA will be met.
(J) If grant amounts are to be used for a ``Program to reduce/
eliminate criminal activity/drug use, etc.'' i.e.; prevention,
intervention or treatment, structured aftercare programs, to eliminate
crime/drug use ``in or around'' the premises of the housing authority/
development(s) as provided in I.(c)(6) of this NOFA, the application
should demonstrate the nature of the program, how the program
represents a prevention or intervention, treatment and aftercare
strategy, and how the housing authority's strategy will achieve and
demonstrate the relationship between the extent of the crime detailed
in Selection Criterion 1, section I.(d)(1) of this NOFA, and the
potential crime reduction and elimination of specific drug-related
crime described in the implementation of the plan. The application must
include a description of how funding decisions were reached
(specifically how costs were determined for each element of each
activity in the same format as shown in the application kit) and
financial and other resources (including funding under this program,
and from other resources) that may reasonably be expected to be
available to carry out each activity.
(K) Implementation timetable and performance measurements/outcomes
that includes tasks, personnel assignments, deadlines, budget cost/
analysis, performance measurements and outcomes, that demonstrate the
relationship between the extent of the crime detailed in Selection
Criterion 1, section I.(d)(1) of this NOFA, and the comprehensive crime
reduction/elimination of specific drug-related crime described in the
implementation of the plan, and a PHDEP manager responsible for
implementing (achieving identified milestones, measurements, outcomes)
each activity in the plan. The applicant shall demonstrate in its
application hiring of qualified personnel to manage its activities
(full-time, part time, and/or housing authority staff), including a
PHDEP manager.
(L) The resources that the applicant may reasonably expect to be
available at the end of the grant term to continue the plan, and how
they will be allocated to plan activities that can be sustained over a
period of years.
(M) A discussion of how the applicant's plan will serve to provide
training and employment or business opportunities for lower income
persons and businesses located in, or substantially owned by persons
residing within the area of the section 3 covered project (as defined
in 24 CFR part 135) in accordance with 24 CFR 761.40 and 24 CFR part 5,
subpart A, and how this plan will be coordinated with Federal, Tribal
or State ``welfare to work'' or other employment training and
employment creation efforts. Housing authorities are encouraged to hire
qualified residents to fill PHDEP positions.
(N) Program Evaluation. The plan must specifically demonstrate how
the activities funded under this program will be evaluated by the
applicant, so that the program's progress can be measured and provide
satisfactory outcomes. Performance measurements and outcomes must be
developed to demonstrate the relationship between the extent of the
crime detailed in Selection Criterion 1, Section I.(d)(1) of this NOFA,
and the potential crime reduction/elimination described in the
implementation of the plan. The evaluation shall also be used to modify
activities to make them more successful or to identify unsuccessful
strategies. The evaluation must identify the types of information the
applicant will use to measure the plan's success (e.g. tracking changes
in identified crime statistics); and indicate each crime or drug
indicator to be measured, the activities targeted to reducing that
indicator, and the method the applicant will use to gather and analyze
this information. Funding is permitted to hire an outside consultant to
conduct an independent assessment/evaluation of the effectiveness of
the PHDEP program and its goals/outcomes.
(ii) In assessing this criterion, HUD will consider the quality and
thoroughness of an applicant's plan in terms of the information
requested in Section I.(d)(2)(i), ``Quality of the plan,'' of this
NOFA, including the extent to which:
(A) The applicant's plan specifically describes the activities that
are being proposed by the applicant, including those activities to be
funded under this program and those to be funded or provided from other
sources; describes the status and effectiveness of the applicant's
current working relationship with local law enforcement agencies, as
well as other law enforcement agencies, including the extent of its
participation in any special Federal, State or local law enforcement
programs aimed at reducing and preventing crime in and around its
housing developments (e.g., Operation Safe Home, Weed and Seed, etc.);
demonstrates how such working relationships will be sustained during
and after the period of PHDEP funding and will further the objectives
of the PHDEP program; describes the potential crime reduction/
elimination of specific drug-related crime detailed in Selection
Criterion 1, section I.(d)(1) of this NOFA; describes the activities
that are successful initiatives such as: improved screening, leasing
and eviction, community building, and the training, education and
employment of residents, and indicates how these proposed activities
provide for a comprehensive approach to reduce/eliminate drug-related
crime (as described under Selection Criterion 1, section I.(d)(1)
above) in the housing authority/development(s) proposed for funding.
(Maximum Points: 12)
(B) The applicant's plan provides a detailed budget narrative that
is realistic in terms of time, personnel and other resources. The
extent to which plan has supporting documentation (specifically how
costs were determined for each element of each activity in the same
format as shown in the application kit) for each activity and describes
the financial and other resources (under this program and other
sources) that may reasonably be expected to be available to carry out
each activity. (Maximum Points: 3)
(C) The plan describes how other entities (e.g., Federal, Tribal,
and State governments and community organizations) are involved in
planning and carrying out the applicant's plan. (Maximum Points: 2)
(D) The plan includes activities, to include resident training and
employment training and employment opportunities, that can be sustained
over a period of years and identifies resources that the applicant may
reasonably expect to be available for the continuation of the
activities at the end of the grant term. (Maximum Points: 2)
(E) The applicant's plan will serve to provide training and
employment or business opportunities for lower income persons and
businesses located in, or substantially owned by persons residing
within the area of the section 3 covered project (as defined in 24 CFR
part 135) in accordance with 24 CFR 761.40 and 24 CFR part 5, subpart
A, and will be coordinated with other Federal, Tribal, State or other
efforts to provide education, training, employment training and
employment opportunities

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for ``welfare to work'' or related strategies. (Maximum Points: 3)
(F) The applicant's plan contains a description of its process to
collect, maintain, analyze and report specific data related to the
drug-related crime problems and workload. Specifically this will
include Part I and II crimes, as defined by the Uniform Crime Reporting
(UCR) system; as well as other police workload data to include, but not
limited to, all calls for service at the housing authority and
development(s) proposed for funding; the process used to analyze the
data according to individual development, patterns over a period of
time, by type of crime, etc., and plans to improve the collection and
reporting of the data. (Maximum Points: 3)
(G) The applicant's plan includes an evaluation plan with a
specific process that measures performance and demonstrates outcomes
relative to crime workload and the extent of the crime detailed in
Selection Criterion 1, section I.(d)(1) of this NOFA, in the housing
authority/development(s) proposed for funding. (Maximum Points: 10)
(3) Third Criterion: the Capability of the Applicant to Carry out
the Plan. (Maximum Points: 15) In assessing this criterion, HUD will
consider the following factors:
(i) The extent of the applicant's successful and effective
administrative capability to manage its housing authority, as measured
by its performance with respect to operative HUD requirements under the
ACC or ACA and the Public Housing Management Assessment Program at 24
CFR part 901. In evaluating administrative capability under this
factor, HUD will also consider, and the application must include in the
form of a narrative discussion, the following information:
(A) Whether there are any unresolved findings from prior HUD
reports (e.g. performance or finance), reviews or audits undertaken by
HUD, the Office of the Inspector General, the General Accounting
Office, or independent public accountants;
(B) Whether the applicant is operating under court order.
(C) If the applicant is designated a ``troubled agency'' HUD will
not consider this status against the applicant provided the applicant
substantiates capability with the assignment of housing authority staff
employee(s) (Full-time/part-time), and a PHDEP manager, or
contractually hires a PHDEP manager.
(D) Whether the applicant has adopted and implemented policies,
procedures and practices and can document that it: Tracks drug-related
crime, screens applicants, and enforces lease requirements, for the
purpose of ensuring the health, safety/security, and the right to
peaceful enjoyment of the premises by residents and housing authority
personnel. (Maximum Points Under Paragraph (3)(I) (A) Through (D) of
this Section: 4)
(ii) The application must demonstrate, as authorized by applicable
Federal, Tribal, State and local law enforcement, the extent to which
the applicant has formed a collaboration with the Federal, Tribal,
State, and law enforcement officials and courts to gain access
regarding the criminal conviction records of applicants for, or tenants
of, housing authorities regarding applicant screening, lease
enforcement, and eviction. The application demonstrates the extent to
which the applicant has implemented effective screening procedures to
determine an individual's suitability for public housing (consistent
with the requirements of 42 U.S.C. 3604(f), 24 CFR 100.202, 29 U.S.C.
794 and 24 CFR 8.4 which deal with individuals with disabilities);
implemented a plan to reduce vacancies; implemented eviction and lease
enforcement procedures in accordance with 24 CFR part 966, subpart B,
25 CFR 950.340 and Section 503 of NAHA; or undertaken other innovative
management actions to reduce/eliminate drug-related crime in its
developments. The application demonstrates that the housing authority
has established and implemented effective systems for tracking crime
and reporting incidents of crime to local law enforcement agencies, and
is effectively cooperating with such agencies to reduce and prevent
crime in and around its housing developments. (Maximum Points: 2)
(iii) The application must identify the applicant's participation
in HUD grant programs (such as CGP, CIAP, child care, resident
management, PHDEP, HOPE VI, Tenant Opportunities Program (TOP), Family
Investment Centers (FIC) grants, OTAR, ED/SS) within the preceding
three years, and discuss the degree of the applicant's success in
implementing and managing (program implementation, timely drawdown of
funds, timely submission of required reports with satisfactory outcomes
related to the plan and timetable, audit compliance and other HUD
reviews) these grant programs. (Maximum Points: 4)
(iv) The local HUD field office/AONAPS shall evaluate the extent of
the applicant's success or failure in implementing and managing an
effective program under previous PHDEP grants and/or other grants
(preceding three years). This evaluation will be based upon (but not
limited to) the relationship between the extent of the crime detailed
in Selection Criterion 1, section I.(d)(1) of grants during the
preceding years, and outcomes regarding reducing/eliminating drug-
related crime described in the implementation of the plans and
timetables, a review of how timely the grantee has drawn down PHDEP
funds from HUD's Line of Credit Control System (LOCCS) reports compared
to the timetable of proposed activities, achievements of proposed
strategy regarding crime reduction goals outlined in previous PHDEP
and/or other HUD program performance and financial reports, audits,
performance outcome measurements as related to reductions in drug and
crime activities at previously targeted developments, and HUD reviews.
(Maximum Points: 5 Points)
(4) Fourth criterion: the extent to which tenants, the local
Government and the local community support and participate in the
design and implementation of the activities proposed to be funded under
the application. (Maximum Points: 15) In assessing this criterion, HUD
will consider the following factors:
(i) To permit HUD to make an evaluation based on this criterion, an
application must describe what role residents in the targeted
developments, applicable community leaders and organizations, and law
enforcement agencies have had in planning the activities described in
the application and what role they will have in carrying out such
activities.
(ii) The application must include a discussion of the extent to
which community representatives and Tribal, local, State and Federal
government officials, including law enforcement agency officials were
actively involved in the design and implementation of the applicant's
plan, and will continue to be involved in implementing such activities
during and after the period of PHDEP funding. This must be evidenced by
descriptions of planning meetings held with community representatives
and local government and law enforcement agency officials; letters of
commitment to provide funding, staff, or in-kind resources, partnership
agreements; and ongoing or planned cooperative efforts with law
enforcement agencies designed to complement and further the objectives
of PHDEP. This also includes interagency activities already undertaken,
participation in local, State, Tribal or Federal anti-drug related
crime

[[Page 28554]]

efforts, such as: education, training and employment provision
components of Welfare Reform efforts, Operation Weed and Seed,
Operation Safe Home, local law enforcement initiatives and/or
successful coordination of its law enforcement or other activities with
local, State, Tribal or Federal law enforcement agencies. In evaluating
this factor HUD will also consider the extent to which these
initiatives are used to leverage resources for the housing authority
community, and are part of the comprehensive plan and performance
measures outlined in Selection Criteria Two. (Maximum Points: 5)
(iii) The application must demonstrate the extent to which the
relevant governmental jurisdiction has met its local law enforcement
obligations under the Cooperation Agreement with the applicant (as
required by the grantee's Annual Contributions Contract with HUD). The
application must also include a certification by the Chief Executive
Officer (CEO) of a State or a unit of general local government in which
the developments proposed for assistance are located that the city is
meeting its obligations under the Cooperation Agreement with the
housing authority, particularly with regard to the current level of
baseline local law enforcement services including a cost analysis,
deployment of personnel, and provision and analysis of crime data and
trends for the targeted developments. If the jurisdiction is not
meeting its obligations under the cooperation agreement, the CEO should
identify any special circumstances relating to its failure to do so.
Whether or not a locality is meeting its obligations under the
Cooperation Agreement with the applicant, the applicant must describe
the current level of baseline local law enforcement services being
provided to the housing authority/development(s) proposed for
assistance. (Maximum Points: 4)
(iv) The extent to which housing authority/development residents,
and/or an RMC, RC or RO, where they exist, are involved in the planning
and development and the implementation of the grant application and
plan strategy, and support and participate in the design and
implementation of the activities proposed to be funded under the
application. The application must include a description of how the
residents were involved, a resolution of support from any duly elected
resident council or RMC, a summary of resident and resident
organization meetings, with supporting documentation that addresses
(but is not limited to) subject matter, names of residents on
committees, copies of resident surveys and evaluations, as

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A97-13518. Public record. Not legal advice.