HUD - xxxx Promise Zones Round 2 - Draft Urban Application Guide

FR-5775-N-01 Application Guide

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25

Second Round Urban Promise Zone Application Guide
The Promise Zones initiative will revitalize high-poverty communities across the country by creating jobs, increasing economic activity, improving
educational opportunities, reducing serious and violent crime, leveraging private capital, and assisting local leaders in navigating federal
programs and cutting through red tape. This is the application guide for urban Promise Zones. The rural and tribal application guide is located at
https://www.onecpd.info/promise-zones/.
The Promise Zone designation commits the federal government to partner with local leaders who are addressing multiple community
revitalization challenges in a collaborative way and have demonstrated a commitment to results. Specifically, federal staff will be stationed in
each designated community to help navigate the array of federal assistance and programs available to Promise Zones, subject to availability of
appropriations and agency rules and statutes. This level of engagement will help communities make the most of funding that is already available
to them. In addition, organizations contributing to Promise Zone strategies will be provided preferred access to certain competitive federal
programs, as permissible under the rules and statutes of the individual programs and participating federal agencies, and subject to
appropriations. Organizations contributing to Promise Zone strategies will also receive technical assistance and other non-competitive support,
again as permissible under individual program and agency rules and statutes. Businesses investing in Promise Zones or hiring residents of
Promise Zones will also be eligible to receive tax incentives for these activities, if the tax incentives are enacted by Congress. Altogether, this
package of assistance will help local leaders accelerate efforts to revitalize their communities.
The Promise Zone designation will be for a term of 10 years, and will be extended as necessary to capture the full term of availability of the
Promise Zone tax incentives, if the tax incentives are enacted. During this term, the specific benefits made available to Promise Zones will vary
from year to year, and sometimes more often than annually, due to changes in agency policies, and changes in appropriations and
authorizations for relevant programs.
Applications must provide a clear description of how the Promise Zones designation would accelerate and strengthen efforts at comprehensive
community revitalization. Applications must provide clearly labeled sections:

1

FR-5775-N-01 Application Guide

26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51

•

•

Required: A narrative of not more than 25 total pages (Calibri font, 12 point, double-spaced with line numbers and one inch margins)
that includes the most important information for purposes of Promise Zone selection. The narrative and Promise Zones Strategy
template (see Appendix) will be the main sources of information used for scoring the application; and
Additional documentation: Additional materials of not more than 35 pages included as attachments, including Letters of Support and a
Memorandum of Understanding (where feasible, provide other information in summaries or pull most relevant text, charts, graphs
instead of including large documents).

All lead organizations of designated Promise Zones, implementation partner organizations in the Promise Zones strategies, and any federal
grantees whose federally funded work contributes to Promise Zone strategies will be required to participate in evaluations of Promise Zones and
related federal grant activities that may be conducted. Lead organizations, implementation partners, and federal grantees contributing to
Promise Zones must agree to work with evaluators designated by participating federal agencies, as specified in their respective grant
agreements, regulations and other requirements. Guidance on evaluation and data points will be forthcoming. For Promise Zone lead
organizations and implementing partners, this may include providing access to program personnel and all relevant programmatic and
administrative data, as specified by the evaluator(s) under the direction of a federal agency, as legally attainable, during the term of the Promise
Zone designation and/or grant agreement. (See pages 20 and 21 for definitions of lead organization and implementation partner organizations.)
How the second round of Promise Zone designations will be made
A second round of designation of Promise Zones is now being planned to open for solicitation in 2014 and be announced in early 2015. A total
of 20 Promise Zone designations will be made by the end of 2016, including the five designations announced in January 2014. The Promise Zone
team anticipates making at least five and as many as 15 total designations in the second round in the urban, rural and tribal categories,
depending on resources.
Applications for Promise Zone designations will be reviewed by representatives from the Department of Housing and Urban Development, the
Department of Education, the Department of Justice, the Department of Health and Human Services, and the Department of Agriculture.
Additional federal agencies and outside entities may contribute reviewers, depending upon the anticipated volume of applications. Specific
2

FR-5775-N-01 Application Guide

52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74

federal agencies providing reviewers for the application round will be posted to https://www.onecpd.info/promise-zones/ by the application
due date.
Only one Promise Zone application may be submitted within the boundaries of a unit of general local government 1 (UGLG or local government)
per application cycle. If more than one application is submitted for a Promise Zone meeting the qualifying criteria, the one submitted with local
government support will be accepted. If more than one application is submitted with local government support within a UGLG, all of the
applications from that UGLG will be disqualified for the current application cycle.
Reviewers will first verify that the application is submitted by a community eligible for selection, by verifying that the proposed Promise Zone
and lead applicant meets the qualifying criteria for the second round selection process (see page 6 and 7 for qualifying criteria). After verifying
that the application is eligible and the proposed Promise Zone would qualify, the reviewers will score the applications according to the points
assigned to selection criteria shown in the Application Guide for the appropriate Promise Zone category (urban, rural or tribal).
In addition to the application materials, to the extent permitted, reviewers may consider public information available from participating agency
records, the name check review, public sources such as newspapers, Inspector General or Government Accountability Office reports or findings.
In order to be selected, an application must score a total of 75 points or more. Once scored, applications will be ranked competitively within
each of the three Promise Zone categories. In other words, rural applications will be ranked against other rural applications, tribal applications
will be ranked against other tribal applications, and urban applications will be ranked against other urban applications.
The Promise Zones initiative will provide communities and the federal government with the opportunity to demonstrate and accelerate the
impact of coordinated federal investment in communities in which stakeholders have come together with a focus on results. The participating
federal agencies seek to establish a diverse cohort of quality designees in order to demonstrate strategies that may be useful for communities
1

Unit of general local government as defined in section 102(a)(1) of the Housing and Community Development Act of 1974 (42 U.S.C. 5302(a)(1)). See
definition (a) (1) Unit of General Local Government.

3

FR-5775-N-01 Application Guide

75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100

working on comprehensive revitalization in many contexts nationwide. Therefore the agencies may select a lower ranked application over a
higher ranked application, from among those scoring 75 points or more overall, for purposes of establishing geographic diversity.
Promise Zone Finalists
The participating federal agencies may also choose to name some applicants as "Promise Zone Finalists" as a result of this selection process. The
purpose of selecting Promise Zone Finalists will be to recognize communities whose applications reflect high-quality strategies under the criteria
set forth in the final Application Guide, but are not selected as Promise Zone designees. The participating federal agencies will seek to expand
national knowledge about Promise Zone Finalist communities and their revitalization strategies by posting information submitted in the Finalists'
application on agency websites, and the participating federal agencies will communicate regularly with Finalists about opportunities for relevant
funding or technical assistance that may become available, although no preference points or other advantages will be awarded as a result of
Finalist status. Promise Zone Finalists will not be precluded from applying for Promise Zone designation in future rounds of the Promise Zone
initiative.
Application submission instructions and deadline
Electronic copies of application materials must be received by email by [DEADLINE]. Additional information or substantive or technical
corrections will not be accepted or considered after the application deadline. Application materials must follow the formats, page limits and
other requirements set forth in the Promise Zone Second Round Application Guide as appropriate.
Applicants who are unable to submit their applications by email must submit a request by email to [email protected] and make
alternative arrangements by [DEADLINE FOR ALTERNATIVE ARRANGEMENTS]. Such requests will be considered on a case by case basis, but the
deadline for submission of application materials will not be changed.
To the extent that application components require resolutions, approvals or other actions by local governing boards, legislative bodies,
regulatory bodies or other entities with fixed schedules for consideration of such actions, and such actions cannot be taken prior to the
4

FR-5775-N-01 Application Guide

101
102
103
104
105
106
107
108
109
110
111

application deadline, applicants must submit the following information by the application deadline: description of the action to be taken, date
on which the action is expected, and information necessary to demonstrate its relevance to the proposal. Depending upon the importance of
such actions to a selected applicant’s Promise Zone strategy, the participating federal agencies may make the Promise Zone designation
contingent upon the receipt of evidence that the action has been taken.
Notifications of decisions
Notification of decisions will be made by letter.
The Promise Zone initiative ultimately aims to designate 20 Promise Zones located in urban, rural and tribal communities by the end of calendar
year 2016.

5

FR-5775-N-01 Application Guide

LEAD APPLICANT ELIGIBILITY

SUBMISSIONS, SECTION I

LEAD APPLICANT

Required: Provide an Executive Summary that describes
how the Promise Zone designation would accelerate and
strengthen existing efforts at comprehensive
neighborhood revitalization. (Suggested one page limit)

Due to the nature of the initiative, Promise Zone activities are likely to be
carried out by a variety of organizations and organization types. Eligible
lead applicants for Promise Zone designations are:
1. Local governments including an office/department within local
government;
2. Non-profit organizations 2 applying in partnership with local
government;
3. Housing authorities applying in partnership with local
government; or
4. School districts applying in partnership with local government.
The application must clearly identify one lead applicant organization, a
staff point of contact and provide the email and telephone contact
information of the lead applicant.

Note: See Definitions for Lead Applicant, page 20.
Note: Only one Promise Zone application may be
submitted within a UGLG per application cycle. If more
than one application is submitted for a Promise Zone
meeting the qualifying criteria, the one submitted with
local government support will be accepted. If more than
one application is submitted with local government
support, all of the applications from that UGLG will be
disqualified for the current application cycle.

112

2

Including Workforce Investment Boards (WIBS) and Community Action Agencies (CAA)

6

FR-5775-N-01 Application Guide

QUALIFYING CRITERIA

SUBMISSIONS, SECTION II

All of the following must be present in an application for a proposed
Promise Zone to be eligible for designation:
1. The Promise Zone may encompass one or more census tract(s) or
portions of census tract(s) across a contiguous geography 3.
2. The rate of overall poverty or Extremely Low Income rate
(whichever is greater) of residents within the Promise Zone must
be over 33 percent 4.
3. Promise Zone boundaries must encompass a population of at least
10,000 but no more than 200,000 residents.
4. Local leadership, including the mayors of jurisdictions represented
in the Promise Zone, must demonstrate commitment to the
Promise Zone effort.

Note: If your application does not meet all of these
qualifying criteria, it will not be considered for designation
as a Promise Zone.

For applications across UGLG lines, one lead applicant must be identified,
and commitment must be demonstrated by leadership of all UGLGs
involved.

Required: Local Leadership Support. Provide a letter that
that demonstrates the commitment from UGLG
leadership, including the mayors of the UGLGs
represented in the Promise Zone. For applications across
UGLG lines, a commitment must be demonstrated by
leadership of all UGLGs involved. 5 The letter counts
toward the 35-page limit for additional documents.
Note: If transitioning local leadership, the city manager or
city council may submit a letter of support. A letter from
the incoming local leader may also be included in
application materials. The letters count toward the 35-

3

Contiguous geography: the Promise Zone must have one adjoining boundary and cannot include separate areas.
Applicants are required to use the Promise Zones mapping tool to determine the overall poverty rate. The mapping tool determines the overall poverty rate
in two ways and uses the higher percentage. See the Definitions section on page 20 for more information.
5
To the extent that application components require resolutions, approvals or other actions by governing boards, legislative bodies, regulatory bodies or other
entities with fixed schedules for consideration of such actions, and such actions cannot be taken prior to the application deadline, applicants must submit the
following information by the application deadline: description of the action to be taken, date on which the action is expected, and information necessary to
demonstrate its relevance to the proposal. Depending upon the importance of such actions to a selected applicant’s Promise Zone strategy, the agencies may
make the Promise Zone designation contingent upon the receipt of evidence that the action has been taken.
4

7

FR-5775-N-01 Application Guide

page limit for additional documents.
Required: The Promise Zones mapping tool is located at
http://www.huduser.org/PZ2013/promiseZone.html. The
tool allows applicants to draw a neighborhood-level
boundary and will send an email that provides data on
poverty level/ELI, highest census tract poverty level,
population, demographic data as well as a neighborhoodlevel map. It will not show the boundaries of current
federal place-based investments. See Section III for more
information on the mapping tool data. All applications
must provide the data sheet produced from the mapping
tool to demonstrate poverty levels and the population
levels.
Note: Maps and the data sheet will not count toward the
25-page narrative or 35-page additional materials page
limits.
113

8

FR-5775-N-01 Application Guide

114

SELECTION CRITERIA, 100 points total
Points

Factors

10

NEED
The application must include information sufficient to demonstrate:
The applicant’s submission materials must contain sufficient information
to verify the following data within the boundaries of the geographic area
proposed as a Promise Zone, to the greatest level of specificity possible
using available data sources. Data will be compared with that submitted
by other applicants in the applicant pool. Points will be awarded for:
1. Higher poverty rate/extremely low income rate – Concentration of
households in poverty or with extremely low incomes (whichever is
greater) residing within the proposed Promise Zone;
2. Higher Part I serious and violent crime rate – Rate of Part I serious
and violent crimes within the Promise Zone;
3. Lower employment rate – Employment rate for working-age adults
within the proposed Promise Zone; and
4. Higher long-term vacancy rate – Percentage of residential properties
experiencing long-term vacancy within the proposed Promise Zone.

6

SUBMISSIONS, SECTION III
Required: Narrative highlighting and providing context
for the Need data points for the proposed Promise Zone
geographic area. The mapping tool used in the Qualifying
Criteria section will provide data points for poverty,
employment and vacancy rates. It does not contain crime
data. See the Definitions page at the end of this
document for information on how these data points are
calculated. Secondary sources or locally published data
can be used to supplement the mapping tool, with
attribution to the publications.
For crime data, applicants must provide the total number
of Uniform Crime Reporting Act (UCR) 6 Part I crime data
offenses within the Promise Zones boundaries. Reviewers
will calculate the rate based on the population submitted
in the mapping tool. UCR data can be obtained from the
local law enforcement agency and should cover the years

Information on UCR data can be found at http://www.bjs.gov/ucrdata/offenses.cfm

9

FR-5775-N-01 Application Guide

2011-2013 (or 2010-2012 or 2009-2011 if more recent
data are unavailable).
(Suggested 1 page limit)
40
10

STRATEGY

SUBMISSIONS, SECTION IV

1. Quality of the applicant’s current assessment of the needs and assets
of the proposed Promise Zone, including identified gaps in current
neighborhood revitalization efforts and areas of opportunity.

Required: Narrative summarizing needs and assets of the
community. Where relevant, the assessment should
include breakdowns of indicators by specific
subpopulations (including age, race and gender) or
specific geographic areas within the neighborhood. The
assessment should also include relevant information on
crime dynamics or hot spots, education, barriers to
employment, existing regional economic growth efforts
and industries, areas of commercial blight, private
economic activity, access to capital, transportation
options and mobility and/or other characteristics.
(Suggested limit of two pages)
Note: If crime is a focus in the community’s plan,
applicants should provide a break out of the number of
incidences for each type of relevant Part I and Part II
crime that will be addressed as part of the Promise Zone
strategy described on page 12.
Note: As applicable, assessment should include data
points and analysis based on information that is no more
10

FR-5775-N-01 Application Guide

than 24 months old.
Required: City and Zone Maps. Provide a to-scale city map
and neighborhood map that clearly labels the proposed
Promise Zone in the context of existing city streets, the
central business district, other key city and neighborhood
sites, and census tracts.
Applicants should submit a map that clearly labels the
following information:
a. The proposed Promise Zone;
b. If applicable, the boundaries of other
federal investments, such as: Choice
Neighborhoods grant, Promise
Neighborhoods grant, Byrne Criminal
Justice Innovation grant; Transportation
Investment Generating Economic
Recovery (TIGER) grant, Sustainable
Communities Regional Planning or
Community Challenge grants;
c. Other useful information to place the
Promise Zone in the context of the city,
county/parish, or municipality: schools,
health centers, transit centers/hubs, job
centers, and other neighborhood assets.
11

FR-5775-N-01 Application Guide

Additional information may also include
any crime hot spots or concentration of
crime locations, health hazards, and
revitalization activity underway or
planned.
Additional Documents: Attachments providing detail on
community needs and assets referenced in the narrative.
25

2. Strength of the applicant’s plan for revitalizing the Promise Zone and
addressing the Promise Zones initiative goals: creating jobs,
increasing economic activity, improving educational opportunities,
reducing serious and violent crime, and leveraging private capital.
Reviewers will rate all of the following factors:
a. Coherence of the overarching narrative of the Promise Zone plan:
i.
Extent to which plan addresses synergies and potential
conflicts among individual goals, including addressing
connections among different policy areas;
ii.
Extent to which plan articulates a rationale for setting
priorities among different strategies, and if necessary,
addresses the timing of implementation of specific
strategies and activities;
iii.
Extent to which plan addresses activities of partners and
non-partners doing work in the proposed Promise Zone
or work that would have an effect on Promise Zone
activities or success.

Required: Create a table [See Appendix for suggested
Promise Zones Strategy template] to address Promise
Zone community goals and strategies that address the
Promise Zone initiative goals listed in the Selection
Criteria.
Specific information on each community strategy:
•
•
•
•
•

•

Community Goals
Context: Specific gap or opportunity identified in
the Needs Assessment trying to address
Description of strategy
Activities and interventions
Primary implementing organization for the
strategy (provide page and line numbers
referencing the Capacity narrative [page 14])
Implementation and supporting partner
organizations, including list of roles and
12

FR-5775-N-01 Application Guide

b. Responsiveness of the Promise Zone plan to the gaps and
opportunities identified in the assessment of needs and assets;
c. Extent to which the Promise Zone plan addresses:
i.
The need to manage, share, and use data for evaluation
and continuous improvement – particularly where the
evidence base for chosen strategies is still emergent
and/or where federal, state and local privacy act
protection creates barriers to sharing such data; and
ii.
A system for accountability and measurement, including
the plan and timeline for finalizing intended end
outcomes, metrics for measuring progress towards those
outcomes, and timelines for each metric and outcome;
and
d. Inclusion of specific strategies that address removing barriers and
improving systems that impede delivery of services such as
changes in policies, technology, and program reporting.

•
•
•
•

responsibilities for each (provide page and line
numbers referencing the Capacity narrative [page
14]).
Existing resources to be used
Timeline/milestones for implementation
Description of how or why proposed activities will
lead to achievement of the goal
Discussion of evidence supporting the selection
or use of proposed activities to achieve the goal,
as available

A diagram and narrative of the Promise Zone plan. This
diagram and accompanying text should:
•

•
•

Show and describe the connections among each
individual Promise Zone goal, including both
points of synergy and support as well as potential
conflicts or tradeoffs. Explicitly address
interconnections among different policy areas.
Show the timing of implementation of specific
strategies and activities.
Show ongoing activities of partners and nonpartners that are doing related work.

(Suggested limit of six pages. The Promise Zones Strategy
Template is part of the Required 25-page limit.)

13

FR-5775-N-01 Application Guide

5

3. Sustainability and financial feasibility of the Promise Zone plan and
coordinating structure. Reviewers will rate all of the following factors:
a. Across all of the individual goals, the strength of the current,
planned, or potential plan for obtaining funds for the activities;
b. Soundness of the mechanism or infrastructure for retaining
commitment and coordination of implementation partner
organizations that promotes sustainability of the Promise Zones
strategy, including public and private partners and stakeholders;
and
c. General sustainability of Promise Zone and the Lead Applicant
organization.

Required:
1) For each community goal (noted in the above
section) for which funds have not already been
secured, describe plan for obtaining funds.
2) For the overall Promise Zone plan:
a. Explain (with visuals if needed) the
mechanism or infrastructure for retaining
commitment and coordination of all
implementing partners.
b. Plan for funding Promise Zone
mechanism or infrastructure for planned
life of Promise Zone (or 10 years –
whichever is shorter). Include a budget
projection for funding project
coordination for the first 5 years of the
Promise Zones designation.
3) Description of how Promise Zone designation
would bolster efforts to secure additional funds
for partnership structure and/or specific Promise
Zone strategies or projects.
(Suggested limit of two to three pages)

115

14

FR-5775-N-01 Application Guide

50

CAPACITY AND LOCAL COMMITMENT

SUBMISSIONS, SECTION V

10

1. Soundness of the partnership structure:
a. Clarity of roles and responsibilities, including factors such as:
i.
Clarity of implementation partner responsibilities for
executing components of the Promise Zone plan;
ii.
Appropriateness of implementation partners based on
their designated role in the community plan; and
iii.
Clarity of partnership governance structure.
b. Strength of accountability mechanisms for ensuring effective
partnerships, including oversight processes and contractual
measures and remedies for non-performance.

Required: Provide a narrative detailing your partnership
structures, including the specific roles and responsibilities
of each implementation partner organization and the
accountability mechanisms. If different offices within a
larger organization (for example, departments within city
government) are responsible for particular functions,
please specify.
The narrative should identify which organization will lead
the day-to-day effort for each strategy comprising the
Promise Zone plan, and explain their specific role. To the
extent that additional organizations are involved in
specific strategies, please specify their roles. The roles
and responsibilities for each organization should be
identified in the Promise Zones Strategy template with
reference to page and line numbers in the narrative for
further information and description.
Provide a Promise Zone-specific organizational chart that
clearly shows the structure for coordinating, governing
and reporting about the different strategies for the
Promise Zone plan.

15

FR-5775-N-01 Application Guide

(Suggested three to four page limit)
Additional Documents: Letters of support are included in
the Additional Documents section 35-page limit.

8

2. Capacity of lead applicant – capacity of the organization leading the
Promise Zone effort to achieve outcomes through implementation of
sophisticated, multi-layered neighborhood revitalization efforts.
Degree to which prior experience of the lead organization is similar
to, or has prepared the applicant for the scale, scope, and complexity
of the proposed Promise Zone effort. As applicable to the proposed
Promise Zones plan, the reviewers will consider factors including the
following:
a. Role of current organizational leadership within the
community and this type of work at the local level;
b. Previous success achieving intended outcomes through
identifying and implementing evidence-based strategies

Required: Narrative describing the lead organization’s
capacity to achieve Promise Zone outcomes through
implementation of sophisticated, multi-layered
neighborhood revitalization efforts, addressing sub
factors 2a-d, at left. Provide examples of past relevant
experience and results achieved.
Also include evidence of the financial stability of the lead
organization and any information related to past
performance issues under Federal grants 7.
(Suggested limit of two pages)

7

Note: Lead applicants should note past performance issues under federal grants and bankruptcies within in the past 5 years. To the extent that the lead
applicant or any of the implementation partner organizations listed in the application have experienced a recapture of funds, disallowance of costs, monitoring
finding, Inspector General finding, or failure to expend funds within the performance period under a federal grant, the applicant must disclose the incident(s),
and in its narrative discuss the issues raised, and how, if funded, its current proposal will not experience similar problems. Failure to disclose past performance
issues could result in disqualification of the application.

16

FR-5775-N-01 Application Guide

appropriate to goals;
c. Previous success leveraging private resources, including
grants and investment capital, and managing large grants
and/or capital investments; and
d. Previous success identifying and managing multiple nonprofit, for-profit, public sector and philanthropic partners
toward successful project completion and positive outcomes.
8

3

Note: Lead organizations should include IRS Form 990,
Return of Organization Exempt from Income Tax or the
most recent OMB Circular A-133 audit. These materials
will not count toward the page limits.

3. Capacity of implementation partner organizations to implement
Promise Zone plan. In scoring for this factor, the reviewers will
consider the capacity of implementation partner organizations most
relevant to its roles and responsibilities within the plan. Points will be
based on the degree to which prior experience of each
implementation partner is similar to, or has prepared the applicant to
successfully fulfill their roles and responsibilities in the context of a
situation with the scale, scope, and complexity of the proposed
Promise Zone effort.

Required: Narrative describing implementation partner
organizations’ capacity to implement their roles and
responsibilities under the proposed Promise Zone plan.
Implementation partner organizations are organizations
that have a direct operational role in implementing
strategy. Also include any information related to past
performance issues under federal grants. 8 (Suggested
three to four-page limit)

4. Extent of prior experience of the organization responsible for data

Required: Clearly identify in the Promise Zone Strategy

Note: See “Definitions and Clarifying Information” section
for a definition of Implementation Partner Organizations.

8

Note: Lead applicants should note past performance issues under federal grants and bankruptcies within the past 5 years. To the extent that the lead
applicant or any of the implementation partner organizations listed in the application have experienced a recapture of funds, disallowance of costs, monitoring
finding, Inspector General finding, or failure to expend funds within the performance period under a federal grant, the applicant must disclose the incident(s),
and in its narrative discuss the issues raised, and how, if funded, its current proposal will not experience similar problems. Failure to disclose past performance
issues could result in disqualification of the application.

17

FR-5775-N-01 Application Guide

and evaluation is similar to, or has prepared the applicant, to collect,
manage, share, and use data for evaluation and continuous
improvement.

template the organization (lead organization or
implementing partner organization) that will manage
data collection and evaluation for the Promise Zone goals
and specific strategies. Provide a narrative explaining the
prior experience of the organization to manage, share
and use data. If the plan includes particular organizations,
such as the police department or school district, describe
how these partners have been and/or will be engaged in
providing and analyzing data. (Suggested limit of one to
two pages)

3

5. Extent of past experience in resident engagement by the
organization responsible for coordinating resident engagement:
a. Similarity between proposed Promise Zone activities and the
previous efforts of the organization responsible for such
engagement; and
b. Extent of resident input on project design and execution for those
previous efforts.

Required: Clearly identify in the Promise Zone Strategy
template the organization responsible for leading
resident engagement. Provide a narrative with detailed
information on the organization’s past experience with
resident engagement. Describe the proposed strategy for
resident engagement in the Promise Zone plan.
(Suggested limit of one to two pages)

10

6. Strength and extent of local government commitment (not
contingent upon receipt of Promise Zone designation) to target local
funds and locally-controlled state and federal funds from other
sources to achieve proposed Promise Zone outcomes.

Required: Letter from local government executive that
describes the commitment of local government to
coordinate work and investments, including targeting of
local and locally-controlled state and federal funds
toward Promise Zone activities. Distinguish between
existing and new commitments, and how funds are being
realigned to support the Promise Zone plan. (Suggested

18

FR-5775-N-01 Application Guide

two page limit).
Additional requirement for UGLG in which a Promise Zone
has already been designated: If a Promise Zone
designated in Round 1 is located within a UGLG, the
applicant must include an explanation of how, if a second
Promise Zone designation is awarded, the UGLG plans to
work with all of the designated communities at the same
time and sustain the level of effort, resources and
support committed to each Promise Zone under its
respective Promise Zone plan for the full term of each
Promise Zone designation. This explanation should be
evidenced by commitments UGLG in materials submitted
by the UGLG in support of the application.
Note: See Footnote 5 for approval delays.
Note: Each UGLG can only support one Promise Zone
application per application cycle.
8

7. Strength/extent of partnership commitment (not contingent upon
receipt of Promise Zone designation) to coordinate work and
investments to achieve outcomes within the Promise Zone. Examples
of such partnership commitments may include:
a. Local anchor institution commitment (e.g., hospitals,
colleges/universities, major employers and business leaders,
national and community foundations);

Required: Narrative that describes partnership
commitments, including implementation partner
organizations as well as the extent of supporting partner
organizations (Suggested two page limit)
Required: Provide a preliminary Memorandum of
Understanding (MOU) (to be finalized upon designation).
The lead organization and all implementation partners
19

FR-5775-N-01 Application Guide

b. City council, county, Metropolitan Planning Organization, and
state officials;
c. Local educational officials, criminal justice officials, housing
authority officials, transit authorities/operators and the
workforce investment board;
d. Involvement by resident and community organizations in
development of overall strategy and commitment to continued
involvement;
e. Involvement of neighborhood-serving businesses and/or business
associations; and
f. Commitment to share data across partners within the Promise
Zone for purposes of program improvement and accountability
subject to any federal, state and local privacy laws.

should sign the MOU. The materials are part of the 35page Additional Documents documentation limit.
Note: See “Definitions and Clarifying Information” section
for a definition of Supporting Partner Organizations.
Note: See Footnote 5 for approval delays.

116

20

FR-5775-N-01 Application Guide

117

DEFINITIONS AND CLARIFYING INFORMATION

118
119
120
121
122
123
124
125
126
127
128
129
130
131
132
133
134
135
136

Lead applicant/lead organization: The lead applicant is the organization that will, if selected, act as lead organization for a designated Promise
Zone. Due to the nature of the initiative, Promise Zone activities are likely to be carried out by a variety of organizations and organization types.
Eligible lead applicants for Promise Zone designations are: local governments including an office or department within local government; or nonprofit organizations 9, housing authorities or school districts applying in partnership with local government. The lead organization will execute a
Promise Zone designation agreement and be responsible to HUD for fulfilling the responsibilities of the Promise Zone designation. These
responsibilities will include organizing and/or coordinating activities pursuant to the strategy proposed in the designated community’s
application, and administering any funding or other benefits that designation may confer in the future to designated Promise Zones. The lead
organization will also be responsible for tracking outcomes, periodically reporting to the participating federal agencies, and participating in
evaluation activities from time to time as requested by federal agencies. The lead organization will provide certifications to other organizations
applying for grants and other benefits that, if received, would help to advance the Promise Zone strategy. Organizations receiving such
certifications will provide them in the context of federal funding competitions and the conferring of benefits to designated Promise Zones.
To the extent that the lead organization is unable to directly perform any of these duties, it will delegate them specifically to an implementation
partner organization, and continue to oversee the fulfillment of all of the responsibilities under the Promise Zone designation agreement. The
lead organization will be responsible for replacing the roles that implementation partner organizations and other partners may play in the
Promise Zone strategy in the event that one or more such partners are unable to fulfill their responsibilities as planned. Transfer of the lead
organization to another organization than the lead applicant will require approval by participating federal agencies, pursuant to the terms of the
Promise Zone designation agreement.

21

FR-5775-N-01 Application Guide

137
138
139
140

Implementation partner organization: An implementation partner organization is an organization that commits to fulfill specific responsibilities
to carry out the day-to-day work and operations of the Promise Zone strategy, as detailed in the community’s Promise Zone application and any
amendments, documents referenced in the Promise Zone designation agreement, and other documents that may exist among the partner
organizations in the Promise Zone strategy.

141
142

Supporting partner organization: A supporting partner organization is an organization that will not carry out day-to-day work of the initiative,
but will contribute resources or advise on the direction of the Promise Zone strategy.

143
144
145
146
147
148
149
150
151
152

Examples of local government and other partner commitment: Commitments may be made to the Promise Zone strategy by many
organizations acting in the community in ways that support Promise Zone strategy and goals. The level of intensity and duration of such
commitments may range from occasional assistance and expressions of general support, to the ongoing roles and day-to-day responsibilities
taken on by implementation partners, to the lead organization’s responsibility for overall coordination, reporting and delivery of results.
Examples of commitments that would be less intensive and consistent than those of an implementation partner might include in-kind donations
of the use of meeting space, equipment, telecommunications services, or staffing for particular functions; letters or other expressions of support
for Promise Zone activities and applications for resources at the local, state and federal level; participation in steering committees or other
advisory bodies with respect to the overall Promise Zone strategy or particular elements of it; permanent donations of funding, land, equipment,
facilities or other resources; or the provision of other types of support without taking on a formal role in the day-to-day operations and
advancement of the Promise Zone strategy as described in the definitions of implementation partner or lead organization.

153

Mapping Tool Overview

154
155
156
157
158
159

The Promise Zone's mapping tool overlays the locally defined neighborhood/community boundaries with data associated with that area and
estimates the rates of certain indicators in that area using a proportional allocation methodology. For metropolitan areas, the tool uses Census
block group (as defined for Census 2010) as the smallest statistical boundary for the available data. For non-metropolitan areas, the tool uses
census tract data to account for less precision in low-population areas. If the locally defined neighborhood/community is partially within two
different Census areas, the data for each factor or threshold criteria are calculated based on the portion of the 2010 housing units located in
each Census area for the vacancy variables and 2010 population for the population, poverty, and employment variables. The 2010 housing unit

22

FR-5775-N-01 Application Guide

160
161

and population count data are available to HUD at the block level and thus can be used as the underlying data to apportion each block group and
tract’s appropriate share of importance.

162
163
164

For example, based on a user defined geography, 80 percent of the housing units in the locally defined neighborhood/community are in a block
group with a poverty rate of 40 percent and 20 percent of the units are in a block group with a poverty rate of 10 percent. The "neighborhood
poverty rate" would be calculated as:

165

(80% x 40%) + (20% x 10%) = 34%.

166

Mapping Tool Data Sources:

167

The data are from a variety of sources:

168
169
170

1. ACS 2011 refers to the US Census American Community Survey 2007-2011 five-year estimates. These are the most recent nationally available
data for small geographies at the same Census 2010 boundaries as the other data provided, using a statistical technique that combines five years
of data to create reliable estimates for small areas.

171
172
173

2. CHAS 2010 refers to the Comprehensive Housing Affordability Strategy (CHAS) special tabulations HUD receives of Census ACS data. The CHAS
data used for this tool are based on ACS 2006-2010 five-year estimates see http://www.huduser.org/portal/datasets/cp.html for more
information.

174

3. Census 2010 refers to block-level 2010 decennial counts of housing and population.

175
176

4. USPS 2013 refers to the United States Postal Service long-term vacancy data as of June 30, 2013.

177

Additional Notes on Specific Variables:

178
179

Concentration of People in Poverty is calculated with data at the block group level from ACS 2011 for metropolitan areas and the tract level for
non-metropolitan areas. This indicator represents the percent of people within the target geography who are below the poverty line. The
23

FR-5775-N-01 Application Guide

180
181
182
183

estimated concentration of Extremely Low Income (ELI) households represents an approximation of the percent of households within the
specified area whose household combined income is below 30% of the HUD defined Area Median Income (AMI). This ELI indicator is calculated
with data from the block group level from Comprehensive Housing Affordability Strategy (CHAS) 2010. The final number included in this report
for "poverty rate" is the greater of these two indicators.

184
185
186

Employment Rate is calculated with data at the block group level from ACS 2011 for metropolitan areas and the tract level for non-metropolitan
areas. This indicator represents the percent of the labor force (age 16 and above) that is employed or in the labor force. Neither the numerator
nor the denominator includes people in the armed forces or those outside of the labor force.

187
188

Long-term vacancy rates are calculated with data at the block group level with ACS 2011 and the USPS 2013, which ever source produces the
greatest percentage.

189
190
191

For the USPS data, HUD calculates the percent of residential addresses (excluding "no-stat" addresses) that are vacant. In the USPS data, a
"vacant" address is one that has not had mail picked up for 90 days or longer. The USPS Vacant addresses can also include vacation or migrant
labor addresses so HUD uses ACS data to reduce vacancy counts in these cases.

192
193

Using the ACS data, HUD calculates the vacancy rate as the percent of housing units that are "other" vacant. These are units not for sale, for rent
or vacant for seasonal or migrant housing. This is considered another proxy for long-term vacant housing.

194
195
196
197
198

In theory the USPS data should be a stronger measure of distress than the ACS data because they are for 100 percent of the units (ACS is a
sample), are more current (ACS aggregates data over a 5 year period), and are intended specifically to capture addresses 90 or more days
vacant. However, USPS data are particularly poor at capturing vacancy in rural areas. As such, HUD uses the ACS as a check on the USPS data so
that every location gets a vacancy rate based on the greater of their USPS vacancy rate or their ACS 2007-2011 rate. For more information on
HUD’s USPS dataset, see: http://www.huduser.org/portal/datasets/usps.html.

24

FR-5775-N-01 Application Guide

Appendix – Template: Promise Zones Strategy
Applicants should use this template to create community-specific goals
Check box below to indicate whether information submitted may be made available to the public, for purposes of assisting potential partners
in matching their capacities to the goals of Promise Zone applicants:
Yes, information provided in this Community Goal Statement may be used.
No, information provided in this Community Goal Statement may not be used.
Community Goal Statement
Check boxes to indicate which Promise Zone goal(s) are served by the community goal:
Create jobs
Increase economic activity
Improve educational opportunities
Reduce serious and violent crime
Leverage private resources

Context: Specific gap or opportunity identified in the Needs
Assessment trying to address
Description of Strategy
Activities and Interventions

25

FR-5775-N-01 Application Guide

Primary Implementing Organization for the strategy 10
Partner organizations, including list of roles and responsibilities
for each 11
Existing resources to be used
Timeline and milestones for implementation
Description of how or why proposed activities will lead to
achievement of the goal
Evidence supporting the selection of proposed activities to
achieve the goal, as available 12
Optional: Brief description of any specific barriers to
implementing the proposed strategy that are presented by
federal regulations or statutes. Please provide specific regulatory
and statutory citations.
199

10

Provide page and line numbers referencing the Capacity section narrative.
Provide page and line numbers referencing the Capacity section narrative.
12
As applicable, provide documents and page numbers of relevant materials in Additional Documentation.
11

26