Federal Register, Volume 70 Issue 53 (Monday, March 21, 2005)

[Federal Register Volume 70, Number 53 (Monday, March 21, 2005)]
[Notices]
[Pages 13976-14383]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-5041]

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Part II

Department of Housing and Urban Development

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Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy
Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs; Notice

Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 /
Notices

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4950-N-01]

Notice of HUD's Fiscal Year 2005 Notice of Funding Availability
Policy Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Notice of HUD's fiscal year (FY) 2005 Notice of Funding
Availability (NOFA) policy requirements and general section to the
FY2005 SuperNOFA for HUD's discretionary programs (notice).

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Overview Information

A. Federal Agency Name: Department of Housing and Urban Development
(HUD), Office of the Secretary.
B. Funding Opportunity Title: Policy requirements applicable to all
HUD Federal financial assistance programs issued through a NOFA during
FY2005.
C. Announcement Type: Initial announcement of the general policy
requirements that apply to all HUD federal financial assistance NOFAs
for FY2005 issued simultaneously with or after the publication of this
notice.
D. Funding Opportunity Number: FR 4950-N-01.
E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA
number is provided for each HUD federal financial assistance program.
When using ``Apply Step 1'' on the Grants.gov Web site to download an
application you will be asked for the CFDA number. Please refer to the
program NOFA for the CFDA number assigned to the program(s) for which
you wish to apply.
F. Dates: The key dates that apply to all HUD federal financial
assistance made available through HUD's FY2005 NOFAs are found in each
individual program NOFA and Appendix A to this General Section.
G. Optional, Additional Overview Content Information: Unless
otherwise stated, HUD's general policy requirements set forth in this
notice apply to all HUD federal financial assistance made available
through HUD's FY2005 NOFAs. These policies cover those NOFAs issued
through this SuperNOFA as well as those issued after publication of
this SuperNOFA in the Federal Register.

Full Text of Announcement

I. Funding Opportunity Description

This notice provides information regarding HUD's FY2005 policy
requirements applicable to all of HUD's Federal financial assistance
programs announced through NOFAs published along with this notice and
any subsequent NOFA published for FY2005. Each such NOFA will provide a
description of the specific requirements for the program for which
funding is made available and each will refer to applicable policies
contained in this notice. Each program NOFA will also describe
additional procedures and requirements that apply to the individual
program NOFA, including a description of the eligible applicants,
eligible activities, threshold requirements, factors for award, and any
additional program requirement or limitation. To ensure that you are
able to adequately address all of the application requirements for any
program for which you intend to apply, please be sure you carefully
read and respond to both this notice of HUD's NOFA policy requirements
and the individual program NOFAs.
Authority. HUD's authority for making funding available under its
FY2005 programs is identified in each program NOFA under the section
entitled ``Funding Opportunity Description.''

II. Award Information

Funding Available. Each program NOFA will identify the estimated
amount of funds available in FY2005, either as a result of the
enactment of a HUD appropriations act or based upon available
appropriations and any funds from previous years available for award in
FY2005. The FY2005 SuperNOFA contains 53 funding opportunities composed
of programs and program components totaling approximately $2.26
billion. As a service to our customers, Appendix A of this notice
contains a chart of the estimated amount of funds being made available
in HUD's SuperNOFA for FY2005. If HUD recaptures funds in any program,
HUD reserves the right to increase the available funding for the
applicable program by those amounts. Note that additional NOFAs may be
issued separately from the issuance of the FY2005 SuperNOFA.

III. Eligibility Information

A. Eligible Applicants

The individual program NOFAs describe the eligible applicants and
eligible activities for each program.

B. Cost Sharing or Matching

The individual program NOFAs describe the applicable cost sharing,
matching requirements, or leveraging requirements related to each
program, if any.

C. Other Requirements and Procedures Applicable to All Programs

Except as may be modified in the individual program NOFAs in
FY2005, the requirements, procedures, and principles listed below apply
to all programs in FY2005 for which funding is announced via NOFA and
published in the Federal Register. Please read the individual program
NOFAs for additional requirements or information.
1. Statutory and Regulatory Requirements
To be eligible for funding under HUD NOFAs issued during FY2005,
you, the applicant, must meet all statutory and regulatory requirements
applicable to the program or programs for which you seek funding. If
you need copies of the program regulations, they are available from the
NOFA Information Center or through HUD's Grants Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. See the individual
program NOFAs for instructions on how HUD will respond to proposed
activities that are ineligible.
2. Threshold Requirements
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number
Requirement. Any applicant seeking funding directly from HUD or other
federal agencies must obtain a DUNS number and include the number in
its Application for Federal Assistance submission. Failure to provide
HUD a DUNS number will prevent you from obtaining an award, regardless
of whether it is a new award or renewal of an existing award.
Individuals who personally apply for Federal financial assistance,
apart from any governmental, business, or nonprofit organization they
may represent, are excluded from the requirement to obtain a DUNS
number. This policy is pursuant to the Office of Management and Budget
(OMB) Policy issued in the Federal Register on June 27, 2003 (68 FR
38402). HUD's regulation implementing the DUNS Number requirement for
its programs was issued on an interim basis in the Federal Register on
March 26, 2004 (69 FR 15671) and published as a final rule on November
9, 2004 (69 FR 65024). A copy of the OMB Federal Register notice and
HUD's regulation implementing the DUNS number can be found on HUD's Web
site at http://www.hud.gov/offices/adm/grants/

[[Page 13577]]

duns.cfm. Applications received electronically cannot be submitted
without a DUNS number entry. For applicants that are provided a waiver
to the requirement for electronic submission, failure to provide a DUNS
number with the application submission will be treated as a technical
deficiency to the application. If the DUNS number is not provided
within the cure period (see Section V.B.4, ``Corrections to Deficient
Applications''), the application will not be funded. Also, see Section
IV.F, ``Other Submission Requirements,'' for additional information
regarding the DUNS requirement. The Web site at http://www.grants.gov/
GetStarted provides step-by-step instructions for obtaining a DUNS
number as well as procedures for registering in the Central Contractor
Registry and receiving credentials from the Grants.gov E-Authentication
provider. The registration in the Central Contractor Registry and the
E-Authentication credentials are not necessary for submitting a paper
copy application to HUD; only the DUNS number is required. Central
Contractor Registration is required for submittal of electronic grant
applications through the Grants.gov portal. For FY2005 electronic
submission is mandatory unless the applicant receives a waiver of the
requirement. Procedures for obtaining a waiver are contained in Section
IV, Application and Submission Information, of this General Section.
The Continuum of Care NOFA is the only program in the SuperNOFA
that has retained the paper application process in 2005. Applicants for
the Continuum of Care NOFA should follow the submission and timely
receipt requirements in the Continuum of Care Program Section of the
SuperNOFA.
c. Compliance with Fair Housing and Civil Rights Laws. (1) With the
exception of federally recognized Indian tribes and their
instrumentalities, all applicants must comply with all applicable fair
housing and civil rights requirements in 24 CFR 5.105(a), as
applicable. If you are a federally recognized Indian tribe, you must
comply with the nondiscrimination provisions enumerated at 24 CFR
1000.12, as applicable. In addition to these requirements, there may be
program-specific threshold requirements identified in the individual
program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974, and the charge, lawsuit, or
letter of findings referenced in subparagaph (a), (b), or (c) above has
not been resolved to HUD's satisfaction before the application
deadline, then you are ineligible and HUD will not rate and rank your
application. HUD will determine if actions to resolve the charge,
lawsuit, or letter of findings taken prior to the application deadline
are sufficient to resolve the matter.
Examples of actions that would normally be considered sufficient to
resolve the matter include, but are not limited to:
(i) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(ii) A HUD-approved conciliation agreement signed by all parties;
(iii) A consent order or consent decree; or
(iv) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.
d. Conducting Business in Accordance with Core Values and Ethical
Standards. Entities subject to 24 CFR parts 84 and 85 (most nonprofit
organizations and state, local, and tribal governments or government
agencies or instrumentalities that receive federal awards of financial
assistance) are required to develop and maintain a written code of
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations
governing specific programs, your code of conduct must prohibit real
and apparent conflicts of interest that may arise among officers,
employees, or agents; prohibit the solicitation and acceptance of gifts
or gratuities by your officers, employees, or agents for their personal
benefit in excess of minimal value; and outline administrative and
disciplinary actions available to remedy violations of such standards.
If awarded assistance under a HUD program NOFA announced in FY2005, you
will be required, prior to entering into an agreement with HUD, to
submit a copy of your code of conduct and describe the methods you will
use to ensure that all officers, employees, and agents of your
organization are aware of your code of conduct. Failure to meet the
requirement for a code of conduct will prohibit you from receiving an
award of funds from HUD. If you submitted an application to HUD during
FY2004 that included a code of conduct , and it has been identified by
HUD on its Web site at http://www.hud.gov/grants/index.cfm, and if that
information is still valid, you will not have to resubmit another copy.
However, if your code of conduct is not listed as received on the HUD
Web site, or if the information you submitted has changed (e.g., the
person who submitted the previous application is no longer your
authorized organization representative, the organization has changed
its legal name or merged with another organization, or the address of
the organization has changed, etc.), you must submit your current code
of conduct with your 2005 application for assistance.
e. Delinquent Federal Debts. Consistent with the purpose and intent
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds
will be made to an applicant that has an outstanding delinquent federal
debt unless (1) the delinquent account is paid in full, (2) a
negotiated repayment schedule is established and the repayment schedule
is not delinquent, or (3) other arrangements satisfactory to HUD are
made prior to the deadline submission date.
f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases
where the recommended applicant has no prior federal support, HUD's
program officials have reason to question whether the applicant's
financial management system meets federal financial management
standards, or the applicant is considered a high risk based upon past
performance or financial management findings. HUD will not disburse
funds to any applicant that does not have a financial management system
that meets federal standards.
g. Name Check Review. Recommended applicants are subject to a name
check review process. Name checks are intended to reveal matters that
significantly reflect on the applicant's management and financial
integrity, or if any key individual has been convicted or is presently
facing criminal charges. If the name check reveals significant adverse
findings that reflect on the business integrity or responsibility of
the applicant or any key individual, HUD reserves the right to (1) deny
funding or consider suspension or termination of an award immediately
for cause, (2) require the removal of any key individual from
association with management or implementation of the award, and (3)
make appropriate provisions or revisions with respect to the method of

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payment or financial reporting requirements.
h. False Statements. A false statement in an application is ground
for denial or termination of an award and grounds for possible
punishment as provided in 18 U.S.C. 1001.
i. Prohibition Against Lobbying Activities. You, the applicant, are
subject to the provisions of Section 319 of Public Law 101-121
(approved October 23, 1989) (31 U.S.C. 1352) (the Byrd Amendment),
which prohibits recipients of federal contracts, grants or loans from
using appropriated funds for lobbying the executive or legislative
branches of the federal government in connection with a specific
contract, grant, or loan. In addition, you must disclose, using
Standard Form LLL, ``Disclosure of Lobbying Activities,'' any funds,
other than federally appropriated funds, that will be or have been used
to influence federal employees, members of Congress, or congressional
staff regarding specific grants or contracts. Federally recognized
Indian tribes and tribally designated housing entities (TDHEs)
established by federally recognized Indian tribes as a result of the
exercise of the tribe's sovereign power are excluded from coverage of
the Byrd Amendment, but state-recognized Indian tribes and TDHEs
established only under state law must comply with this requirement. You
must submit the SF-LLL if you have used or intend to use federal funds
for lobbying activities.
j. Debarment and Suspension. In accordance with 24 CFR part 24, no
award of federal funds may be made to applicants that are presently
debarred or suspended, or proposed to be debarred or suspended, from
doing business with the federal government. This requirement applies to
all lower-tier covered transactions and to all solicitations for lower-
tier covered transactions. The prohibition includes the following:
(1) Having principals who, within the previous three years, have
been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state, or local)
transaction, violation of federal or state anti-trust statutes, or
commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen
property; and
(2) Charges or indictments by a governmental entity (federal,
state, or local) for commission of any of the above violations.
3. Other Threshold Requirements
The individual program NOFAs for which you are applying may specify
other threshold requirements. Additional threshold requirements may be
identified in the discussion of ``eligibility'' requirements in the
individual program NOFAs. If a program NOFA requires a certification of
consistency with the Consolidated Plan and the applicant fails to
provide a certification, and such failure is not cured as a technical
deficiency, HUD will not fund the application. If HUD is provided a
signed certification indicating consistency with the area's approved
Consolidated Plan and HUD finds that the activities are not consistent
with the Consolidated Plan, HUD will not fund the inconsistent
activities or will deny funding the application if a majority of the
activities are not consistent with the approved Consolidated Plan. The
determination not to fund an activity or to deny funding may be
determined by a number of factors including, the number of activities
being proposed, the impact of the elimination of the activities on the
proposal, or the percent of the budget allocated to the proposed
activities.
4. Additional Nondiscrimination and Other Requirements
You, the applicant, and your subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.), and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. Unless
otherwise instructed in the individual program NOFA, your application
must include specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the individual program NOFA
rating factors that address affirmatively furthering fair housing.
These requirements apply to all HUD programs announced via a NOFA,
unless specifically excluded in the individual program NOFA.
c. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2005 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection With
Assisted Projects), and the HUD regulations at 24 CFR part 135,
including the reporting requirements at subpart E. Section 3 requires
recipients to ensure that, to the greatest extent feasible, training,
employment, and other economic opportunities will be directed to low-
and very-low-income persons, particularly those who are recipients of
government assistance for housing, and business concerns that provide
economic opportunities to low- and very low-income persons. Review the
individual program NOFAs to determine if Section 3 applies to the
program for which you are seeking funding.
d. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantaged businesses, and
women-owned businesses participate fully in HUD's direct contracting
and in contracting opportunities generated by HUD financial assistance.
Too often, these businesses still experience difficulty accessing
information and successfully bidding on federal contracts. State,
local, and tribal governments are required by 24 CFR 85.36(e) and
nonprofit recipients of assistance (grantees and sub-grantees) by 24
CFR 84.44(b) to take all necessary affirmative steps in contracting for
the purchase of goods or services to assure that minority firms,
women's business enterprises, and labor surplus area firms are used
whenever possible or as specified in the individual program NOFAs.
e. Relocation. The relocation requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended, and the implementing government-wide regulation at 49
CFR part 24 cover any person who moves permanently from real property
or moves personal property from real

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property directly because of acquisition, rehabilitation, or demolition
for an activity undertaken with HUD assistance. Some HUD program
regulations also cover persons who are temporarily relocated. For
example, 24 CFR 570.606(b)(2)(i)(D)(1), (2), and (3) provide guidance
on temporary relocation for the Community Development Block Grants
(CDBG) program. Applicants should review the regulations for the
programs for which they are applying when planning their project.
f. Executive Order 13166, ``Improving Access to Services for
Persons With Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted services, programs, and
benefits for individuals with limited English proficiency. Applicants
obtaining an award from HUD must seek to provide access to program
benefits and information to LEP individuals through translation and
interpretive services in accordance with LEP guidance published on
December 19, 2003 (68 FR 70968). For assistance and information
regarding your LEP obligation, go to http://www.lep.gov.
g. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' HUD is committed to full
implementation of Executive Order 13279. The Executive Order
established fundamental principles and policymaking criteria to guide
federal agencies in formulating and developing policies that have
implications for faith-based and community organizations to ensure the
equal protection for these organizations in social services programs
receiving federal financial assistance. Consistent with this order, HUD
has undertaken a review of all policies and regulations that have
implications for faith-based and community organizations and has
established a policy priority to provide full and equal access to
grassroots faith-based and other community-based organizations in HUD
program implementation. On September 30, 2003 (68 FR 56396), HUD issued
a final rule to remove barriers to the participation of faith-based
organizations in eight HUD programs. On March 3, 2004 (69 FR 10126),
HUD published a proposed rule clarifying that the requirements
contained in the September 30, 2003, final rule regarding the equal
participation of faith-based organizations in certain HUD programs also
applied to the State Community Development Block Grant (State CDBG)
Program. On July 9, 2004 (69 FR 41712), HUD issued a final rule that
extended the provisions of the equal treatment of faith-based
organizations to all HUD programs. Copies of the regulatory changes can
be found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
h. Accessible Technology. Section 508 of the Rehabilitation Act
(Section 508) requires HUD and other federal departments and agencies
to ensure, when developing, procuring, maintaining or using electronic
and information technology (EIT), that the EIT allow, regardless of the
type of medium of technology, persons with disabilities access to and
use of information and data on a comparable basis as is made available
to and used by persons without disabilities. Section 508's coverage
includes, but is not limited to, computers (hardware, software, word-
processing, e-mail, and web pages), facsimile machines, copiers, and
telephones. Among other things, Section 508 requires that unless an
undue burden would result to the federal department or agency,
electronic and information technology allow individuals with
disabilities who are employees or members of the public seeking
information or services, to have access to and use of information and
data that is comparable to that of employees and members of the public
who are not disabled. Where an undue burden exists to the federal
department or agency, alternative means may be used to allow a disabled
individual use of the information and data. Section 508 does not
require that information services be provided at any location other
than a location at which the information services are generally
provided. HUD encourages its funding recipients to adopt the goals and
objectives of the Section 508 by ensuring, whenever EIT is used,
procured, or developed, that persons with disabilities have access to
and use of the information and data made available through the EIT on a
comparable basis as is made available to and used by persons without
disabilities. This does not affect recipients required compliance with
Section 504 of the Rehabilitation Act and, where applicable, the
American with Disabilities Act.
i. Procurement of Recovered Materials. State agencies and agencies
of a political subdivision of a state that are using assistance under a
HUD program NOFA for procurement, and any person contracting with such
an agency with respect to work performed under an assisted contract,
must comply with the requirements of Section 6002 of the Solid Waste
Disposal Act, as amended by the Resource Conservation and Recovery Act.
In accordance with Section 6002, these agencies and persons must
procure items designated in guidelines of the Environmental Protection
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of
recovered materials practicable, consistent with maintaining a
satisfactory level of competition, where the purchase price of the item
exceeds $10,000 or the value of the quantity acquired in the preceding
fiscal year exceeded $10,000; must procure solid waste management
services in a manner that maximizes energy and resource recovery and
must have established an affirmative procurement program for
procurement of recovered materials identified in the EPA guidelines.
j. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under a HUD program
NOFA, all successful applicants will be required to cooperate with all
HUD staff or contractors performing HUD-funded research or evaluation
studies.
k. Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects.'' Compliance
with HUD regulations at 24 CFR 5.108 that implement Executive Order
13202 is a condition of receipt of assistance under a HUD program NOFA.
l. Salary Limitation for Consultants. FY2005 funds may not be used
to pay or to provide reimbursement for payment of the salary of a
consultant whether retained by the federal government or the grantee at
more than the daily equivalent of the rate paid for level IV of the
Executive Schedule, unless specifically authorized by law.
m. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. Certain OMB Circulars also apply to HUD
programs in this SuperNOFA. The policies, guidance, and requirements of
OMB Circulars A-87 (Cost Principles Applicable to Grants, Contracts and
Other Agreements with State and Local Governments), A-21 (Cost
Principles for Education Institutions), A-122 (Cost Principles for
Nonprofit Organizations), A-133 (Audits of States, Local Governments,
and Non-Profit Organizations), and the regulations at 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education,
Hospitals, and other Non-Profit Organizations), and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements to
State, Local, and Federally Recognized Indian Tribal Governments), may
apply

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to the award, acceptance, and use of assistance under the individual
program NOFAs of this SuperNOFA, and to the remedies for noncompliance,
except when inconsistent with the provisions of HUD's appropriations
act for 2005, other federal statutes or regulations, or the provisions
of this SuperNOFA notice. Compliance with additional OMB Circulars or
government-wide regulations may be specified for a particular program
in the Program Section of the Super NOFA. Copies of the OMB Circulars
may be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 20503, telephone (202) 395-3080 (this is not a
toll-free number) or (800) 877-8339 (toll-free TTY Federal Information
Relay Service) or from the Web site at http://www.whitehouse.gov/omb/
circulars/index.html.
n. Environmental Requirements. If you become a recipient under one
of HUD's programs that assist physical development activities or
property acquisition, you are generally prohibited from acquiring,
rehabilitating, converting, demolishing, leasing, repairing, or
constructing property or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) HUD has completed an environmental review in accordance with 24
CFR part 50; or
(2) For programs subject to 24 CFR part 58, HUD has approved a
recipient's Request for Release of Funds (Form HUD-7015.15) following a
Responsible Entity's completion of an environmental review.
You, the applicant, should consult the individual program NOFA for
any program for which you are interested in applying to determine the
procedures for, timing of, and any exclusions from environmental review
under a particular program. For applicants applying for funding under
the Section 202 Supportive Housing for the Elderly program or Section
811 Supportive Housing for Persons with Disabilities program, please
note the environmental review requirements for these programs.
o. Conflicts of Interest. If you are a consultant or expert who is
assisting HUD in rating and ranking applicants for funding under this
SuperNOFA or future NOFAs published in FY2005, you are subject to 18
U.S.C. 208, the federal criminal conflict of interest statute, and the
Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
programs in this SuperNOFA or NOFAs published in FY2005, you may not
serve on a selection panel and you may not serve as a technical advisor
to HUD. All individuals involved in rating and ranking HUD FY2005 NOFAs
either published simultaneously with this notice or after the
publication of this notice, including experts and consultants, must
avoid conflicts of interest or the appearance of conflicts. Individuals
involved in the rating and ranking of applications must disclose to
HUD's General Counsel or HUD's Ethics Law Division the following
information, if applicable: how the selection or non-selection of any
applicant under this FY2005 Super NOFA will affect the individual's
financial interests, as provided in 18 U.S.C. 208, or how the
application process involves a party with whom the individual has a
covered relationship under 5 CFR 2635.502. The individual must disclose
this information prior to participating in any matter regarding a
FY2005 NOFA. If you have questions regarding these provisions or if you
have questions concerning a conflict of interest, you may call the
Office of General Counsel, Ethics Law Division, at (202) 708-3815 (this
is not a toll-free number).
p. Drug-Free Workplace. If you receive an award of funds from HUD,
you are required to provide a drug-free workplace. Compliance with this
requirement means that you will:
(1) Publish a statement notifying employees that it is unlawful to
manufacture, distribute, dispense, possess, or use a controlled
substance in the applicant's workplace and that such activities are
prohibited. The statement must specify the actions that will be taken
against employees for violation of this prohibition. The statement must
also notify employees that as a condition of employment under the
federal award that they are required to abide by the terms of the
statement and that each employee must agree to notify the employer in
writing of any violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such violation;
(2) Establish an ongoing drug-free awareness program to inform
employees about:
(a) The dangers of drug abuse in the workplace;
(b) The applicant's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, or employee
maintenance programs; and
(d) The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;
(3) Notify the federal agency in writing within 10 calendar days
after receiving notice from an employee of a drug abuse conviction or
otherwise receiving actual notice of a drug abuse conviction. The
notification must be provided in writing to HUD's Office of
Departmental Grants Management and Oversight, Department of Housing and
Urban Development, 451 Seventh Street, SW., Room 3156, Washington DC
20410-3000, along with the following information:
(a) The program title and award number for each HUD award covered;
(b) The HUD staff contact name, phone, and fax numbers; and
(c) A grantee contact name, phone, and fax numbers; and
(4) Require that each employee engaged in the performance of the
federally funded award be given a copy of the drug-free workplace
statement required in item (1) and notify the employee that one of the
following actions will be taken against the employee within 30 calendar
days of receiving notice of any drug abuse conviction:
(a) Institution of a personnel action against the employee, up to
and including termination consistent with requirements of the
Rehabilitation Act of 1973, as amended; or
(b) Requiring that the employee participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for such
purposes by a federal, state, or local health, law enforcement, or
other appropriate agency.
q. Safeguarding Resident/Client Files. In maintaining resident and
client files, HUD funding recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident and client files are safeguarded.

IV. Application and Submission Information

A. Addresses To Request Application Package

This section describes how you may obtain application forms,
additional information about the HUD program NOFAs, and technical
assistance. Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the grants.gov
Web site at http://www.grants.gov/FIND and choose from links provided
under the topic ``Search Grant Opportunities'', which allows you to do
a basic search or to browse by category or agency. If you have
difficulty accessing the

[[Page 13581]]

information, you may receive customer support from Grants.gov by
calling its help line at (800) 518-GRANTS or sending an e-mail to
[email protected]. The operators will assist you in accessing the
information. If you do not have Internet access and you need to obtain
a copy of the NOFA, you can contact HUD's NOFA Information Center toll-
free at (800) HUD-8929. Persons with hearing or speech impairments may
also call toll-free at (800) HUD-2209.
1. Application Kits
There are no application kits for HUD programs. All the information
you need to apply will be in the NOFA and available at http://
www.grants.gov/Apply. In response to concerns about the length of time
it takes for the publication and dissemination of application kits, HUD
has made an effort to improve the readability of its NOFAs and publish
all required forms and formats for application submission in the
Federal Register. The NOFAs and forms are available to be downloaded
from http://www.grants.gov/Apply, click on Apply Step 1. Please pay
attention to the submission requirements and format for submission
specified in each program NOFA to ensure that you have submitted all
required elements of your application.
The published Federal Register document is the official document
that HUD uses to solicit applications. Therefore, if there is a
discrepancy between any materials published by HUD in its Federal
Register publications and other information provided in paper copy,
electronic copy, or at www.grants.gov, the Federal Register publication
prevails. Please be sure to review your application submission against
the requirements in the Federal Register file of the program NOFA or
NOFAs to which you are responding by application. The instructions
incorporated into the application found on Grants.gov/Apply contain the
PDF files of the Federal Register publication. By accessing the
information from the Internet at Grants.gov you will not have to wait
for copies of the NOFAs or forms to begin to prepare your application
for funding. HUD is continuing to streamline programs and application
submission requirements and encourages the applicant community to offer
additional suggestions.
2. Guidebook and Further Information
A guidebook to HUD programs entitled, ``Connecting with
Communities: A User's Guide to HUD Programs and the FY2005 NOFA
Process,'' is available from the HUD NOFA Information Center and the
HUD Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
The guidebook provides a brief description of all HUD programs,
identifies eligible applicants for the programs, and provides examples
of how programs can work in combination to serve local community needs.
You can also get a copy from the NOFA Information Center at (800) HUD-
8929, or for the hearing impaired, (800) HUD-2209 (TTY) (these are
toll-free numbers). The NOFA Information Center is open between the
hours of 10 a.m. to 6:30 p.m. Eastern time, Monday through Friday,
except on federal holidays.
3. For Technical Assistance
Before the application submission date, HUD staff will be available
to provide you with general guidance and technical assistance about
this notice or about individual program NOFAs. However, HUD staff is
not permitted to assist in preparing your application. Following
selection of applicants, but before announcement of awards are made,
HUD staff is available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award or Annual
Contributions Contract (ACC) by HUD. For technical support for
downloading an application or submitting an application, please call
Grants.gov Customer Support at (800) 518-GRANTS (this is a toll-free
number) or e-mail [email protected].
4. SuperNOFA Webcasts
HUD provides technical assistance and training on its programs made
available through a notice of funding availability. The NOFA broadcasts
are interactive and allow potential applicants to obtain a better
understanding of the threshold, program, and application submission
requirements for FY2005 funding. Participation in this training
opportunity is free of charge and can be accessed via HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The SuperNOFA web
cast schedule can also be found via HUD's Web site at http://
www.hud.gov/webcasts/index.cfm.

B. Content and Form of Application Submission

Be sure to read and follow the application submission requirements
published in each individual program NOFA to which you are responding
by application.
1. Forms
Each program NOFA will identify all the required forms for
submission. HUD's standard forms are identified below:
a. Application for Federal Assistance (SF-424);
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Grant Application Detailed Budget (HUD-424-CB);
d. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
e. Disclosure of Lobbying Activities (SF-LLL);
f. Applicant/Recipient Disclosure/Update Report (HUD-2880);
g. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable;
h. Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable;
i. Acknowledgment of Application Receipt (HUD-2993);
j. Client Comments and Suggestions (HUD 2994) (Optional);
k. Program Outcome Logic Model (HUD-96010);
l. Race and Ethnic Data Reporting Form (HUD-27061);
m. America's Affordable Communities Initiative (HUD-27300), if
applicable; and
n. Facsimile Transmittal (HUD-96011).
Copies of these forms are included in Appendix B to this General
Section. Any additional program form required to be submitted to meet
specific program requirements is included with each program NOFA. The
electronic version of each NOFA contains all forms required for
submission.
2. Certifications and Assurances
The form SF-424-B, Assurances and Certifications, is no longer
required as a separate submission. However, applicants are placed on
notice that by signing the SF-424 cover page:
a. The governing body of the applicant's organization has duly
authorized the application for federal assistance. In addition, by
signing or electronically submitting the application, the Authorized
Organization Representative (AOR) certifies that the applicant:
(1) Has the legal authority to apply for federal assistance and the
institutional, managerial, and financial capacity (including funds to
pay for any non-federal share of program costs) to plan, manage, and
complete the program as described in the application; will provide HUD
any additional information it may require; and

[[Page 13582]]

(2) Will administer the award in compliance with requirements
identified and contained in the NOFA as applicable to the program for
which funds are awarded and in accordance with requirements applicable
to the program.
b. No appropriated federal funds have been paid or will be paid, by
or on behalf of the applicant, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, or an employee of a Member of Congress, in connection with
this application for federal assistance or any award of funds resulting
from the submission of this application for federal assistance or its
extension, renewal, amendment, or modification. If funds other than
federal appropriated funds have been or will be paid for influencing or
attempting to influence the persons listed above, the applicant agrees
to complete and submit Standard Form LLL, Disclosure Form to Report
Lobbying, as part of its applications submission package. The applicant
further agrees to and certifies that it will require all subawards at
all tiers including subgrants and contracts to similarly certify and
disclose accordingly.
c. Federally recognized Indian tribes and tribally designated
housing entities (TDHEs) established by a federally recognized Indian
tribe as a result of the exercise of the tribe's sovereign power are
excluded from coverage by item b. (also known as the Byrd Amendment).
However, state-recognized Indian tribes and TDHEs established under
state law are not excluded from the statute's coverage and therefore
agree to, and must comply with item b. above.
By submitting an application, the applicant affirms its awareness
of these certifications and assurances. Applicants are also affirming
that these Certifications and Assurances are material representations
of the facts upon which HUD will rely when making an award to the
applicant. If it is later determined that the applicant knowingly made
a false certification or assurance, the applicant may be subject to
criminal prosecution, and HUD may terminate the award or pursue other
available remedies.

C. Submission Dates and Times

Applications submitted through Grants.gov must be received by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
submission date. Applicants receiving a waiver of the electronic
submission requirement must submit their application to the United
States Postal Service no later than 11:59:59 p.m. on the application
submission date. Appendix A also provides a funding chart that
identifies the programs in HUD's SuperNOFA along with the application
submission dates.

D. Intergovernmental Review

Executive Order 12372, ``Intergovernmental Review of Federal
Programs,'' was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
federal development. HUD implementing regulations are published at 24
CFR part 52. The order allows each state to designate an entity to
perform a state review function. The official listing of State Points
of Contact (SPOC) for this review process can be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not listed on the Web
site have chosen not to participate in the intergovernmental review
process and, therefore, do not have a SPOC. If your state has a SPOC,
you should contact the SPOC to see if it is interested in reviewing
your application prior to submission to HUD.
Please make sure that you allow ample time for this review process
when developing and submitting your applications. If your state does
not have a SPOC, you can submit your application directly to HUD using
Grants.gov for electronic applications or, if you receive a waiver of
the electronic application submission requirement, you can submit your
application to HUD following the directions for the number of copies
and locations for submission found in Appendix C of this General
Section.

E. Funding Restrictions

The individual program NOFAs will describe any funding restrictions
that apply to each program.

F. Other Submission Requirements

Application Submission and Receipt Procedures. This section
provides the application submission and receipt instructions for HUD
program applications. Please read the following instructions carefully
and completely, as failure to comply with these procedures may
disqualify your application.
1. Electronic Delivery. Beginning in FY2005, HUD requires
applicants to submit their applications electronically through
Grants.gov, unless a waiver is granted.
2. The following describes what to expect when you go to apply
online using Grants.gov:
a. Get Started (http://www.grants.gov/GetStarted). Once on the
site, you will find six ``Get Started'' step-by-step instructions that
will enable you to apply for HUD funds. Applicants should read the Get
Started steps carefully. The site also contains four checklists under
the topic ``Registration Checklists'' to help you walk through the
process. HUD recommends that you download the checklists and prepare
the information requested before beginning the registration process.
Reviewing information required and assembling it before beginning the
registration process will save you time and make the process faster and
smoother.
b. DUNS Requirement. All applicants applying for funding, including
renewal funding, must have a Dun and Bradstreet Universal Data
Numbering System (DUNS) number. The DUNS number must be included in the
data entry field labeled ``Organizational Duns'' on the form SF-424.
Instructions for obtaining a DUNS number can be found at either of the
following Web sites: http://www.hud.gov/offices/adm/grants/duns.cfm or
Step 3 at http://www.grants.gov/GetStarted.
c. Central Contractor Registry and Credential Provider
Registration. In addition to having a DUNS number, applicants applying
electronically through Grants.gov must register with the Federal
Central Contractor Registry and with the credential provider for E-
Authentication. The Grants.gov Web site at www.grants.gov/GetStarted,
Step 3, provides instructions for registering in the Central Contractor
Registry and, at Step 4, for registering with the credential provider.
All applicants filing electronically must have a DUNS number before
registering with the Central Contractor Registry (CCR) and receive
credentials from the Grants.gov credential provider in order to apply
online. Failure to register with the CCR and credential provider will
result in your application being rejected by the Grants.gov portal.
The registration process is a separate process from submitting an
application. Applicants are encouraged to register early. The
registration process can take approximately two weeks to be completed.
Therefore, registration should be done in sufficient time to ensure
that it does not impair your ability to meet required submission
deadlines. You will be able to submit your application online anytime
after you receive your E-Authentication credentials.
d. Electronic Signature. Applications submitted through Grants.gov
constitute electronically signed applications. The registration and E-
Authentication

[[Page 13583]]

process establishes the Authorized Organization Representative (AOR).
When you submit the application through Grants.gov, the name of your
authorized organization representative on file will be inserted into
the signature line of the application. Applicants must register the
individual who is able to make legally binding commitments for the
applicant organization as the Authorized Organization Representative
(AOR).
3. Instructions on How To Submit an Electronic Application to HUD via
www.grants.gov/Apply
a. Applying using Grants.gov. Grants.gov has a full set of
instructions on how to complete a grant application on its website at
www.grants.gov/CompleteApplication. Applicants are encouraged to read
through the ``Complete Application Package'' website. The site contains
a multimedia demonstration that guides you through the process of
completing an application package. The training demonstration is also
available in text. Grants.gov allows applicants to download the
application package, instructions, and forms that are incorporated in
the instructions, and work offline. In addition to forms that are part
of the application instructions, there will be a series of electronic
forms that are provided utilizing a PureEdge^TM reader. The
PureEdge^TM Reader is available free for download from Step 2
of www.grants.gov/Get Started. The PureEdge^TM Reader allows
applicants to read the electronic files in a form format so that they
will look like any other Standard or HUD form. The
PureEdge^TM forms have content-sensitive help. To use this
feature, click on the icon that features an arrow with a question mark
at the top of the page. This engages the content-sensitive help for
each field on the electronic form. The PureEdge^TM forms can
be downloaded and saved on your hard drive, network drive(s), or CDs.
Because of the size of the application, HUD recommends downloading the
application to your computer hard drive.
The instructions include the General and Program sections of the
Federal Register publication of the NOFA and any required form that has
not been converted to a PureEdge^TM form. Each program NOFA
also includes a checklist. Please review the checklist in the program
section to ensure that your application contains all the required
materials.
MacIntosh users will need to use the Virtual PC emulator software,
which allows PC software to run on MacIntosh platforms. More
information on PureEdge^TM Support for MacIntosh Users is
available at www.grants.gov/CompleteApplication#, located under the
topic Tips and Tools.
b. Mandatory Fields on PureEdge^TM Forms. In the
PureEdge^TM forms you will find fields with a yellow
background. These data fields are considered mandatory and must be
completed.
c. Completion of SF-424 Fields First. The PureEdge^TM
forms are designed to fill in common data such as the applicant name
and address, DUNS number, etc., on all PureEdge^TM electronic
forms. In order to trigger this function, the Standard Form 424 (SF-
424) must be completed first. Once you complete the SF-424 the
information will transfer to the other forms.
d. Submission of Narrative Statements, Third Party Letters, and
Certifications. In addition to forms, many of the NOFAs require the
submission of other documentation such as third party letters,
certifications, or program narrative statements. This section discusses
how you should submit this additional information electronically as
part of your application:
(1) Narrative Statements to the Factors for Award. If you are
required to submit narrative statements, you should submit them as an
electronic file in Microsoft Word (version 9 or earlier) or in Portable
Document Format (PDF) that is compatible with Adobe^TM Reader
version 6.0 or earlier. Each response to a Factor for Award should be
developed as a separate file labeled with the appropriate factor name,
e.g., Factor 1 Capacity, and submitted as part of your electronic
application. Documents that you possess in electronic format, e.g.,
narratives you have written, or graphic images (such as Computer Aided
Design (CAD)) files from an architect), should be attached using the
``Attachments'' form included in the application package you downloaded
from Grants.gov. In order to reduce the size of your attachments, all
or several files can be compressed using a zip utility. The zipped file
can then be attached as described above.
(2) Third Party Letters, Certifications Requiring Signatures, and
Other Documentation. The following two options apply to applicants
required to submit documentation from organizations providing matching
or leveraging funds; documentation of 501(c)(3) status or incorporation
papers; documents that support the need for the program; memoranda of
understanding (MOUs); or documentation to support your organization's
claims regarding work that has been done to remove regulatory barriers
to affordable housing:
(a) Scanning Documents To Create Electronic Files. Third party
documentation can be scanned and saved as separate electronic files.
Electronic files must be labeled so that the reader will know what the
file contains. All scanned files should be placed together in a zipped
folder and attached to the application package following the directions
in paragraph d.(1), above; or
(b) Faxing Required Documentation. Applicants that do not have
scanning equipment available may submit the required documentation to
HUD via facsimile (fax). The fax method may be used only to submit
attachments that are part of your electronic application. HUD will not
accept entire applications via fax. Applications submitted entirely via
fax will be disqualified. Facsimiles submitted in response to a NOFA
must use the form HUD-96011 cover page downloaded as with the
application found on Grants.gov. Facsimiles received that do not meet
the facsimile requirements contained in this General Section will not
be accepted for review.
To submit documents using the facsimile method, applicants must use
form HUD-96011, Facsimile Transmittal, which is a cover page for the
faxed materials. The form HUD-96011 is an electronic form and is part
of the downloaded application. Each downloaded application contains an
embedded unique identifier that will be used to assist HUD in
associating an item transmitted by facsimile to its electronic
application submission. If you have downloaded an application package
from Grants.gov, be sure to save it to your system, complete the SF-
424, and then provide copies of the facsimile transmittal cover page to
all parties that need to use it to submit information pertaining to
your application. Do not download the same application package from
Grants.gov more than once. Each time the package is downloaded, the
forms are given a unique ID number. To ensure that all the forms in
your package contain the same unique ID number, after downloading your
application complete the SF-424 save the forms to your hard drive, and
use the saved forms to create your application. If you have to provide
a copy of the form HUD-96011 to another party that will be responsible
for faxing an item as part of your application, make a copy of the
facsimile transmittal cover page from your downloaded application and
provide that copy to the third party for use with the fax transmission.
Please instruct other parties to use the HUD form you have

[[Page 13584]]

provided when submitting information related to your application using
the facsimile method. Applicants must fax their information, using the
HUD-96011 facsimile transmittal cover page, to the following fax
number: (800) HUD-1010. Each document must be faxed as a separate
submission to avoid fax transmission problems. When faxing several
documents, applicants must use the Form HUD-96011 as the cover for each
document (e.g., Letter of Matching or Leveraging funds, Memorandum of
Understanding, Certification of Consistency with the Consolidated Plan,
etc.).
Your facsimile machine should provide you with a record of whether
your transmission was received by HUD. If you get a negative response
or a transmission error, you should resubmit the document until you
confirm that HUD has received your transmission. HUD will not
acknowledge that a facsimile was received successfully. HUD will
electronically receive the facsimile, read it with an optical character
reader, and attach it to the application submitted through Grants.gov.
The facsimile transmissions may be sent at any time before the
application submission date. All faxed materials must be received no
later than 11:59:59 p.m. eastern time on the application submission
date. HUD will store the information and attach it to the electronic
application when HUD receives it from Grants.gov.
(c) Submissions Using Other File Formats. If you are required to
submit files in other formats such as CAD files of architectural
drawings and blueprints, or pictures, you should attach these as
electronic files in PDF format that is compatible with
Adobe^TM Reader version 6.0 or earlier. The files should be
part of the zipped folder that is attached and submitted with your
application transmission.
e. Customer Support. The grants.gov Web site provides customer
support via (800) 518-GRANTS (this is a toll-free number) or through
email at [email protected]. The customer support center is open from 7
a.m. to 9 p.m. eastern time, Monday through Friday, except federal
holidays, to address grants.gov technology issues. For technical
assistance to program related questions, contact the number listed in
Section VII Agency Contact in the program NOFA you are applying for.
4. Waiver of Electronic Submission Requirement
During FY2005, HUD will accept electronic applications only, and
they must be submitted through the Grants.gov portal, unless the
applicant has received a waiver from the Department. As already noted,
the Continuum of Care NOFA is the only program excepted from this
electronic submission requirement. Applications to the Continuum of
Care may be submitted by hard copy, as discussed below. HUD regulations
at 24 CFR 5.110 permit waivers of regulatory requirements to be granted
for cause. If you are unable to submit your application electronically,
you may request a waiver from this requirement. If you are seeking
funding under several HUD programs, you must submit a separate waiver
request for each program from which you are seeking funding. Your
waiver request must be in writing and state the basis for the request
and explain why electronic submission is not possible. The basis for
waivers for cause may include but are not limited to (a) lack of
available Internet access in the geographic location in which the
applicant's business office is located or (b) physical disability of
the applicant that prevents the applicant from accessing or responding
to the application electronically.
The waiver request should also include an email or name and mailing
address where responses can be directed. You must submit waiver
requests to the appropriate assistant secretary responsible for the
program from which you are seeking funding. Waiver requests will be
accepted beginning on the date of publication of the NOFA and no later
than 30 days prior to the application submission date. HUD will not
consider a waiver request that does not conform to the above
requirement. A list of HUD assistant secretaries with waiver authority,
and their related programs, can be found in Appendix C of this General
Section. To avoid a delay in the process, waiver requests should be
sent by United States Postal Service Express Mail. You, the applicant,
should retain a receipt for the mailing showing the date submitted to
the Postal Service. HUD will acknowledge receipt of the waiver request
by e-mail, if an e-mail address is provided, or by United States Postal
Service Express Mail or other available means. HUD will not make
determinations or respond to waiver requests via the telephone. Each
waiver request will be reviewed and a determination made. HUD will
inform the applicant, whether or not the waiver has been granted. In
the event a waiver is granted, the submission date for mailed
applications will be the same as the electronic application submission
receipt date. Applicants receiving a waiver will be expected to follow
the submission instructions immediately following.
a. Submission Instructions for Applicants Receiving a Waiver of
Electronic Submission. Applicants receiving a waiver of the electronic
submission requirements must submit their complete applications in
paper copy as follows:
(1) Submission Using the United States Postal Service. Beginning in
FY2005, HUD will no longer accept hand deliveries of applications.
Applicants who receive a waiver and are therefore allowed to submit
paper applications must submit them via the United States Postal
Service using either Express Mail or regular mailing services.
(2) Submission Requirements for Specified Number of Copies of Paper
Applications to HUD Headquarters and Field Offices.
(a) When the program NOFA requires that an original and a specified
number of copies be submitted to HUD Headquarters and field offices,
and HUD receives at least one complete application at either location,
HUD will utilize the complete application for its review purposes,
provided it meets the deadline date and timely submission requirements.
(b) Where the program NOFA requires that an application be
submitted to only one HUD location, the paper copy application will be
considered late if:
(i) HUD does not receive the application at the office designated
for receipt of the application; or
(ii) HUD does not receive the application in accordance with the
requirements for timely submission.
(c) When the program NOFA requires that applications be submitted
to more than one HUD office (Headquarters or field), and each
application is unique to the designated location, HUD will consider the
application late if:
(i) HUD does not receiving the application at each office
designated for receipt of the application as indicated in the program
NOFA; or
(ii) HUD does not receive the application in accordance with the
requirements for timely submission.
(d) When submitting a paper copy application, please be sure to
submit the required number of copies to the locations specified in the
program NOFA. For some programs, failure to submit the required number
of copies will disqualify your application. Please be sure to include
on the submittal envelope the title of the Program (and Component Name
if applicable to the Program) under which you are seeking funding.

[[Page 13585]]

5. Timely Receipt Requirements and Proof of Timely Submission
a. Electronic Submission. All applications must be received by
Grants.gov by 11:59:59 p.m. eastern time on the application submission
date established for each program NOFA.
Proof of timely submission is automatically recorded by Grants.gov.
An electronic time stamp is generated within the system when the
application has been successfully received. The applicant will receive
an acknowledgement of receipt and a tracking number from Grants.gov
with the successful transmission of its application. Applicants should
print this receipt and save it, along with facsimile receipts for
information provided by facsimile, as proof of timely submission. When
HUD successfully retrieves the application from Grants.gov, HUD will
provide an electronic acknowledgment of receipt to the e- mail address
provided on the SF-424. Your time of submission will be the date and
time that Grants.gov receives your application submittal and the date
HUD receives those portions of your application submitted by facsimile.
All facsimile transmissions must be received by the application
submission date and time.
Applications received by Grants.gov after the established
submission deadline for the program will be considered late and will
not be considered for funding by HUD. Similarly, applications will be
considered late if information submitted by facsimile as part of the
application has not received by HUD by the established submission
deadline. Please take into account the transmission time required for
submitting your application via the Internet and the time required to
fax any related documents. HUD suggests that applicants submit their
applications during the operating hours of the Grants.gov Support Desk
so that if there are questions concerning transmission, operators will
be available to assist you through the process. Submitting your
application during the Support Desk hours will also ensure that you
have sufficient time for the application to complete its transmission
prior to the application deadline.
Applicants using dial-up connections should be aware that
transmission takes extra time before Grants.gov receives it. Grants.gov
will provide either an error or a successfully received transmission
message. The Grants.gov Support Desk reports that some applicants abort
the transmission because they think that nothing is occurring during
the transmission process. Please be patient and give the system time to
process the application. Uploading and transmitting a large file,
particularly electronic forms with associated eXtensible mark-up
language (XML) schema, will take considerable time to process and be
received by Grants.gov.
b. Applications Receiving Waivers To Submit a Paper Copy
Application. Applicants granted a waiver to the electronic submission
requirement must use the United States Postal Service (USPS) to submit
their applications to HUD. Applicants must take their application to a
post office to get a receipt of mailing that provides the date and time
the package was submitted to the USPS. USPS rules now require that
large packages must be brought to a postal facility for mailing. In
many areas, the USPS has made a practice of returning to the sender,
large packages that have been dropped in a mail collection box. Paper
copy applications submitted to the USPS by the submission date and time
and received by HUD no later than 15 days after the established
submission date will receive funding consideration. If the USPS does
not have a receipt with a digital time stamp, HUD will accept a receipt
showing USPS Form 3817, Certificate of Mailing with a dated postmark.
The proof of submission receipt provided by the Postal Service must
show receipt no later than the application submission deadline.
Applicants whose applications are determined to be late, who cannot
furnish HUD with a receipt from the USPS that verifies the package was
submitted to the USPS prior to the submission due date and time will
not receive funding consideration. Applicants may use any type of mail
service provided by the USPS to have their application package
delivered to HUD in time to meet the submission requirements.
c. Late applications, whether received electronically or in hard
copy, will not receive funding consideration. HUD will not be
responsible for directing or forwarding applications to the appropriate
location. Applicants should pay close attention to these submission and
timely receipt instructions, as they can make a difference in whether
HUD will accept your application for funding consideration.
d. HUD will not accept fax transmissions from applicants who
receive a waiver to submit a paper copy application. Paper applications
must be complete and submitted in their entirety, via the USPS.
Applicants need to pay attention to providing the required number of
copies to the appropriate HUD office(s).
6. Continuum of Care Application Submission
For FY2005, Continuum of Care applications will continue to be
received in paper format. Please see the Continuum of Care program
section of the SuperNOFA for application submission and timely receipt
requirements that apply only to the Continuum of Care applications.

V. Application Review Information

A. Criteria

1. Factors for Award Used To Evaluate and Rate Applications
For each program NOFA, the points awarded for the rating factors
total 100. Depending upon the program for which you, the applicant, are
seeking funding, the funding opportunity may provide up to four bonus
points as provided below:
a. RC/EZ/EC-II. HUD FY2005 NOFAs provide for the award of two bonus
points for eligible activities/projects that the applicant proposes to
locate in federally designated empowerment zones (EZs), renewal
communities (RCs), or enterprise communities designated by the United
States Department of Agriculture (USDA) in round II (EC-IIs) that are
intended to serve the residents of these areas and that are certified
to be consistent with the area's strategic plan or RC Tax Incentive
Utilization Plan. For ease of reference in this notice, all of the
federally designated areas are collectively referred to as ``RC/EZ/EC-
IIs'' and residents of any of these federally designated areas as ``RC/
EZ/EC-II residents.'' The individual funding announcements will
indicate if the bonus points are available under the program. This
notice contains a certification that must be completed for the
applicant to be considered for RC/EZ/EC-II bonus points. A list of RC/
EZ/EC-IIs can be obtained from HUD's grants Web page at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants can determine
if their program or project activities are located in one of these
designated areas by using the locator on HUD's Web site at http://
www.hud.gov/crlocator.
b. Brownfields Showcase Communities. In the Brownfields Economic
Development Initiative (BEDI) competition, two bonus points are
available for federally designated Brownfields Showcase Communities.
(Please see the FY2005 BEDI program NOFA for additional information.)
The designation of Brownfields Showcase Communities is a federal agency
initiative sponsored by 20 federal agencies, including HUD. A list of
the

[[Page 13586]]

federally designated Brownfields Showcase Communities is available at
http://www.epa.gov/swerosps/bf/html-doc/showfact.htm.
c. The Five Standard Rating Factors for FY2005. HUD has established
the following five standard factors for awarding funds under the
majority of its FY2005 program NOFAs. Additional details about the five
rating factors and the maximum points for each factor are provided in
the program NOFAs. For a specific funding opportunity, HUD may modify
these factors to take into account explicit program needs or statutory
or regulatory limitations. You, the applicant, should carefully read
the factors for award as described in the program NOFA to which you are
responding. The standard factors for award, except as modified in the
program NOFAs, are listed below.
Factor 1: Capacity of the Applicant and Relevant Organizational
Staff.
Factor 2: Need/Extent of the Problem.
Factor 3: Soundness of Approach.
Factor 4: Leveraging Resources.
Factor 5: Achieving Results and Program Evaluation.
The Continuum of Care Homeless Assistance programs have only two
factors that receive points: Need and Continuum of Care.

B. Reviews and Selection Process

1. HUD's Strategic Goals To Implement HUD's Strategic Framework and
Demonstrate Results
HUD is committed to ensuring that programs result in the
achievement of HUD's strategic mission. To support this effort, grant
applications submitted for HUD programs will be rated on how well they
tie proposed outcomes to HUD's policy priorities and annual goals and
objectives, as well as the quality of the applicant's proposed
evaluation and monitoring plans. HUD's strategic framework establishes
the following goals and objectives for the department:
a. Increase Homeownership Opportunities.
(1) Expand national homeownership opportunities.
(2) Increase minority homeownership.
(3) Make the home-buying process less complicated and less
expensive.
(4) Fight practices that permit predatory lending.
(5) Help HUD-assisted renters become homeowners.
(6) Keep existing homeowners from losing their homes.
b. Promote Decent Affordable Housing.
(1) Expand access to affordable rental housing.
(2) Improve the physical quality and management accountability of
public and assisted housing.
(3) Increase housing opportunities for the elderly and persons with
disabilities.
(4) Help HUD-assisted renters make progress toward self-
sufficiency.
c. Strengthen Communities.
(1) Provide capital and resources to improve economic conditions in
distressed communities.
(2) Help organizations access the resources they need to make their
communities more livable.
(3) End chronic homelessness.
(4) Mitigate housing conditions that threaten health.
d. Ensure Equal Opportunity in Housing.
(1) Resolve discrimination complaints on a timely basis.
(2) Promote public awareness of fair housing laws.
(3) Improve housing accessibility for persons with disabilities.
e. Embrace High Standards of Ethics, Management, and
Accountability.
(1) Rebuild HUD's human capital and further diversify its
workforce.
(2) Improve HUD's management and its internal controls and systems,
as well as resolve audit issues.
(3) Improve accountability, service delivery, and customer service
of HUD and its partners.
(4) Ensure program compliance.
f. Promote Participation of Grassroots Faith-Based and Other
Community-Based Organizations.
(1) Reduce regulatory barriers to participation by grassroots
faith-based and other community-based organizations.
(2) Conduct outreach to inform potential partners of HUD
opportunities.
(3) Expand technical assistance resources deployed to grassroots
faith-based and other community-based organizations.
(4) Encourage partnerships between grassroots faith-based and other
community-based organizations and HUD's traditional grantees.
You can find out about HUD's Strategic Plan FY2003-FY2008, and
2002-2005 Annual Performance Plans at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
2. Policy Priorities
HUD encourages applicants to undertake specific activities that
will assist the Department in implementing its policy priorities and
achieving its goals for FY2005 and beyond, when the majority of funding
recipients will be reporting programmatic results and achievements.
Applicants that include work activities that specifically address one
or more of these policy priorities will receive higher rating scores
than applicants that do not address these HUD priorities. Each NOFA
issued in FY2005 will specify which priorities relate to a particular
program and how many points will be awarded for addressing those
priorities.
a. Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Persons with Limited English Proficiency. Too
often, these individuals and families are shut out of the housing
market through no fault of their own. Often developers of housing,
housing counseling agencies, and other organizations engaged in the
housing industry must work aggressively to open up the realm of
homeownership and rental opportunities to low- and moderate-income
persons, persons with disabilities, the elderly, minorities, and
persons with limited English proficiency. Many of these families are
anxious to have homes of their own, but are not aware of the programs
and assistance that are available. Applicants are encouraged to address
the housing, housing counseling, and other related supportive service
needs of these individuals and coordinate their proposed activities
with funding available through HUD's affordable housing programs and
home loan programs.
Proposed activities support strategic goals a, b, and d.
b. Improving Our Nation's Communities. HUD wants to improve the
quality of life for those living in distressed communities. Applicants
are encouraged to include activities that:
(1) Bring private capital into distressed communities;
(a) Finance business investments to grow new businesses;
(b) Maintain and expand existing businesses;
(c) Create a pool of funds for new small and minority-owned
businesses; and
(d) Create decent jobs for low-income persons.
(2) Improve the environmental health and safety of families living
in public and privately owned housing by including activities that:
(a) Coordinate lead hazard reduction programs with weatherization
activities funded by state and local governments and the federal
government; and
(b) Reduce or eliminate health related hazards in the home caused
by toxic agents such as molds and other

[[Page 13587]]

allergens, carbon monoxide, and other hazardous agents and conditions.
(3) Make communities more livable by:
(a) Providing public and social services; and
(b) Improving infrastructure and community facilities.
Activities support strategic goals b, c, and d.
c. Encouraging Accessible Design Features. As described in Section
III.C.2.c, applicants must comply with applicable civil rights laws
including the Fair Housing Act, Section 504 of the Rehabilitation Act
of 1973, and the Americans with Disabilities Act. These laws and the
regulations implementing them provide for nondiscrimination based on
disability and require housing and other facilities to incorporate
certain features intended to provide for their use and enjoyment by
persons with disabilities. HUD is encouraging applicants to add
accessible design features beyond those required under civil rights
laws and regulations. These features would eliminate many other
barriers limiting the access of persons with disabilities to housing
and other facilities. Copies of the Uniform Federal Accessibility
Standards (UFAS) are available from the NOFA Information Center at
(800) HUD-8929 or (800) HUD-2209 (TTY) (these are toll-free numbers)
and also from the Office of Fair Housing and Equal Opportunity,
Department of Housing and Urban Development, Room 5230, 451 Seventh
Street, SW., Washington, DC 20410-2000, at (202) 755-5404 or toll-free
at (800) 877-8339 (TTY) (these are toll-free numbers).
Accessible design features are intended to promote visitability and
incorporate features of universal design as described below.
(1) Visitability in New Construction and Substantial
Rehabilitation. Applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible. Visitability means that there is at least
one entrance at grade (no steps), approached by an accessible route,
such as a sidewalk, and that the entrance door and all interior passage
doors are at least 2 feet, 10 inches wide, allowing 32 inches of clear
passage space. A visitable home also serves persons without
disabilities, such as a mother pushing a stroller or a person
delivering a large appliance. More information about visitability is
available at www.concretechange.org.
Activities support strategic goals b, c, and d.
(2) Universal Design. Applicants are encouraged to incorporate
universal design in the construction or rehabilitation of housing,
retail establishments, and community facilities funded with HUD
assistance. Universal design is the design of products and environments
to be usable by all people to the greatest extent possible, without the
need for adaptation or specialized design. The intent of universal
design is to simplify life for everyone by making products,
communications, and the built environment more usable by as many people
as possible at little or no extra cost to the user. Universal design
benefits people of all ages and abilities. In addition to any
applicable required accessibility feature under Section 504 of the
Rehabilitation Act of 1973 or the design and construction requirements
of the Fair Housing Act, the Department encourages applicants to
incorporate the principles of universal design when developing housing,
community facilities, and electronic communication mechanisms or when
communicating with community residents at public meetings or events.
HUD believes that by creating housing that is accessible to all, it
can increase the supply of affordable housing for all, regardless of
ability or age. Likewise, creating places where people work, train, and
interact that are useable and open to all residents increases
opportunities for economic and personal self-sufficiency. More
information on Universal Design is available from the Center for
Universal Design at www.design.ncsu.edu:8120/cud/ or the Resource
Center on Accessible Housing and Universal Design at http://
www.abledata.com/abledata.cfm? pageid=113573&top=
16029§ionid=19326.
Activities support strategic goals a, b, c, and d.
d. Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(1) HUD encourages nonprofit organizations, including grassroots
faith-based and other community-based organizations, to participate in
the vast array of programs for which funding is available through HUD's
programs. HUD also encourages States, units of local government,
universities, colleges, and other organizations to partner with
grassroots organizations (e.g., civic organizations, faith communities,
and grassroots faith-based and other community-based organizations)
that have not been effectively utilized. These grassroots organizations
have a strong history of providing vital community services, such as
assisting the homeless and preventing homelessness, counseling
individuals and families on fair housing rights, providing elderly
housing opportunities, developing first-time homeownership programs,
increasing homeownership and rental housing opportunities in
neighborhoods of choice, developing affordable and accessible housing
in neighborhoods across the country, creating economic development
programs, and supporting the residents of public housing facilities.
HUD seeks to make its programs more effective, efficient, and
accessible by expanding opportunities for grassroots organizations to
participate in developing solutions for their own neighborhoods.
Additionally, HUD encourages applicants to include these grassroots
faith-based and other community-based organizations in their workplans.
Applicants, their partners, and participants must review the individual
FY2005 HUD program announcements to determine whether they are eligible
to apply for funding directly or whether they must establish a working
relationship with an eligible applicant in order to participate in a
HUD funding opportunity. Grassroots faith-based and other community-
based organizations, and applicants that currently or propose to
partner, fund, subgrant, or subcontract with grassroots organizations
(including grassroots faith-based or other community-based nonprofit
organizations eligible under applicable program regulations) in
conducting their work programs will receive higher rating points as
specified in the individual FY2005 HUD program announcements.
(2) Definitions of Grassroots Organizations.
(a) HUD will consider an organization a ``grassroots organization''
if the organization is headquartered in the local community in which it
provides services; and,
(i) Has a social services budget of $300,000 or less, or
(ii) Has six or fewer full-time equivalent employees.
(b) Local affiliates of national organizations are not considered
``grassroots.'' Local affiliates of national organizations are
encouraged, however, to partner with grassroots organizations, but must
demonstrate that they are currently working with a grassroots
organization (e.g., having a grassroots faith-based or other community-
based organization provide volunteers).
(c) The cap provided in paragraph (2)(a)(i) above includes only
that portion of an organization's budget allocated to

[[Page 13588]]

providing social services. It does not include other portions of the
budget, such as salaries and expenses, not directly expended in the
provision of social services.
Activities support strategic goal f.
e. Participation of Minority-Serving Institutions (MSIs) in HUD
Programs. Pursuant to Executive Orders 13256, ``President's Board of
Advisors on Historically Black Colleges and Universities,'' 13230,
``President's Advisory Commission on Educational Excellence for
Hispanic Americans,'' 13216, ``Increasing Participation of Asian
Americans and Pacific Islanders in Federal Programs,'' and 13270,
``Tribal Colleges and Universities,'' HUD is strongly committed to
broadening the participation of MSIs in its programs. HUD is interested
in increasing the participation of MSIs in order to advance the
development of human potential, strengthen the nation's capacity to
provide high quality education, and increase opportunities for MSIs to
participate and benefit from federal financial assistance programs. HUD
encourages all applicants and recipients to include meaningful
participation of MSIs in their work programs. A listing of MSIs can be
found on the Department of Education Web site at http://www.ed.gov/
about/offices/list/ocr/edlite-minorityinst.html or HUD's Web site at
http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Activities support strategic goals c and d.
f. Ending Chronic Homelessness. President Bush has set a national
goal to end chronic homelessness. Secretary Alphonso Jackson has
embraced this goal and has pledged that HUD's grant programs will be
used to support the President's goal and better meet the needs of
chronically homeless individuals. A person experiencing chronic
homelessness is defined as an unaccompanied individual with a disabling
condition who has been continuously homeless for a year or more or has
experienced four or more episodes of homelessness over the last three
years. A disabling condition is defined as a diagnosable substance
abuse disorder, serious mental illness, developmental disability, or
chronic physical illness or disability, including the co-occurrence of
two or more of these conditions. Applicants are encouraged to target
assistance to chronically homeless persons by undertaking activities
that will result in:
(1) Creation of affordable housing units, supportive housing and
group homes;
(2) Establishment of a set-aside of units of affordable housing for
the chronically homeless;
(3) Establishment of substance abuse treatment programs targeted to
the homeless population;
(4) Establishment of job training programs that will provide
opportunities for economic self-sufficiency;
(5) Establishment of counseling programs that assist homeless
persons in finding housing, managing finances, managing anger, and
building interpersonal relationships;
(6) Provision of supportive services, such as health care
assistance that will permit homeless individuals to become productive
members of society; and
(7) Provision of service coordinators or one-stop assistance
centers that will ensure that chronically homeless persons have access
to a variety of social services.
Applicants that are developing programs to meet the goals set in
this policy priority should be mindful of the requirements of the
regulations implementing Section 504 of the Rehabilitation Act, in
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1), and 8.4(d).
Activities support strategic goals b and c.
g. Removal of Regulatory Barriers to Affordable Housing. On March
22, 2004, HUD published a final notice (69 FR 13450) announcing its
intention to establish the Removal of Regulatory Barriers to Affordable
Housing policy priority in the majority of its FY2004 NOFAs. In that
notice, HUD advised that applicants would be required to respond to a
series of evaluative questions in order to receive the rating points
associated with this priority. On April 21, 2004 (69 FR 21663), HUD
published a correction to Question 5 in Part A of the questionnaire. In
the April 21, 2004 notice, HUD also responded to questions that arose
after the publication of the March 22, 2004 notice. In FY2005, HUD is
continuing to make this a policy priority. Through this initiative, HUD
is seeking input into how it can work more effectively with the public
and private sectors to remove regulatory barriers to affordable
housing. The published notices address how HUD will evaluate the
effectiveness of State and local government efforts to remove
regulatory barriers to affordable housing.
Increasing the affordability of rental and homeownership housing
continues to be a high priority of the Department. Over the last 15
years, there has been increased recognition that unnecessary,
duplicative, excessive, or discriminatory public processes often
significantly increase the cost of housing development and
rehabilitation. Often referred to as ``regulatory barriers to
affordable housing,'' many public statutes, ordinances, regulatory
requirements, or processes and procedures significantly impede the
development or availability of affordable housing without providing a
commensurate or demonstrable health or safety benefit. ``Affordable
housing'' is decent, quality housing that low-, moderate-, and middle-
income families can afford to buy or rent without spending more than 30
percent of their income; spending more than 30 percent of income on
shelter may require families to sacrifice other necessities of life.
Addressing these barriers to housing affordability is a necessary
component of any overall national housing policy. However, addressing
such barriers must be viewed as a complement, not a substitute, for
other efforts to meet affordable housing needs. For many families,
federal, state, and local subsidies are fundamental tools for meeting
these affordable needs. In many instances, however, other sometimes
well-intentioned public policies work at cross-purposes with subsidy
programs by imposing significant constraints. From zoning that keeps
out affordable housing, especially multifamily housing, to other
regulations and requirements that unnecessarily raise the costs of
construction, the need to address this issue is clear. For example,
affordable rehabilitation is often constrained by outmoded building
codes that require excessive renovation. Barrier removal will not only
make it easier to find and get approval for affordable housing sites
but it will also allow available subsidies to go further in meeting
these needs. For housing for moderate-income families often referred to
as ``work force'' housing, barrier removal can be the most essential
component of meeting housing needs.
Under this policy priority, higher rating points are available to
(1) governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. To obtain the
policy priority points for efforts to successfully remove regulatory
barriers, applicants must complete form HUD-27300, ``Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers.'' Copies of HUD's
notices published on this issue, can be found on HUD's Web site at
http://www.hud.gov/offices/adm/

[[Page 13589]]

grants/fundsavail.cfm. Local jurisdictions and counties with land use
and building regulatory authority applying for funding, as well as
housing authorities, nonprofit organizations, and other qualified
applicants applying for funds for projects located in these
jurisdictions, are invited to answer the 20 questions under Part A. An
applicant that scores at least five in column 2 will receive 1 point in
the NOFA evaluation. An applicant that scores 10 or more in column 2
will receive 2 points in the NOFA evaluation.
State agencies or departments applying for funding, as well as
housing authorities, nonprofit organizations, and other qualified
applicants applying for funds for projects located in unincorporated
areas or areas not otherwise covered in Part A are invited to answer
the 15 questions under Part B. Under Part B an applicant that scores at
least four in Column 2 will receive one point in the NOFA evaluation.
Under Part B an applicant that scores eight or greater will receive a
total of two points in the respective evaluation. Applicants that will
be providing services in multiple jurisdictions may choose to address
the questions in either Part A or Part B for that jurisdiction in which
the preponderance of services will be performed if an award is made. In
no case will an applicant receive more than two points for barrier
removal activities under this policy priority. An applicant that is an
Indian tribe or TDHE may choose to complete either Part A or Part B
based upon a determination by the tribe or TDHE as to whether the
tribe's or the TDHE's association with the local jurisdiction or the
state would be the more advantageous for its application.

Note: Upon completion of all NOFA evaluations, grant selections,
and awards, it is HUD's intent to add relevant data obtained from
this evaluative factor to the database on state and local regulatory
reform actions maintained at the Regulatory Barrier Clearinghouse
Web site at http://www.huduser.org/rbc/ used by states, localities,
and housing providers to identify regulatory barriers and learn of
exemplary local efforts at regulatory reform.

Form HUD-27300 can be found in the appendix to this General
Section. A limited number of questions on form HUD-27300 expressly
request the applicant to provide brief documentation with its response.
Other questions require that, for each affirmative statement made, the
applicant supply a reference, Internet address, or brief statement
indicating where the back-up information may be found and a point of
contact, including a telephone number or e-mail address. Applicants are
encouraged to read HUD's three notices to obtain an understanding of
this policy priority and how it can affect their score. Applicants that
do not provide the Internet addresses, references, or documentation
will not get the policy priority points.
Activities support strategic goals a and b.
h. Participation in Energy Star. The Department of Housing and
Urban Development has adopted a wide-ranging energy action plan for
improving energy efficiency in all program areas. As a first step in
implementing the energy plan, HUD, the Environmental Protection Agency
(EPA), and the Department of Energy (DOE) have signed a partnership to
promote energy efficiency in HUD's affordable housing programs,
including public housing, HUD insured housing, and housing financed
through HUD formula and competitive programs. The purpose of the Energy
Star partnership is to promote energy-efficient affordable housing
stock while protecting the environment. Applicants constructing,
rehabilitating, or maintaining housing or community facilities are
encouraged to promote energy efficiency in design and operations. They
are urged especially to purchase and use products that display the
Energy Star label. Applicants providing housing assistance or
counseling services are encouraged to promote Energy Star materials and
practices, as well as buildings constructed to Energy Star standards,
to both homebuyers and renters.
Applicants are encouraged to undertake program activities that
include developing Energy Star promotional and information materials,
providing outreach to low- and moderate-income renters and buyers on
the benefits and savings when using Energy Star products and
appliances, utilizing Energy Star-designated products in the
construction or rehabilitation of housing units, and replacing worn
products or facilities such as light bulbs, water heaters, furnaces,
etc., with Energy Star products to reduce operating costs. Communities
and developers are encouraged to promote the designation of community
buildings and homes as Energy Star compliant. For further information
about Energy Star see http://www.energystar.gov or call (888) 782-7937,
or 8 (888) 588-9920 (TTY).
Activities support Strategic Goals 1 and 2.
3. Threshold Compliance
Only applications that meet all of the threshold requirements will
be eligible to receive an award of funds from HUD.
4. Corrections to Deficient Applications
After the application submission date, HUD may not, consistent with
its regulations in 24 CFR part 4, subpart B, consider any unsolicited
information you, the applicant, may want to provide. HUD may contact
you to clarify an item in your application or to correct technical
deficiencies. HUD may not seek clarification of items or responses that
improve the substantive quality of your response to any rating factors.
In order not to unreasonably exclude applications from being rated and
ranked, HUD may contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, failure to submit the proper
certifications, and failure to submit an application that contains a
signature by an official able to make a legally biding commitment on
behalf of the applicant. In the case of an applicant that received a
waiver, the technical deficiency may include failure to submit an
application that contains an original signature. If HUD finds a curable
deficiency in the application, HUD will notify you in writing by
describing the clarification or technical deficiency. HUD will notify
applicants by facsimile or by USPS, return receipt requested.
Clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD must be submitted within 14
calendar days of the date of receipt of the HUD notification. (If the
submission date falls on a Saturday, Sunday, or federal holiday, your
correction must be received by HUD on the next day that is not a
Saturday, Sunday, or federal holiday.) If the deficiency is not
corrected within this time period, HUD will reject the application as
incomplete and it will not be considered for funding. In order to meet
statutory deadlines for the obligation of funds or for timely
completion of the review process, program NOFAs may reduce the number
of days for submitting a response to a HUD clarification or correction
to a technical deficiency. Please be sure to carefully read each
program NOFA for any additional information and instructions. An
applicant's response to a HUD notification of a curable deficiency
should be submitted directly to HUD in accordance with the instructions
provided in the notification.

[[Page 13590]]

5. Rating Panels
To review and rate applications, HUD may establish panels that may
include persons not currently employed by HUD. HUD may include these
non-HUD employees to obtain certain expertise and outside points of
view, including views from other federal agencies. Persons brought into
HUD to review applications are subject to conflict of interest
provisions. In addition, reviewers using HUD Information Technology
(IT) systems may be subject to an IT security check.
6. Rating
HUD will evaluate and rate all applications for funding that meet
the threshold requirements. HUD will consider the factors described
below when rating your application(s).
a. Past Performance. In evaluating applications for funding, HUD
will take into account applicants' past performance in managing funds,
including, but not limited to, the ability to account for funds
appropriately; timely use of funds received either from HUD or other
federal, state, or local programs; meeting performance targets for
completion of activities and receipt of promised matching or leveraged
funds; and number of persons to be served or targeted for assistance.
HUD may consider information available from HUD's records, the name
check review, public sources such as newspapers, Inspector General or
Government Accountability Office reports or findings, or hotline or
other complaints that have been proven to have merit.
b. Deducting Points for Poor Performance. In evaluating past
performance, HUD may elect to deduct points from the rating score or
establish threshold levels as specified under the Factors for Award in
the individual program NOFAs.
7. Ranking
HUD will rank applicants within each program or, for Continuum of
Care applicants, across the three programs identified in the Continuum
of Care NOFA. HUD will rank applicants only against those applying for
the same program funding.
Where there are set-asides within a program competition, you, the
applicant, will compete against only those applicants in the same set-
aside competition.

C. Anticipated Announcement and Award Dates

The individual program NOFAs will provide the applicable
information regarding this subject.

VI. Award Administration Information

A. Award Notices

1. Negotiation
After HUD has rated and ranked all applications and made
selections, HUD may require, depending upon the program, that a
selected applicant participate in negotiations to determine the
specific terms of the funding agreement and budget. In cases where HUD
cannot successfully conclude negotiations with a selected applicant or
a selected applicant fails to provide HUD with requested information,
an award will not be made to that applicant. In such an instance, HUD
may offer an award and proceed with negotiations with the next highest-
ranking applicant.
2. Adjustments to Funding
a. HUD reserves the right to fund less than the full amount
requested in your application to ensure the fair distribution of funds
and enable the purposes or requirements of a specific program to be
met.
b. HUD will not fund any portion of your application that is not
eligible for funding under specific program statutory or regulatory
requirements; does not meet the requirements of this notice; or is
duplicative of other funded programs or activities from prior year
awards or other selected applicants. Only the eligible portions of your
application (excluding duplicative portions) may be funded.
c. If funds remain after funding the highest-ranking applications,
HUD may fund all or part of the next highest-ranking application in a
given program. If you, the applicant, turn down an award offer, HUD
will make an offer of funding to the next highest-ranking application.
d. If funds remain after all selections have been made, remaining
funds may be made available within the current fiscal year for other
competitions within the program area or held over for future
competitions.
e. Individual program NOFAs may have other requirements, so please
review the program NOFA carefully.
3. Funding Errors
In the event HUD commits an error that, when corrected, would
result in selection of an otherwise eligible applicant during the
funding round of a program NOFA, HUD may select that applicant when
sufficient funds become available.
4. Performance and Compliance Actions of Funding Recipients
HUD will measure and address the performance and compliance actions
of funding recipients in accordance with the applicable standards and
sanctions of their respective programs.
5. Debriefing
For a period of at least 120 days, beginning 30 days after the
awards for assistance are publicly announced, HUD will provide to a
requesting applicant a debriefing related to its application. A
debriefing request must be made in writing or by email by the
authorized official whose signature appears on the SF-424 or his or her
successor in office, and submitted to the person or organization
identified as the Contact under the section entitled ``Agency
Contact(s)'' in the individual program NOFA under which you applied for
assistance. Information provided during a debriefing will include, at a
minimum, the final score you received for each rating factor, final
evaluator comments for each rating factor, and the final assessment
indicating the basis upon which assistance was provided or denied.

B. Administrative and National Policy Requirements

See Section III.C. of this notice regarding related requirements.

C. Reporting

The individual program NOFAs will identify applicable reporting
requirements related to each program, including racial and ethnic data
collection requirements based upon the OMB standards for federal data
on race and ethnicity, dated August 13, 2002. Applicants are also
required to submit a completed form HUD-96010 Logic Model indicating
results achieved against the proposed output goal(s) and proposed
outcome(s) stated in your approved application and agreed to by HUD.
The submission of the Logic Model and required information should be in
accord with the reporting time frames identified for providing reports
to HUD in each program NOFA.

VII. Agency Contact(s)

The individual program NOFAs will identify the applicable agency
contacts related to each program. Questions regarding this notice
should be directed to Dorthera (Rita) Yorkshire or Eric Gauff, in HUD's
Office of Departmental Grants Management, at (202) 708-0667 (this is
not a toll-free number). Persons with speech or hearing impairments may
contact Ms. Yorkshire or Mr. Gauff using the toll-free Federal Relay
Service

[[Page 13591]]

at (800) 877-8339. Questions regarding specific program requirements
should be directed to the agency contacts identified in each program
NOFA.

VIII. Other Information

A. Grants.gov and Pub. L. 106-107 Streamlining Activities

The Federal Financial Assistance Management Improvement Act of 1999
(Pub. L. 106-107) directs each federal agency to develop and implement
a plan that, among other things, streamlines and simplifies the
application, administrative, and reporting procedures for federal
financial assistance programs administered by the agency. This law also
requires the Director of OMB to direct, coordinate, and assist federal
agencies in establishing (1) a common application and reporting system
and (2) an interagency process for addressing ways to streamline and
simplify federal financial assistance application and administrative
procedures and reporting requirements for program applicants.
HUD is working with the 26 federal grant-making agencies to
implement President George W. Bush's grants.gov ``FIND and APPLY''
initiative. This initiative is an effort by federal agencies to develop
a common electronic application and reporting system for federal
financial assistance. This system will provide ``one-stop shopping''
for funding opportunities for all federal programs. The system is being
implemented in response to public and governmental concerns that it is
difficult for organizations to know all the funding available from the
federal government and how to apply for funding. It also is an effort
by the federal government to develop common application requirements,
further streamlining the application process to make it easier for you,
our customers, to apply for funding.
The first segment of the Grants.gov initiative focuses on allowing
the public to easily FIND competitive funding opportunities and then
APPLY via Grants.gov. HUD posted all of its funding opportunities on
www.grants.gov/Find in FY2004 and intends to do the same in FY2005. In
FY2004, HUD posted two fully electronic grant applications on
Grants.gov Find and Apply. In FY2005, HUD is posting all but the
Continuum of Care NOFA on Grants.gov for electronic application
submission through www.grants.gov/Apply. It is HUD's intent to post the
Continuum of Care as a fully electronic application for submission on
www.grants.gov/Apply in FY2006.
In addition, Grants.gov is working with the federal agencies to
begin the process of accepting mandatory and formula grant program
plans and application submissions online via Grants.gov in 2005-2006.
Applicants for HUD's formula and competitive programs are urged to
become familiar with the Grants.gov site, registration procedures, and
electronic submissions so that as the site is expanded, you will be
registered and familiar with the find and apply functionality.

B. HUD-IRS Memorandum of Agreement

HUD and the Internal Revenue Service have entered into a Memorandum
of Agreement to provide information to HUD grantees serving low-income,
disabled, and elderly persons, as well as persons with limited English
proficiency, on the availability of low-income tax credits; the earned
income tax credit; individual development accounts; child tax credits,
and the IRS Voluntary Income Tax Assistance program. HUD is making
available on its website information on these IRS asset-building
resources. We encourage you to visit the site and disseminate this
information to low-income residents in your community and other
organizations that serve low-income residents, so that eligible
individuals can take advantage of these resources.

C. Paperwork Reduction Act Statement

The information collection requirements in this notice have been
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C.
3501-3520). In accordance with the Paperwork Reduction Act, HUD may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a valid OMB
control number. Each program NOFA will identify its applicable OMB
control number.

D. Environmental Impact

A Finding of No Significant Impact with respect to the environment
has been made for this notice in accordance with HUD regulations at 24
CFR part 50 that implement Section 102(2)(C) of the National
Environmental Policy Act of 1969 (42 U.S.C. 4332(2)(C)). The Finding of
No Significant Impact is available for public inspection between 8 a.m.
and 5 p.m. eastern time, Monday through Friday, except federal
holidays, in the Office of the General Counsel, Regulations Division,
Room 10276, Department of Housing and Urban Development, 451 Seventh
Street, SW., Washington, DC 20410-0500.

E. Executive Orders and Congressional Intent

1. Executive Order 13132, Federalism
Executive Order 13132 prohibits, to the extent practicable and
permitted by law, an agency from promulgating policies that have
federalism implications and either impose substantial direct compliance
costs on State and local governments and are not required by statute,
or preempt State law, unless the relevant requirements of Section 6 of
the executive order are met. This notice does not have federalism
implications and does not impose substantial direct compliance costs on
State and local governments or preempt State law within the meaning of
the executive order.
2. Sense of Congress
The Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2004), includes a Sense of Congress resolution,
which states that, to the greatest extent practicable, all equipment
and products purchased with funds made available in the Consolidated
Appropriations Act, 2005, should be American-made.

F. Public Access, Documentation, and Disclosure

Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified at 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992, HUD published a notice that also provides
information on the implementation of Section 102 (57 FR 1942). The
documentation, public access, and disclosure requirements of Section
102 apply to assistance awarded under individual NOFAs published as
part of HUD's SuperNOFA or thereafter, as described below.
1. Documentation, Public Access and Disclosure Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to its FY2005 NOFAs published in
the FY2005 SuperNOFA or NOFAs published thereafter are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a five-year period beginning not less than 30
days after the award of the assistance. Material will be

[[Page 13592]]

made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations (24 CFR part 15).
2. Form HUD-2880
HUD will also make available to the public for five years all
applicant disclosure reports (form HUD-2880) submitted in connection
with an FY2005 NOFA. Update reports (also reported on form HUD-2880)
will be made available along with the applicant disclosure reports, but
in no case for a period of less than three years. All reports, both
applicant disclosures and updates, will be made available in accordance
with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations (24 CFR part 5).
3. Publication of Recipients of HUD Funding
HUD's regulations at 24 CFR part 4 provide that HUD will publish a
notice in the Federal Register to notify the public of all funding
decisions made by the Department to provide:
a. Assistance subject to Section 102(a) of the HUD Reform Act; and
b. Assistance provided through grants or cooperative agreements on
a discretionary (non-formula, non-demand) noncompetitive basis, but
that is not provided on the basis of a competition.

G. Section 103 of the HUD Reform Act

HUD's regulations implementing Section 103 of the HUD Reform Act,
codified at 24 CFR part 4, subpart B, apply to this funding
competition. The regulations continue to apply until the announcement
of the selection of successful applicants. HUD employees involved in
the review of applications and in the making of funding decisions are
prohibited by the regulations from providing advance information to any
person (other than an authorized employee of HUD) concerning funding
decisions or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance should confine their
inquiries to the subject areas permitted under 24 CFR part 4.
Applicants or employees who have ethics-related questions should
contact the HUD Ethics Law Division at (202) 708-3815 (this is not a
toll-free number). The toll-free TTY number for persons with speech or
hearing impairments is (800) 877-8339. HUD employees who have specific
program questions should contact the appropriate field office counsel
or Headquarters counsel for the program to which the question pertains.

H. The FY2005 HUD NOFA Process and Future HUD Funding Processes

Each year, HUD strives to improve its NOFA process. The FY2005
NOFAs have been revised based upon comments received during the FY2004
funding process. The changes also reflect HUD's efforts to move to
electronic government consistent with federal government-wide
practices. In FY2004, as part of the Public Law 106-107 streamlining
efforts and the interagency eGrants Initiative, HUD began making
considerable changes to the format and presentation of its funding
notices, which have been enhanced further for FY2005. HUD is
continually striving to ensure effective communication with HUD program
funding recipients and potential funding recipients. HUD has been
posting pertinent documents related to these efforts on its Web site.
HUD encourages you to visit the Department's Web site on an ongoing
basis to keep abreast of the latest developments. HUD's website address
for information on this initiative is http://www.hud.gov/offices/adm/
grants/egrants/egrants.cfm. Information on grant streamlining
activities can be found at http://www.hud.gov/offices/adm/grants/pl-
106107/pl106-107.cfm. HUD continues to welcome comments and feedback
from applicants and other members of the public on how HUD may further
improve its competitive funding process.
The programs for which funding is available in the FY2005 SuperNOFA
are published simultaneously with this policy notice and follow this
section and its appendices.

Dated: March 4, 2005.
Roy A. Bernardi,
Deputy Secretary.
BILLING CODE 4210-32-P

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[[Page 13645]]

Community Development Technical Assistance Overview Information

A. Federal Agency Name. Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title. Community Development Technical
Assistance (CD-TA).
C. Announcement Type. Initial Announcement.
D. Funding Opportunity Number. The Federal Register number for this
NOFA is FR-4950-N-03. The OMB approval number for this program is 2506-
0166 for HOME Investment Partnerships Program (HOME), HOME Investment
Partnerships Program for Community Housing Development Organizations
[CHDO (HOME)], McKinney-Vento Homeless Assistance (Homeless), and
Community Development Block Grants (CDBG), 2506-0133 for Housing
Opportunities for Persons With AIDS (HOPWA), and 2506-0142 for
Youthbuild.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers. The HOME
and CHDO (HOME) CFDA number is 14.239; Homeless is 14.235; HOPWA is
14.241; CDBG Entitlement Grants is 14.218; CDBG for Small Cities
Program is 14.219; CDBG for States is 14.228; CDBG for Insular Areas is
14.225; CDBG--Section 108 is 14.248; Youthbuild is 14.243.
F. Dates. The application submission date is June 1, 2005.
G. Additional Overview and Content Information. Applicants
interested in providing technical assistance to entities participating
in HUD's community development programs should carefully review the
General Section of the SuperNOFA and the information listed in this CD-
TA NOFA. Funds are available to provide technical assistance for six
separate program areas: HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and
Youthbuild. Applicants may apply for one, two, three, four, five, or
all six CD-TA program areas. The application submission information is
contained in this CD-TA NOFA at Section IV.B. Approximately $30.1
million is available. No cost sharing is required. Grants will be
administered under cooperative agreements with significant HUD
involvement (see Section II.C of this NOFA).

Full Text of Announcement

I. Funding Opportunity Description

A. CD-TA Purpose

The purpose of the CD-TA program is to provide assistance to
achieve the highest level of performance and results for six separate
community development program areas: (1) HOME; (2) CHDO (HOME); (3)
Homeless; (4) HOPWA; (5) CDBG; and (6) Youthbuild. Information about
the six community development programs and their missions, goals, and
activities can be found on the HUD Web site at http://www.hud.gov.

B. Description of National TA and Local TA

There are two types of technical assistance (TA) funding available
in this NOFA: National TA and Local TA.
National TA activities are those that address, at a nationwide
level, one or more of the CD-TA program activities and/or priorities
identified in Section III.C of this NOFA. National TA activities may
include the development of written products, development of on-line
materials, development of training courses, delivery of training
courses previously approved by HUD, organization and delivery of
workshops and conferences, and delivery of direct TA as part of a
national program. Applicants for National TA must also be willing to
work in any HUD field office area, although work in the field office
areas is likely to be a negligible portion of National TA activities.
National TA activities are administered by a Government Technical
Representative (GTR) and Government Technical Monitor (GTM) at HUD
Headquarters.
Local TA activities also must address the CD-TA program activities
and/or priorities identified in this NOFA, however the Local TA is
targeted to the specific needs of the HUD community development program
recipients in the field office area in which the TA is proposed. Local
TA activities are limited to the development of need assessments,
direct TA to HUD community development program recipients, organization
and delivery of workshops and conferences, and customization and
delivery of previously HUD-approved trainings. Local TA will be
administered by a GTR and GTM in the respective HUD field office.

C. Authority

HOME TA is authorized by the HOME Investment Partnerships Act (42
U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME) TA is authorized by
the HOME Investment Partnerships Act (42 U.S.C. 12773); 24 CFR part 92.
For the McKinney-Vento Act Homeless Assistance Programs TA, the
Supportive Housing Program is authorized under 42 U.S.C. 11381 et seq.;
24 CFR 583.140; Emergency Shelter Grants, Section 8 Moderate
Rehabilitation Single Room Occupancy Program, and Shelter Plus Care TA
are authorized by the FY2005 HUD Appropriations Act. HOPWA TA is
authorized under the FY2005 HUD Appropriations Act. CDBG TA is
authorized under Title I of the Housing and Community Development Act
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402. Youthbuild TA is
authorized under Title IV of the Cranston-Gonzalez National Affordable
Housing Act, as amended by the Housing and Community Development Act of
1992 (42 U.S.C. 12899); 24 CFR part 585.

II. Award Information

A. Available Funds

Approximately $30,120,000 is available for the CD-TA program.
Additional funds may become available as a result of recapturing unused
funds. This chart shows how the funds are divided among National TA and
Local TA activities:

------------------------------------------------------------------------
Program National TA Local TA
------------------------------------------------------------------------
HOME.......................................... $2,216,000 $5,000,000
CHDO (HOME)................................... 2,440,000 5,000,000
Homeless...................................... 6,000,000 3,000,000
HOPWA......................................... 2,000,000 0
CDBG.......................................... 1,388,800 0
Youthbuild.................................... 3,075,200 0
------------------------------------------------------------------------

The Local TA funds are divided among HUD's field office
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No
Local TA funds are available for HOPWA, CDBG, or Youthbuild.
The chart below shows the amounts available in dollars for Local TA
by CD-TA program:

----------------------------------------------------------------------------------------------------------------
Local TA area HOME CHDO (HOME) Homeless
----------------------------------------------------------------------------------------------------------------
Alabama................................................... $100,000 $75,000 $40,000
Alaska.................................................... 40,000 30,000 30,000
Arkansas.................................................. 40,000 30,000 40,000
California--Northern and Arizona, Nevada.................. 300,000 300,000 300,000
California--Southern...................................... 300,000 400,000 275,000

[[Page 13646]]

Caribbean................................................. 50,000 75,000 40,000
Colorado and Montana, North Dakota, South Dakota, Utah, 170,000 170,000 60,000
Wyoming..................................................
Connecticut............................................... 60,000 55,000 40,000
District of Columbia area................................. 60,000 50,000 50,000
Florida--Southern......................................... 60,000 60,000 50,000
Florida--Northern......................................... 150,000 100,000 70,000
Georgia................................................... 125,000 75,000 50,000
Hawaii.................................................... 70,000 0 40,000
Illinois.................................................. 275,000 125,000 145,000
Indiana................................................... 90,000 50,000 25,000
Kansas and Missouri--Western.............................. 60,000 75,000 50,000
Missouri--Eastern......................................... 45,000 55,000 40,000
Kentucky.................................................. 100,000 150,000 40,000
Louisiana................................................. 75,000 50,000 40,000
Maryland, except District of Columbia area................ 60,000 50,000 40,000
Massachusetts, Maine, New Hampshire, Rhode Island, Vermont 300,000 250,000 200,000
Michigan.................................................. 200,000 225,000 138,000
Minnesota................................................. 75,000 140,000 52,000
Mississippi............................................... 70,000 125,000 50,000
Nebraska and Iowa......................................... 40,000 40,000 40,000
New Jersey................................................ 50,000 25,000 25,000
New Mexico................................................ 120,000 225,000 50,000
New York--Downstate....................................... 410,000 482,000 250,000
New York--Upstate......................................... 80,000 60,000 35,000
North Carolina............................................ 105,000 150,000 40,000
Ohio...................................................... 215,000 116,000 125,000
Oklahoma.................................................. 40,000 40,000 40,000
Oregon and Idaho.......................................... 100,000 130,000 30,000
Pennsylvania--Eastern and Delaware........................ 75,000 75,000 50,000
Pennsylvania--Western and West Virginia................... 145,000 158,000 57,000
South Carolina............................................ 55,000 34,000 40,000
Tennessee................................................. 125,000 150,000 40,000
Texas--Northern........................................... 250,000 250,000 88,000
Texas--Southern........................................... 60,000 20,000 40,000
Virginia, except District of Columbia area................ 80,000 80,000 40,000
Washington................................................ 50,000 50,000 50,000
Wisconsin................................................. 125,000 200,000 55,000
----------------------------------------------------------------------------------------------------------------

B. Performance Period

Awards will be for a period of up to 36 months. HUD, however,
reserves the right to withdraw funds from a specific TA provider if HUD
determines that the urgency of need for the assistance is greater in
other field office jurisdictions or the need for assistance is not
commensurate with the award.

C. Terms of Award

HUD will enter into a cooperative agreement with selected
applicants for the performance period. Because CD-TA awards are made as
cooperative agreements, implementation entails significant HUD
involvement. Significant HUD involvement is required in all aspects of
TA planning, delivery, and follow-up.
In addition to the requirements listed in the General Section of
the SuperNOFA, selected applicants are subject to the following
requirements:
1. Demand-Response System
All CD-TA awardees must operate within the structure of the demand-
response system. Under the demand-response system, TA providers are
required to:
a. When requested by a GTR, market the availability of their
services to existing and potential recipients within the jurisdictions
in which the assistance will be delivered;
b. Respond to requests for assistance from the GTR;
c. When requested by a GTR, conduct a needs assessment to identify
the type and nature of the assistance needed by the recipient of the
assistance;
d. Obtain the local HUD field office's approval before responding
to direct requests for technical assistance from HOME Participating
Jurisdictions (PJs), Community Housing Development Organizations
(CHDOs), and McKinney-Vento Act Homeless Assistance, HOPWA, and CDBG
grantees; and
e. For CHDO (HOME) TA providers, secure a letter from a PJ stating
that a CHDO, or prospective CHDO to be assisted by the provider, is a
recipient or intended recipient of HOME funds and indicating, at its
option, subject areas of assistance that are most important to the PJ.
2. Training
When conducting training sessions as part of its CD-TA activities,
CD-TA providers are required to:
a. Design the course materials as ``step-in'' packages so that HUD
or other CD-TA providers may independently conduct the course on their
own;
b. Make the course materials available to the GTR in sufficient
time for review (minimum of three weeks) and receive concurrence from
the GTR on the content and quality prior to delivery;
c. Provide all course materials in an electronic format that will
permit wide distribution among TA providers, field offices, and HUD
grantees;
d. Arrange for joint delivery of the training with HUD
participation when requested by the GTR;
e. Deliver HUD-approved training courses that have been designed
and developed by others on a ``step-in'' basis when requested; and
f. Send trainers to approved ``train-the-trainers'' sessions. The
costs associated with attending these required sessions are eligible
under the cooperative agreement.

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3. Field Office Involvement Under National TA Awards
When National TA providers are undertaking activities in field
office jurisdictions, the National TA providers must work cooperatively
with HUD field offices. Providers must notify the applicable HUD field
office of the planned activities; consider the views or recommendations
of that office, if any; follow those recommendations, to the degree
practicable; and report to the applicable field office on the
accomplishments of the assistance.

III. Eligibility Information

A. Eligible Applicants

The eligible applicants for each of the six CD-TA programs are
listed in the chart below. In accordance with the President's faith-
based initiative, HUD welcomes the participation of eligible faith-
based and other community organizations in the CD-TA programs.

------------------------------------------------------------------------
Program Eligible applicants
------------------------------------------------------------------------
HOME......................... A for-profit or nonprofit professional
and technical services company or firm
that has demonstrated knowledge of the
HOME program and the capacity to provide
technical assistance services;
A HOME Participating Jurisdiction (PJ);
A public purpose organization,
established pursuant to state or local
legislation, responsible to the chief
elected officer of a PJ;
An agency or authority established by two
or more PJs to carry out activities
consistent with the purposes of the HOME
program; or
A national or regional nonprofit
organization that has membership
comprised predominately of entities or
officials of entities of PJs or PJs'
agencies or established organizations.
CHDO (HOME).................. A public or private nonprofit
intermediary organization that
customarily provides services, in more
than one community, related to the
provision of decent housing that is
affordable to low-income and moderate-
income persons or related to the
revitalization of deteriorating
neighborhoods; has demonstrated
experience in providing a range of
assistance (such as financing, technical
assistance, construction and property
management assistance) to CHDOs or
similar organizations that engage in
community revitalization; and has
demonstrated the ability to provide
technical assistance and training for
community-based developers of affordable
housing.
Note: Any organization funded to assist
CHDOs under CD-TA may not undertake CHDO
set-aside activities itself within its
service area while under cooperative
agreement with HUD.
Homeless..................... A state;
A unit of general local government;
A public housing authority; or
A public or private nonprofit or for-
profit organization, including
educational institutions and area-wide
planning organizations.
HOPWA........................ A for-profit or nonprofit organization;
A state; or
A unit of general local government.
CDBG......................... A state;
A unit of general local government;
A national or regional nonprofit
organization that has membership
comprised predominately of entities or
officials of entities of CDBG
recipients;
A for-profit or nonprofit professional
and technical services company or firm
that has demonstrated knowledge of the
CDBG program and the capacity to provide
technical assistance services; or
A public or private nonprofit or for-
profit organization, including
educational institutions and area-wide
planning organizations.
Youthbuild................... A public or private nonprofit agency that
has significant prior experience in the
operation of projects similar to the
Youthbuild program and that has the
capacity to provide effective technical
assistance.
------------------------------------------------------------------------

Applicants must also meet the threshold requirements of the General
Section of the SuperNOFA, including the Civil Rights threshold in
section III (C).
A consortium of organizations may apply for one or more CD-TA
programs, but one organization must be designated as the applicant.
Applicants may propose assistance using in-house staff, sub-
contractors, sub-recipients, and local organizations with the requisite
experience and capabilities. Where appropriate, applicants should make
use of TA providers located in the field office jurisdiction receiving
services. This draws upon local expertise and persons familiar with the
opportunities and resources available in the area to be served while
reducing travel and other costs associated with delivering the proposed
TA services.

B. Cost Sharing or Matching

None.

C. Other

1. Eligible Activities and Priorities
Funds may be used to provide TA to prospective applicants,
applicants, grantees, and project sponsors of the HOME, CHDO (HOME),
Homeless, HOPWA, CDBG, and Youthbuild programs. The TA activities may
include but are not limited to written information such as papers,
manuals, guides, and brochures; assistance to individual communities;
needs assessments; and training. The priority TA areas for each of the
six program areas are:
a. HOME TA. By statute, HUD may provide HOME program technical
assistance to meet specified objectives. From these objectives, HUD has
identified four HOME program technical assistance priorities. These
priorities that result in measurable performance outputs and outcomes
are:
(1) Improve the ability of PJs to design and implement housing
programs that reflect sound underwriting, management, and fiscal
controls; demonstrate measurable outcomes in the use of public funds;
and provide accurate and timely reporting of HOME program
accomplishments.
(2) Encourage public-private partnerships that yield an increase in
the amount of private dollars leveraged for HOME-assisted projects and
result in an increase in the commitment and production of HOME-assisted
units.

[[Page 13648]]

(3) Assist PJs in developing strategies that ameliorate the
affordability gap between rapidly increasing housing costs and the less
rapid growth in incomes among low-income households, especially among
underserved populations (e.g., residents of the Colonias, homeless
persons, and persons with disabilities).
(4) Assist PJs in developing strategies that increase and help
sustain homeownership opportunities for low-income households--
particularly low-income, minority households--and directly result in
the commitment and completion of HOME-assisted units.
Some examples of measurable performance outputs and outcomes are
given in Rating Factor 4.
b. CHDO (HOME) TA. (1) By statute, HUD may provide HOME program
technical assistance to meet specified objectives. From these
objectives, HUD has identified three CHDO-specific technical assistance
priorities. These priorities that result in measurable performance
outputs and outcomes are:
(a) Assist new CHDOs and potential CHDOs in developing the
organizational capacity to own, develop, and sponsor HOME-assisted
projects. A new CHDO is defined as a nonprofit organization that within
three years of the publication of this NOFA was determined by a PJ to
qualify as a CHDO. A potential CHDO is defined as a nonprofit
organization that is expected by the PJ to qualify as a CHDO and is
expected to enter into a written agreement with that PJ to own,
develop, or sponsor HOME-assisted housing within 24 months of the PJ
determining the organization qualifies as a CHDO. HUD welcomes the
participation of otherwise eligible faith-based and community
organizations.
(b) Improve the HOME program production and performance of existing
CHDOs in the areas of:
(i) Program design and management, including underwriting, project
financing, property management, and compliance; and
(ii) Organizational management and capacity, including fiscal
controls, board development, contract administration, and compliance
systems.
(c) Provide organizational support, technical assistance, and
training to community groups for the establishment of community land
trusts, as defined in section 233(f) of the Cranston-Gonzales National
Affordable Housing Act.
(2) Additional CHDO (HOME) eligible activities are:
(a) Under the ``Pass-Through'' provision, CD-TA providers may
propose to fund various operating expenses for eligible CHDOs that own,
develop, or sponsor HOME-assisted housing. Such operating expenses may
include reasonable and necessary costs for the operation of the CHDO
including salaries, wages, and other employee compensation and
benefits; employee education, training and travel; rent; utilities;
communication costs; taxes; insurance; equipment, materials, and
supplies.
(b) CD-TA providers must establish written criteria for selection
of CHDOs receiving pass-through funds. PJs must designate the
organizations as CHDOs; and, generally, the organizations should not
have been in existence more than three years.
CD-TA providers must enter into an agreement with the CHDO that the
agreement and pass-through funding may be terminated at the discretion
of HUD if no written legally binding agreement to provide assistance
for a specific housing project (for acquisition, rehabilitation, new
construction, or tenant-based rental assistance) has been made by the
PJ with the CHDO within 24 months of initially receiving pass-through
funding. The pass-through amount, when combined with other capacity
building and operating support available through the HOME program,
cannot exceed the greater of 50 percent of the CHDO's operating budget
for the year in which it receives funds, or $50,000 annually.
c. Homeless TA. Homeless TA funds are available to provide
McKinney-Vento Homeless Assistance Act-funded grantees, project
sponsors, and potential recipients with skills and knowledge needed to
develop and operate projects and activities. TA activities are focused
on these priorities that result in measurable performance outputs and
outcomes:
(1) Facilitate the exchange of information between community
organizations to develop and implement a community-wide discharge plan
for individuals exiting publicly-funded institutions (e.g., criminal
justice system, foster care system, mental health system) so that these
individuals do not become homeless.
(2) Improve the ability of eligible applicants to develop and
operate permanent housing projects for chronically homeless persons.
(3) Develop materials on effective grant administration for
grantees and sponsors.
(4) Improve the ability of eligible grantees and sponsors in
reaching out to chronically homeless persons.
(5) Improve the ability of grantees and sponsors in coordinating
services available through mainstream resources with housing units
available for homeless persons.
(6) Facilitate the formation of metropolitan, regional, and
statewide Homeless Management Information Systems (HMIS) and improve
the ability of communities to prepare data for their Annual Homeless
Assessment Reports.
(7) Develop materials on effective grant management for Emergency
Shelter Grants recipients, including guidance on IDIS implementation.
(A person experiencing chronic homelessness is defined as an
unaccompanied individual with a disabling condition who has been
continuously homeless for a year or more or has experienced four or
more sustained episodes of homelessness over the last three years.)
d. HOPWA TA. HOPWA funds are available for technical assistance,
training, and oversight activities which can be used to provide
grantees, project sponsors, and potential recipients with the skills
and knowledge to effectively develop, operate, and support HOPWA-
eligible project activities that result in measurable performance
outputs and outcomes. TA activities are focused on these priorities:
(1) Improve the ability of grantees to develop comprehensive
housing strategies, through collaborative public and private
partnerships, that coordinate the use of mainstream resources and
promote the long-term sustainability of HOPWA-assisted rental housing
programs.
(2) Identify and train grantees and project sponsors on successful
examples of how local or regional employment and re-entry discharge
planning programs and efforts can complement the overall delivery and
effectiveness of housing and supportive services which result in
greater client self-sufficiency and independence.
(3) Develop materials and training for grantees and project
sponsors (a) on implementing and achieving long-term performance
outcome measures that promote housing stability, reduce the risk of
homelessness, and improve access to care; and (b) on implementing sound
fiscal and financial management practices, including oversight of
project sponsor activities.
(4) Develop materials that promote the utilization and coordination
of Homeless Management Information Systems in the provision of HOPWA-
assisted housing and supportive services for homeless and chronically
homeless persons and persons at-risk of homelessness who are served
under this program.
(5) Provide direct TA for local HOPWA programs in coordination with

[[Page 13649]]

HUD field office oversight and approval of TA and training efforts to
support those HOPWA-funded projects. It is estimated that up to 40
percent of HOPWA TA funds will be made available for this purpose.
e. CDBG TA. HUD may provide CDBG program technical assistance to
meet specified objectives, in particular the facilitating of skills and
knowledge in planning, developing, and administering activities under
the CDBG program for recipients and other entities that may need but do
not possess such skill and knowledge, including measuring programs and
activities under the CDBG program. Technical assistance funds will
support local and state grantees' efforts in these areas as well as
support for efforts to streamline the Consolidated Plan, program
management, and analytical support of information for performance
measurement. TA activities that result in measurable performance
outputs and outcomes are focused on the following priorities:
(1) Assist grantees' efforts to streamline the Consolidated Plan,
making it more results-oriented and useful to communities in assessing
their own progress toward addressing the problems of low-income areas
in their communities.
(2) Improve CDBG recipient understanding of performance measurement
from a national programmatic perspective.
(3) Improve recipient knowledge and skills to develop and implement
local CDBG performance measurement systems.
(4) Assist recipients' development of local CDBG performance
measurement systems focused on outcomes.
(5) Develop model, local protocols that ensure accurate, required
program recordkeeping and performance data by recipients, sub-
recipients and sub-grantees.
(6) Develop materials on effective grant administration for
grantees, sub-recipients, and sub-grantees.
(7) Improve CDBG and Section 108 program knowledge through program-
specific recipient training.
f. Youthbuild TA. Youthbuild TA funds are available to provide
appropriate training, information, and technical assistance to
federally funded Youthbuild programs and to assist HUD in the
management, supervision, and coordination of such Youthbuild programs.
TA activities that result in measurable performance outputs and
outcomes are focused on the following priorities:
(1) Improve the management and implementation of Youthbuild
programs by providing on-site and telephone assistance, preparing
appropriate instruction materials, and conducting training workshops on
key aspects of the Youthbuild program.
(2) Improve Youthbuild program applications by providing assistance
to eligible applicants in the preparation of their grant applications,
giving priority to community-based organizations in the provision of
this assistance.
(3) Strengthen Youthbuild program design by facilitating peer-to-
peer assistance for Youthbuild grantee staff and disseminating best
program practices that are identified through training workshops, peer-
to-peer assistance, and on-site TA.
(4) Assist HUD in the management, supervision, and coordination of
Youthbuild programs by preparing handbooks or printed materials to
provide guidance to Youthbuild grantees and by collecting and analyzing
performance evaluation data from Youthbuild grantees.
2. DUNS Requirement
Refer to the General Section of the SuperNOFA for information
regarding the DUNS requirement. Applicants need to obtain a DUNS number
to receive an award from HUD.
3. Other Eligibility Requirements
All applicants requesting funding from programs under this NOFA
must be in compliance with the applicable threshold requirements found
in the General Section of the SuperNOFA. Applicants that do not meet
these requirements will be ineligible for funding.
4. False Statements
An applicant's false statement in an application is grounds for
denial or termination of an award and grounds for possible punishment
as provided in 18 U.S.C. 1001.
5. Environmental Review
Most activities under the CD-TA program are categorically excluded
and not subject to environmental review under 24 CFR 50.19(b)(9) or
(13), but in the case of CHDO (HOME) TA eligible activities, a proposal
for payment of rent as part of CHDO operational costs will be subject
to environmental review by HUD under 24 CFR part 50. If an applicant
proposes to assist CHDO operating expenses that include rent, the
application constitutes an assurance that the applicant and CHDO will
assist HUD to comply with 24 CFR part 50; will supply HUD with all
available and relevant information to perform an environmental review
for the proposed property to be rented; will carry out mitigating
measures required by HUD or select an alternate property; and will not
lease or rent, construct, rehabilitate, convert or repair the property,
or commit or expend HUD or non-HUD funds for these activities on the
property to be rented, until HUD has completed an environmental review
to the extent required by 24 CFR part 50. The results of the
environmental review may require that the proposed property be
rejected.

IV. Application and Submission Information

A. Addresses To Request Application Package

Electronic applications are to be submitted through Grants.gov/Apply. Applicants receiving a waiver of the electronic submission
requirement should see the General Section, Appendix C for the address
where to submit paper applications. The General Section provides
instructions on steps required to receive a waiver and Appendix C
provides the address for submitting the waiver request. Paper
applications are not accepted without the applicant having received a
waiver to the electronic submission requirement.

B. Content and Form of Application Submission

Applicants must submit a completed application for each National TA
and Local TA area and program for which they are applying. For example,
an applicant for National TA for HOME and for Local TA in three field
office jurisdictions would submit four separate and distinct
applications.
A completed application consists of an application submitted by an
authorized official of the organization and containing all relevant
sections of the application, as shown in the checklist below in Section
IV.B.4.
1. Number of Copies
This section only applies to applicants that have received a waiver
of the electronic submission requirement. Applicants for National TA
must submit two copies of their application to HUD Headquarters.
Applicants for Local TA must submit one copy of their application to
HUD Headquarters and must also send one copy of their application to
the HUD field office in which their organization is applying. See
Section VII.C of this NOFA for information on field office addresses.
Applicants for National TA must submit two copies of the application
to: HUD Headquarters;

[[Page 13650]]

Robert C. Weaver Federal Building; 451 Seventh Street, SW., room 7218;
Washington, DC 20410; Attention: CD-TA.
2. Page Limitation
Narratives addressing Factors 1-5 are limited to no more than 25
typed pages. That is, reviewers will not review more than 25 pages for
all five factors combined, except that the page limit does not include
the Form HUD-96010, Logic Model.
3. Prohibition on Materials Not Required
Materials other than what is requested in this NOFA are prohibited.
Reviewers will not consider resumes, charts, letters, or any other
documents attached to the application.
4. Checklist for Application Submission
Applicants submitting electronic copies should follow the
procedures in the General Section and the application submission as
posted on Grants.gov. The following checklist is provided to ensure
that you have submitted the submission of all the required elements.
Make sure you see the General Section for how to submit third party
letters and other documents as part of your electronic submission
utilizing form HUD-96011, Facsimile Transmittal. For applicants
receiving a waiver of the electronic submission, the paper submission
must be in the order provided below. All applicants should enter the
applicant name, DUNS number, and page numbers on the narrative pages of
the application.

--SF-424, Application for Federal Assistance (from General Section of
SuperNOFA)
--An Application Cover Page indicating in bold (a) the type of TA
proposed in the application whether HOME National, HOME Local, CHDO
National, CHDO Local, Homeless National, Homeless Local, HOPWA
National, CDBG National, or Youthbuild National; (b) the amount of
funds requested in the application; and (c) for Local TA, the
jurisdiction proposed in the application.
--A one-page Summary describing (a) each major component of the
proposed TA approach; (b) the proposed cost of each major component;
and (c) whether the component is integrally related to another
component in order to be successful.
--Narrative addressing Factor 1
--Narrative addressing Factor 2
--Narrative addressing Factor 3
--Narrative addressing Factor 4
--Narrative addressing Factor 5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (from General
Section of SuperNOFA)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects
(from General Section of SuperNOFA)
--If applying for CHDO (HOME) TA, statement as to whether the
organization proposes to pass through funds to new CHDOs.
--If applying for the CHDO (HOME) TA, a certification as to whether the
organization qualifies as a primarily single-state provider under
section 233(e) of the Cranston-Gonzales Affordable Housing Act.
--SF-LLL, Disclosure of Lobbying Activities (from General Section of
SuperNOFA)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (from General
Section of SuperNOFA)
--SF-424, Supplement, Survey on Equal Opportunity for Applicants
--HUD-96011, Facsimile Transmittal (for electronic applications)

C. Submission Dates and Times

Please see Section F of the Overview Information and the General
Section for submission dates and timely submission requirements.

D. Intergovernmental Review

Intergovernmental review is not applicable to CD-TA applications.

E. Funding Restrictions

An organization may not provide assistance to itself. An
organization may not provide assistance to another organization with
which it contracts or sub-awards funds to carry out activities under
the TA award.
Funding from HOME and from CHDO (HOME) TA to any single eligible
organization (excluding funds for organizational support and housing
education ``passed through'' to CHDOs), whether as an applicant or sub-
recipient is limited to not more than 20 percent of the operating
budget of the recipient organization for any one-year period of each
cooperative agreement. In addition, funding under either HOME or CHDO
(HOME) TA to any single organization is limited to 20 percent of the
$17,856,000 made available for HOME and CHDO (HOME) TA in FY2005.
Not less than 40 percent of the approximately $7,440,000 for CHDO
(HOME) shall be made available for eligible TA providers that have
worked primarily in one state. HUD will consider an applicant as a
primarily single state TA provider if it can document that more than 50
percent of its past activities in working with CHDOs or similar
nonprofit and other organizations (on the production of affordable
housing, revitalization of deteriorating neighborhoods, and /or the
delivery of technical assistance to these groups) was confined to the
geographic limits of a single state.
No fee or profit may be paid to any recipient or sub-recipient of
an award under this CD-TA NOFA.

F. Other Submission Requirements

The General Section of the SuperNOFA describes application
submission procedures and how applicants may obtain proof of timely
submission.

V. Application Review Information

A. Criteria

The maximum number of points to be awarded for a CD-TA application
is 100. The minimum score for an application to be considered for
funding is 75 with a minimum of 20 points on Factor 5. The CD-TA
program is not subject to bonus points, as described in the General
Section of the SuperNOFA.
Points are assigned on five factors. When addressing Factors 1-4,
applicants should discuss the specific TA activities that will be
carried out during the term of the cooperative agreement. Applicants
should provide relevant examples to support the proposal, where
appropriate. Applicants should also be specific when describing the
communities, populations, and organizations that they propose to serve
and the specific outcomes expected as a result of the TA.
Factor 5 relates to the capacity of the applicant and its relevant
organizational experience. Rating of the ``applicant'' or the
``applicant's organization and staff'' includes in-house staff and any
sub-contractors and sub-recipients which are firmly committed to the
project. In responding to Factor 5, applicants should specify the
experience, knowledge, skills, and abilities of the applicant's
organization and staff, and any persons and organizations firmly
committed to the project.
1. Rating Factor 1: Need/Extent of the Problem (10 Points)
a. For National TA applications: Sound and extensive understanding
of need for TA in relation to the eligible activities and priorities
listed in Section III C of this NOFA as demonstrated by objective
information and/or data, such as information from HOME Snapshots,
current census data, the American Housing Survey, or other relevant
data sources.

[[Page 13651]]

b. For Local TA applications: Sound and extensive understanding of
high priority needs for TA in the jurisdiction as demonstrated by
objective information and/or data, such as information from HOME
Snapshots, current census data, the American Housing Survey, or other
relevant data sources.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates an understanding of the specific needs for TA
and supports the description of need with reliable, program-specific,
quantitative information. Applicants for HOME should, at a minimum,
draw on HOME Snapshot information to demonstrate PJs' needs, in an area
or nationwide, for additional training and capacity building. See
http://www.hud.gov/offices/cpd/affordablehousing/programs/home/
snapshot/index.cfm.
2. Rating Factor 2: Soundness of Approach (40 Points)
a. (25 points) For National TA applications: A sound approach for
addressing the need for eligible TA activities in relation to the
priorities listed in Section III C of this NOFA that will result in
positive outcomes.
For Local TA applications: A sound approach for addressing high
priority needs for TA in the jurisdiction that will result in positive
outcomes.
In rating this factor, HUD will evaluate the extent to which the
application presents and supports a detailed, feasible, practical
approach for addressing TA needs (Local TA applications) or CD-TA
program priorities (National TA applications), including techniques,
timeframes, goals, and intended beneficiaries, and the likelihood that
these activities will result in positive outcomes.
b. (10 points) A feasible work plan for designing, organizing,
managing, and carrying out the proposed TA activities under the demand-
response system.
In rating this factor, HUD will evaluate the applicant's
understanding of the demand-response system and the extent to which the
application demonstrates the efficiency of proposed activities.
c. (5 points) An effective assistance program to specific
disadvantaged communities, populations, and/or organizations which
previously have been underserved and have the potential to participate
in the CD-TA program.
In rating this factor, HUD will evaluate the extent to which the
applicant has identified specific disadvantaged or previously
underserved communities, populations, and organizations and has
developed an effective strategy for engaging their participation in the
HOME, CHDO (HOME), Homeless, HOPWA, CDBG, or Youthbuild program, as
applicable.
3. Rating Factor 3: Leveraging Resources (10 Points)
An efficient practical method to transfer manuals, guides,
assessment forms, other work products, models, and lessons learned in
its CD-TA activities to other CD-TA grantees and/or HOME, CHDO (HOME),
Homeless, HOPWA, CDBG, or Youthbuild program beneficiaries.
In rating this factor, HUD will evaluate the extent to which the
application demonstrates a cost-effective means of sharing resources
developed under the CD-TA activities with a wide audience, including
sharing information with other TA providers in the CD-TA program.
4. Rating Factor 4: Achieving Results and Program Evaluation (10
Points)
a. (5 points) An effective, quantifiable evaluation plan for
measuring performance using the Logic Model with specific outcome
measures and benchmarks, including--for HOME applicants--performance
improvements as measured by the HOME Snapshot indicators.
In rating this factor, HUD will evaluate the extent to which the
application has an evaluation plan that includes outcomes and is
specific, measurable, and appropriate in relation to the activities
proposed.
b. (5 points) Successful past performance in administering HUD CD-
TA programs or, for applicants new to HUD's CD-TA Programs, successful
past performance in providing TA in other community development
programs. Applicants should include, as applicable, increases in CPD or
community development program accomplishments as a result of TA (e.g.,
number of homeless people or persons with HIV/AIDS receiving housing
and services, efficiency or effectiveness of administration of CPD or
community development programs, number of affordable housing units,
HOME Snapshot indicators, timeliness of use of CPD or community
development program funds).
In rating this factor, HUD will evaluate the extent to which the
application demonstrates successful past performance that was timely
and resulted in positive outcomes in the delivery of community
development TA. HUD will also consider past performance of current CD-
TA providers, including financial and other information in HUD's files.
5. Rating Factor 5: Capacity of the Applicant and Relevant
Organizational Experience (30 Points) (Minimum for Funding
Eligibility--20 Points)
a. (10 points) Recent and successful experience of the applicant's
organization in providing TA in eligible activities and to eligible
entities for the HOME, CHDO (HOME), Homeless, HOPWA, CDBG, or
Youthbuild CD-TA programs, as applicable.
In rating this factor, HUD will consider the extent to which the
application demonstrates successful experience within the last four
years of providing TA related to the applicable CD-TA program.
b. (10 points) Depth of experience in managing multiple TA tasks,
to multiple entities, and in more than one geographic area.
In rating this factor, HUD will consider the extent to which the
application demonstrates ability to manage TA assignments effectively.
c. (10 points) Knowledgeable key personnel skilled in providing TA
in one or more of the eligible activities for HOME, CHDO (HOME),
Homeless, HOPWA, CDBG, and/or Youthbuild programs, as applicable; a
sufficient number of staff or ability to procure qualified experts or
professionals with the knowledge, skills, and abilities to deliver the
proposed level of TA in the proposed service area in a timely and
effective fashion; and an ability to provide CD-TA in a geographic area
larger than a single city or county.
In rating this factor, HUD will consider the extent to which the
application demonstrates the organization has an adequate number of key
staff or ability to procure individuals with the knowledge of effective
TA approaches and knowledge of HOME, CHDO (HOME), Homeless, HOPWA,
CDBG, or Youthbuild program, as applicable.

B. Review and Selection Process

1. Review Types
Two types of reviews will be conducted. First, HUD will review each
application to determine whether it meets threshold eligibility
requirements. Second, HUD will review and assign scores to applications
using the Factors for Award noted in Section V.A.
2. Rank Order
Once rating scores are assigned, rated applications submitted for
each National TA program and for each Local TA program will be listed
in rank order.

[[Page 13652]]

Applications within the fundable range (score of 75+ points with 20+
points for Factor 1) may then be funded in rank order under the CD-TA
program and service area for which they applied.
3. Threshold Eligibility Requirements
All applicants requesting CD-TA must be in compliance with the
applicable threshold requirements found in the General Section of the
SuperNOFA and the eligibility requirements listed in Section III of
this NOFA in order to be reviewed, scored, and ranked. Applications
that do not meet these requirements and applications that were received
after the submission deadline (see Section IV.F of the General Section
of the SuperNOFA) will be considered ineligible for funding and will be
disqualified.
4. Award Adjustment
In addition to the funding adjustment authority provided for in the
General Section of the SuperNOFA, HUD reserves the right to adjust
funding amounts for each CD-TA selectee. The amounts listed in the
charts in Section II.A are provided to assist applicants to develop
Local TA or National TA budgets and do not represent the exact amounts
to be awarded. Once TA applicants are selected for award, HUD will
determine the total amount to be awarded to any selected applicant
based upon the size and needs of each of the selected applicant's
service areas, the funds available for that area and CD-TA program, the
number of other CD-TA applicants selected in that area or CD-TA
program, and the scope of the TA to be provided.
Additionally, HUD may reduce the amount of funds allocated for
field office jurisdictions to fund National CD-TA providers and other
CD-TA providers for activities that cannot be fully budgeted for or
estimated by HUD Headquarters or field offices at the time this NOFA
was published. HUD may also require selected applicants, as a condition
of funding, to provide coverage on a geographically broader basis than
proposed in order to supplement or strengthen the CD-TA network in
terms of the size of the area covered and types and scope of TA
proposed.
If funds remain after all selections have been made, the remaining
funds may be distributed among field offices for Local TA and/or used
for National TA, or made available for other CD-TA program
competitions.

VI. Award Administration Information

A. Award Notices

Successful applicants will receive notification from HUD in
writing. Such notification is not an authorization to begin
performance. Unsuccessful applicants will also receive notification
from HUD in writing.
After selection, HUD requires that all selected applicants
participate in negotiations to determine the specific terms of the
cooperative agreement, including the budget. Costs may be denied or
modified if HUD determines that they are not allowable, allocable, and/
or reasonable. In cases where HUD cannot successfully conclude
negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to
that applicant. In this instance, HUD may offer an award, and proceed
with negotiations with the next highest-ranking applicant.
After selection for funding but prior to executing the cooperative
agreement, the selected applicant must develop in consultation with the
GTR, a Technical Assistance Delivery Plan (TADP) for each National TA
award. The TADP must be approved by the GTR and delineate the tasks for
each CD-TA program the applicant will undertake during the performance
period. For Local TA awards and generally for National TA awards, prior
to undertaking individual tasks, the selected applicant must develop in
consultation with the GTR a Work Plan for specific activities. The TADP
and the Work Plans must specify the location of the proposed CD-TA
activities, the amount of CD-TA funding and proposed activities by
location, the improved program performance or other results expected
from the CD-TA activities, and the methodology to be used for measuring
the success of the CD-TA. A detailed time schedule for delivery of the
activities, budget summary, budget-by-task, and staffing plan must be
included in the TADP and Work Plans.

B. Administrative and National Policy Requirements

After selection for funding but prior to award, applicants must
submit financial and administrative information to comply with
applicable requirements. These requirements are found in 24 CFR part 84
for all organizations except states and local governments whose
requirements are found in 24 CFR Part 85. Cost principles requirements
are found at OMB Circular A-122 for nonprofit organizations, OMB
Circular A-21 for institutions of higher education, OMB Circular A-87
for states and local governments, and at 48 CFR 31.2 for commercial
organizations. Applicants must submit a certification from an
Independent Public Accountant or the cognizant government auditor,
stating that the applicant's financial management system meets
prescribed standards for fund control and accountability.
The requirements to Affirmatively Further Fair Housing do not
apply.

C. Reporting

CD-TA awardees will be required to report to the GTR on, at a
minimum, a quarterly basis unless otherwise specified in the
cooperative agreement. As part of the required report to HUD, grant
recipients must include a completed Logic Model (HUD 96010), which
identifies output and outcome achievements.

VII. Agency Contacts

A. For Assistance

Applicants may contact HUD Headquarters at 202-708-3176, or they
may contact the HUD field office serving their area shown in section
VII.C. Persons with hearing and speech challenges may access the above
numbers via TTY (text telephone) by calling the Federal Relay Service
at 800-877-8339 (this is a toll-free number). Information may also be
obtained through the HUD website on the Internet at http://www.hud.gov.

B. List of Field Office Addresses

Applicants that receive a waiver of the electronic application
submission requirements and need to submit copies of their application
to HUD field offices should consult the following website for a listing
of the HUD field office addresses to send Local TA applications: http:/
/www.hud.gov/offices/cpd/about/staff/fodirectors/index.cfm.
At the site, the map allows the user to click on an area to obtain
the field office address and other contact information.

VIII. Other Information

A. Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control numbers 2506-0166 and 2506-0133. In accordance with the
Paperwork Reduction Act, HUD may not conduct or sponsor, and

[[Page 13653]]

a person is not required to respond to, a collection of information
unless the collection displays a currently valid OMB control number.
Public reporting burden for the collection of information is estimated
to average 60 hours for the application and grant administration. This
includes the time for collecting, reviewing, and reporting the data.
The information will be used for grantee selection and monitoring the
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.

B. HUD Reform Act

The provisions of the HUD Reform Act of 1989 that apply to the CD-
TA program are explained in the General Section of the SuperNOFA.
BILLING CODE 4210-32-P

[[Page 13654]]

[GRAPHIC] [TIFF OMITTED] TN21MR05.052

[[Page 13655]]

Community Development Block Grant Program for Indian Tribes and Alaska
Native Villages

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of the Assistant Secretary for Public and Indian
Housing, Office of Native American Programs.
B. Funding Opportunity Title: Community Development Block Grant
(ICDBG) Program for Indian Tribes and Alaska Native Villages.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is FR-4950-N-16. The OMB approval number for this program is 2577-
0191.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The
Catalog of Federal Assistance (CFDA) Number for the Indian Community
Development Block Grant Program is 14.862.
F. Dates: Application Deadline: The application submission date is
June 2, 2005.
G. Optional, Additional Overview Content Information:
1. Applicants for funding should carefully review the requirements
identified in this Program NOFA and the General Section. Unless
otherwise stated in this Program NOFA, the requirements of the General
Section apply.
2. The total approximate amount of funding available for the ICDBG
Program for FY2005 is $68,427,300, less $4,000,000 retained to fund
Imminent Threat Grants, for a total of $64,427,300. Funds that are
carried over from previous fiscal years or are recaptured may also be
used for grant awards under this NOFA.
3. Eligible applicants are Indian tribes or tribal organizations on
behalf of Indian tribes. Specific information on eligibility is located
in Section III.A. of this NOFA.

Full Text of Announcement

I. Funding Opportunity Description

A. General

Title I of the Housing and Community Development Act of 1974, which
authorizes Community Development Block Grants, requires that grants for
Indian tribes be awarded on a competitive basis in accordance with
selection criteria contained in a regulation promulgated by the
Secretary after notice and public comment. All grant funds awarded in
accordance with this NOFA are subject to the requirements of 24 CFR
part 1003. Applicants within an Area ONAP's geographic jurisdiction
compete only against each other for that Area ONAP's allocation of
funds.

B. Authority

The authority for this program is Title I of the Housing and
Community Development Act of 1974 (42 U.S.C. 5301 et seq.) and the
program regulations in 24 CFR part 1003.

C. Program Description

The purpose of the Community Development Block Grant Program for
Indian Tribes and Alaska Native Villages (ICDBG) is the development of
viable Indian and Alaska Native communities, including the creation of
decent housing, suitable living environments, and economic
opportunities primarily for persons with low- and moderate-incomes as
defined in 24 CFR 1003.4. The Office of Native American Programs (ONAP)
in HUD's Office of Public and Indian Housing administers the program.
All Federally recognized Indian Tribes and Alaska Native Villages
are eligible to participate in the ICDBG Program. Tribal organizations,
as described in 24 CFR 1003.5, are also eligible applicants. Only one
ICDBG application may be submitted for each area within the
jurisdiction of an entity eligible under 24 CFR part 1003. An
application may include more than one project, but it cannot exceed the
grant ceilings listed in Section IV. Projects funded by the ICDBG
Program must meet the primary objective, defined at 24 CFR 1003.2, to
principally benefit low- and moderate-income persons. Consistent with
this objective, not less than 70 percent of the expenditures of each
single purpose grant shall be for activities which meet the regulatory
criteria at 24 CFR 1003.208 for:
1. Area Benefit Activities
2. Limited Clientele Activities
3. Housing Activities
4. Job Creation or Retention Activities
ICDBG funds may be used to improve housing stock, provide community
facilities, improve infrastructure, and expand job opportunities by
supporting the economic development of the communities, especially by
nonprofit tribal organizations or local development corporations.
ICDBG single-purpose grants are distributed as annual competitive
grants, in response to this NOFA. Additional information on eligible
activities can be found in Section III.
ICDBG imminent threat grants are intended to alleviate or remove
threats to health or safety that require an immediate solution as
described at 24 CFR part 1003, subpart E. The problem to be addressed
must be such that an emergency situation exists or would exist if the
problem were not addressed. In accordance with the provisions of 24 CFR
part 1003, subpart E, we have retained $4,000,000 of the FY 2005
appropriation to meet the funding needs of imminent threat requests
submitted to any of the Area ONAPs. The grant ceiling for imminent
threat requests for FY 2004 is $425,000. This ceiling has been
established pursuant to the provisions of 24 CFR 1003.400(c).
You do not have to submit a request for imminent threat funds by
the deadline established in this NOFA. The deadline applies only to
applications submitted for assistance under 24 CFR part 1003, subpart
D, single purpose grants. Imminent threat requests may be submitted at
any time after NOFA publication, and if the following criteria are met,
the request may be funded until the amount set aside for this purpose
is expended:
1. Independent verification from a third party (i.e., Indian Health
Service, Bureau of Indian Affairs) of the existence, immediacy and
urgency of the threat must be provided;
2. The threat must not be recurring in nature, i.e., it must
represent a unique and unusual circumstance that has been clearly
identified by the tribe or village;
3. The threat must affect or impact an entire service area and not
solely an individual family or household.
4. It must be established that funds are not available from other
local, state, or Federal sources to address the problem. The tribe or
village must verify that Federal or local agencies that would normally
provide assistance for such improvements have no funds available by
providing a written statement to that effect. The tribe or village must
also verify in the form of a tribal council resolution (or equivalent)
that it has no available funds, including Indian Housing Block Grant
Funds, for this purpose.
If, in response to a request for assistance, an Area ONAP issues
you a letter to proceed under the authority of 24 CFR 1003.401(a), then
your application must be submitted to and approved by the Area ONAP
before a grant agreement may be executed. Contact your Area ONAP office
for more information on imminent threat.

D. Definitions Used in This NOFA

1. Adopt. To approve by formal tribal resolution.
2. Assure. As an applicant, you must state your compliance, or in
the case of future actions, your intent to comply with a specific NOFA
requirement.

[[Page 13656]]

3. Document. To supply supporting written information and/or data
in the application that satisfies the NOFA requirement. Documentation
should clearly and concisely support your response to the rating
factor.
4. Entity Other than Tribe. A distinction is made between the
requirements for point award under Rating Factor 3 if a tribe or an
entity other than the tribe will assume maintenance and related
responsibilities for projects other than economic development and land
acquisition to support new housing. Entities other than the tribe must
have the following characteristics:
(a) Must be legally distinct from the tribal government; (b) their
assets and liabilities cannot be considered to be assets and
liabilities of the tribal government; (c) claims against such entities
cannot be made against the tribal government; and (d) must have
governing boards, boards of directors, or groups or individuals similar
in function and responsibility to such boards which are separate from
the tribe's general council, tribal council, or business council, as
applicable.
5. Homeownership Assistance Programs. Tribes may apply for
assistance to provide direct homeownership assistance to low- and
moderate-income households to: (a) Subsidize interest rates and
mortgage principal amounts for low- and moderate-income homebuyers; (b)
finance the acquisition by low- and moderate-income homebuyers of
housing that is occupied by the homebuyers; (c) acquire guarantees for
mortgage financing obtained by low- and moderate-income homebuyers from
private lenders (except that ICDBG funds may not be used to guarantee
such mortgage financing directly, and grantees may not provide such
guarantees directly); (d) provide up to 50 percent of any down payment
required from a low- and moderate-income homebuyer; or (e) pay
reasonable closing costs (normally associated with the purchase of a
home) incurred by a low- or moderate-income homebuyer.
6. Leveraged Resources. Leveraged resources are resources that you
will use in conjunction with ICDBG funds to achieve the objectives of
the project. Leveraged resources include, but are not limited to:
Tribal trust funds; loans from individuals or organizations; business
investments; private foundations; state or federal loans or guarantees;
other grants; and non-cash contributions and donated services. (See
Rating Factor 4 of this NOFA for documentation requirements for point
award for leveraged resources.)
7. Microenterprise Programs. Tribes may apply for assistance to
operate programs to fund the development, expansion, and stabilization
of microenterprises. Microenterprises are defined as commercial
entities with five or fewer employees, including the owner.
Microenterprise program activities may entail the following assistance
to eligible businesses: (a) Providing credit, including, but not
limited to, grants, loans, loan guarantees, and other forms of
financial support for the establishment, stabilization, and expansion
of microenterprises; (b) providing technical assistance, advice, and
business support services to owners of microenterprises and persons
developing microenterprises; and (c) providing general support,
including, but not limited to, peer support programs, counseling, child
care, transportation, and other similar services to owners of
microenterprises and persons developing microenterprises.
8. Operations and Maintenance (O&M) for Public Facilities and
Improvements. While various items of cost will vary in importance and
significance depending on the type of facility proposed, there are
items of expense related to the operation of the physical plant which
must be addressed in a O&M plan (tribe assumes responsibility) or in a
letter of commitment (entity other than tribe will assume these
responsibilities). These items include daily or other periodic
maintenance activities; repairs such as replacing broken windows;
capital improvements or replacement reserves for repairs such as
replacing the roof; fire and liability insurance (may not be applicable
to most types of infrastructure projects such as water and sewer
lines); and security (may not be applicable to many types of
infrastructure projects such as roads). (Please note that while it is
possible that the service provider may, in its agreement with a tribe,
commit itself to cover certain or all facility O&M costs, as defined,
these O&M costs do not include the program service provision costs
related to the delivery of services (social, health, recreational,
educational or other) which may be provided in a facility).
9. Outcomes. The ultimate impact you hope to achieve with the
proposed project. Outcomes should be quantifiable measures or
indicators and identified in terms of the change in the community,
people's lives, changes in economic status, etc. Common outcomes could
include increases in percent of housing units in standard condition,
homeownership rates, or employment rates.
10. Outputs. Outputs are the direct products of a program's
activities. They are usually measured in terms of the volume of work
accomplished, such as the number of low-income households served,
number of units constructed or rehabilitated, linear feet of curbs and
gutters installed, or number of jobs created or retained. Outputs
should be clear enough to allow HUD to monitor and assess your proposed
project's progress if funded.
11. Project Cost. The total cost to implement the project. Project
costs may be covered by both ICDBG and non-ICDBG funds and resources.
12. Standard Housing/Standard Condition. Housing that meets the
housing quality standards (HQS) adopted by the applicant. The HQS
adopted by the applicant must be at least as stringent as the Section 8
HQS contained in 24 CFR 982.401 (Section 8 Tenant-Based Assistance:
Housing Choice Voucher Program) unless the ONAPs approve less stringent
standards based on a determination that local conditions make the use
of Section 8 HQS infeasible. You may submit, before the application
submission deadline, a request for the approval of standards less
stringent than Section 8 HQS. If you submit the request with your
application, you should not assume automatic approval by the ONAPs. The
adopted standards must provide for (a) a safe house, in physically
sound condition with all systems performing their intended design
functions; (b) a livable home environment and an energy efficient
building and systems that incorporate energy conservation measures; and
(c) an adequate space and privacy for all intended household members.
13. Tribe. Please note: when used in this NOFA the word ``tribe''
means an Indian tribe, band, group or nation, including Alaska Indians,
Aleuts, Eskimos, Alaska Native Villages, Alaska Native Claims
Settlement Act (ANCSA) Village Corporations, and ANCSA Regional
Corporations.

II. Award Information

A. Available Funds

The FY2005 appropriation for the ICDBG Program is $68,427,300, less
$4,000,000 retained to fund Imminent Threat Grants, for a total of
$64,427,300. Funds that are carried over from previous fiscal years or
are recaptured may also be used for grant awards under this NOFA.

[[Page 13657]]

B. Allocations to Area ONAPs

The requirements for allocating funds to Area ONAPs responsible for
program administration are found at 24 CFR 1003.101. Following these
requirements, based on an appropriation of $68,427,300 less $4,000,000
for Imminent Threat grants, the allocations for FY2005 are
approximately as follows:

Eastern/Woodland........................................ $7,293,860
Southern Plains......................................... 13,839,761
Northern Plains......................................... 9,175,317
Southwest............................................... 24,075,045
Northwest............................................... 3,235,327
Alaska.................................................. 6,807,990
---------------
Total............................................... 64,427,300

C. Compliance with Regulations, Guidelines, and Requirements

Applicants awarded a grant under this NOFA are required to comply
with the regulations, guidelines, and requirements with respect to the
acceptance and use of Federal funds for this Federally-assisted
program. Also, the grantee, by accepting the grant, provides assurance
with respect to the grant that:
1. It possesses the legal authority to apply for the grant and
execute the proposed program.
2. The governing body has duly authorized the filing of the
application, including all understandings and assurances contained in
the application and has directed and authorized the person identified
as the official representative of the applicant to act in connection
with the application and to provide such additional information as may
be required.
3. It will comply with HUD general administration requirements in
24 CFR Part 95.
4. It will comply with the requirements of Title II of Public Law
90-284 (25 U.S.C. 1301), the Indian Civil Rights Act. Federally
recognized Indian tribes and their instrumentalities are subject to:
The requirements of Title II of the Civil Rights Act of 1964, known as
the Indian Civil Rights Act; Section 109 prohibitions against
discrimination based on age, sex, religion and disability; the Age
Discrimination Act of 1975; and Section 504 of the Rehabilitation Act
of 1973.
5. It will comply with the Indian preference provisions required in
24 CFR 1003.510.
6. It will establish written safeguards to prevent employees from
using positions funded under the ICDBG programs for a purpose that is,
or gives the appearance of being, motivated by private gain for
themselves, their immediate family, or business associates. Employees
are not otherwise limited from benefiting from program activities for
which they are otherwise eligible.
7. It will give HUD and the Comptroller General access and right to
examine all books, records, papers, or documents related to the grant
for a period of not less than three years after program completion or
until resolution of any final audit findings.
8. Neither the applicant nor its principals are presently excluded
from participation in any HUD programs, as required by 24 CFR part 24.
9. It will comply with the acquisition and relocation requirements
of the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended, implementing regulations at 49 CFR
part 24 and the requirements of 24 CFR 1003.602.
10. The chief executive officer or other official of the applicant
approved by HUD:
a. Consents to assume the status of a responsible Federal official
under the National Environmental Policy Act of 1969 insofar as the
provisions of the Act apply to the applicant's proposed program
pursuant to 24 CFR 1003.605.
b. Is authorized and consents on behalf of the applicant and him/
herself to accept the jurisdiction of the Federal courts for the
purpose of enforcement of his/her responsibilities as such an official.

Note: Applicants for whom HUD has approved a claim of incapacity
to accept the responsibilities of the Federal government for
purposes of complying with the environmental review requirements of
24 CFR part 58 pursuant to 24 CFR 1003.605 are not subject to the
provision of paragraph 10.

11. It will comply with the requirements of Section 3 of the
Housing and Urban Development Act of 1968 and the regulations in 24 CFR
part 135 (Economic Opportunities for Low and Very Low Income Persons)
to the maximum extent consistent with, but not in derogation of,
compliance with Section 7(b) of the Indian Self-Determination and
Education Assistance Act (25 U.S.C. 450e(b)).
12. It will comply with the requirements of the Fire Authorization
Administration Act of 1992 (Pub. L. 102-522).
13. It will provide a drug-free workplace required by 24 CFR part
24, subpart F.
14. It will comply with 24 CFR, part 4, subpart A, showing full
disclosure of all benefits of the project as collected by Form HUD-
2880, Applicant/Recipient Disclosure Report.
15. Prior to submission of its application to HUD, the grantee has
met the citizen participation requirements which includes following
traditional means of member involvement, as required in 24 CFR
1003.604.
16. It will administer and enforce the labor standards requirements
prescribed in 24 CFR 1003.603.
17. The project has been developed so that not less than 70 percent
of the funds received under this grant will be used for activities that
benefit low- and moderate-income persons.
18. The grantee agrees to comply with Executive Order 13202,
``Preservation of Open Competition and Government Neutrality Towards
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects.'' Compliance with HUD regulations at 24 CFR
5.108 that implement Executive Order 13202 is a condition of receipt of
assistance under this NOFA.

D. Period of Performance

The period of performance for any grant awarded under this NOFA
must be included in the Implementation Schedule, HUD-4125 and approved
by HUD.

III. Eligibility Information

A. Eligible Applicants

Eligible applicants are Indian tribes or tribal organizations on
behalf of Indian tribes. To apply for funding you must be eligible as
an Indian Tribe (or as a tribal organization), as required by 24 CFR
1003.5, by the application submission date.
Tribal organizations are permitted to submit applications under 24
CFR 1003.5(b) on behalf of eligible tribes when one or more eligible
tribe(s) authorize the organization to do so under concurring
resolutions. As is stated in this regulatory section, the tribal
organization must itself be eligible under Title I of the Indian Self-
Determination and Education Assistance Act. The Bureau of Indian
Affairs (BIA) or the Indian Health Service, as appropriate, must make a
determination of such eligibility. This determination must be provided
to the Area ONAP by the application submission date.
If a tribe or tribal organization claims that it is a successor to
an eligible entity, the Area ONAP must review the documentation to
determine whether it is in fact the successor entity.
Applicants from within Alaska: Due to the unique structure of
tribal entities eligible to submit ICDBG applications in Alaska, and as
only one ICDBG

[[Page 13658]]

application may be submitted for each area within the jurisdiction of
an entity eligible under 24 CFR 1003.5, a tribal organization that
submits an application for activities in the jurisdiction of one or
more eligible tribes or villages must include a concurring resolution
from each such tribe or village authorizing the submittal of the
application. Each such resolution must also indicate that the tribe or
village does not itself intend to submit an ICDBG application for that
funding round. The hierarchy for funding priority continues to be the
IRA Council, the Traditional Village Council, the ANCSA Village
Corporation, and the ANCSA Regional Corporation.
On December 5, 2003 (68 FR 68180), the BIA published a Federal
Register notice entitled, ``Indian Entities Recognized and Eligible to
Receive Services From the United States Bureau of Indian Affairs.''
This notice provides a listing of Indian Tribal Entities in Alaska
found to be Indian Tribes as the term is defined and used in 25 CFR
part 83. Additionally, pursuant to Title I of the Indian Self-
Determination and Education Assistance Act, ANCSA Village Corporations
and Regional Corporations are also considered tribes and therefore
eligible applicants for the ICDBG program.
Any questions regarding eligibility determinations and related
documentation requirements for entities in Alaska should be referred to
the Alaska Area ONAP prior to the application submission date. (See 24
CFR 1003.5 for a complete description of eligible applicants.)

B. Cost Sharing or Matching

Cost sharing or matching is not required under this grant; however,
applicants who leverage this grant with other funds receive points. See
Section V, (A)(3) Rating Factor 4.

C. Other

1. HUD Requirements
Applicants for single purpose grants must comply with the HUD
Threshold Requirements listed in the General Section, Section III, C.
2. in order to receive an award of funds.
2. Program and Project Specific Requirements
a. Low- and Moderate-Income Status for Rehabilitation Projects. All
households that receive grant assistance under a housing rehabilitation
project must be of low- and moderate-income status.
b. Housing Rehabilitation Cost Limits. Grant funds spent on
rehabilitation per unit must fall within the following limits for each
Area ONAP jurisdiction:

Eastern/Woodlands: $35,000
Southern Plains: $30,000
Northern Plains: $45,000
Southwest: $40,000
Northwest $40,000
Alaska: $55,000

c. Commitment to Housing for Land Acquisition To Support New
Housing Projects. For land acquisition to support new housing projects,
your application must include evidence of a financial commitment and an
ability to construct at least 25 percent of the housing units to be
built on the land proposed for acquisition. This evidence must consist
of one (or more) of the following: a firm or conditional commitment to
construct (or to finance the construction of) the units; documentation
that an approvable application for the construction of these units has
been submitted to a funding source or entity; or, documentation that
these units are specifically identified in the Indian Housing Plan
(IHP), (one-Year Financial Resources Narrative; Table 2, Financial
Resources, Part I., Line 1E; and Table 2, Financial Resources, Part II)
submitted by or on behalf of the applicant as an affordable housing
resource with a commensurate commitment of Indian Housing Block Grant
(IHBG) (also known as the Native American Housing Block Grant (NAHBG)
resources. If the IHP for the IHBG (also known as NAHBG) program year
that coincides with the implementation of the ICDBG proposed project
has not been submitted, you must provide an assurance that the IHP will
specifically reference the proposed project. The IHP submission must be
within three years from when the land is acquired and ready for
development.
d. Health Care Facilities. If you propose a facility that would
provide health care services funded by the Indian Health Service (IHS),
you must assure that the facility meets all applicable IHS facility
requirements. We recognize that tribes that are contracting services
from the IHS may establish other facility standards. These tribes must
assure that these standards at least compare to nationally accepted
minimum standards.
3. Program Related Threshold Requirements
a. Outstanding ICDBG Obligation. According to 24 CFR 1003.301(a),
an applicant who has an outstanding ICDBG obligation to HUD that is in
arrears, or one that has not agreed to a repayment schedule will be
disqualified from the competition.
b. Compliance with Fair Housing and Civil Rights Laws. Applicants
and subrecipients that are not federally recognized Indian tribes or
their instrumentalities are subject to the Civil Rights Threshold
requirements found in the General Section. Federally recognized Indian
tribes and their instrumentalities are subject to: the requirements of
Title II of the Civil Rights Act of 1964, known as the Indian Civil
Rights Act; Section 109 prohibitions against discrimination based on
age, sex, religion and disability; the Age Discrimination Act of 1975;
and Section 504 of the Rehabilitation Act of 1973. To be eligible to
apply, there must be no outstanding violations of these civil rights
provisions at the time of application.
4. Project Specific Threshold Requirements
Applicants must meet all parts of the project specific threshold
applicable to the proposed project. The thresholds are:
a. Housing Rehabilitation Project Thresholds. In accordance with 24
CFR 1003.302(a), for housing rehabilitation projects, you must adopt
rehabilitation standards and rehabilitation policies before you submit
an application. You must submit with the application evidence the
policies and standards have been adopted in accordance with tribal law
or practice. You must also provide an assurance that project funds will
be used to rehabilitate HUD-assisted houses only when the homebuyer's
payments are current or the homebuyer is current in a repayment
agreement except in emergency situation. The ONAP Administrator on a
case-by-case basis may approve exceptions to this requirement.
b. Land Acquisition To Support New Housing Project Thresholds. No
project specific thresholds.
c. New Housing Construction Project Thresholds. (1) In accordance
with 24 CFR 1003.302 (b), new housing construction can only be
implemented when necessary through a Community Based Development
Organization (CBDO). Eligible CBDOs are described in 24 CFR
1003.204(c). You must provide documentation establishing that the
entity implementing your new housing construction project qualifies as
a CBDO.
(2) In accordance with 24 CFR 1003.302, you must submit a current
(in effect) tribal resolution adopting and identifying construction
standards.
(3) In accordance with 24 CFR 1003.302, you must also include in
your application documentation supporting the following:

[[Page 13659]]

(a) All households to be assisted under a new housing construction
project must be of low- or moderate-income status;
(b) No other housing is available in the immediate reservation area
that is suitable for the households to be assisted;
(c) No other sources including an IHBG (also known as NAHBG) can
meet the needs of the household(s) to be served; and
(d) Rehabilitation of the unit occupied by the household(s) to be
assisted is not economically feasible, or the household(s) to be housed
currently is in an overcrowded house (more than one household per
house), or the household to be assisted has no current residence.
d. Homeownership Assistance Project Thresholds. No project specific
thresholds.
e. Public Facilities and Improvements Project Thresholds. No
project specific thresholds.
f. Economic Development Project Thresholds. In accordance with 24
CFR 1003.302, for economic development assistance projects, you must
provide a financial analysis. The financial analysis must demonstrate
that the project is financially feasible and the project has a
reasonable chance of success. The analysis must also demonstrate the
public benefit resulting from the ICDBG assistance. The more funds you
request, the greater public benefit you must demonstrate. The analysis
must also establish that to the extent practicable, reasonable
financial support will be committed from non-federal sources prior to
disbursement of federal funds; any grant amount provided will not
substantially reduce the amount of non-federal financial support for
the activity; not more than a reasonable rate of return on investment
is provided to the owner; and that grant funds used for the project
will be disbursed on a pro-rata basis with amounts from other sources.
g. Microenterprise Program Thresholds. No project specific
threshold.
5. Public Service Projects
Because there is a statutory 15 percent cap on the amount of grant
funds that may be used for public service activities, you may not
receive a single purpose grant solely to fund public service
activities. Your application, however, may contain a public service
component for up to 15 percent of the total grant. This component may
be unrelated to the other project(s) included in your application. If
your application does not receive full funding, we will reduce the
public service allocation proportionately so that it comprises no more
than 15 percent of the total grant award. In making such reductions,
the feasibility of the proposed project will be taken into
consideration. If a proportionate reduction of the public service
allocation renders such a project infeasible, the project will not be
funded. A complete description of Public Service Projects is located at
24 CFR 1003.201.
6. Restrictions on Eligible Activities
Activities that are eligible for ICDBG funding are identified at 24
CFR part 1003, subpart C. Please note that although this subpart has
not yet been revised to include the restrictions on activity
eligibility that were added to Section 105 of the CDBG statute by
Section 588 of the Quality Housing and Work Responsibility Act of 1998,
these restrictions apply. Specifically, ICDBG funds may not be used to
assist directly in the relocation of any industrial or commercial
plant, facility, or operation, from one area to another, if the
relocation is likely to result in a significant loss of employment in
the labor market area from which the relocation occurs. Rating Factors
2 and 3 included under Section V. specify many of the activities listed
as eligible under part 1003, subpart C. Those listed include new
housing construction (in certain circumstances as described in Rating
Factors 2 and 3 in Section V.), housing rehabilitation, land
acquisition to support new housing, homeownership assistance, public
facilities and improvements, economic development, and microenterprise
programs. However, the following eligible activities not clearly
identified by the rating factors may be proposed and rated as described
below. During the past few years, many tribes have experienced high
incidences of mold growth in tribal homes and buildings. Renovation of
affected buildings is eligible under housing rehabilitation or public
facility improvement projects. For a complete description of eligible
activities, please refer to 24 CFR part 1003, subpart C.
a. Acquisition of Property: This activity can be proposed as Land
to Support New Housing or as part of New Housing Construction, Public
Facilities and Improvements, or Economic Development depending on the
purpose of the land acquisition to support new construction.
b. Assistance to Institutions of Higher Learning: If such entities
have the capacity, they can help the ICDBG grantees to implement
eligible projects.
c. Assistance to Community Based Development Organizations (CBDOs):
Grantees may provide assistance to these organizations to undertake
activities related to neighborhood revitalization, community economic
development, or energy conservation.
d. Clearance, Demolition: These activities can be proposed as part
of Housing Rehabilitation, New Housing Construction, Public Facilities
and Improvements, Economic Development, or Land to Support New Housing.
Section 1003.201 (d) states ``Demolition of HUD-assisted housing units
may be undertaken only with the prior approval of HUD.''
e. Code Enforcement: This activity can be proposed as Housing
Rehabilitation. The activity must comply with the requirements at 24
CFR 1003.202.
f. Comprehensive Planning: This activity is eligible, and can be
proposed, as part of any otherwise eligible project to the extent
allowed by the 20 percent cap on the grant for planning/administration.
g. Energy Efficiency: Associated activities can be proposed under
Housing Rehabilitation or Public Facilities and Improvements depending
upon the type of energy efficiency activity.
h. Lead Based Paint Abatement and Evaluation: These activities can
be proposed under Housing Rehabilitation.
i. Non-Federal Share: ICDBG funds can be used as a match for any
non-ICDBG funding to the extent allowed by such funding and the
activity is eligible under 24 CFR part 1003, subpart C.
j. Privately and Publicly Owned Commercial or Industrial Buildings
(real property improvements): These activities can be proposed under
Economic Development. Privately owned commercial rehabilitation is
subject to the requirements at 24 CFR 1003.202.
k. Privately Owned Utilities: Assistance to privately owned
utilities can be proposed under Public Facilities and Improvements.
l. Removal of Architectural Barriers: This includes removing
barriers that restrict mobility and access for elderly and persons with
disabilities. In addition, accommodation should be made for persons
with all varieties of disabilities to enable them to benefit from these
activities. This activity can be proposed under Housing Rehabilitation
or Public Facilities and Improvements depending upon the type of
structure where the barrier will be removed.

[[Page 13660]]

7. Application Screening
The Area ONAP will screen applications for single purpose grants.
The Area ONAP will reject an application that fails this screening and
will return the application unrated. The Area ONAP will accept your
application if it meets all the criteria listed below as items a
through f.
a. Your application is received or submitted in accordance with the
requirements set forth under Application and Submission Procedures in
Section IV of this Program NOFA;
b. You are eligible;
c. The proposed project is eligible;
d. Your application contains substantially all the components
specified in Section IV. B. of this Program NOFA;
e. Your application shows that at least 70 percent of the grant
funds are to be used for activities that benefit low- and moderate-
income persons, in accordance with the requirements of 24 CFR 1003.208.
For screening purposes only, HUD will use the 2000 census data if the
data you submitted does not meet this screening requirement; and
f. Your application is for an amount that does not exceed the grant
ceilings listed in Section IV. E.2.

IV. Application and Submission Information

A. Addresses to Request Application Package

The FY 2005 application is now available from www.Grants.gov.
Applicants are required to submit an electronic application unless they
receive a waiver to the requirement. Please see the General Section for
information on electronic application submission, procedures for
requesting a waiver, and timely submission and receipt requirements.
All information required to complete and return a valid application
is included in the General Section and this program section. Appendices
A and B in this program section include information and a list of forms
required for application. Before preparing an application, applicants
should carefully review the program description, ineligible activities,
program and threshold requirements, and the General Section. Applicants
should also review each rating factor listed in Section V, Application
Review Information before writing a narrative response. Applicants
should include all requested information, according to the instructions
found in the NOFA and where applicable, in the General Section.
Copies of the General Section and ICDBG program section (including
appendices) may be downloaded from the grants.gov website at http://
www.grants.gov/Apply, or you may call HUD's NOFA Information Center at
800-HUD-8929 or for the hearing impaired, call 800-HUD-2209. If you
experience any problems with downloading the General Section or the
ICDBG program section, call the Grants.gov help desk at 800-518-GRANTS.

B. Content and Form of Application Submission

1. Application Information
To expedite the review of your application and ensure that your
application is given a thorough and complete review of all responses to
each of the components of the selection criteria, please indicate on
the first page of each project submission, the type of project(s) being
proposed: Economic Development, Homeownership Assistance, Housing
Rehabilitation, Land Acquisition to Support New Housing,
Microenterprise Programs, New Housing Construction or Public Facilities
and Improvements. This will help to ensure that the appropriate project
specific thresholds and rating subfactors will be applied. Narrative
statements submitted to support your application should be individually
labeled to reflect the item the narrative is responding to, e.g. Factor
1, Capacity; Factor 2, Need; etc. Any narratives and scanned documents
must be submitted as a zip file, single attachment to the electronic
application. Additional information regarding electronic submissions
can be found in the General Section,
If you are not submitting an electronic application and have
received a waiver, please use separate tabs for each rating factor and
rating subfactor. In order to be rated, make sure the response is
beneath the appropriate heading. Keep the responses in the same order
as the Program NOFA. It is recommended that you limit your narrative
explanations to 200 words or less and provide the necessary data such
as a market analysis, a pro forma, housing survey data, etc., that
support the response. Include all relevant material to a response under
the same tab. Only include documentation that will clearly and
concisely support your response to the rating criteria.
HUD suggests that you do a preliminary rating for your project,
providing a score according to the point system in Section V. This will
show you how reviewers might score your project. Also, it will show you
where the strengths and weaknesses of the application are located. This
will help you determine where improvements can be made to your
application prior to its submission.
The published Federal Register document is the official document
that HUD uses to evaluate applications. Therefore, if there is a
discrepancy between any materials published by HUD in hard copy or on
www.grants.gov, or on any HUD Web site, and the Federal Register
publication of the SuperNOFA, the information published in the
SuperNOFA Federal Register publication (including any corrections
published in the Federal Register) prevails.
2. Content of Application, Forms, and Assurances
The applicant must respond in narrative form to all five of the
rating factors listed in Section V.A.3. of this Program NOFA. In
addition, the applicant must submit all of the forms required in this
section, along with other data listed below.
a. Demographic data. You may submit data that are unpublished and
not generally available in order to meet the requirements of this
section. Your application must contain a statement that the following
criteria have been met:
(1) Generally available published data are substantially inaccurate
or incomplete;
(2) Data that you submit have been collected systematically and are
statistically reliable;
(3) Data are, to the greatest extent feasible, independently
verifiable; and
(4) Data differentiate between reservation and BIA service area
populations, when applicable.
b. Publication of Community Development Statement. You must prepare
and publish or post the community development statement portion of your
application according to the citizen participation requirements of 24
CFR 1003.604. For publication and posting purposes, you may post or
publish all narrative portions of the Statement if you include a
statement that indicates that the entire Community Development
Statement is available for public viewing and include the location,
dates, and time it will be available for review.
c. Application Submission. Your application must contain the items
listed below.
(1) Application for Federal Assistance (SF-424);

[[Page 13661]]

(2) SF-424 SUPP, Supplement Survey on Ensuring Equal Opportunity
for Applicants;
(3) Applicant/Recipient Disclosure/Update Report (HUD-2880);
(4) Acknowledgement of Application Receipt (HUD-2993). This form
will be required only for applicants who have received a waiver of the
electronic submission requirements and are submitting their paper copy
application.
If the application has been submitted by a tribal organization as
defined in 24 CFR 1003.5(b), on behalf of an Indian tribe, you must
submit concurring resolutions from the Indian tribe stating that the
tribal organization is applying on the tribe's behalf. Applicants must
submit the resolution by either scanning it and attaching it as a file
to your electronic application submission, or sending it via facsimile
transmittal.
The other required items are as follows:
(5) Community Development Statement that includes:
(a) Components that address the general threshold requirement and
the relevant project specific thresholds and rating factors;
(b) A schedule for implementing the project (Form HUD-4125,
Implementation Schedule); and
(c) Cost information for each separate project, including specific
activity costs, administration, planning, technical assistance, and
total HUD share (Form HUD-4123, Cost Summary).
(6) A map showing project location, if appropriate;
(7) If the proposed project will result in displacement or
temporary relocation, a statement that identifies:
(a) The number of persons (families, individuals, businesses, and
nonprofit organizations) occupying the property on the date of the
submission of the application (or date of initial site control, if
later);
(b) The number to be displaced or temporarily relocated;
(c) The estimated cost of relocation payments and other services;
(d) The source of funds for relocation; and
(e) The organization that will carry out the relocation activities;
(8) If applicable, evidence of the disclosure required by 24 CFR
1003.606(e) regarding conflict of interest.
(9) If applicable, the demographic data statement described in
Section IV.B.2.a. and Section V.A.3., Rating Factor 2 of this Program
NOFA. The data accompanying the statement must identify the total
number of persons benefiting from the project and the total number of
low- and moderate-income persons benefiting from the project. To be
considered, supporting documentation must include all of the following:
a sample copy of a completed survey form; an explanation of the methods
used to collect the data, and a listing of incomes by household.
(10) Optional submissions are:
(a) Client Comments and Suggestions (HUD-2994);
(b) Logic Model, HUD-96010;
A checklist identifying these forms is located in Appendix B.
3. Planning and Administrative Costs
Applicants must report project planning and administration costs on
Form HUD-4123, Cost Summary. Planning and administrative costs cannot
exceed 20 percent of the grant. The following criteria applies to
planning and administrative costs:
a. Planning and administrative activities may only be funded in
conjunction with a physical development activity.
b. If you are submitting an application for more than one project,
costs must be broken down by project. Submit one Form HUD-4123 for each
proposed project in addition to a consolidated Form HUD-4123 that
includes costs for all proposed projects.
c. Do not include project costs (i.e. architectural/engineering,
environmental, technical assistance, staff/overhead costs) directly
related to project.

C. Submission Dates and Times

1. Application Submission Deadline
The application submission deadline is June 2, 2005. Applications
submitted through www.Grants.gov/Apply must be received by Grants.gov
no later than 11:59:59 Eastern time on the application submission date.
If you have requested a waiver of the electronic submission
requirements in the General Section, and are submitting a paper copy of
your application, your completed application (one original and two
copies) must be submitted to the United States Postal Service no later
than 11:59:59 PM on the application submission date and be received by
the designated Area Office of Native American Programs (ONAP) on or
within 15 days of the application submission deadline. HUD will not
accept any applications sent by e-mail or on a diskette, CD, or by
facsimile. Please carefully follow the instructions in Section IV F. of
the General Section for detailed information regarding application
submission, delivery, and timely receipt requirements.

D. Intergovernmental Review

Executive Order 12372, Intergovernmental Review of Federal
Programs, was issued to foster intergovernmental partnership and
strengthen federalism by relying on state and local processes for the
coordination and review of federal financial assistance and direct
federal development. HUD implementing regulations are published in 24
CFR part 52. The Order allows each state to designate and entity to
perform a state review function. The official listing of State Points
of Contact (SPOC) for this review process can be found at http://www.whitehouse.gov/omb/grants/spoc.html. Please note that Indian tribes
are not subject to the intergovernmental review process.

E. Funding Restrictions

1. Ineligible Activities
In general, any activity that is not authorized under the
provisions of 24 CFR 1003.201-1003.206 is ineligible to be assisted
with ICDBG grant funds. The regulations at 24 CFR 1003.207 govern
ineligible activities and should be referred to for details. The
following guidance is provided in determining the eligibility of other
activities frequently associated with ICDBG projects.
a. Government Office Space. Buildings, or portions thereof, used
predominantly for the general conduct of government cannot be assisted
with ICDBG funds. Those buildings include, but are not limited to,
local government office buildings, courthouses, and other headquarters
of government where the governing body meets regularly. Buildings that
contain both governmental and non-governmental services can be assisted
as long as the ICDBG funds are used only for the non-governmental
sections. Examples of ineligible buildings are a building to house the
community development division or a tribal administration building.
Your Area ONAP office should be consulted for projects of this nature.
b. General Government Expenses. Except as authorized in the
regulations or under OMB Circular A-87, expenses required to carry out
the regular responsibilities of the unit of general local government
are not eligible for assistance with ICDBG funds.
c. Maintenance and Operation Expenses. In general, any expenses
associated with repairing, operating, or maintaining public facilities
and services are not eligible for assistance. Specific exceptions to
this general rule are operating and maintenance expenses associated
with public service activities [24 CFR 1003.201(e)], office space for

[[Page 13662]]

program staff employed in carrying out the ICDBG program [24 CFR
1003.206(a)(4)], and interim assistance [24 CFR 1003.201(f)]. For
example, where a public service is being assisted with CDBG funds, the
cost of operating and maintaining that portion of the facility in which
the service is located is eligible as part of the public service.
Examples of ineligible operating and maintenance expenses are routine
and non-routine maintenance and repair of streets, parks, playgrounds,
water and sewer facilities, neighborhood facilities, senior centers,
centers for persons with disabilities, parking facilities, and similar
public facilities and, payment of salaries for staff, utility costs,
and similar expenses necessary for the operation of public works and
facilities.
d. New Housing Construction. The construction of new permanent
residential structures and any program to subsidize or finance such new
construction is ineligible unless carried out by a Community-Based
Development Organization (CBDO) pursuant to 24 CFR 1003.204(a).
e. Furnishings and Personal Property. In general, the purchase of
equipment, fixtures, motor vehicles, furnishings, or other personal
property not an integral structural fixture is ineligible. Exceptions
include when such purchases are necessary for use in grant
administration (24 CFR 1003.206); necessary and appropriate for use in
a project carried out by a CBDO (24 CFR 1003.204); used in providing a
public service (24 CFR 1003.201(e)); or used as fire fighting equipment
(24 CFR 1003.201(c)(1)(ii). However, ICDBG funds may be used to pay
depreciation or use allowances (in accordance with OMB Circular A-87 or
A-122 as applicable).
f. Construction Tools and Equipment. The purchase of construction
tools and equipment is generally ineligible. However, compensation for
the use of such tools and equipment through leasing, depreciation, or
use allowances pursuant to OMB Circulars A-87 and A-122, as applicable,
for an otherwise eligible activity is an eligible use of ICDBG funds.
Exceptions include construction tools and equipment purchased for use
as part of a solid waste facility (24 CFR 1003.201(c)(1)(ii)) and
construction tools only (not equipment) purchased for use in a housing
rehabilitation project being administered by the recipient using the
force account construction method (24 CFR 1003.202(b)(8)).
g. Income Payments. In general, assistance shall not be used for
income payments for housing or any other purpose. Income payments mean
a series of subsistence-type grant payments made to an individual/
family for items such as food, clothing, housing (rent/mortgage) or
utilities, but excludes emergency payments made over a period of up to
three months to the provider of such items or services on behalf of an
individual/family. Examples of ineligible income payments include the
payments for income maintenance and housing allowances.
2. Grant Ceilings: The authority to establish grant ceilings is
found at 24 CFR 1003.100(b)(1). Grant ceilings are established for
FY2005 funding at the following levels:

------------------------------------------------------------------------
Area ONAP Population Ceiling
------------------------------------------------------------------------
Eastern Woodlands................. ALL................. $500,000
Southern Plains................... ALL................. 800,000
Northern Plains................... ALL................. 900,000
Southwest......................... 50,001+............. 5,500,000
10,501-50,000....... 2,750,000
7,501-10,500........ 2,200,000
6,001-7,500......... 1,100,000
1,501-6,000......... 825,000
0-1,500............. 605,000
Northwest......................... ALL................. 500,000
Alaska............................ ALL................. 500,000
------------------------------------------------------------------------

For the Southwest Area ONAP jurisdiction, the population used to
determine ceiling amounts is the Native American population that
resides on a reservation or rancheria. Please contact that office
before submitting your application if you are unsure of the population
level to use to determine the ceiling amount for your tribe or if you
believe that the level used for previous years needs to be revised or
corrected. The Southwest ONAP must approve any corrections or revisions
to Native American population data before you submit your application.

F. Other Submission Requirements

1. Mailing and Receipt Procedures

Specific information regarding mailing and receipt procedures for
FY 2005 is located in the General Section, Section IV, F.

2. Addresses for Submitting Applications

HUD will only accept mailed applications if a waiver of the
electronic delivery process has been approved by HUD. Information
regarding electronic submission and waivers from the electronic
submission requirement is located in the General Section. If a waiver
of the electronic submission requirement is granted, submit the
original signed application and two copies to the appropriate Area ONAP
for your jurisdiction. A list identifying each Area ONAP jurisdiction
is provided below.

------------------------------------------------------------------------
Send your application to this area
ONAP: (Persons with hearing and/or
If you are applying from this speech challenges may access the
geographic location and a waiver telephone numbers listed on this page
from the electronic submission via TTY (text telephone) by calling
requirements has been granted, the Federal Relay Service at 800-877-
then . . . 8339 (this is a toll-free number)

------------------------------------------------------------------------
All States East of the Eastern/Woodlands Office of Native
Mississippi River, Plus Iowa and American Programs, Grants Management
Minnesota. Division, 77 West Jackson Blvd.,
Room 2400, Chicago, IL 60604-3507,
Telephone: (312) 886-4532, Ext. 2815
or 800-735-3239.
Louisiana, Kansas, Oklahoma, and Southern Plains Office of Native
Texas, except West Texas. American Programs, Grants Management
Division, 301 N.W. 6th Street, Suite
200, Oklahoma City, OK 73102,
Telephone: (405) 609-8520.
Colorado, Montana, Nebraska, Northern Plains Office of Native
North Dakota, South Dakota, American Programs, Grants Management
Utah, and Wyoming. Division, UMB Plaza, 1670 Broadway,
23rd Floor, Denver, CO 80202-4801,
Telephone: (303) 672-5465 or 888-814-
2945.
Arizona, California, and Nevada.. Southwest Office of Native American
Programs, Grants Management
Division, One North Central Avenue,
Suite 600, Phoenix, AZ 85004-2361,
Telephone: (602) 379-7220.
New Mexico and West Texas........ Southwest Office of Native American
Programs, Grants Management
Division, 625 Silver Ave., SW Suite
300, Albuquerque, NM 87102-
3185, Telephone: (505) 346-6923.

[[Page 13663]]

Idaho, Oregon, Washington........ Northwest Office of Native American
Programs, Grants Management
Division, Federal Office Building,
909 First Avenue, Suite 300,
Seattle, WA 98104-1000, Telephone:
(206) 220-5270.
Alaska........................... Alaska Office of Native American
Programs, Grants Management
Division, 3000 C. Street, Suite 401,
Anchorage, AK 99503, (907) 677-9800.
------------------------------------------------------------------------

V. Application Review Information

A. Criteria

1. RC/EZ/EC-II: Bonus points described in the General Section for
projects located in RC/EZ/EC-II will not be awarded under this Program
NOFA.
2. Rating Factors to Evaluate and Rate Applications: The factors
for rating and ranking applications and the points for each factor are
provided below. A maximum of 100 points may be awarded under Rating
Factors 1 through 5. To be considered for funding, your application
must receive a minimum of 15 points under rating factor 1 and an
application score of 70 out of the possible total of 100, the maximum
any project can receive. The following summarizes the points assigned
to each rating factor and each rating subfactor and lists which rating
subfactors apply to which project types. Please use this table to
ensure you are addressing the appropriate rating subfactor for your
project.

----------------------------------------------------------------------------------------------------------------
Rating factor Rating sub- factor Points Project type
----------------------------------------------------------------------------------------------------------------
1................................. Total................ 30 Minimum of 15 Points Required.
(1)(a)............... 10................... All Project Types.
(1)(b)............... 5 or 7*.............. All Project Types.
(1)(c)............... 3 or 8*.............. All Project Types.
(1)(d)............... 2 or 5*.............. All Project Types.
(2)(a)............... 2 or 0*.............. All Project Types.
(2)(b)............... 2 or 0*.............. All Project Types.
(2)(c)............... 2 or 0*.............. All Project Types.
(2)(d)............... 2 or 0*.............. All Project Types.
(2)(e)............... 2 or 0*.............. All Project Types.
------------------------
2................................. Total................ 20
1.................... 5.................... All Project Types.
(2)(a)............... 15................... Public Facilities and
Improvements and Economic
Development Projects.
(2)(b)............... 15................... New Housing Construction,
Housing Rehabilitation, Land
Acquisition to Support New
Housing, and Homeownership
Assistance Projects.
(2)(c)............... 15................... Microenterprise Programs.
------------------------
3................................. Total................ 35
(1).................. 14................... All Project Types.
(2).................. 5.................... All Project Types.
(3).................. 1.................... By Project Type.
(4)(a)............... 15................... Public Facilities and
Improvements.
(4)(b)............... 15................... New Housing Construction,
Housing Rehabilitation, and
Homeownership Assistance
Projects.
(4)(c)............... 15................... Economic Development Projects.
(4)(d)............... 15................... Microenterprise Programs.
(4)(e)............... 15................... Land Acquisition to Support
New Housing.
------------------------
4................................. Total................ 10................... All Project Types.
------------------------
5................................. Total................ 5.................... All Project Types.
========================
Total......................... ..................... 100.................. Minimum of 70 Points Required.

----------------------------------------------------------------------------------------------------------------
* The first number listed indicates the maximum number of points available to current ICDBG grantees under this
subfactor. The second number indicates the maximum number of points available to new applicants.

Rating Factor 1: Capacity of the Applicant (30 Points)
This Factor addresses the extent to which you have the
organizational resources necessary to successfully implement the
proposed activities in accordance with your implementation schedule. If
applicable, past performance in administering previous ICDBG grants
will be taken into consideration. You must address the existence or
availability of these resources for the specific type of activity for
which you are applying. You must receive a minimum of 15 points under
this Factor for your proposed activity to be eligible for funding. HUD
will not rate any projects further that do not receive a minimum of 15
points under this factor. Please note: If your application is funded,
you will be required to submit an annual status and evaluation report
which will describe the status of completed activities and any
remaining work to be done (see Section VI.C. Reporting). The

[[Page 13664]]

implementation schedule and/or the Logic Model, Form HUD 96010, you
submit for this Factor will also be measured against actual progress if
you are funded.
(1) (20 points for current ICDBG grantees) (30 points for new
applicants) Managerial, Technical, and Administrative Capability.
Your application must include documentation demonstrating that you
possess or can obtain managerial, technical, and/or administrative
capability necessary to carry out the proposed project. Your
application must address who will administer the project and how you
plan to handle the technical aspects of executing the project in
accordance with your implementation schedule. Typical documents that
may be submitted include, but are not limited to, resumes of proposed
staff, written summaries of qualifications and past experience, job
descriptions, organizational charts and staffing plans, and references
or letters of endorsement from others who have worked with the proposed
staff.
(a) (10 points). Managerial and Technical Staff.
The extent to which your application provides documentation and
describes the roles/responsibilities and the knowledge/experience of
your overall proposed project director and staff, including the day-to-
day program manager, consultants, and contractors in planning,
managing, and implementing projects in accordance with the
implementation schedule for which funding is being requested.
Experience will be judged in terms of recent, relevant, and successful
experience of your staff to undertake eligible program activities. In
rating this Factor, HUD will consider experience within the last 5
years to be recent; experience pertaining to the specific activities
being proposed to be relevant; and experience producing specific
accomplishments to be successful. The more recent the experience and
the more experience your own staff members who work on the project have
in successfully conducting and completing similar activities, the
greater the number of points you will receive for this rating Factor.
(10 Points). The applicant has provided documentation and
adequately describes the roles/responsibilities and the knowledge/
experience of its overall project director and staff, including the
day-to-day program manager, consultants, and contractors in planning,
managing, and implementing projects for which funding is being
requested. Staff experience as described in the application is recent
(within 5 years), relevant (pertains to the specific activities being
proposed) and successful (has produced specific accomplishments).
(5 Points). The applicant has provided documentation and adequately
describes the roles/responsibilities and the knowledge/experience of
its overall project director and staff, including the day-to-day
program manager, consultants, and contractors in planning, managing and
implementing projects for which funding is being requested. However,
one of the following applies: staff experience as described in the
application is not recent (not within 5 years), is not relevant (does
not pertain to the specific activities being proposed), or is not
successful (did not produce specific accomplishments).
(0 Points). The applicant has not provided any documentation or
adequately described the roles/responsibilities and the knowledge/
experience of its overall project director and staff, including the
day-to-day program manager, consultants, and contractors in planning,
managing, and implementing projects for which funding is being
requested or more than one of the following applies: staff experience
as described in the application is not recent (not within 5 years), is
not relevant (does not pertain to the specific activity being
proposed), or is not successful (did not produce specific
accomplishments).
(b) (5 points for current ICDBG grantees) (7 points for new
applicants) Project Implementation Plan and Program Evaluation.
The extent to which your project implementation plan identifies the
specific tasks and timelines that you and your partner contractors and/
or sub grantees will undertake to complete your proposed project on
time and within budget. The Project Implementation Schedule, Form HUD-
4125, may serve as this required schedule, provided that it is
sufficiently detailed to demonstrate that you have clearly thought out
your project implementation. The extent to which your project
identifies, measures, and evaluates the specific benchmarks, outputs,
outcomes, and/or goals of your project that enhance community
viability. The Logic Model, Form HUD-96010, may serve as the format to
address this information or you may provide a different format that
provides the same information.
(5 points for current ICDBG grantees) (7 points for new
applicants). The applicant submitted a project implementation plan that
clearly specifies project tasks and timelines. The documentation
identifies the steps in place to make adjustments to the work plan if
tasks are not completed within established time frames. The applicant
submitted clear project benchmarks, outputs, outcomes, and/or targets
and identified objectively quantifiable program measures and/or
evaluation process.
(3 points for current ICDBG grantees) (4 points for new
applicants). The applicant submitted a project implementation plan that
specifies project tasks and timelines. The applicant submitted project
benchmarks, outputs, outcomes, and/or targets for each; however, did
not clearly identify objectively quantifiable program measures and/or
the evaluation process.
(0 points for current ICDBG grantees or new applicants). The
applicant submitted a project implementation schedule that does not
address all project tasks and timelines associated with the project.
Project benchmarks, outputs, outcomes, and/or goals were not submitted,
or if submitted, did not address either the quantifiable program
measures and/or the evaluation process.
(c) (3 points for current ICDBG grantees) (8 points for new
applicants) Financial Management.
This subfactor evaluates the extent to which your application
describes how your financial management systems will facilitate
effective fiscal control over your proposed project and meet the
requirements of 24 CFR part 85 and 24 CFR part 1003. You must also
describe how you will apply your financial management systems to the
specific project for which you are applying. The application must
include a tribal resolution or other written document signed by the
appropriate entity according to tribal practices that adopts your
financial management and/or internal control policies and procedures.
The application will also be rated on the seriousness/significance of
the findings related to your financial management system identified in
your current audit. If you are required to have an audit but do not
have a current audit, you must submit a letter from your Independent
Public Accountant that is dated within the past 12 months stating that
your financial management system complies with all applicable
regulatory requirements. If you are not required to have an audit, you
will automatically receive points for this portion of the subfactor if
you provide the other information required by this subfactor. For
purposes of this subfactor, a current audit is one which has been
submitted to the Federal Audit Clearinghouse within 9 months of the end
of the

[[Page 13665]]

applicant's last fiscal year, or 30 days after receipt of the audit
report from the auditor, whichever comes first.
(3 points for current ICDBG grantees) (8 points for new
applicants). The applicant clearly described how it will apply its
financial management systems to the proposed project. A tribal
resolution or other written document signed by the appropriate entity
according to tribal practices adopting financial management or internal
control policies and procedures were included with the application. The
applicant's current audit does not contain any serious or significant
findings related to its financial management system, or if there is no
current audit, the applicant submitted a letter from its Independent
Public Accountant stating that its financial management system complies
with all applicable regulatory requirements.
(2 points for current ICDBG grantees) (4 points for new
applicants). The applicant's current audit does not contain any serious
or significant findings related to its financial management system, or
if there is no current audit, the applicant submitted a letter from its
Independent Public Accountant stating that its financial management
system complies with all applicable regulatory requirements. The
applicant did not describe how it would apply its financial management
systems to the proposed project, or it did not submit a tribal
resolution or other written document adopting financial management or
internal control policies and procedures. For purposes of this
subfactor, a current audit is one which has been submitted to the
Federal Audit Clearinghouse within 9 months of the end of the
applicant's last fiscal year, or 30 days after receipt of the audit
report from the auditor, whichever comes first.
(1 point for current ICDBG grantees) (2 points for new applicants).
The applicant's current audit does not contain any serious or
significant findings related to its financial management system, or if
there is no current audit, the applicant submitted a letter from its
Independent Public Accountant stating that its financial management
system complies with all applicable regulatory requirements. The
applicant did not describe how it would apply its financial management
systems to the proposed project, and it did not submit a tribal
resolution or other written document adopting financial management or
internal control policies and procedures.
(0 points for current ICDBG grantees or new applicants). The
applicant's current audit included serious or significant findings
related to its financial management systems or if there is no current
audit, the applicant did not submit a letter from its IPA stating its
financial management systems comply with all regulatory requirements.
No tribal resolution or other written document adopting financial
management or internal control policies and procedures were submitted
with the application, and the applicant did not describe how it would
apply its financial management systems to the proposed project.
(d) (2 points for current ICDBG grantees) (5 points for new
applicants) Procurement and Contract Management.
This subfactor evaluates the extent to which your application
describes how your procurement and contract management policies and
procedures will facilitate effective procurement and contract control
over your proposed project and meet the requirements of 24 CFR part 85
and 24 CFR part 1003. You must also describe how you will apply your
procurement and contract management systems to the specific project for
which you are applying. The application must include a tribal
resolution or other written document signed by the appropriate entity
according to tribal practices that adopts your procurement and contract
management policies and procedures. The application will also be rated
on the seriousness of the findings related to procurement and contract
management identified in your current financial audit. If you are
required to have an audit but do not have a current audit, you must
submit a letter from your Independent Public Accountant stating that
your procurement and contract management system complies with all
applicable regulatory requirements. If you are not required to have an
audit, you will automatically receive points for this portion of the
subfactor if you provide the other information required by this
subfactor.
(2 points for current ICDBG grantees) (5 points for new
applicants). The applicant clearly described how its procurement and
contract management policies and procedures will facilitate effective
procurement and contract control over the proposed project, and meet
the requirements of 24 CFR part 85 and 24 CFR part 1003. A tribal
resolution or other written document signed by the appropriate entity
according to tribal practices adopting procurement and contract
management policies and procedures were included with the application.
The applicant's current audit does not contain any serious or
significant findings related to its procurement and contract management
system, or if there is no current audit, the applicant submitted a
letter from its Independent Public Accountant stating that its
procurement and contract management system complies with all applicable
regulatory requirements.
(1 point for current ICDBG grantees) (4 points for new applicants).
The applicant's current audit does not contain any serious or
significant findings related to its procurement or contract management
system, or if there is no current audit, the applicant submitted a
letter from its Independent Public Accountant stating that its
procurement and contract management system complies with all applicable
regulatory requirements. The applicant did not describe how it would
apply its procurement and contract management systems to the proposed
project, or it did not submit a tribal resolution or other written
document adopting procurement and contract management policies and
procedures.
(0 points for current ICDBG grantees or new applicants). The
applicant's current audit included serious or significant findings
related to its procurement and contract management systems or if there
is no current audit, the applicant did not submit a letter from its IPA
stating its procurement and contract management systems comply with all
regulatory requirements. No tribal resolution or other written document
adopting procurement or contract management policies and procedures
were submitted with the application, and the applicant did not describe
how it would apply its procurement and contract management systems to
the proposed project.
(2) (10 points for current ICDBG grantees) (0 points for new
applicants) Past Performance.
HUD will evaluate your experience in producing timely products and
reports in any previous grant programs undertaken with HUD funds for
the following performance measures. HUD reserves the right to take into
account your past performance in meeting performance and reporting
goals on any previous HUD awards. Applicants are not required to
respond to the subfactors related to past performance. HUD will rely on
information on file.
(a) (2 points for current ICDBG grantees) (0 points for new
applicants). You have had satisfactory progress in meeting the time
frames established in the HUD-approved Implementation Schedule for the
ICDBG Program.
(2 points). The applicant has made satisfactory progress in meeting
the timeframes established in the implementation schedule, or was
behind schedule but the applicant has

[[Page 13666]]

an approved revised implementation schedule that was submitted prior to
application deadline.
(0 points). The applicant has not made satisfactory progress
meeting timeframes in the most recently approved implementation
schedule.
(b) (2 points for current ICDBG grantees) (0 points for new
applicants).
(2 points). The applicant has submitted both the Annual Status and
Evaluation Reports and Federal Cash Transaction Reports for ICDBG
programs in a timely manner.
(1 point). The applicant has submitted either the Federal Cash
Transaction Reports or the Annual Status and Evaluation Reports for
ICDBG programs in a timely manner.
(0 points). The applicant has not submitted either of the required
reports in a timely manner.
(c) (2 points for current ICDBG grantees) (0 points for new
applicants). You have submitted close-out documents to HUD in a timely
manner. Close-out documents are required for the ICDBG Program within
90 days of the date it is determined that the criteria for close-out at
24 CFR 1003.508 have been met.
(2 points). The applicant submitted close-out documents to HUD in
accordance with the timeframe and criteria at Sec. 1003.508.
(0 points). The applicant has not submitted close-out documents to
HUD as required by Sec. 1003.508.
(d) (2 points for current ICDBG grantees) (0 points for new
applicants). You have submitted annual audits in a timely fashion in
accordance with the ICDBG requirements and OMB Circular A-133 and its
compliance supplements.
(2 points). The applicant has submitted annual audits in accordance
with ICDBG requirements and OMB Circular A-133 and its compliance
supplements, or if the applicant has not been required to submit an
audit, it will receive 2 points.
(0 points). The applicant has not submitted annual audits in
accordance with ICDBG requirements and OMB Circular A-133 and its
compliance supplements.
(e) (2 points for current ICDBG grantees) (0 points for new
applicants). You have resolved in a timely manner ICDBG monitoring
findings and controlled audit findings or there are no findings in
current reports.
(2 points). The applicant resolved open ICDBG monitoring findings
and controlled audit findings in a timely manner. If there were no open
audit or ICDBG monitoring findings (current grantees only), the
applicant will receive 2 points.
(0 points). The applicant has not resolved open ICDBG monitoring
findings and controlled audit findings in a timely manner.
Rating Factor 2: Need/Extent of the Problem (20 points)
This factor addresses the extent to which there is a need for the
proposed project to address a documented problem among the intended
beneficiaries.
(1) (up to 5 points). Your application includes quantitative
documentation demonstrating that the proposed project meets an
essential community development need by providing outcomes that are
critical to the viability of the community.
(2) (15 points). Your project benefits the neediest segment of the
population, in accordance with the Program's primary objective defined
at 24 CFR 1003.2. The criteria for this sub-factor vary according to
the type of project for which you are applying. Please note that you
may submit data that are unpublished and not generally available in
order to meet the requirements of this section. However, to do so, you
must submit a demographic data statement along with supporting
documentation as described in Section IV.B.2.a. For documenting persons
employed by the project, you do not need to submit a demographic data
statement and corresponding documentation. However, you do need to
submit information that describes the nature of the jobs created or
retained. Such information includes but is not limited to proposed job
descriptions, salaries and the number of full-time equivalent
positions. If you believe jobs will be retained as a result of the
ICDBG project, include information that show clearly and objectively,
that jobs will be lost without the ICDBG project. Jobs that are
retained only for the period of the grant will not count under this
rating factor.
(a) Public Facilities and Improvements and Economic Development
Projects. The proposed activities benefit the neediest segment of the
population, as identified below. For economic development projects, you
may consider beneficiaries of the project as persons served by the
project and/or persons employed by the project, and jobs created or
retained by the project.
(15 points). 85 percent or more of the beneficiaries are low- or
moderate-income.
(10 points). At least 75 percent but less than 85 percent of the
beneficiaries are low- or moderate-income.
(5 points). At least 55 percent but less than 75 percent of the
beneficiaries are low- or moderate-income.
(0 points). Less than 55 percent of the beneficiaries are low- or
moderate-income.
(b) New Housing Construction, Housing Rehabilitation, Land
Acquisition to Support New Housing, and Homeownership Assistance
Projects. The need for the proposed project is determined by utilizing
data from the tribe's 2005 IHBG formula information. The ratio is based
on the dollars allocated to a tribe under the IHBG Program for Need
divided by the sum of the number of AIAN households in the following
categories:

--Annual income less than 30 percent of median income;
--Annual income between 30 percent and 50 percent of median income;
--Annual income between 50 percent and 80 percent of median income;
--Overcrowded or without kitchen or plumbing;
--Housing cost burden greater than 50 percent of annual income;
--Housing shortage (Number of low-income AIAN households less total
number of NAHASDA and Formula Current Assisted Stock).
This ratio is computed for each tribe and contained in Appendix A.
(15 points). The dollar amount for the Indian tribe is $354-$675 or
the tribe's total FY2005 IHBG amount was $100,000 or less and Appendix
A of this NOFA indicates that the Indian tribe has no AIAN households
experiencing income or housing problems.
(10 points). The dollar amount for the Indian tribe is $67-$1,200.
(5 points). The dollar amount for the Indian tribe is $1,201-
$1,999.
(0 points). The dollar amount for the Indian tribe is $2,000 or
higher, or Appendix A indicates that the Indian tribe has no AIAN
households experiencing income or housing problems.
(c) Microenterprise Programs.
A microenterprise is a business that has five or fewer employees,
one or more of whom owns the enterprise. The owner(s) of the
microenterprise must be low- or moderate-income and the majority of the
jobs created or retained will be for low- or moderate-income persons.
To evaluate need, the nature of the jobs created or retained will be
evaluated. The owners of the microenterprises are low- and moderate-
income and:
(15 points). All employees are low- or moderate-income.
(10 points). At least 75 percent but less than 100 percent of the
employees are low- or moderate-income.
(5 points). At least 50 percent but less than 75 percent of the
employees are low- or moderate-income.

[[Page 13667]]

(0 points). Less than 50 percent of the employees are low- and
moderate-income.
Rating Factor 3: Soundness of Approach (35 Points)
This factor addresses the quality and anticipated effectiveness of
your proposed project's outcomes in enhancing community viability and
in meeting the needs you have identified in Rating Factor 2 and the
commitment to sustain your proposed project. The populations that were
described in demographics that documented need should be the same
populations that will receive the primary benefit of the proposed
project.
(1) (14 points). Description of and Rationale for Proposed Project.
(14 points). The proposed project is a viable and cost effective
approach to address the needs outlined under Rating Factor 2 of your
application. The proposed project is described in detail and indicates
why you believe the proposed project will be most effective in
addressing the identified need. The proposed outcomes for the project
clearly describe how the community's viability will be enhanced,
including selection of measures listed in Rating Factor 5. The
application includes a description of the size, type and location of
the project and a rationale for project design. The application must
also include anticipated cost savings due to innovative program design
or construction methods. For land acquisition to support new housing
projects, you must establish that there is a reasonable ratio between
the number of net usable acres to be acquired and the number of low-
and moderate-income households to benefit from the project.
(9 points). The proposed project is a viable and cost effective
approach to address the needs outlined under Rating Factor 2 of the
application. The project is described in detail and indicates why you
believe the project will be most effective in addressing the identified
need. Proposed outcomes that will enhance the community's viability are
included. The application includes a description of the size, type and
location of the project as well as a rationale for project design. For
land acquisition to support new housing projects, the applicant has
established that there is a reasonable ratio between the number of net
usable acres to be acquired and the number of low- and moderate-income
households to benefit from this project. The application does not
include anticipated cost savings due to innovative program design and/
or construction methods.
(5 points). The proposed project is a viable and cost effective
approach to address the needs outlined under Rating Factor 2 of the
application. The project is described and indicates why you believe the
project will be most effective in addressing the identified need.
Proposed outcomes are included but do not describe how the project will
enhance community viability. The application includes a description of
the size, type, and location of the project. For land acquisition to
support new housing projects, the applicant has established that there
is a reasonable ratio between the number of net usable acres to be
acquired and the number of low- and moderate-income households to
benefit from the project. The application does not include anticipated
cost savings due to innovative program design and/or construction
methods.
(0 points). The proposed project is not a viable and cost effective
approach to address the needs outlined under Rating Factor 2 of the
application. The proposed project is not described in detail with an
indication of why the applicant believes the project will be most
effective in addressing the identified need. Proposed outcomes
describing how the project will enhance community viability are not
included. For land acquisition to support new housing projects, the
applicant has not established that there is a reasonable ratio between
the number of net usable acres to be acquired and the number of low-
and moderate-income households to benefit from the project. The
application does not include anticipated cost savings due to innovative
program design and/or construction methods.
(2) (5 points). Budget and Cost Estimates.
The quality, thoroughness, and reasonableness of the proposed
project budget are documented. Cost estimates must be broken down by
line item for each proposed activity, including planning and
administration costs, and documented. You must submit documentation
listing the qualifications of the person who prepared the cost
estimate.
(3) (1 point). HUD Policy Priorities.
Your application addresses the goals for ``Improving Our Nation's
Communities'', or ``Energy Star'', two of HUD's 2005 Policy Priorities,
as described in Section V. B. 2 of the General Section. You must
describe which of these two Policy Priorities you select and describe
how your activity will meet the applicable goals.
(4) (15 points). Commitment to Sustain Activities.
Your application demonstrates your commitment to your community's
viability by sustaining your proposed activities. The information
provided is sufficient to determine that the project will proceed
effectively.
The criteria for this sub-factor vary according to the type of
project for which you are applying.
(a) Public Facilities and Improvement Projects.
(15 points). If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, a tribal
resolution is included in the application that adopts the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, the operation and maintenance plan is
included in the application and addresses maintenance, repairs,
insurance, security, and replacement reserves and includes a cost
breakdown for annual expenses. If an entity other than the tribe
commits to pay for operation and maintenance for the public facilities,
a letter of commitment from the entity is included in the application
that identifies the maintenance responsibilities and, if applicable,
responsibilities for operations the entity will assume as well as
necessary funds to provide for these responsibilities. Submission of
the operation and maintenance plan is not required when an entity other
then the tribe assumes operation and maintenance responsibilities. For
public facility buildings only, a tribal resolution or letter of
commitment is included in the application that identifies the source of
and commits the necessary operating funds for any recreation, social or
other services to be provided. In addition, letters of commitment from
service providers are included which address both operating expenses
and space needs.
(10 points). If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, a tribal
resolution is included in the application that adopts the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities. In addition, the operation and maintenance plan is
included in the application and addresses most of the following items
(maintenance, repairs, insurance, security, and replacement reserves)
but does not include a satisfactory cost breakdown for annual expenses.
If an entity other than the tribe commits to pay for operation and
maintenance for the public facilities and maintenance, a letter of
commitment from the entity is included in the application that
identifies the maintenance responsibilities and, if applicable,

[[Page 13668]]

responsibilities for operations the entity will assume but no
information committing the necessary funds to provide for these
responsibilities is included. Submission of the operation and
maintenance plan is not required when an entity other than the tribe
assumes operation and maintenance responsibilities. For community
buildings only, a tribal resolution or letter of commitment is included
in the application that identifies the source of and commits the
necessary operating funds for any recreation, social or other services
to be provided. In addition, letters of commitment from service
providers are included which address both operating expenses and space
needs. Information provided is sufficient to determine that the project
will proceed effectively.
(5 points). If a tribe assumes operation and maintenance
responsibilities for the public facilities and improvements, a tribal
resolution is included in the application that adopts the operation and
maintenance plan and commits the necessary funds to provide for these
responsibilities, or the operation and maintenance plan is included in
the application and addresses most of the following items (maintenance,
repairs, insurance, security, and replacement reserves). If an entity
other than the tribe commits to pay for operation and maintenance for
the public facilities and maintenance, the maintenance provider is
identified and, if applicable, responsibilities for operations the
entity will assume, but no letter of commitment is included. For public
facility buildings only, no tribal resolution or letter of commitment
is included in the application that identifies the source of and
commits the necessary operating funds for any recreation, social or
other services to be provided. However, letters of commitment to
provide services are included but they do not address operating
expenses and space needs. Information provided is sufficient to
determine that the project will proceed effectively
(0 points). None of the above criteria is met.
(b) New Housing Construction, Housing Rehabilitation, and
Homeownership Assistance Projects.
(15 points). The ongoing maintenance responsibilities are clearly
identified for the tribe and/or the participants, as applicable. Any
participant maintenance responsibilities are included on a statement to
be signed by the participant as a condition of receiving grant
assistance and the statement to be used is included in the application.
If the tribe or another entity is assuming maintenance
responsibilities, then the applicant must submit either a tribal
resolution or letter of commitment to that effect.
(10 points). Maintenance responsibilities are identified, but
lacking in detail, and the above statement (if applicable) to be signed
by the participant, or the tribal resolution or letter of commitment
regarding maintenance responsibilities is submitted.
(5 points). Tribal maintenance responsibilities are identified but
participant responsibilities are either not addressed or do not exist,
or there is no tribal resolution or letter of commitment or statement
signed by the participant.
(0 points). None of the above criteria is met.
(c) Economic Development Projects.
You must include information or documentation which addresses or
provides all of the following in the application: a description of the
organizational system and capacity of the entity that will operate the
business; documents which show that formal provisions exist for
separation of government functions from business operating decisions,
an operating plan for the project, and the feasibility and market
analysis of the proposed business activity and the financial viability
of the project.
Appropriate documents to include in the application to address
these items include:
(i) Articles of incorporation, by-laws, resumes of key management
positions and board members for the entity who will operate the
business.
(ii) Business operating plan.
(iii) Market study no more than two years old and which has been
conducted by an independent entity.
(iv) Feasibility study no more than two years old which indicates
how the proposed business will capture a fair share of the market, and
which has been conducted by an independent entity.
(v) Detailed cost summary for the development of the project.
(vi) Five year operating or cash flow financial projections.
(vii) For the expansion of an existing business, copies of
financial statements for the most recent three years (or the life of
the business, if less than three years).
The submitted documentation will be evaluated to determine the
project's financial chance for success. The following information must
be addressed to meet this requirement:
(i) Does the business plan seem thorough and the organization
structure have quality control and responsibilities built in?
(ii) Does the business plan or market analysis indicate that a
substantial market share is likely within five years?
(iii) Do the costs appear to be reasonable given projected income
and information about inputs?
(iv) Does the business plan or cash flow analysis indicate that
cash flow will be positive within the first year?
(v) Is the financial statement clean with no indications of concern
by the auditor?
(15 points). All above documents applicable to the proposed project
are included in your application and provide evidence that the
project's chance for financial success is excellent.
(8 points). All or most of the above documents applicable to the
proposed project are included and provide evidence that the project's
chance for financial success is reasonable.
(0 points). Neither of the above criteria is met.
(d) Microenterprise Programs.
You must include the following information or documentation in the
application that addresses or provides a description of how your
microenterprise program will operate. Appropriate information to
include in the application to address program operations includes:
(i) Program description. A description of your microenterprise
program including the types of assistance offered to microenterprise
applicants and the types of entities eligible to apply for such
assistance.
(ii) Processes for selecting applicants. A description of your
processes for analyzing microenterprise applicants' business plans,
market studies and financial feasibility. For credit programs, you must
describe your process for determining the loan terms (i.e. interest
rate, maximum loan amount, duration, loan servicing provisions) to be
offered to individual microenterprise applicants.
(15 points). All of the above information or documentation
applicable to the proposed project are thoroughly addressed in the
application and the chances for success are excellent.
(8 points). All or most of the above information or documentation
applicable to the proposed project are addressed in the application and
the chances for success are reasonable.
(0 points.) Neither of the above criteria is met.
(e) Land Acquisition Projects to Support New Housing.
Submissions must include the results of a preliminary investigation

[[Page 13669]]

conducted by a qualified independent entity demonstrating that the
proposed site has suitable soil conditions for housing and related
infrastructure, potable drinking water is accessible for a reasonable
cost, access to utilities, vehicular access, drainage, nearby social
and community services, and no known environmental problems.
(15 points).) The submissions include all of the above-mentioned
items and all necessary infrastructure is in place.
(8 points). The submissions demonstrate that the proposed site(s)
is/are suitable for housing but that not all necessary infrastructure
is in place. A detailed description of resources to be used and a
detailed implementation schedule for development of all necessary
infrastructure demonstrates that such infrastructure, as needed for
proposed housing development, will be developed in time for such
development, but no later than two years after site purchase.
(0 points). Neither of the above criteria is met.
Rating Factor 4: Leveraging Resources (10 Points)
HUD believes that ICDBG funds can be used more effectively to
benefit a larger number of Native American and Alaska Native persons
and communities if projects are developed that use tribal resources and
resources from other entities in conjunction with ICDBG funds. To
encourage this, we will award points based on the percentage of non-
ICDBG resources provided relative to project costs as follows:

------------------------------------------------------------------------
Non-ICDBG resources to project costs Points
------------------------------------------------------------------------
Less than 5 percent............................................ 0
At least 5 percent but less than 10 percent.................... 2
At least 10 percent but less than 15 percent................... 4
At least 15 percent but less than 20 percent................... 6
At least 20 percent but less than 25 percent................... 8
25 percent or more............................................. 10
------------------------------------------------------------------------

Contributions which could be considered as leveraged resources for
point award include, but are not limited to: Tribal trust funds; loans
from individuals or organizations; private foundations; businesses;
state or federal loans or guarantees; other grants including IHBG (also
known as NAHBG) funds; donated goods and services needed for the
project; land needed for the project; and, direct administrative costs.
With the exception of land acquisition, funds that have been expended
on the project prior to application submission will not be counted as
leverage. Applicants are reminded that environmental review
requirements under 24 CFR part 58 apply to the commitment or use of
both ICDBG and non-ICDBG funds in a leveraged project. See Section
VI.B.a. for information related to this requirement.
Contributions that will not be considered include, but are not
limited to: Indirect administrative costs as identified in OMB Circular
A-87, attachment A, section F; contributions of resources to pay for
anticipated operations and maintenance costs of the proposed project;
and, in the cases of expansions to existing facilities, the value of
the existing facility.
To be considered for point award, letters of firm or projected
commitments, memoranda of understanding, or agreements to participate
from any entity, including the tribe, which will be providing a
contribution to the project, must accompany the application. The
documentation must be received by HUD in the paper application package
(if you have received a waiver of the electronic submission
requirement) or for electronically submitted applications, the
documentation must be scanned and submitted as part of the application
documents or sent by facsimile transmittal. Applicants should follow
the requirements for facsimile transmittal requirements in the General
Section. All documents submitted must be received by the application
submission dates and meet the timely receipt requirements to receive
funding consideration.
To demonstrate the commitment of tribal resources, the application
must contain a council resolution or legal equivalent that identifies
and commits the tribal resources to the project, subject to approval of
the ICDBG assistance. In the case of IHBG (also known as NAHBG) funds,
whether the tribe or a TDHE administers them, an approved IHP must
identify and commit the IHBG (also known as NAHBG) resources to the
project. If the tribe/TDHE intends to include the leveraged commitment
in a future IHP, the application must contain a council resolution or
legal equivalent that identifies and commits the IHBG (also known as
NAHBG) resources to the project subject to the same requirements as
above.
To demonstrate the commitment of public agency, foundation, or
other private party resources, a letter of commitment, memorandum of
understanding, and/or agreement to participate, including any
conditions to which the contribution may be subject, must be submitted
with the application. All letters of commitment must include the donor
organization's name, the specific resource proposed, the dollar amount
of the financial or in-kind resource and method for valuation, and the
purpose of that resource within the proposed project. An official of
the organization legally authorized to make commitments on behalf of
the organization must sign the commitment.
HUD recognizes that in some cases, firm commitments of non-tribal
resources may not be obtainable by your tribe by the application
submission deadline. For such projected resources, your application
must include a statement from the contributing entity that describes
why the firm commitment cannot be made at the current time and affirms
that your tribe and the proposed project meets eligibility criteria for
receiving the resource. In addition, a date by which the funding
decisions will be made must be included. This date cannot be more than
six months from the anticipated date of grant approval by HUD. Should
HUD not receive notification of the firm commitment within 6 months of
the date of grant approval, HUD will recapture the grant funds approved
and will use them in accordance with the requirement of 24 CFR
1003.102.
In addition to the above requirements, for all contributions of
goods, services and land, you must demonstrate that the donated items
are necessary to the actual development of the project and include
comparable costs that support the donation. Land valuation must be
established using one of the following methods and the documentation
must be contained in the application: A site specific appraisal no more
than two years old; an appraisal of a nearby comparable site also no
more than two years old; a reasonable extrapolation of land value based
on current area realtor value guides; or, a reasonable extrapolation of
land value based on recent sales of similar properties in the same
area.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which your project planning and
proposed implementation reflect a coordinated, community-based process
of identifying and addressing needs including assisting beneficiaries
and the program to achieve self-sufficiency/sustainability. Please note
that the Logic Model, HUD Form 96010, is not required for Rating Factor
5 under the ICDBG Program. However, applicants may use this form to
address program evaluation requirements under Rating

[[Page 13670]]

Factor 1.(1).(b) of this Program NOFA, and measurable outputs and
outcomes in Section (2) of this factor.
(1) (2 points). The application addresses the extent to which you
have coordinated your proposed ICDBG activities with other
organizations and/or tribal departments that are not providing direct
financial support to your proposed work activities, but with which you
share common goals and objectives and are working toward meeting these
objectives in a holistic and comprehensive manner. For example, your
project is consistent with and, to the extent possible, identified in
the IHP (One-Year Financial Resources Narrative; Table 2, Financial
Resources, Part I., Line 1E; and, Table 2, Financial Resources, Part
II) submitted by you or on your behalf for the IHBG (also known as
NAHBG) Program. If the IHP for the IHBG (also known as NAHBG) program
year that coincides with the implementation of the ICDBG proposed
project has not been submitted, you must provide an assurance that when
submitted, the IHP will specifically reference the proposed project.
(2) (3 points). Your proposed project will have measurable outputs
and outcomes that will enhance community viability.
Outputs must include, where applicable:
[sbull] Number of houses rehabilitated;
[sbull] Number of jobs created or obtained;
[sbull] Square feet for any public facility;
[sbull] Number of education or job training opportunities provided;
[sbull] Number of homeownership units constructed or financed;
[sbull] Number of businesses assisted (including number of
minority/Native American);
[sbull] Number of families proposed to be assisted with a drug-
elimination program, or with a program to reduce or eliminate health
related hazards.
Outcomes must include, where appropriate:
[sbull] Reduction in the number of families living in substandard
housing;
[sbull] Increased income resulting from employment generated by
project;
[sbull] Increased quality of life due to services provided by the
public facility;
[sbull] Increased economic self-sufficiency of recipients of
program beneficiaries;
[sbull] Increase in homeownership rates;
[sbull] Reduction of drug-related crime or health related hazards.

B. Reviews and Selection Process

1. Application Selection Process
You must meet all of the applicable threshold requirements listed
in Section III.C.3. and 4. Your application must meet all screening for
acceptance requirements and all identified applicant and project
specific thresholds. HUD will review each application and assign points
in accordance with the selection factors described in this section.
2. Threshold Compliance
The Area ONAP will review each application that passes the
screening process to ensure that each applicant and each proposed
project meets the applicant threshold requirements set forth in 24 CFR
1003.301(a) and the project specific threshold requirements set forth
in 24 CFR 1003.302 and IIIV.C.3 and 4 of this Program NOFA.
3. Past Performance
An applicant's past performance is evaluated under Rating Factor 1,
Capacity of the Applicant. Applicants are encouraged to address all
performance-related criteria prior to submission of an application. An
applicant must score a minimum of 15 points under Rating Factor 1 in
order to meet the minimum point requirements outlined below in this
Program NOFA.
4. Rating Panels
The Area ONAP office for your jurisdiction, as listed in Section
IV.F.2., will rate applications. Rating panels may be used only for the
summary review, after the application is rated, as discussed in Section
V.B.5. below.
5. Rating
The Area ONAP will review and rate each project that meets the
acceptance criteria and threshold requirements. After the applications
are rated, a summary review of all applications will be conducted to
ensure consistency in the application rating. The summary review will
be performed by either the Grants Management Director (or designee) or
by a panel composed of up to three staff members.
The total points for all rating factors are 100. A maximum of 100
points may be awarded under Rating Factors 1 through 5.
6. Minimum Points
To be considered for funding, your application must receive a
minimum of 15 points under Rating Factor 1 and an application score of
70 out of the possible total of 100.
7. Ranking
All projects will be ranked against each other according to the
point totals they receive, regardless of the type of project or
component under which the points were awarded. Projects will be
selected for funding based on the final ranking to the extent that
funds are available. The Area ONAP will determine individual grant
amounts in a manner consistent with the considerations set forth in 24
CFR 1003.100(b)(2). Specifically, the Area ONAP may approve a grant
amount less than the amount requested. In doing so, the Area ONAP may
take into account the size of the applicant, the level of demand, the
scale of the activity proposed relative to need and operational
capacity, the number of persons to be served, the amount of funds
required to achieve project objectives, and the reasonableness of the
project costs. If the Area ONAP determines that there are not enough
funds available to fund a project as proposed by the applicant, it may
decline to fund that project and may fund the next highest-ranking
project or projects for which adequate funds are available. The Area
ONAP may select, in rank order, additional projects for funding if one
of the higher-ranking projects is not funded or if additional funds
become available.
8. Tiebreakers
When rating results in a tie among projects and insufficient
resources remain to fund all tied projects, the Area ONAP will approve
projects that can be fully funded over those that cannot be fully
funded. When that does not resolve the tie, the Area ONAP will use the
following factors in the order listed to resolve the tie:
(a) The applicant that has not received an ICDBG over the longest
period of time.
(b) The applicant with the fewest active ICDBGs.
(c) The project that would benefit the highest percentage of low-
and moderate-income persons.
9. Technical Deficiencies and Pre-award Requirements
a. Technical Deficiencies: If there are technical deficiencies in
successful applications, you must satisfactorily address these
deficiencies before HUD can make a grant award. After the application
submission deadline, HUD may not, consistent with its regulations in 24
CFR part 4, subpart B, consider any unsolicited information you, the
applicant, may want to provide. HUD may contact you to clarify an item
in your application or to correct technical deficiencies. HUD may not
seek clarification of items or responses that improve the substantive
quality of your response to any rating factors. In order not to
unreasonably exclude applications from being rated and

[[Page 13671]]

ranked, HUD may contact applicants to ensure proper completion of the
application and will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
failure to submit the proper certifications or failure to submit an
application signed by an authorized official. In each case, HUD will
notify applicants by facsimile or by USPS, return receipt requested.
Clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD must be received within 14
calendar days of the date of receipt of the HUD notification. (If the
submission date falls on a Saturday, Sunday, or federal holiday, your
correction must be received by HUD on the next day that is not a
Saturday, Sunday, or federal holiday). If the technical deficiency is
not corrected within this time period, HUD will reject the application
as incomplete and it will not be considered for funding.
b. Pre-award Requirements. Successful applicants may be required to
provide supporting documentation concerning the management,
maintenance, operation, or financing of proposed projects before a
grant agreement can be executed. Such documentation may include
additional specifications on the scope, magnitude, timing or method of
implementing the project; or information to verify the commitment of
other resources required to complete, operate, or maintain the proposed
project. HUD will notify applicants of any pre-award requirements by
fax or by USPS, return receipt required. Responses to pre-award
requirements must be received by the Area ONAP within 30 calendar days
of receipt of the HUD notification. No extensions will be provided. If
you do not respond within the prescribed period or your response is
insufficient, the Area ONAP will determine that you have not met the
requirements and will withdraw the grant offer. You may not substitute
new projects for those originally proposed in your application and any
new information will not affect your project's rating and ranking. The
Area ONAP will award, in accordance with the provisions of this Program
NOFA, grant amounts that had been allocated for applicants unable to
meet pre-award requirements.
10. Error and Appeals
Judgments made within the provisions of this Program NOFA and the
program regulations (24 CFR part 1003) are not subject to claims of
error. You may bring arithmetic errors in the rating and ranking of
applications to the attention of the Area ONAPs within 30 days of being
informed of your score. Please see Section VI.A.3 of the General
Section for further information regarding errors.
11. Performance and Compliance Actions of Funding Recipients
HUD will measure and address the performance and compliance actions
of funding recipients in accordance with the applicable standards and
sanctions of their respective programs.

VI. Award Administration Information

A. Anticipated Announcement and Award Dates

Awards are expected to be announced by October 31, 2005. Once a
Congressional Release date has been obtained, a grant award letter, a
grant agreement, and other forms and certifications will be mailed to
the recipient for signature and return to the Area ONAP.
As soon as rating and ranking are completed and it has been
determined that the applicant has complied with any pre-award
requirements (see Section V.B.9.b. of this Program NOFA), the grant
will be awarded. The grant agreement, which is signed by HUD and the
recipient, establishes the conditions by which both the Area ONAP and
the recipient must abide during the life of the grant. All grants are
conditioned upon the completion of all environmental obligations and
approval of release of funds by the Area ONAP in accordance with the
requirements of 24 CFR part 58. HUD may impose other grant conditions
if additional actions or approvals are required before the use of
funds.

B. Administrative and National Policy Requirements

1. Statutory and Regulatory Requirements
a. Environmental Requirements. As required by 24 CFR 1003.605,
ICDBG grantees must perform environmental reviews of ICDBG activities
in accordance with 24 CFR part 58 (as amended 9/29/03). Grantees and
other participants in the development process may not commit or expend
any ICDBG or nonfederal funds on project activities (other than those
listed in 24 CFR 58.22(f), 58.34 or 58.35(b)) until HUD has approved a
Request for Release of Funds and environmental certification submitted
by the grantee. The expenditure or commitment of ICDBG or nonfederal
funds for such activities prior to HUD approval may result in the
denial of assistance for the project or activities under consideration.
b. Indian Preference. HUD has determined that the ICDBG program is
subject to Section 7(b) of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for
implementing this section are in 24 CFR 1003.510.
c. Anti-discrimination Provisions. Under the authority of Section
107(e)(2) of the CDBG statute, HUD waived the requirement that
recipients comply with the anti-discrimination provisions in Section
109 of the CDBG statute with respect to race, color, and national
origin. You must comply with the other prohibitions against
discrimination in Section 109 (HUD's regulations for Section 109 are in
24 CFR part 6) and with the Indian Civil Rights Act.
d. Conflict of Interest. In addition to the conflict of interest
requirements with respect to procurement transactions found in 24 CFR
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply
to such activities as the provision of assistance by the recipient or
sub-recipients to businesses, individuals, and other private entities
under eligible activities that authorize such assistance.
e. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Section 3 requirements apply to the ICDBG Program, but as
stated in 24 CFR 135.3(c), the procedures and requirements of 24 CFR
part 135 apply to the maximum extent consistent with, but not in
derogation of, compliance with Indian Preference.
2. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs
The policies, guidance and requirements of OMB Circular A-87, Cost
Principles Applicable to Grants, Contracts and other Agreements with
State and Local Governments; and OMB Circular A-122, Cost Principles
for Nonprofit Organizations; and OMB Circular A-133, Audits of State
and Local Governments, and Nonprofit Organizations; and the regulations
at 24 CFR part 85, Administrative Requirements for Grants and
Cooperative Agreements to State, Local and Federally Recognized Indian
Tribal Governments apply to the award, acceptance, and use of
assistance under the ICDBG program and to the remedies for
noncompliance, except when inconsistent with the provisions of the
Consolidated Appropriations Act, 2005 (Pub. L. 108-447; approved
December 8, 2004) or the ICDBG program regulations at 24 CFR part 1003.
Copies of the OMB Circulars may be obtained from EOP publications. Room
22000, New

[[Page 13672]]

Executive Office Building, Washington, DC 20503, telephone (202) 395-
3080 (this is not a toll-free number) or (800) 877-8339 (TTY Federal
Information Relay Service). Information may also be obtained from the
OMB website at http://www.whitehouse.gov/omb/circulars/index.html.

C. Reporting

1. Post Award Reporting Requirements
a. Quarterly Financial Reports. Grant recipients must submit
quarterly to the Area ONAP a SF-272, Federal Cash Transaction Report.
The report accounts for funds received and disbursed by the recipient.
b. Annual Status and Evaluation Report. Recipients are required to
submit this report in narrative form annually. The report is due 45
days after the end of the Federal fiscal year and at the time of grant
close-out. The report must include:
(1) The narrative report must address the progress made in
completing approved activities and include a list of work remaining,
along with a revised implementation schedule if necessary. This should
include progress on any outputs or outcomes specified in Rating Factor
5 and incorporated into the final award document;
(2) A breakdown of funds spent on each major project activity or
category; and
(3) If the project has been completed, an evaluation of the
effectiveness of the project in meeting the community development needs
of the grantee, as well as the final outputs and outcomes.
c. Minority Business Enterprise Report. Recipients must submit this
report on contract and subcontract activity during the first half of
the fiscal year by April 10 and, by October 10 for the second half of
the fiscal year.
d. A close-out report must be submitted by the recipient within 90
days of completion of grant activities. The report consists of the
final Financial Status Report (forms SF 269 or 269A), the final Status
and Evaluation Report including outposts and outcomes agreed upon in
the final award document relating to Rating Factor 5 and the Close-Out
Agreement.
More information regarding these requirements may be found at 24
CFR 1003.506 and 1003.508.

VII. Agency Contact(s)

A. General Questions

You should direct general program questions to the Area ONAP
serving your area or to Barbara Gallegos, at 602-379-7215. Persons with
speech or hearing impairments may call HUD's TTY number (202) 708-0770,
or 1-800-877-8339 (the Federal Information Relay Service TTY). Other
than the ``800'' numbers, these numbers are not toll-free. You should
direct questions concerning downloading the electronic application,
registering with Grants.gov, or other questions regarding the
electronic application to the Grants.gov support desk at 800-518-
GRANTS. You may also send an e-mail to Grants.gov">Support@Grants.gov.

B. Technical Assistance

Before the application submission deadline, HUD staff will be
available to provide you with general guidance and technical assistance
about the requirements in the General Section and this Program NOFA.
However, HUD staff is not permitted to assist in preparing your
application. Following selection of applicants, but before awards are
made, HUD staff are available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award.

VIII. Other Information

A. NOFA Training

Training for potential applicants on the requirements of the
General Section and this Program NOFA will be provided by HUD via
broadcast and webcast. Information on the training can be found in the
General Section. The training schedule can be found on HUD's Web site
at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

B. Paperwork Reduction Act Statement

The information collection requirements in this NOFA have been
approved by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB
control number 2577-0191. In accordance with the Paperwork Reduction
Act, HUD may not conduct or sponsor, and a person is not required to
respond, to a collection of information unless the collection displays
a valid OMB control number. Public reporting burden for the collection
of information is estimated to average 43 hours per annum for the
application and grant administration. This includes the time for
collecting, reviewing, and reporting the data. The information will be
used for grantee selection and monitoring the administration of funds.
Response to this request for information is required in order to
receive the benefits to be derived.
Appendix A: Data to Determine Need for Factor 2 (for applicants for
New Housing Construction, Housing Rehabilitation, Land Acquisition to
Support New Housing, and Homeownership Assistance Projects). For
applicants submitting applications for New Housing Construction,
Housing Rehabilitation, Land Acquisition to Support New Housing, and
Homeownership Acquisition Projects: The need for the proposed project
for Factor 2 is determined by utilizing data from the tribe's 2005 IHBG
formula information. The data is contained in Appendix A. Should you
disagree with this information, please consult the IHBG formula
customer service center at (800) 410-8808 for the process for
challenging IHBG formula data. Persons with hearing and/or speech
challenges should call 1-800-505-5908 (TTY).
BILLING CODE 4210-32-P

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[[Page 13694]]

Historically Black Colleges and Universities (HBCU) Program Overview
Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Historically Black Colleges and
Universities (HBCU) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: The Federal Register Number for
this Notice Of Funding Availability (NOFA) is FR-4950-N-12. The OMB
Approval Number for this program is 2528-0235.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.520.
F. Dates: The application submission date is May 25, 2005. Please
be sure to read the General Section for electronic application
submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: The Historically Black Colleges and
Universities (HBCU) Program assists Historically Black Colleges and
Universities expand their role and effectiveness in addressing
community development needs in their localities, including neighborhood
revitalization, housing and economic development, principally for
persons of low- and moderate-income consistent with the purposes of
Title I of the Housing and Community Development Act of 1974, as
amended.
2. Award Information: In Fiscal Year (FY) 2005, approximately $9.92
million has been made available by the Consolidated Appropriations Act,
2005 (Pub L. 108-447) plus $3.327 million in previously unobligated
funds are available for this program. HUD will award two kinds of
grants under this program; First Time HBCU Grants and Previously Funded
HBCU Grants.
a. First Time HBCU Grants will be awarded to applicants who have
never received an HBCU grant to undertake eligible work. The maximum
amount a First Time HBCU applicant can request for award is $400,000
for a maximum three-year (36 months) grant performance period.
b. Previously Funded HBCU Grants will be awarded to applicants that
have received funding under previous HBCU grant competitions. The
maximum amount a Previously Funded HBCU applicant can request for award
is $600,000 for a maximum three-year (36 months) grant performance
period.
In order to ensure that First Time HBCU applicants receive awards
in this competition, approximately $2.4 million will be made available
to fund First Time HBCU applicants. In addition, approximately, $10.8
million will be made available to fund Previously Funded HBCU
applicants. (See Appendix C of this NOFA for a list of Previously
Funded and Unfunded HBCUs.) If funding designated for First Time HBUC
applicants remains after all eligible First Time HBCU applicants are
awarded, the remaining funds will be made available to fund eligible
Previously Funded HBCU applicants.
3. Eligible Applicants: Historically Black Colleges and
Universities that meet the definition of Historically Black Colleges
and Universities as determined by the Department of Education in 34 CFR
608.2 in accordance with that Department's responsibilities under
Executive Order 13256, dated February 12, 2002, are eligible to apply
for funding under this program. Applicants must be accredited by a
national or regional accrediting agency recognized by the U.S.
Department of Education.

Full Text of Announcement

I. Funding Opportunity Description

The purpose of the Historically Black Colleges and Universities
(HBCU) Program is to assist Historically Black Colleges and
Universities expand their role and effectiveness in addressing
community development needs in their localities, including neighborhood
revitalization, housing, and economic development, principally for
persons of low- and moderate-income, consistent with the purpose of the
Title I of Housing and Community Development Act of 1974, as amended.
For the purposes of this program, the term ``locality'' includes
any city, county, township, parish, village, or other general political
subdivision of a state, or the U.S. Virgin Islands where the
institution is located.
A ``target area'' is the area within the locality in which the
institution will implement its proposed HBCU grant. If an institution
wants to provide services/activities in a location other than the
target area of that institution an applicant must provide justification
for why they want to do so.

A. Authority

HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2005 (Pub L. 108-447; approved
December 8, 2004). This program is being implemented through this NOFA
and the policies governing its operation are contained herein.

B. Modifications

Listed below are major modifications from the Fiscal Year (FY) 2004
program-funding announcement:
1. Applicants are required to submit their application
electronically via the following Web site: http://www.grants.gov/Apply.
Read the General Section for further discussion.
2. The 15 percent cap on the total grant amount that can be used on
public service activities that benefit low- and moderate-income persons
can now be waived. Institutions seeking to devote more than 15 percent
of the grant funds to public service activities must formally request
in writing a waiver of this requirement.
The written request must include the following information: (1) The
basis for the request; (2) a description of the proposed public service
activities; (3) the dollar amount dedicated to the proposed public
service activities; and (4) a statement describing how the proposed
activities meet the Community Development Block Grant eligibility
requirements and national objectives. Waiver requests must be addressed
to the Assistant Secretary for Policy, Development and Research at 451
Seventh Street SW., Room 8100, Washington, DC 20410-6000. The
institution's Chief Executive Officer or the appropriate designee must
sign the written request. It also must include the name, mailing
address and e-mail address of the person to whom the response should be
directed.
To avoid a delay in the process, waiver requests should be sent by
United States Postal Service Express Mail. Applicants should retain a
receipt for the mailing showing the date submitted to the Postal
Service. The waiver request must be received at HUD no later than
thirty days prior to the application submission date. Waiver requests
that are not received thirty days prior to the application submission
date will not be considered for approval. In the event a waiver is
granted, the application must be received no later than the application
submission date.
3. Letters, memoranda of understanding, or agreements in response
to Factor 4 now can be dated no earlier than nine months prior to the
date of this published NOFA, but must be received no later than the
application submission date.
4. First Time HBCU applicants can now request $400,000 for a
maximum three-year (36 month) grant performance period.
5. Previously Funded HBCU applicants can now request $600,000 for a
maximum three-year (36 month) grant performance period.

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II. Award Information

In Fiscal Year (FY) 2005, approximately $9.92 million is made
available for this program, plus $3.327 million in previously
unobligated funds. HUD will award two kinds of grants under this
program, First Time HBCU Grants and Previously Funded HBCU Grants.
A. First Time HBCU Grants will be awarded to applicants who have
never received an HBCU grant to undertake eligible work. The maximum
amount a First Time HBCU applicant can request for award is $400,000
for a maximum three-year (36 months) grant performance period.
B. Previously Funded HBCU Grants will be awarded to applicants that
have received funding under previous HBCU grant competitions. The
maximum amount a Previously Funded HBCU applicant can request for award
is $600,000 for a maximum three-year (36 months) grant performance
period.
In order to ensure that First Time HBCU applicants receive awards
in this competition, approximately $2.4 million will be made available
to fund First Time HBCU applicants. Approximately $10.8 million will be
made available to fund Previously Funded HBCU applicants that have
received funding under previous HBCU competitions. If funding remains
after all eligible First Time HBCU applicants are awarded, the
remaining funds will be made available to fund eligible Previously
Funded HBCU applicants. (See Appendix C of this NOFA for a list of
Previously Funded and Unfunded HBCUs).

III. Eligibility Information

A. Eligible Applicants

Historically Black Colleges and Universities as determined by the
U.S. Department of Education in 34 CFR 608.2 in accordance with that
Department's responsibilities under Executive Order 13256, dated
February 12, 2002, are eligible to apply for funding under this
program. All applicants must be accredited by a national or regional
accrediting agency recognized by the U.S. Department of Education.

B. Cost Sharing or Matching

None required.

C. Other

1. Eligible Activities. Eligible activities are listed in 24 CFR
part 570, subpart C, particularly Sec. Sec. 570.201 through 570.206.
Information regarding these activities can be found at: http://
www.hudclips.org (click on the Code of Federal Regulations for detailed
information).
a. Examples of eligible activities include, but are not limited to:
(1) Acquisition of real property;
(2) Clearance and demolition;
(3) Rehabilitation of residential structures including lead-based
paint hazard evaluation and reduction and making accessibility and
visitabilty modifications in accordance with the requirements of
Section 504 of the Rehabilitation Act of 1973;
(4) Public facilities and improvements, such as water and sewer
facilities and streets compliance with accessibility requirements
including Section 504 of the Rehabilitation Act of 1973, the Fair
Housing Act, and the American with Disabilities Act of 1990;
(5) Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(6) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation projects, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
(7) Public service activities such as those general support
activities that can help to stabilize a neighborhood and contribute to
sustainable redevelopment of the area, including but not limited to
such activities as those concerned with employment, crime prevention,
child care, health services, drug abuse, education, fair housing
counseling, energy conservation, homebuyer down payment assistance, or
recreational needs;
(8) Payments of reasonable grant administrative costs related to
planning and execution of the project (e.g., preparation/submission of
HUD reports). Detailed explanations of these costs are provided in the
OMB circular (A-21 Cost Principals for Educational Institutions) that
can be accessed at the White House Web site, http://www.whitehouse.gov/
omb/circulars/index.html; and
(9) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them;
b. Eligible activities that may be funded under this program are
those eligible activities that meet both the Community Development
Block Grant (CDBG) Program national objectives and eligibility
requirements.
c. The three national objectives of the Community Development Block
Grant program are:
(1) Benefit to low- or moderate-income persons;
(2) Aid in the prevention or elimination of slums or blight; and
(3) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more national
objectives are provided at 24 CFR 570.208.
d. The CDBG publication entitled ``Community Development Block
Grant Program Guide to National Objectives and Eligible Activities for
Entitlement Communities'' describes the CDBG regulations, and a copy
can be obtained from HUD's NOFA Information Center at 800-HUD-8929 or
800-HUD-2209 for the hearing-impaired.
2. Audit Requirements. Applicants must ensure that their most
current A-133 audit is on file at the Federal Audit Clearinghouse.
(Applicants are not required to submit a copy of the audit with the
application.) Grantees that expend $500,000 or more in Federal
financial assistance in a single year (this can be program year or
fiscal year) must be audited in accordance with the OMB requirements as
established in 24 CFR part 84. Additional information regarding this
requirement can be accessed at the following Web site: http://
harvester.census.gov/sac.
3. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below to be evaluated,
rated, and ranked. Applications that do not meet these requirements
will be considered ineligible for funding and will be disqualified:
a. The applicant must meet the eligibility requirements as defined
in Section III.A. Eligible Applicants.
b. The maximum amount a First Time HBCU applicant can request for
award is $400,000. The maximum amount a Previously Funded HBCU
applicant can request for award is $600,000.

[[Page 13696]]

c. Institutions with two or more active HBCU grants who have drawn
down less than 50 percent of the funding for each active grant three
weeks prior to the program's application submission date are ineligible
to apply for a grant under this NOFA. It is the applicant's
responsibility to make sure this requirement is met.
d. Only one application can be submitted per institution. If
multiple applications are submitted, all will be disqualified.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. An applicant must have a DUNS number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement.)
g. Electronic applications must be received by grants.gov no later
than 11:59:59 p.m. eastern time on May 25, 2005. See the General
Section for information on application submission and timely receipt
requirements.
4. Program Requirements. In addition to the program requirements
listed in Section III.C of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants that claim leveraging from any source, including
their own institution, must provide letters of firm commitment,
memoranda of understanding, or agreements evidencing the extent and
firmness of the commitment of leveraging from other federal (e.g.,
Department of Education, AmeriCorps Programs, etc.), state, or local
governments, and other private/public sources (including the
applicant's own resources). These documents must follow the outline
provided in Section V, Application Review Information, ``Factor 4:
Leveraging Resources'' of this NOFA. Please refer to the General
Section for further discussion on electronic submission of required
documentation.
c. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of the grant benefit low- and moderate-income
persons under the criteria specified in 24 CFR 570.208(a) or
570.208(d)(5) or (6).
d. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction an applicant must demonstrate site
control. Funds may be recaptured or deobligated from applicants that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
e. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of properties proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or proposed sites be rejected. Applicants are particularly cautioned
not to undertake or commit funds for acquisition or development of
proposed properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
will assist HUD to comply with part 50; will supply HUD with all
available and relevant information to perform an environmental review
for each proposed property; will carry out mitigating measures required
by HUD or select alternate property; and will not acquire,
rehabilitate, convert, demolish, lease, repair, or construct property,
and not commit or expend HUD or local funds for these program
activities with respect to any eligible property until HUD's written
approval of the property is received. In supplying HUD with
environmental information, applicants should use the same guidance as
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental
Review Processing for HUD Colonias Initiative (HCI) Grants'' issued
January 27, 1999.
The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at http://www.hud.gov/offices/
cpd/energyenviron/environment/index.cfm.
f. Labor Standards. Institutions and their sub-grantees,
contractors and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
g. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 196 (12 U.S.C. 1701u) apply to this NOFA.
Regulations may be found at 24 CFR part 135.

IV. Application and Submission Information

A. Addresses To Request Application Package

Applicants may download the instructions to the application found
on the Grants.gov Web site at http:// www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or e-mail your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has the legal authority to submit the
application on behalf of the applicant. Please see the General Section
for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk. Please be
aware that the registration process is a separate process from
requesting email notification of funding opportunities or downloading
the application and should be done as soon as you download the
application from the Grants.gov Web site. If you are not sure if you
are already registered, the Grants.gov Support Desk can assist in
verifying whether you are registered.

B. Content and Form of Application Submission

[[Page 13697]]

with their application. Please complete this form if you have received
a waiver to the electronic application submission requirement.
Applicants are not required to include this form, but it is recommended
that they do so;
m. Client Comments and Suggestions (HUD-2994). This form is
included to solicit information from the most valuable source, the
applicant. The changes that we have instituted this year are designed
to make things easier for the applicant. If applicants complete and
submit this form, it will help us to assess whether the changes have
had the intended results. It will also guide us in our continuing
efforts to improve the competitive grant process. In providing
comments, please be as specific as possible. General Statements that
the NOFA is better than before but needs improvement does not provide
HUD with the type of information that will allow us to improve the
process. Applicants are not required to complete this form; and
n. Facsimile Transmittal Cover Page (HUD 96011). This form must be
used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
Applicants are advised to download the application package, complete
the SF 424 first and it will pre-populate the Transmittal Cover page.
The Transmittal Cover page will contain a unique identifier embedded in
the page that will help HUD associate your faxed materials to your
application. Please download the cover page and then make multiple
copies to provide to any of the entities responsible for submitting
faxed materials to HUD on your behalf.
2. Certifications and Assurances. Please read the General Section
for detailed information on all Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount (entire three-years) should be entered,
not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact. This is the
person who will receive the reviewers' comments; therefore, please
ensure the accuracy of the information;
(3) The Employer Identification/Tax ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.520;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be November
1, 2005; and
(7) The signature of the Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required elements of their application
submission. Applicants receiving a waiver of the electronic application
submission must include a copy of the checklist in their application
submission. Applicants submitting an electronic application do not have
to submit the checklist in their application. The checklist can be
found in the NOFA (See Attachment A).
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of the proposed project activities, the
target population that will be assisted, and the impact this project
will have on the institution;
(2) A statement that the institution is an eligible institution
because it is a two-or four-year fully accredited institution, the name
of the accrediting agency and an assurance that the accrediting agency
is recognized by the U.S. Department of Education;
(3) The designated contact person, including phone number,
facsimile number, and e-mail address. (This is the person who will
receive the reviewers' comments; therefore, please ensure the accuracy
of the information);
(4) University's name, department, mailing address, telephone
number, facsimile number, and e-mail address; and
(5) The principal investigator, if different from the designated
contact person, for the project, including phone number, facsimile
number, and e-mail address.
d. Narrative statement addressing the Factors. HUD will use the
narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address each factor fully. Please do not repeat
material in response to the five factors; instead, focus on how well
the proposal responds to each of the factors. In factors where there
are subfactors each subfactor must be presented separately, with the
short title of the subfactor presented. Make sure to address each
subfactor and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 75
pages, doubled spaced (excluding forms, budget narrative, assurances,
commitment letters, memoranda of understanding, agreements, and
abstract). Each page of the narrative must include the applicant's name
and be numbered. Please note that although submitting pages in excess
of the page limit will not disqualify an applicant, HUD will not
consider the information on any excess pages. This exclusion may result
in a lower score or failure to meet a threshold requirement.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also submit
this form to reflect the total cost for the entire grant performance
period (Grand Total).
(2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity.'' This
form must be used to document the entire three-year grant performance
period. The form should include a listing of tasks to be completed for
each activity necessary to be performed to implement the program, the
overall costs for each activity, and the cost from each funding source.
The budget-by-activity should clearly indicate the HUD grant amount and
identify the source and dollar amount of the leveraged funds, if any.
Make sure that the amount shown on the SF-424, HUD-424-CB, HUD-
40076-HBCU and all other required program forms is consistent and the
budget totals are correct. Remember to check addition in totaling the
categories on all forms so that all items are included in the total. If
there is an inconsistency between any of the budget forms required, the
HUD-424-CB will be used. All budget forms must be fully

[[Page 13698]]

completed. If an application is selected for award, the applicant may
be required to provide greater specificity to the budget during grant
agreement negotiations.
(3) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used and included. When an applicant proposes to use a
consultant, the applicant must indicate whether there is a formal
written agreement. For each consultant, please provide the name, if
known, hourly or daily rate, and the estimated time on the project.
Applicants must submit a cost estimate based on historical data from
the institution and/or from a qualified firm (e.g., Architectural or
Engineering), vendor, and/or qualified individual (e.g., independent
architect) other than the institution for projects that involve
rehabilitation of residential, commercial and/or industrial structures,
and/or acquisition, construction, or installation of public facilities
and improvements. Such an entity must be involved in the business of
housing rehabilitation, construction and/or management. Equipment and
contracts cannot be presented as a total estimated costs. For
equipment, applicants must provide a list by type and cost for each
item. Applicants using contracts must provide an individual description
and cost estimate for each contract.
(4) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants should
include a copy of their indirect cost rate agreement with their
application. Please refer to Section IV.F of the General Section for
further discussion on electronic submission of required documentation.
Applicants who are selected for funding that do not have an approved
indirect cost rate agreement (established by the cognizant federal
agency, Certified Public Account, or auditor) will be required to
establish a rate. In such cases, HUD will issue an award with a
provisional rate and assist applicants in having a rate established.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of commitment, memoranda of understanding and
agreements for funds/resources in response to Factor 4 and other
required forms in this section. For applicants submitting electronic
applications, please refer to Section IV.F of the General Section for
instructions on how third party documents are to be submitted to HUD
using the electronic submission process. An applicant SHOULD NOT submit
general support letters or resumes or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. eastern time on or
before May 25, 2005. Applications may be submitted in advance of the
submission date. Electronic faxes using the Facsimile Transmittal (Form
HUD 96011) cover sheet contained in the electronic application may be
submitted prior to the application submission date and must be received
no later than 11:59:59 p.m. eastern time on the application submission
date. Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding
may only be provided to applicants that meet the standards for eligible
applicants in Section III.A. Ineligible activities include but are not
limited to:
1. Curriculum development and/or expansion of an institution's
existing curriculum;
2. General government expenses; and
3. Political activities.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Waiver of Electronic Submission Requirements. Please refer to
the General Section for further discussion.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (25 Points). This factor addresses the extent
to which the institution has the organizational resources necessary to
successfully implement the proposed activities in a timely manner. In
rating this factor, HUD will consider the extent to which the proposal
demonstrates:
a. Knowledge and Experience For First Time Applicants (25 Points)
For Previously Funded Applicants (10 Points). The knowledge and
experience possessed by the proposed project director and staff,
including the day-to-day program manager, consultants (including
technical assistance providers), and contractors in planning and
managing this kind of program for which funding is being requested.
Applicants must clearly identify the following: key project team
members, titles (e.g., project manager/coordinator, etc.), respective
roles for the project staff, and a brief description of their relevant
experience. Experience will be judged in terms of recent and relevant
knowledge and skills of the staff to undertake the proposed eligible
program activities. HUD will consider experience within the last five
(5) years to be recent and experience pertaining to similar activities
to be relevant.
b. Past Performance (15 Points) For Previously Funded Grant
Applicants Only. This subfactor will evaluate the extent to which an
applicant has performed successfully under all previously completed and
open HUD/HBCU grants. Applicants must demonstrate this by providing the
following information on the HUD-40076-HBCU ``Response Sheet:
(Performance Narrative) for each HBCU grant they have received:
(1) A detailed list outlining the achievement of specific tasks,
measurable objectives and specific outcomes consistent with the
approved timeline/work plan in previous grants;
(2) Comparison of proposed leveraged funds and/or resources in a
previous grant with what was actually leveraged;
(3) A list of all HUD/HBCU grants received, including the dollar
amount awarded and the amount expended as of the date of this
application. The HUD-40076-HBCU ``Response Sheet'' (Performance
Narrative) form is located in Appendix C at the end of this NOFA.

[[Page 13699]]

The form should be filled out completely; and
(4) A detailed list outlining the timeliness and completeness of
complying with all the HBCU reporting requirements. In addressing
timeliness, compare when reports were due with when they were actually
submitted.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: the ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; and receipt of
promised leveraged funds. In evaluating past performance, HUD reserves
the right to deduct up to five (5) points from this rating score as a
result of the information obtained from HUD's records (i.e., progress
and financial reports, monitoring reports, Logic Model submissions, and
amendments), including the timely submission of required progress
reports.
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s) in the target area. The need(s) described must be
relevant to the activities for which funds are being requested. The
proposal will be evaluated on the extent to which the level of need for
the proposed activities and the importance of meeting the need(s) are
documented.
In rating this factor, HUD will consider data collected within the
last five (5) years to be current. To the extent that the targeted
community's Five Year Consolidated Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the level of the problem and the
urgency in meeting the need, applicants should include references to
these documents in response to this factor.
If the proposed activities are not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), indicate this clearly in the proposal and use other sound data
sources to identify the level of need and the importance in meeting the
need.
Applicants must use statistics or other analyses contained in at
least one or more current data sources that are sound and reliable. The
data provided must be specific to the area where the proposed project
activities will be carried out. Sources for localized data can be found
at http://www.ffiec.gov.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (To find
additional information go to HUD's Web site: http://www.hud.gov/emaps),
law enforcement agency crime reports, Public Housing Agencies'
Comprehensive Plans, community needs analyses such as provided by the
United Way, the applicant's institution, and other sound and reliable
sources. Needs in terms of fulfilling court orders or consent decrees,
settlements, conciliation agreements, and voluntary compliance
agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality and effectiveness of the proposed work plan, the
commitment of the institution to sustain the proposed activities, and
actions regarding HUD's priorities, goals and objectives, and
affirmatively furthering fair housing.
This factor will be evaluated based on the extent to which the
proposed work plan demonstrates the following:
a. (35 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project and anticipated accomplishments.
(1) (25 Points) Specific Services and/or Activities. The work plan
must describe all proposed activities and major tasks required to
successfully implement the proposed project and anticipated
accomplishments.
(a) Applicants must provide a clear description of the proposed
activities and address the following:
(i) Describe each proposed activity and the task required to
successfully implement and complete the proposed project in measurable
terms (e.g., the number of persons to trained and employed; houses to
be rehabilitated; or minority-owned businesses to be started, etc.);
(ii) List how each proposed activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
[sbull] Benefit low- and moderate-income persons;
[sbull] Aid in the prevention or elimination of slums or blight; or
[sbull] Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more objective are
provided at 24 CFR 570.208;
(b) Outline the major tasks required (in sequential order) to
successfully implement and complete the proposed program activities.
Include target completion dates for each activity/task (in 6 month
intervals, up to thirty-six (36) months); and
(c) Identify the individuals, as described in Factor 1, who will be
responsible for completing each activity/task.
(2) (10 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in its community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative effort will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve and empower citizens of the target area in the proposed
project (particularly through a committee that is representative of the
target community).
b. (2 Points) Involvement of the Faculty and Students. The
applicant must describe the extent to which it proposes to integrate
the institution's students and faculty into proposed project
activities.
c. (3 Points) HUD Policy Priorities. HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities that will help the Department
achieve its goals and objectives in FY 2006, when the majority of grant
recipients will be reporting programmatic results and achievements. In
addressing this subfactor, HUD will evaluate the extent to which a
program will further and support HUD's priorities. The quality of the
responses provided to one or more of HUD's priorities will determine
the score an applicant can receive. Applicants must describe how each
policy priority selected will be addressed. Applicants that just list a
priority will receive no points.
Each policy priority addressed has a point value of one point with
the exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to applicants that address policy
priorities is 3. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available 3
points. To receive points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD-27300) ``HUD's Initiative on Removal of Regulatory
Barrier'' found in the

[[Page 13700]]

General Section along with required documentation. The form is part of
the electronic application and is constructed to permit the required
documentation to be attached to the electronic form. For the full list
and explanation of each policy priority, please refer to the General
Section.
d. (5 Points) Affirmatively Furthering Fair Housing. This subfactor
will be evaluated on the extent to which an applicant describes how it
proposes to undertake activities designed to affirmatively further fair
housing opportunities for individuals on the basis of race, color,
national origin, sex, religion, familial status, or disability. For
example:
(1) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending;
(2) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(3) Providing housing mobility counseling services.
4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the program's purpose.
In evaluating this factor, HUD will consider the extent to which
the applicant established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
project activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated for the
purpose(s) of the grant. Resources may be provided by governmental
entities, public or private nonprofit organizations, for-profit private
organizations, or other entities. Applicants may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area. Overhead and other institutional
costs (e.g., salaries, indirect costs, etc.) that the institution has
waived may be counted. Examples of potential sources for outside
assistance include:

[sbull] Federal, state, and local governments;
[sbull] Local or national nonprofit organizations;
[sbull] Financial institutions and/or private businesses;
[sbull] Foundations;
[sbull] Faith-based and other community-based organizations;
For each cash or in-kind contribution to the program a letter of
commitment, memorandum of understanding, or agreement must be provided
that shows the extent and firmness of the commitment of leveraged funds
(including any commitment of resources from the applicant's own
institution) in order for these resources to count in determining
points under this factor. Resources will not be counted for which there
is no commitment letter, memorandum of understanding, or agreement, or
quantified level of commitment. Letters, memoranda of understanding, or
agreements must be submitted on the provider's letterhead and be
included with the application package. (Applicants submitting paper
copy applications must place all letters, memoranda of understanding,
or agreements in the Appendix. Applicants submitting these items
electronically must follow the submission directions in Section IV.F of
the General Section.) The date of the letter, memorandum of
understanding, or agreement from the CEO of the provider organization
must be dated no earlier than nine months prior to this published NOFA.
Applications that do not include evidence of leveraging or address all
items as outlined below will receive zero (0) points for this Factor.
A firm commitment letter, memorandum of understanding, or agreement
must address the following:
a. The cash amount contributed or dollar value of the in-kind goods
and/or services committed (If a dollar amount and use is not shown, the
source will not be counted);
b. A specific description of how each contribution is to be used
toward one of the proposed activities;
c. The date the contribution will be made available and a statement
that describes the duration of the contribution;
d. Any terms or conditions affecting the commitment, other than
receipt of a HUD grant; and
e. The signature of the appropriate executive officer authorized to
commit the funds and/or goods and/or services. Please remember that
only items eligible for funding under this program can be considered.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements.
``Outcomes'' are benefits accruing to the community during or after
participation in the HBCU program. Applicants must clearly identify the
outcomes to be measured and achieved. Examples of outcomes include
increased employment opportunities in the target community by a certain
percentage, increased incomes/wages or other assets for persons
trained, or enhanced family stability through the creation of
affordable housing opportunities (e.g., increased assets to families
and communities through the development of affordable housing).
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of facilities that have
been constructed or rehabilitated. Outputs should produce outcomes for
the program. At a minimum, an applicant must address the following
activities in the evaluation plan:
a. Measurable outputs to be accomplished (e.g., the number of
persons to be trained and employed; houses to be built pursuant to 24
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
This information must be placed on a HUD-96010, Program Outcome
Logic Model form. Applicants may use as many copies of this form as
required. It will not be included in the page count requirement. A
narrative is not required. However, if a narrative is provided, those
pages will be included in the page count. Additional information on
this form and how to use it can be found in the General Section.

B. Review and Selection Process

1. Application Selection Process.
Two types of reviews will be conducted:

[[Page 13701]]

a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V.A.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels. To review and rate applications HUD may establish
panels, which may include experts or consultants not currently employed
by HUD. These individuals may be included to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be funded, an
applicant must receive a minimum score of 75 points out of a possible
102 points, which includes up to two bonus points that may be awarded
for activities conducted in the RC/EZ/EC-II, as described in the
General Section. If two or more applications have the same number of
points, the application with the most points for Factor 3, Soundness of
Approach, shall be selected. If there is still a tie, the application
with the most points for Factor 1, Capacity of the Applicant and
Relevant Organizational Experience shall be selected. If there is still
a tie, the application with the most points for Factor 2, 4 and then 5
shall be selected in that order until the tie is broken. HUD reserves
the right to make selections out of rank order to provide for
geographic distribution of grantees. HUD also reserves the right to
reduce the amount of funding requested in order to fund as many highly
ranked applications as possible. Additionally, if funds remain after
funding the highest ranked applications, HUD may fund part of the next
highest-ranking application. If an applicant turns down an award offer,
HUD will make an award to the next highest-ranking application. If
funds remain after all selections have been made, the remaining funds
will be carried over to the next funding cycle's competition.
4. Correction to Deficient Applications. The General Section
provides the procedures for correction to deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notice

After all selections have been made, HUD will notify all winning
applications in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.

B. Administrative and National Policy Requirements

For further discussion of this matter, please refer to Section
VI.B. in the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing and submitted to: Ophelia Wilson; Office of University
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 8130; Washington, DC 20410-6000. Applicants may also write to
Ms. Wilson via email at [email protected].
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion on this matter.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. See Section III.C.4 of the
General Section for further discussion.
6. Code of Conduct. See the General Section for further discussion.

C. Reporting

All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary of costs
incurred during the reporting.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model form (HUD-96010),
which identifies output and outcome achievements.

VII. Agency Contacts

Applicants may contact Ophelia Wilson at (202) 708-3061, extension
4390 or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Ms. Wilson via
email at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0235. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 356 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data for the application, quarterly, semi-annual and
final reports. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.

APPENDIX C

Historically Black Colleges and Universities Unfunded by HUD During
Fiscal Years 1991-2004

Alabama

Concordia College
Selma University
Trenholm State Technical College

Florida

Florida Memorial College

Georgia

Morehouse School of Medicine
Paine College

[[Page 13702]]

Michigan

Lewis College of Business

Ohio

Wilberforce University

Pennsylvania

Cheyney University of Pennsylvania

South Carolina

Clinton Junior College
Denmark Technical College
Morris College

Virginia

Virginia University of Lynchburg

Tennessee

Knoxville College

Texas

Southwestern Christian College

Historically Black Colleges and Universities Previously Funded By HUD
During Fiscal Years 1991-2004

Alabama

Alabama A&M University
Alabama State University
Bishop State Community College
Gadsden State Community College
J.F. Drake Technical College
Lawson State Community College
Miles College
Oakwood College
Stillman College
Talladega College
Tuskegee University
C.A. Fredd Technical College

Arkansas

Arkansas Baptist College
Philander Smith College
Shorter College
University of Arkansas at Pine Bluff

Delaware

Delaware State University

District of Columbia

Howard University
University of the District of Columbia

Florida

Bethune-Cookman College
Edward Waters College
Florida A&M University

Georgia

Albany State University
Clark Atlanta University
Fort Valley State University
Interdenominational Theological Center
Morehouse College
Morris Brown College
Savannah State University
Spelman College

Kentucky

Kentucky State University

Louisiana

Dillard University
Grambling State University
Southern University A & M College System at Baton Rouge
Southern University at Shreveport
Southern University at New Orleans
Xavier University of New Orleans

Maryland

Bowie State University
Coppin State College
Morgan State University
University of Maryland Eastern Shore

Mississippi

Alcorn State University
Coahoma Community College
Jackson State University
Mississippi Valley State University
Rust College
Tougaloo College
Hinds Community College

Missouri

Harris-Stowe State College
Lincoln University

North Carolina

Barber-Scotia College
Bennett College
Elizabeth City State University
Fayetteville State University
Johnson C. Smith University
Livingstone College
North Carolina A&T State University
North Carolina Central University
St. Augustine's College
Shaw University
Winston Salem State University

Ohio

Central State University

Oklahoma

Langston University

Pennsylvania

Lincoln University

South Carolina

Allen University
Benedict College
Claflin College
South Carolina State University
Voorhees College

Tennessee

Fisk University
Lemoyne-Owen College
Meharry Medical College
Tennessee State University
Lane College

Texas

Huston-Tillotson College
Jarvis Christian College
Paul Quinn College
Prairie View A&M University
Saint Philip's College
Texas Southern University
Texas College
Wiley College

Virginia

Hampton University
Norfolk State University
Saint Paul's College
Virginia State University
Virginia Union University

West Virginia

West Virginia State University
Bluefield State College

U.S. Virgin Islands

University of the Virgin Islands
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Hispanic-Serving Institutions Assisting Communities (HSIAC) Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Hispanic-Serving Institutions
Assisting Communities (HSIAC) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: The Federal Register Number for
this Notice Of Funding Availability (NOFA) is FR-4950-N-11. The OMB
Approval Number for this program is 2528-0198.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA
Number for this program is 14.514.
F. Dates: The application submission date is June 13, 2005. Please
be sure to read the General Section for electronic application
submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: The Hispanic-Serving Institutions
Assisting Communities (HSIAC) Program assists Hispanic-Serving
Institutions (HSI) expand their role and effectiveness in addressing
community development needs in their localities, including neighborhood
revitalization, housing, and economic development, principally for
persons of low- and moderate-income, consistent with the purposes of
Title I of the Housing and Community Development Act of 1974, as
amended.
2. Award Information: In Fiscal Year (FY) 2005, approximately $6.64
million has been made available for this program by the Consolidated
Appropriations Act, 2005 (Pub L. 108-447). The maximum amount an
applicant can request for award is $600,000 for a maximum three-year
(36 months) grant performance period.
3. Eligible Applicants: Nonprofit Hispanic-Serving Institutions
that meet the definition of an HSI established in Title V of the 1998
Amendments to the Higher Education Act of 1965 (Pub. L. 105-244;
enacted October 7, 1998) are eligible to apply for funding under this
program. In order to meet this definition, at least 25 percent of the
full-time undergraduate students enrolled in an institution must be
Hispanic and not less than 50 percent of these Hispanic students must
be low-income individuals. Institutions are not required to be on the
list of eligible HSIs prepared by the U.S. Department of Education.
However, an institution that is not on the list is required to provide
a statement in the application that the institution meets the U.S.
Department of Education's statutory definition of an HSI. In addition,
all applicants must be accredited by a national or regional accrediting
agency recognized by the U.S. Department of Education. HUD also intends
to fund at least two eligible HSIAC applications (applications that
received a minimum score of 75 points) that serve Colonias (as defined
in the General Section). While it is not necessary for the institution
to be located in a Colonias, all program activities must be directed to
the Colonias and its residents. If less than two fundable applications
are eligible for award these funds will be made available to award
additional HSIAC grants.

Full Text of Announcement

I. Funding Opportunity Description

The purpose of the Hispanic Serving Institutions Assisting
Communities (HSIAC) Program is to assist Hispanic Serving Institutions
(HSI) expand their role and effectiveness in addressing community
development needs in their localities, including neighborhood
revitalization, housing and economic development, principally for
persons of low- and moderate-income consistent with the purpose of the
Title I of the Housing and Community Development Act of 1974, as
amended.
For the purpose of this program, the term ``locality'' includes any
city, county, township, parish, village, or other general political
subdivision of a state, Puerto Rico, or the U.S. Virgin Islands where
the institution is located.
A ``target area'' is the area within the locality in which the
institution will implement its proposed HSIAC grant.

A. Authority

HUD's authority for making this funding available under this NOFA
is Pub. L.108-447. This program is being implemented through this NOFA
and the policies governing its operation are contained herein.

B. Modifications

II. Award Information

In Fiscal Year (FY) 2005, approximately $6.64 million is made
available under this NOFA. The maximum amount an applicant can request
for award is $600,000 for a maximum three-year (36 months) grant
performance period.

III. Eligibility Information

A. Eligible Applicants

Nonprofit Hispanic-serving institutions that meet the definition of
an HSI of higher education established in Title V of the 1998
Amendments to the Higher Education Act of 1965 (Pub. L. 105-244;
enacted October 7, 1998) are eligible to apply for funding under this
program. In order to meet this definition, at least 25 percent of the
full-time undergraduate students enrolled in an institution must be
Hispanic and not less than 50 percent of these Hispanic students must
be low-income individuals. Institutions are not required to be on the
list of eligible HSIs prepared by the U.S. Department of Education.
However, an institution that is not on the list is required to provide
a statement in the application that the institution meets the U.S.
Department of Education's statutory definition of an HSI as cited
above. In addition, all applicants must be accredited by a national or
regional accrediting agency recognized by the U.S. Department of
Education.
HUD intends to fund at least two eligible HSIAC applications that
propose to serve Colonias (as defined in the General Section). While it
is not necessary for the institution to be located in a Colonias, all
program activities must be directed to the Colonias and its residents.
If fewer than two applications are eligible for award these funds will
be made available to award additional HSIAC grants.

B. Cost Sharing or Matching

None Required.

C. Other

[[Page 13713]]

(3) Rehabilitation of residential structures including lead-based
paint hazard evaluation and reduction and making accessibility and
visitabilty modifications in accordance with the requirements of
Section 504 of the Rehabilitation Act of 1973;
(4) Public facilities and improvements, such as water and sewer
facilities and streets compliance with accessibility requirements,
including Section 504 of the Rehabilitation Act of 1973, the Fair
Housing Act, and the American with Disabilities Act of 1990;
(5) Relocation payments and other assistance for permanently and
temporarily relocated individuals, families, businesses, nonprofit
organizations, and farm operations where the assistance is:
(a) Required under the provisions of 24 CFR 570.606(b) or (c); or
(b) Determined by the grantee to be appropriate under the
provisions of 24 CFR 570.606(d);
(6) Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a) (25) of the Housing and
Community Development Act of 1974;
(7) Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
(8) Assistance to community-based development organizations (CBDO)
to carry out a CDBG neighborhood revitalization, community economic
development, or energy conservation project, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
(9) Public service activities such as general support activities
that can help to stabilize a neighborhood and contribute to sustainable
redevelopment of the area, including but not limited to such activities
as those concerned with employment, crime prevention, child care,
health services, drug abuse, education, fair housing counseling, energy
conservation, homebuyer down payment assistance, or recreational needs;
(10) Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports). Detailed
explanations of these costs are provided in OMB circular A-21 Cost
Principals for Educational Institutions that can be accessed at the
White House Web site at: http://www.whitehouse.gov/omb/circulars/
index.html;
(11) Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
familial status and/or disability aware of the range of housing
opportunities available to them; and
(12) Activities designed to promote training and employment
opportunities (e.g., Neighborhood Networks in federally assisted or
insured housing and employment opportunities for lower income persons
in connection with Assisted Projects).
b. Eligible activities that may be funded under this program are
those activities that meet both a Community Development Block Grant
(CDBG) Program national objectives and eligibility requirements.
c. The three national objectives of the Community Development Block
Grant program are:
(1) Benefit to low- or moderate-income persons;
(2) Aid in the prevention or elimination of slums or blight; and
(3) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more national
objectives are provided at 24 CFR 570.208.
d. The CDBG publication entitled ``Community Development Block
Grant Program Guide to National Objectives and Eligible Activities for
Entitlement Communities'' describes the CDBG regulations, and a copy
can be obtained from HUD's NOFA Information Center at 800-HUD-8929 or
800-HUD-2209 for the hearing-impaired.
2. Audit Requirements. Applicants must ensure that their most
current A-133 audit is on file at the Federal Audit Clearinghouse.
(Applicants are not required to submit a copy of the audit with the
application.) Grantees that expend $500,000 or more in Federal
financial assistance in a single year (this can be program year or
fiscal year) must be audited in accordance with the OMB requirements as
established in 24 CFR part 84. Additional information regarding this
requirement can be access at the following Web site: http://
harvester.census.gov/sac.
3. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below to be evaluated,
rated, and ranked. Applications that do not meet these requirements
will be considered ineligible for funding and will be disqualified:
a. The applicant must meet the eligibility requirements as defined
in Section III.A, Eligible Applicants.
b. The applicant may request no more than $600,000 for award.
c. Only one application can be submitted per campus. If multiple
applications are submitted, all will be disqualified.
d. An individual campus that is one of several campuses of the same
institution may apply separately as long as the applicant's campus has
a separate administrative and budget structure.
e. Institutions that received an HSIAC grant in FY 2004 are not
eligible to submit an application under this NOFA. If an institution
received an HSIAC grant in FY 2001, FY 2002, or FY 2003, the
institution may apply under this NOFA as long as it: (a) Proposes a
different activity (activities) in their current project location, or
proposes replicating their current project in a new location and (b)
has drawn down at least 75 percent of the previous grant funds at least
three weeks prior to this program's application submission date. It is
the applicant's responsibility to make sure that these requirements are
met.
f. Applicants must receive a minimum score of 75 points to be
considered for funding.
g. An applicant must have a DUNS number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement.)
h. Electronic applications must be received by Grants.gov no later
than 11:59:59 p.m. Eastern time on June 13, 2005. See the General
Section for information on application submission and timely receipt
requirements.
4. Program Requirements. In addition to the program requirements
listed in Section III.C of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants that claim leveraging from any source, including
their own institution, must provide letters of firm commitment,
memoranda of understanding, or agreements evidencing the extent and
firmness of

[[Page 13714]]

commitment of leveraging from other federal (e.g., Department of Labor,
AmeriCorps Programs), state, or local governments, and other public/
private sources (including the applicant's own resources). These
documents must follow the outline provided in Section V, Application
Review Information ``Factor 4: Leveraging Resources'' of this NOFA.
Please refer to Section IV.F of the General Section for further
instructions on how to submit these third party documents via the
electronic submission process.
c. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of a grant award are used to benefit low- and
moderate-income persons under the criteria specified in 24 CFR
570.208(a) or 570.208(d)(5) or (6).
d. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction an applicant must demonstrate site
control. Funds may be recaptured or deobligated from applicants that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
e. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of properties proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or proposed sites be rejected. Applicants are particularly cautioned
not to undertake or commit funds for acquisition or development of
proposed properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
will assist HUD to comply with part 50; will supply HUD with all
available and relevant information to perform an environmental review
for each proposed property; will carry out mitigating measures required
by HUD or select alternate property; and will not acquire,
rehabilitate, convert, demolish, lease, repair, or construct property,
and not commit or expend HUD or local funds for these program
activities with respect to any eligible property until HUD's written
approval of the property is received. In supplying HUD with
environmental information, applicants should use the same guidance as
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental
Review Processing for HUD Colonias Initiative (HCI) Grants'' issued
January 27, 1999. The General Section provides further discussion of
the environmental requirements. Further information and assistance on
HUD's environmental requirements is available at: http://www.hud.gov/
offices/cpd/energyenviron/environment/index.cfm.
f. Labor Standards. Institutions and their sub-grantees,
contractors, and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
g. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3).
The provisions of Section 3 of the Housing and Urban Development
Act of 196 (12 U.S.C. 1701u) apply to this NOFA. Regulations may be
found at 24 CFR part 135.

IV. Application and Submission Information

A. Addresses To Request Application Package

Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or email your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has the legal authority to submit the
application on behalf of the applicant. Please see the General Section
for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk. Please be
aware that the registration process is a separate process from
requesting email notification of funding opportunities or downloading
the application and should be done as soon as you download the
application from the Grants.gov Web site. If you are not sure if you
are already registered, the Grants.gov Support Desk can assist in
verifying whether you are registered.

B. Content and Form of Application Submission

[[Page 13715]]

then make multiple copies to provide to any of the entities responsible
for submitting faxed materials to HUD on your behalf.
2. Certifications and Assurances. Please read the General Section
for detailed information on all Certifications and Assurance. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount (entire three years) should be entered,
not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and email address of the designated contact. This is the person
who will receive the reviewers' comments. Please ensure the accuracy of
the information;
(3) The Employer Identification/Tax ID;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.514;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be November
1, 2005; and
(7) The signature of the Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required elements of their application
submission. Applicants receiving a waiver of the electronic application
submission must include a copy of the checklist in their application
submission. Applicants submitting an electronic application do not have
to submit the checklist. The checklist can be found in the NOFA (See
Attachment A).
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of the proposed project activities, the
target population that will be assisted, and the impact this project
will have on the institution;
(2) A statement that the institution is an eligible institution
because it is a two-or four-year fully accredited institution, the name
of the accrediting agency and an assurance that the accrediting agency
is recognized by the U.S. Department of Education;
(3) A statement that the institution meets the definition of an
Hispanic Serving Institution: at least 25 percent of the full-time
undergraduate students enrolled in an institution must be Hispanic and
not less than 50 percent of these Hispanic students must be low-income
individuals;
(4) The designated contact person, including phone number,
facsimile number, and email address (This is the person who will
receive the reviewers' comments. Please ensure the accuracy of the
information);
(5) University's name, department, mailing address, telephone
number, facsimile number, and email address; and
(6) The principal investigator, if different from the designated
contact person, for the project, including phone number, facsimile
number, and email address.
d. Narrative statement addressing the Factors. HUD will use the
narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address each factor fully. Please do not repeat
material in response to the five factors; instead, focus on how well
the proposal responds to each of the factors. In factors where there
are subfactors, each subfactor must be presented separately, with the
short title of the subfactor presented. Make sure to address each
subfactor and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 75
pages, doubled spaced (excluding forms, budget narrative, assurances,
commitment letters, memoranda of understanding, agreements, and
abstract). Each page of the narrative must include the applicant's name
and be numbered. Please note that although submitting pages in excess
of the page limit will not disqualify an applicant, HUD will not
consider the information on any excess pages. This exclusion may result
in a lower score or failure to meet a threshold requirement.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also submit
this form to reflect the total cost for the entire grant performance
period (Grand Total).
Make sure that the amount shown on the SF-424, the HUD-424-CB, and
all other required program forms is consistent and the budget totals
are correct. Remember to check addition in totaling the categories on
the HUD-424-CB form so that all items are included in the total. If
there is an inconsistency between any of the budget forms required, the
HUD-424-CB will be used. All budget forms must be fully completed. If
an application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used and included. All direct labor or salaries must be
supported with mandated city/state pay scales, the Davis-Bacon rate,
(if applicable) or other documentation. (See the General Section for
how to submit this information electronically). When an applicant
proposes to use a consultant, the applicant must indicate whether there
is a formal written agreement. For each consultant, please provide the
name, if known, hourly or daily rate, and the estimated time on the
project. Applicants must submit a cost estimate based on historical
data from the institution and/or from a qualified firm (e.g.,
Architectural or Engineering), vendor, and/or qualified individual
(e.g., independent architect) other than the institution for projects
that involve rehabilitation of residential, commercial and/or
industrial structures, and/or acquisition, construction, or
installation of public facilities and improvements.

[[Page 13716]]

Such an entity must be involved in the business of housing
rehabilitation, construction and/or management. Equipment and contracts
cannot be presented as a total estimated cost. For equipment,
applicants must provide a list by type and cost for each item.
Applicants using contracts must provide an individual description and
cost estimate for each contract.
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants should
include a copy of their indirect cost rate agreement with their
application. Please refer to Section IV.F of the General Section for
further discussion on electronic submission of required documentation.
Applicants who are selected for funding that do not have an approved
indirect cost rate agreement (established by the cognizant Federal
agency, Certified Public Account, or auditor) will be required to
establish a rate. In such cases, HUD will issue an award with a
provisional rate and assist applicants with the process of establishing
a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of commitment, memoranda of understanding and
agreements for funds/resources in response to Factor 4 and other
required forms in this section. For applicants submitting electronic
applications, please refer to Section IV.F of the General Section for
instructions on how third party documents are to be submitted to HUD
using the electronic submission process. An applicant SHOULD NOT submit
general support letters, resumes, or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. Eastern time on or
before June 13, 2005. Applications may be submitted in advance of the
submission date. Electronic faxes using the Facsimile Transmittal (Form
HUD 96011) cover sheet contained in the electronic application may be
submitted prior to the application submission date and must be received
no later than 11:59:59 p.m. Eastern time on the application submission
date. Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding
may only be provided to applicants that meet the standards for eligible
applicants in Section III. A. Ineligible activities include but are not
limited to:
a. Curriculum development and/or expansion of an institution's
existing curriculum;
b. General government expenses;
c. Political activities; and
d. Planning and administrative activities that would result in a
grantee exceeding the 20 percent cost limitation on such activities.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Waiver of Electronic Submission Requirement. Please refer to the
General Section for further discussion.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (25 Points). This factor addresses the extent
to which the applicant has the organizational resources necessary to
successfully implement the proposed activities in a timely manner. In
rating this factor, HUD will consider the extent to which the proposal
demonstrates:
a. Knowledge and Experience For First Time Applicants (25 Points)
For Previously Funded Applicants (10 Points). The knowledge and
experience possessed by the proposed project director and staff,
including the day-to-day program manager, consultants (including
technical assistance providers), and contractors in planning and
managing this kind of program for which funding is being requested.
Applicants must clearly identify the following: key project team
members, titles (e.g., project manager/coordinator, etc.), respective
roles for the project staff, and a brief description of their relevant
experience. Experience will be judged in terms of recent and relevant
knowledge and skills of the staff to undertake eligible program
activities. HUD will consider experience within the last five (5) years
to be recent and experience pertaining to similar activities to be
relevant.
b. Past Performance (15 Points) For Previously Funded Grant
Applicants Only. This subfactor will evaluate the extent to which an
applicant has performed successfully under all previously completed and
open grants HUD/HSIAC grants. Applicants must be demonstrate this by
providing the following information:
(1) A detailed list outlining the achievement of specific tasks,
measurable objectives, and specific outcomes consistent with the
approved timeline/work plan in previous grants;
(2) Comparison of the proposed required leveraged funds and/or
resources in previous grants with what was actually leveraged;
(3) A list of all HUD/HSIAC grants received, including the dollar
amount awarded and the amount expended as of the date of this
application; and
(4) A detailed list outlining the timeliness and completeness of
complying with all the HSIAC reporting requirements. In addressing
timeliness, compare when reports were due with when they were actually
submitted.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: The ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; and receipt of
promised leveraged funds. In evaluating past performance, HUD reserves
the right to deduct up to five (5) points from this rating score as a
result of the information obtained from HUD's records (i.e., progress
and financial reports, monitoring reports, Logic Model submissions, and
amendments), including the timely submission of required progress
reports.
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s) in the target area. The need(s) described must be
relevant to the activities for which funds are being requested. The
proposal will be evaluated on the extent to which the level of need for
the proposed activities and the importance of meeting the need(s) are
documented.
In rating this factor, HUD will consider data collected within the
last five (5) years to be current. To the extent that the targeted
community's Five Year Consolidated Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the level of the problem and the
urgency in meeting the need, applicants should include references to

[[Page 13717]]

these documents in the response to this factor.
If the proposed activities are not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), indicate this clearly in the proposal and use other sound data
sources to identify the level of need and the urgency in meeting the
need.
Applicants must use statistics or other analyses contained in at
least one or more current data sources that are sound and reliable. The
data provided must be current and specific to the area where the
proposed project activities will be carried out. Sources for localized
data can be found at http://www.ffiec.gov.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (http://
www.hud.gov/emaps), law enforcement agency crime reports, Public
Housing Agencies' Comprehensive Plans, community needs analyses such as
provided by the United Way, the applicant's institution, and other
sound and reliable appropriate sources. Needs in terms of fulfilling
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality and effectiveness of the proposed work plan, the
commitment of the institution to sustain the proposed activities,
actions regarding HUD's priorities, goals and objectives, and
affirmatively furthering fair housing.
This factor will be evaluated based on the extent to which the
proposed work plan demonstrates the following:
a. (34 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project and anticipated accomplishments.
(1) (24 Points) Specific Services and/or Activities. The work plan
must describe all proposed activities and major tasks required to
successfully implement the proposed project.
(a) Applicants must provide a clear description of the proposed
activities and address the following:
(i) Describe each proposed activity to successfully implement and
complete the proposed project in measurable terms (e.g., the number of
persons to trained and employed; houses to be built or rehabilitated;
or minority owned businesses to be started, etc.);
(ii) List how each proposed activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
[sbull] Benefit low- and moderate-income persons;
[sbull] Aid in the prevention or elimination of slums or blight; or
[sbull] Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more objective are
provided at 24 CFR 570.208;
(b) Outline the major tasks required (in sequential order) to
successfully implement and complete the proposed program activities.
Include target completion dates for each activity/task (in 6 month
intervals, up to 36 months); and
(c) Identify the individuals, as described in Factor 1, who will be
responsible for completing each activity/task.
(2) (10 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in its community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative effort will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve and empower citizens of the target area in the proposed
project.
b. (5 Points) Involvement of the Faculty and Students. The
applicant must describe the extent to which it proposes to integrate
the institution's students and faculty into proposed project
activities.
c. (3 Points) HUD Policy Priorities. HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities and which will help the Department
achieve its goals and objectives in FY 2006, when the majority of grant
recipients will be reporting programmatic results and achievements. In
addressing this factor, HUD will evaluate the extent to which a program
will further and support HUD's priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority selected will be addressed. Applicants that just list a
priority will receive no points.
Each policy priority addressed has a point value of one point with
the exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to applicants that address policy
priorities is 3. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available 3
points. To receive points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD-27300) ``HUD's Initiative on Removal of Regulatory
Barriers'' found in the General Section along with required
documentation. The form is part of the electronic application and is
constructed to permit the required documentation to be attached to the
electronic form. For the full list and explanation of each policy
priority, please refer to the General Section.
d. (3 Points) Affirmatively Furthering Fair Housing. This subfactor
will be evaluated on the extent to which an applicant describes how it
proposes to undertake activities designed to affirmatively further fair
housing opportunities for individuals on the basis of race, color,
national origin, sex, religion, familial status, or disability. For
example:
(1) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending;
(2) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(3) Providing housing mobility counseling services.
4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the program's purpose.
In evaluating this factor, HUD will consider the extent to which
the applicant established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
project activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated for the
purpose(s) of the grant. Resources may be provided by governmental
entities, public or private nonprofit organizations, for-profit private
organizations, or other entities. Applicants may also establish

[[Page 13718]]

partnerships with other program funding recipients to coordinate the
use of resources in the target area. Overhead and other institutional
costs (e.g., salaries, indirect costs, etc.) that the institution has
waived may be counted. Examples of potential sources for outside
assistance include:
[sbull] Federal, state, and local governments.
[sbull] Local or national nonprofit organizations.
[sbull] Financial institutions and/or private businesses.
[sbull] Foundations.
[sbull] Faith-based and other community-based organizations.
For each cash or in-kind contribution to the program a letter of
commitment, memorandum of understanding, or agreement must be provided
that shows the extent and firmness of the commitment of leveraged funds
(including any commitment of resources from the applicant's own
institution) in order for these resources to count in determining
points under this factor. Resources will not be counted for which there
is no commitment letter, memorandum of understanding, or agreement, or
quantified level of commitment. (Applicants submitting paper copy
applications must place all letters, memoranda of understanding, or
agreements in the Appendix. Applicants submitting these items
electronically must follow the submission directions in Section IV.F of
the General Section.) The date of the letter, memorandum of
understanding, or agreement from the CEO of the provider organization
must be dated no earlier than nine months prior to this published NOFA.
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead in accordance with the instructions in the
General Section. Applicants that do not provide the documentation
evidencing the leveraging or address all items as outlined below will
receive zero (0) points for this Factor.
a. A firm commitment letter, memorandum of understanding, or
agreement must address the following:
(1) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and use is not
shown, the source will not be counted);
(2) A specific description of how the contribution is to be used
toward one of the proposed activities;
(3) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(4) Any terms or conditions affecting the commitment, other than
receipt of a HUD grant; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. Please remember that
only items eligible for funding under this program can be counted.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements.
``Outcomes'' are benefits accruing to institutions and/or
communities during or after participation in the HSIAC program.
Applicants must clearly identify the outcomes to be measured and
achieved. Examples of outcomes include increased employment
opportunities in the target community by a certain percentage, or
enhanced family stability through the creation of affordable housing
opportunities.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of community facilities
that have been constructed or rehabilitated. Outputs should produce
outcomes for the program. At a minimum an applicant must address the
following activities in the evaluation plan:
a. Measurable outputs to be accomplished, e.g., the number of
persons to be trained and employed; houses to be built (pursuant to 24
CFR 570.207) or rehabilitated; minority-owned businesses to be started;
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
This information must be placed on a HUD-96010, Program Outcome
Logic Model form. Applicants may submit as many copies of this form as
required. It will not be included in the page count requirement. A
narrative is not required. However, if a narrative is provided, those
pages will be included in the page count. Additional information on
this form and how to use it can be found in the General Section.

B. Review and Selection Process

Only those applications that pass the threshold review will receive a
technical review and be rated and ranked.
2. Rating Panels. To review and rate applications, HUD may
establish panels, which may include experts or consultants not
currently employed by HUD. These individuals may be included to obtain
certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be funded, an
applicant must receive a minimum score of 75 points out of a possible
102 points, which includes up to two bonus points that may be awarded
for activities conducted in the RC/EZ/EC-II communities, as described
in the General Section. If two or more applications have the same
number of points, the application with the most points for Factor 3,
Soundness of Approach, shall be selected. If there is still a tie, the
application with the most points for Factor 1, Capacity of the
Applicant and Relevant Organizational Experience, shall be selected. If
there is still a tie, the application with the most points for Factors
2, 4 and then 5 shall be selected, in that order, until the tie is
broken. HUD reserves the right to make selections out of rank order to
provide for geographic distribution of grantees.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down an award offer, HUD will make
an award to the next highest-ranking application. If funds remain after
all

[[Page 13719]]

selections have been made, the remaining funds will be carried over to
the next funding cycle's competition.
4. Correction to Deficient Applications. The General Section
provides the procedures for correction to deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notice

After all selections have been made, HUD will notify all winning
applicants in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further discussion on this matter, please refer to the
General Section.

B. Administrative and National Policy Requirements

For additional information regarding these requirements, please
refer to Section VI.B in the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing and submitted to: Madlyn Wohlman-Rodriguez; Office of
University Partnerships; Robert C. Weaver Federal Building; 451 Seventh
Street, SW., Room 8130; Washington, DC 20410-6000. Applicants may also
write to Ms Wohlman-Rodriguez via email at Madlyn--S.--Wohlman-
[email protected], and
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors Labor Relations on
Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. The General Section provides
further discussion of the federal law governing the procurement of
recovered materials.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.
7. Code of Conduct. See the General Section for further discussion.

C. Reporting

All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line items, as well as a cumulative summary of costs
incurred during the reporting period.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model (HUD 96010),
which identifies output and outcome achievements.

VII. Agency Contacts

Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061,
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852.
Persons with speech or hearing impairments may call the Federal
Information Relay Service (TTY) at (800) 877-8339. Except for the
``800'' number, these numbers are not toll-free. Applicants may also
reach Ms. Rodriguez via e-mail at Madlyn--S.--Wohlman-
[email protected], and/or Ms. Brunson at [email protected].

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0198. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 59 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application semi-annual and final reports.
The information will be used for grantee selection and monitoring the
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.
BILLING CODE 4210-32-P

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[[Page 13723]]

Alaska Native/Native Hawaiian Institutions Assisting Communities (AN/
NHIAC) Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Alaska Native/Native Hawaiian
Institutions Assisting Communities (AN/NHIAC) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: The Federal Register Number for
this Notice Of Funding Availability (NOFA) is FR-4950-N-09. The OMB
Approval Number for this program is 2528-0205.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.515.
F. Dates: The application submission deadline shall be on or before
June 16, 2005. Please be sure to read the General Section for
electronic application submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: The Alaska Native/Native Hawaiian
Institutions Assisting Communities (AN/NHIAC) Program assists Alaska
Native/Native Hawaiian Institutions (AN/NHI) of higher education expand
their role and effectiveness in addressing community development needs
in their localities, including neighborhood revitalization, housing,
and economic development, principally for persons of low- and moderate-
income, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974, as amended.
2. Award Information: In Fiscal Year (FY) 2005, approximately $3.9
million has been made available for this program by the Consolidated
Appropriations Act, 2005 (Pub. L. 108-447) plus $267,000 in previously
unobligated funds are available for this program. The maximum amount an
applicant can request for award is $800,000 for a maximum three-year
(36 months) grant performance period. Approximately $2.1 million is
being made available for Alaska Native Institutions (ANIs) and $2.1
million is being made available for Native Hawaiian Institutions
(NHIs). If funding remains after all eligible ANI applicants are
awarded, the remaining funds will be made available to fund eligible
NHI applicants. If funding remains after all eligible NHI applicants
are awarded, the remaining funds will be made available to fund
eligible ANI applicants.

Full Text Of Announcement

I. Funding Opportunity Description

The purpose of the Alaska Native/Native Hawaiian Institutions
Assisting Communities (AN/NHIAC) Program is to assist Alaska Native/
Native Hawaiian Institutions (AN/NHI) of higher education expand their
role and effectiveness in addressing community development needs in
their localities, including neighborhood revitalization, housing, and
economic development, principally for persons of low- and moderate-
income, consistent with the purposes of Title I of the Housing and
Community Development Act of 1974, as amended.

A. Authority

HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2005 (Pub. L. 108-447, approved
December 8, 2004). This program is being implemented through this NOFA
and the policies governing its operation are contained herein.

B. Modifications

II. Award Information

In Fiscal Year (FY) 2005, approximately $3.9 million is made
available for this program, plus $267,000 in previously unobligated
funds. HUD will award grants under this program to Alaska Native
Institutions (ANI) and Native Hawaiian Institutions (NHI). The maximum
amount an applicant can request for award is $800,000 for a maximum
three-year (36 months) grant performance period. Approximately $2.1
million is being made available for ANIs. If funding remains after all
eligible ANI applicants are awarded, the remaining funds will be made
available to fund eligible NHI applicants. Approximately $2.1 million
is being made available for NHIs. If funding remains after all eligible
NHI applicants are awarded, the remaining funds will be made available
to award eligible ANI applicants.

III. Eligibility Information

A. Eligible Applicants

Nonprofit Alaska Native and Native Hawaiian Institutions of Higher
Education that meet the definitions of Alaska Native and Native
Hawaiian Institutions of Higher Education established in title III,
part A, section 317 of the Higher Education Act of 1965, as amended by
the Higher Education Amendments of 1998 (Pub. L. 105-244; enacted
October 7, 1998) are eligible to apply for funding under this program.
Institutions are not required to be on the list of eligible AN/NHIs
prepared by the U.S. Department of Education. However, an institution
that is not on the list is required to provide a statement in the
application that the institution meets the U.S. Department of
Education's statutory definition of an AN/NHI institution. In order to
meet the definition of an Alaska Native Institution, at least 20
percent of the undergraduate headcount enrollment must be Alaska Native
students. If an applicant is a Native Hawaiian institution, at least 10
percent of the undergraduate headcount enrollment must be Native
Hawaiian students in order to meet this definition. In addition,
applicants must be accredited by a national or regional accrediting
agency recognized by the U.S. Department of Education. If an applicant
is one of several campuses of the same institution, the applicant may
apply separately from the other campuses as long as the campus has a
separate administrative structure and budget and meets the enrollment
test outlined above. All applicants must be accredited by a national or
regional accrediting agency recognized by the U.S. Department of
Education.

B. Cost Sharing or Matching

None required.

C. Other

1. Eligible Activities: Eligible activities include, but are not
limited to:
a. Acquisition of real property;
b. Clearance and demolition;
c. Rehabilitation of residential structures and compliance with the
accessibility requirements contained in Section 5 of the Rehabilitation
Act of 1973;
d. Acquisition, construction, reconstruction, rehabilitation, or
installation of public facilities and improvements, such as water and
sewer facilities and streets; including lead-based paint hazard
evaluation and reduction and compliance with the accessibility
requirements contained in Section 504 of the Rehabilitation Act of

[[Page 13724]]

1973 and Americans with Disabilities Act of 1990;
e. Direct homeownership assistance to low- and moderate-income
persons, as provided in section 105(a)(25) of the Housing and Community
Development Act of 1974;
f. Special economic development activities described at 24 CFR
570.203 and assistance to facilitate economic development by providing
technical or financial assistance for the establishment, stabilization,
and expansion of microenterprises, including minority enterprises;
g. Assistance to community-based development organizations (CBDO)
to carry out neighborhood revitalization, community economic
development, or energy conservation projects, in accordance with 24 CFR
570.204. This could include activities in support of a HUD-approved
local entitlement grantee, CDBG Neighborhood Revitalization Strategy
(NRS) or HUD-approved State CDBG Community Revitalization Strategy
(CRS);
h. Public service activities such as general support activities
that can help to stabilize a neighborhood and contribute to sustainable
redevelopment of the area, including but not limited to such activities
as those concerned with employment, crime prevention, child care,
health services, drug abuse, education, fair housing counseling, energy
conservation, homebuyer down payment assistance, or recreational needs;
i. Fair housing services designed to further the fair housing
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all
persons, without regard to race, color, religion, sex, national origin,
family status, and/or disability aware of the range of housing
opportunities available to them;
j. Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports). Detailed
explanations of these costs are provided in the OMB circulars that can
be accessed at the White House Web site at: http://www.whitehouse.gov/
omb/circulars/index.html; and
k. Activities designed to promote training and employment
opportunities (e.g., Neighborhood Networks in federally-assisted or
insured housing and employment opportunities for lower income persons
in connection with assisted projects).
Eligible activities that may be funded under this program are those
activities that meet both the Community Development Block Grant (CDBG)
Program national objectives and eligibility requirements.
a. The three national objectives of the Community Development Block
Grant program are:
(1) Benefit to low- or moderate-income persons;
(2) Aid in the prevention or elimination of slums or blight; and
(3) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more of these
objectives are provided at 24 CFR 570.208.
The CDBG publication entitled ``Community Development Block Grant
Program Guide to National Objectives and Eligible Activities for
Entitlement Communities'' describes the CDBG regulations, and a copy
can be obtained from HUD's NOFA Information Center at 800-HUD-8929 or
800-HUD-2209 for the hearing- or speech-impaired.
2. Audit Requirements. Applicants must ensure that their most
current A-133 audit is on file at the Federal Audit Clearinghouse.
(Applicants are not required to submit a copy of the audit with the
application.) Grantees that expend $500,000 or more in Federal
financial assistance in a single year (this can be program year or
fiscal year) must be audited in accordance with the OMB requirements as
established in 24 CFR part 84. Additional information regarding this
requirement can be access at the following Web site: http://
harvester.census.gov/sac.
3. Threshold Requirements Applicable to all Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below to be evaluated,
rated, and ranked. Applications that do not meet these requirements
will be considered ineligible for funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A, ``Eligible Applicants.''
b. The applicant may request no more than $800,000 for award.
c. Only one application can be submitted per campus. If multiple
applications are submitted, all will be disqualified.
d. An individual campus that is one of several campuses of the same
institution may apply separately as long as the applicant's campus has
a separate administrative and budget structure.
e. Institutions that received grants in FY 2004 are not eligible to
submit an application under this NOFA.
f. Applicants must receive a minimum score of 75 points to be
considered for funding.
g. An applicant must have a DUNS number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement).
h. Electronic applications must be received by Grants.gov no later
than 11:59:59 p.m. Eastern time on June 16, 2005. See the General
Section for information on application submission and timely receipt
requirements.
4. Program Requirements. In addition to the program requirements
listed in Section III.C of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. Applicants that claim leveraging from any source, including
their own institution, must provide letters of firm commitment,
memoranda of understanding, or agreements evidencing the extent and
firmness of the commitment of leveraging from other federal (e.g.,
Department of Education, AmeriCorps Programs, etc.), state, or local
governments, and other public/private sources (including the
applicant's own resources). These documents must follow the outline
provided in Section V, Application Review Information, ``Factor 4:
Leveraging Resources'' of this NOFA. Please refer to Section IV.F of
the General Section for further instructions on how to submit these
third party documents via the electronic submission process.
c. Applicants must ensure that not less than 51 percent of the
aggregated expenditures of a grant award are used to benefit low- and
moderate-income persons under the criteria specified in 24 CFR
570.208(a) or 570.208(d)(5) or (6).
d. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction, an applicant must demonstrate site
control. Funds may be recaptured or deobligated from applicants that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
e. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of properties proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may

[[Page 13725]]

require that proposed activities be modified or proposed sites be
rejected. Applicants are particularly cautioned not to undertake or
commit funds for acquisition or development of proposed properties
prior to HUD approval of specific properties or areas. An application
constitutes an assurance that the institution will assist HUD to comply
with part 50; will supply HUD with all available and relevant
information to perform an environmental review for each proposed
property; will carry out mitigating measures required by HUD or select
alternate property; and will not acquire, rehabilitate, convert,
demolish, lease, repair, or construct property, and not commit or
expend HUD or local funds for these program activities with respect to
any eligible property until HUD's written approval of the property is
received. In supplying HUD with environmental information, applicants
should use the same guidance as provided in the HUD Notice CPD-99-01
entitled ``Field Environmental Review Processing for HUD Colonias
Initiative (HCI) Grants'' issued January 27, 1999.
The General Section provides further discussion of the
environmental requirements. Further information and assistance on HUD's
environmental requirements is available at: http://www.hud.gov/offices/
cpd/energyenviron/environment/index.cfm.
f. Labor Standards. Institutions and their subgrantees,
contractors, and subcontractors must comply with the labor standards
(Davis-Bacon) requirements referenced in 24 CFR 570.603.
g. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3).
The provisions of Section 3 of the Housing and Urban Development
Act of 196 (12 U.S.C. 1701u) apply to this NOFA. Regulations may be
found at 24 CFR Part 135.

IV. Application and Submission Information

A. Address To Request Application Package

Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or e-mail your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has the legal authority to submit the
application on behalf of the applicant. Please see the General Section
for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk. Please be
aware that the registration process is a separate process from
requesting e-mail notification of funding opportunities or downloading
the application and should be done as soon as you download the
application from the Grants.gov Web site. If you are not sure if you
are already registered, the Grants.gov Support Desk can assist in
verifying whether you are registered.

B. Content and Form of Application Submission

[[Page 13726]]

b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants submitting an electronic application do not have to submit
the checklist. Applicants that receive a waiver of the electronic
application submission requirement must include a copy of the checklist
in their application submission. The checklist is found in Attachment A
of this NOFA.
c. Abstract. Applicants must include the following:
(1) A clear description of the proposed project activities, the
target population that will be assisted, and the impact this project
will have on the institution;
(2) A statement that the institution is an eligible institution
because it is a two- or four-year fully accredited institution, the
name of the accrediting agency and an assurance that the accrediting
agency is recognized by the U.S. Department of Education;
(3) A statement that the institution meets the definition of an
Alaska Native Institution, at least 20 percent of the undergraduate
headcount enrollment must be Alaska Native students. If an applicant is
a Native Hawaiian institution, in order to meet this definition, at
least 10 percent of the undergraduate headcount enrollment must be
Native Hawaiian students;
(4) The designated contact person, including phone number,
facsimile number, and email address. (This is the person who will
receive the reviewers' comments; therefore, please ensure the accuracy
of the information);
(5) University's name, campus, mailing address, telephone number,
facsimile number, and e-mail address; and
(6) The principal investigator, if different from the designated
contact person, for the project, including phone number, facsimile
number, and email address.
d. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address each factor fully. Please do not repeat
material in response to the five factors; instead, focus on how well
the proposal responds to each of the factors. In factors where there
are subfactors, each subfactor must be presented separately, with the
short title of the subfactor presented. Make sure to address each
subfactor and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 75
pages, doubled spaced (excluding forms, budget narrative, assurances,
commitment letters, memoranda of understanding, agreements, and
abstract). Each page of the narrative must include the applicant's name
and be numbered. Please note that although submitting pages in excess
of the page limit will not disqualify an applicant, HUD will not
consider the information on any excess pages. This exclusion may result
in a lower score or failure to meet a threshold requirement.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also submit
this form to reflect the total cost for the entire grant performance
period (Grand Total).
Make sure that the amount shown on Form SF-424, the HUD-424-CB and
on all other required program forms is consistent and the budget totals
are correct. Remember to check addition in totaling the categories on
the Form HUD-424-CB so that all items are included in the total. If
there is any inconsistency between any of the required forms the HUD-
424-CB will be used. All budget forms must be fully completed. If an
application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item over
$5,000 cumulative. For example, an applicant proposes to construct a
building using HUD funding totaling $200,000. The following costs
estimate reflects this total. Foundation cost $75,000, electrical work
$40,000, plumbing work $40,000, finishing work $35,000, and landscaping
$10,000. The proposed cost estimates should be reasonable for the work
to be performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used and included. (See the General Section for how to submit
this information electronically). When an applicant proposes to use a
consultant, the applicant must indicate whether there is a formal
written agreement. For each consultant, please provide the name, if
known, hourly or daily rate, and the estimated time on the project.
Applicants must submit a cost estimate based on historical data from
the institution and/or from a qualified firm (e.g., Architectural or
Engineering), vendor, and/or qualified individual (e.g., independent
architect) other than the institution for projects that involve
rehabilitation of residential, commercial and/or industrial structures,
and/or acquisition, construction, or installation of public facilities,
and improvements. Such an entity must be involved in the business of
housing rehabilitation, construction, and/or management. Equipment and
contracts cannot be presented as a total estimated cost. For equipment,
applicants must provide a list by type and cost for each item.
Applicants using contracts must provide an individual description and
cost estimate for each contract.
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants should
include a copy of their indirect cost rate agreement with their
application. Please refer to Section IV.F of the General Section for
further discussion on electronic submission of required documentation.
Applicants who are selected for funding that do not have an approved
indirect cost rate agreement (established by the cognizant federal
agency, Certified Public Account, or auditor) will be required to
establish a rate. In such cases, HUD will issue an award with a
provisional rate and assist applicants with the process of establishing
a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of commitment, memoranda of understanding and
agreements for funds/resources in response to Factor 4 and other
required forms in this section. For applicants submitting electronic
applications, please refer to Section IV.F of the General Section for
instructions on how third party documents are to be submitted to HUD
using the electronic submission process. An applicant SHOULD NOT submit
general support letters, resumes, or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.

[[Page 13727]]

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. Eastern time on or
before the application June 16, 2005. Applications may be submitted in
advance of the submission date. Electronic faxes using the Facsimile
Transmittal (Form HUD 96011) cover sheet contained in the electronic
application may be submitted prior to the application submission date
and must be received no later than 11:59:59 p.m. Eastern time on the
application submission date. Please see Section IV.F of the General
Section for electronic application submission instructions and timely
receipt requirements.

D. Intergovernmental Review

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding
may only be provided to applicants that meet the standards for eligible
applicants in Section III.A. Ineligible activities include but are not
limited to:
1. New construction of public housing;
2. General government expenses;
3. Political activities;
4. Planning and administrative activities that would result in a
grantee exceeding the 20 percent cost limitation on such activities;
and
5. Development and/or expansion of an institution's existing
curriculum when it is primarily to enhance the institution rather than
to achieve the specific goals/objectives of the proposed project.

F. Other Submission Requirements

V. Application Review Information

A. Criteria

1. Rating Factor 1. Capacity of the Applicant and Relevant
Organizational Experience (25 Points). This factor addresses the extent
to which the applicant has the organizational resources necessary to
successfully implement the proposed activities in a timely manner. In
rating this factor, HUD will consider the extent to which the proposal
demonstrates:
a. Knowledge and Experience For First Time Applicants (25 Points)
For Previously Funded Applicants (13 Points). The knowledge and
experience possessed by the proposed project director and staff,
including the day-to-day program manager, consultants (including
technical assistance providers), and contractors in planning and
managing this kind of project for which funding is being requested.
Applicants must clearly identify the following: key project team
members, titles (e.g., project manager/coordinator, etc.), respective
roles for the project staff and a brief description of their relevant
experience. Experience will be judged in terms of recent and relevant
knowledge and skills of the staff to undertake eligible program
activities. HUD will consider experience within the last five (5) years
to be recent and experience pertaining to similar activities to be
relevant.
b. Past Performance (12 Points) For Previously Funded Applicants
Only. This subfactor will evaluate the extent to which an applicant has
performed successfully under all previously completed and open HUD/AN/
NHIA grants. Applicants must demonstrate this by providing the
following information:
(1) A detailed list outlining the achievement of specific tasks,
measurable objectives, and specific outcomes consistent with the
approved timeline/work plan in previous grants;
(2) Comparison of proposed leveraged funds and/or resources in
previous grants to what was actually leveraged;
(3) A list of all HUD/AN/NHIAC grants received, including the
dollar amount awarded and the amount expended as of the date of this
application; and
(4) A detailed list outlining the timeliness and completeness of
complying with all the AN/NHIAC reporting requirements. In addressing
timeliness compare when reports were due with when they were actually
submitted. HUD will also review an applicant's past performance in
managing funds, including, but not limited to: the ability to account
for funding appropriately; timely use of funds received from HUD;
meeting performance targets for completion of activities; and receipt
of promised leveraged funds. In evaluating past performance, HUD
reserves the right to deduct up to five (5) points from this rating
score as a result of the information obtained from HUD's records (i.e.,
progress and financial reports, monitoring reports, Logic Model
submissions, and amendments), including the timely submission of
required progress reports.
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s) in the target area. The need(s) described must be
relevant to the activities for which funds are being requested. The
proposal will be evaluated on the extent to which the level of need for
the proposed activities and the importance of meeting the need(s) are
documented.
Applicants must use statistics and analyses contained in at least
one or more current data sources that are sound and reliable. The data
provided must be current and specific to the area where the proposed
project activities will be carried out. Sources for localized data can
be found at: http://www.ffiec.gov.
In rating this factor, HUD will consider data collected within the
last five (5) years to be current. To the extent that the targeted
community's Five (5) Year Consolidated Plan and Analysis of Impediments
to Fair Housing Choice (AI) identify the level of the problem and the
urgency in meeting the need, applicants should include references to
these documents in the response to this factor.
Other reliable data sources include, but are not limited to, Census
reports, HUD Continuum of Care gap analysis and its E-MAP (http://
www.hud.gov/emaps), law enforcement agency crime reports, Public
Housing Agencies' Comprehensive Plans, community needs analyses such as
provided by the United Way, the applicant's institution, and other
sound and reliable appropriate sources. Needs in terms of fulfilling
court orders or consent decrees, settlements, conciliation agreements,
and voluntary compliance agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality and effectiveness of the proposed work plan, the
commitment of the institution to sustain the proposed activities,
actions regarding HUD's priorities, goals and objectives, and
affirmatively furthering fair housing.
This factor will be evaluated based on the extent to which the
proposed work plan demonstrates the following.
a. (35 Points) Quality of the Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project and anticipated accomplishments.

[[Page 13728]]

(1) (30 Points) Specific Services and/or Activities. The work plan
must describe all proposed activities and major tasks required to
successfully implement the proposed project.
(a) Applicants must provide a clear description of the proposed
activities and address the following:
(i) Describe each proposed activity to successfully implement and
complete the proposed project in measurable terms (e.g., the number of
homes that will be renovated, the number of jobs created, etc.);
(ii) List how each proposed activity meets one of the following
Community Development Block Grant (CDBG) Program national objectives:
[sbull] Benefit low- and moderate-income person;
[sbull] Aid in the prevention or elimination of slums or blight; or
[sbull] Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more objectives are
provided at 24 CFR 570.208;
(b) Outline the major tasks required (in sequential order) to
successfully implement and complete the proposed project activities.
Include the target completion dates for these tasks (in 6 month
intervals, up to 36 months); and
(c) Identify the individuals, as described in Factor 1, who will be
responsible and accountable for completing each task.
(2) (5 Points) Describe clearly how each proposed activity will:
(a) Expand the role of the institution in its community;
(b) Address the needs identified in Factor 2;
(c) Relate to and not duplicate other activities in the target
area. Duplicative effort will be acceptable only if an applicant can
demonstrate through documentation that there is a population in need
that is not being served; and
(d) Involve and empower citizens of the target area in the proposed
project.
b. (4 Points) Involvement of the faculty and students. The
applicant must describe the extent to which it proposes to integrate
the institution's students and faculty into proposed project
activities.
c. (3 Points) HUD Policy Priorities. HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities and which help the Department
achieve its goals and objectives in FY 2006, when the majority of grant
recipients will be reporting programmatic results and achievements. In
addressing this factor, HUD will evaluate the extent to which a program
will further and support HUD's priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority selected will be addressed. Applicants that just list a
priority will receive no points.
Each policy priority addressed has a point value of one point with
the exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to applicants that address policy
priorities is 3. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available 3
points. To receive points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD-27300) ``HUD's Initiative on Removal of Regulatory
Barriers'' found in the General Section along with required
documentation. The form is part of the electronic application and is
constructed to permit the required documentation to be attached to the
electronic form. For the full list and explanation of each policy
priority, please refer to the General Section.
d. (3 Points) Affirmatively Furthering Fair Housing. This subfactor
will be evaluated on the extent to which an applicant describes how it
proposes to undertake activities designed to affirmatively further fair
housing opportunities for individuals on the basis of race, color,
national origin, sex, religion, familial status, or disability. For
example:
(1) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services or
lending;
(2) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(3) Providing housing mobility counseling services.
4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the program's purpose.
In evaluating this factor, HUD will consider the extent to which
the applicant established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
project activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated for the
purpose(s) of the grant. Resources may be provided by governmental
entities, public or private nonprofit organizations, for-profit private
organizations, or other entities. Applicants may also establish
partnerships with other program funding recipients to coordinate the
use of resources in the target area. Overhead and other institutional
costs (e.g., salaries, indirect costs, etc.) that the institution has
waived may be counted. Examples of potential sources for outside
assistance include:
[sbull] Federal, state, and local governments.
[sbull] Public Housing Agencies.
[sbull] Local or national nonprofit organizations.
[sbull] Financial institutions and/or private businesses.
[sbull] Foundations.
[sbull] Faith-based and other community-based organizations.
For each cash or in-kind contribution to the program a letter of
commitment, memorandum of understanding, or agreement must be provided
that shows the extent and firmness of the commitment of leveraged funds
(including any commitment of resources from the applicant's own
institution) in order for these resources to count in determining
points under this factor. Resources will not be counted for which there
is no commitment letter, memorandum of understanding, or agreement, or
quantified level of commitment. (Applicants submitting paper copy
applications must place all letters, memoranda of understanding, or
agreements in the Appendix. Applicants submitting these items
electronically must follow the submission directions in Section IV.F of
the General Section.) The date of the letter, memorandum of
understanding, or agreement from the CEO of the provider organization
must be dated no earlier than nine months prior to this published NOFA.
Letters, memoranda of understanding, or agreements must be submitted on
the provider's letterhead in accordance with the instructions in the
General Section. Applicants that do not provide the documentation
evidencing the leveraging or address all items as outlined below will
receive zero (0) points for this Factor.

[[Page 13729]]

A firm commitment letter, memorandum of understanding, or agreement
must address the following:
(1) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and use is not
shown, the source will not be counted);
(2) A specific description of how each contribution is to be used
toward the proposed activities;
(3) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(4) Any terms or conditions affecting the commitment, other than
receipt of a HUD Grant; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. Please remember that
only items eligible for funding under this program can be counted.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements.
``Outcomes'' are benefits accruing to institutions of higher
education and/or communities during or after participation in the AN/
NHIAC program. Applicants must clearly identify the outcomes to be
measured and achieved. Examples of outcomes include increased community
development in the target community by a certain percentage, increased
employment opportunities in the target community by a certain
percentage, increased incomes/wages or other assets for persons
trained, and or enhanced family stability through the creation of
affordable housing opportunities.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new affordable housing units, the number of
homes that have been renovated, and the number of facilities that have
been constructed or rehabilitated. Outputs should produce outcomes for
the program. At a minimum, an applicant must address the following
activities in the evaluation plan:
a. Measurable outputs to be accomplished (e.g., the number of
persons to be trained and employed; houses to be built pursuant to 24
CFR 570.207 or rehabilitated; minority-owned businesses to be started);
b. Measurable outcomes the grant will have on the community in
general and the target area or population; and
c. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
This information must be placed on a HUD-96010, Program Outcome
Logic Model form. Applicants may submit as many copies of this form as
required. It will not be included in the page count. A narrative is not
required. However, if a narrative is provided, those pages will be
included in the page count. Additional information on this form and how
to use can be found in the General Section.

B. Review and Selection Process

1. Application Selection Process. Two types of reviews will be
conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V.A.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels. To review and rate applications, HUD may
establish panels, which may include experts or consultants not
currently employed by HUD. These individuals may be included to obtain
certain expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be funded, an
applicant must receive a minimum score of 75 points out of a possible
100 points for Factors 1 through 5. The RC/EZ/EC-II bonus points
described in the General Section do not apply to this NOFA. If two or
more applications have the same number of points, the application with
the most points for Factor 3, Soundness of Approach, shall be selected.
If there is still a tie, the application with the most points for
Factor 1, Capacity of the Applicant and Relevant Organizational
Experience, shall be selected. If there is still a tie, the application
with the most points for Factors 2, 4 and then 5 shall be selected, in
that order, until the tie is broken. HUD reserves the right to make
selections out of rank order to provide for geographic distribution of
grantees.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down an award offer, HUD will make
an award to the next highest-ranking application. If funds remain after
all selections have been made, the remaining funds will be carried over
to the next funding cycle's competition.
4. Correction to Deficient Applications. The General Section
provides the procedures for correction to deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notices

B. Administrative and National Policy Requirements

[[Page 13730]]

the OMB circulars at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion.
4. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors Labor Relations on
Federal and Federally Funded Construction Projects. See the General
Section for further discussion.
5. Procurement of Recovered Materials. See the General Section for
further discussion.
6. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.
7. Code of Conduct. See the General Section for further discussion.

C. Reporting

All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary of cost
incurred during the reporting period.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model form (HUD-96010),
which identifies output and outcome achievements.

VII. Agency Contacts

Applicants may contact Sherone Ivey at (202) 708-3061, extension
4200 or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service TTY at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Ms. Ivey via email
at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information:

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0205. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 59 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, quarterly, and final reports.
The information will be used for grantee selection and monitoring the
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.
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Tribal Colleges and Universities Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Tribal Colleges and Universities
Program (TCUP).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: The Federal Register Number for
this Notice of Funding Availability (NOFA) is FR-4950-N-13. The OMB
Approval Number for this program is 2528-0215.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.519.
F. Dates: The application submission date is June 16, 2005. Please
be sure to read the General Section for electronic application
submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program. The Tribal Colleges and Universities
Program (TCUP) assists Tribal Colleges and Universities (TCU) to build,
expand, renovate, and equip their own facilities.
2. Award Information: In Fiscal Year (FY) 2005, approximately
$2.976 million has been appropriated by the Consolidated Appropriations
Act, 2005 (Pub. L. 108-447). The maximum amount an applicant can
request for award is $600,000 for a maximum three-year (36 months)
grant performance period.
3. Eligible Applicants: Tribal Colleges and Universities that meet
the definition of a TCU established in Title III of the 1998 Amendments
to the Higher Education Act of 1965 (Pub. L. 105-244, approved October
7, 1998) are eligible to apply for funding under this program.
Institutions must be accredited or provide a statement in the abstract
of the application that states the institution is a candidate for
accreditation by a regional institutional accrediting association
recognized by the U.S. Department of Education.

Full Text of Announcement

I. Funding Opportunity Description

The purpose of this program is to assist Tribal Colleges and
Universities (TCU) to build, expand, renovate, and equip their own
facilities.

A. Authority

HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2005 (Pub. L. 108-447; approved
December 8, 2004). This program is being implemented through this NOFA
and the policies governing its operation are contained herein.

B. Modifications

Listed below are major modifications from the Fiscal Year (FY) 2004
program-funding announcement.
1. Applicants are required to submit their application
electronically via the following Web site: http://www.grants.gov/Apply.
Read the General Section for further discussion.
2. Letters, memoranda of understanding, or agreements in response
to Factor 4 now can be dated no earlier than nine months before the
date of this published NOFA and received no later than the application
submission date.

II. Award Information

In Fiscal Year (FY) 2005, approximately $2.976 million is made
available under this NOFA. The maximum amount an applicant can request
for award is $600,000 for a maximum three-year (36 months) grant
performance period.

III. Eligibility Information

A. Eligible Applicants

Tribal Colleges and Universities that meet the definition of a TCU
established in Title III of the 1998 Amendments to the Higher Education
Act of 1965 (Pub. L. 105-244, enacted October 7, 1998) are eligible to
apply for funding under this program. Institutions must be accredited,
or provide a statement in their application that verifies the
institution is a candidate for accreditation, by a regional
institutional accrediting association recognized by the U.S. Department
of Education.

B. Cost Sharing or Matching

None required.

C. Other

1. Eligible Activities. Eligible activities include building,
expanding, renovating, and equipping facilities owned by the
institution (a long-term lease for five years or more in duration is
considered an acceptable form of ownership under this program).
Buildings for which TCUP funding is used that also serve the community
are eligible; however, the facilities must be predominantly (at least
51 percent of the time) for the use of the institution (e.g., students,
faculty, and staff). Examples of eligible activities include, but are
not limited to:
a. Building a new facility (e.g., classrooms, administrative
offices, Health and Cultural centers, gymnasium, technology centers,
etc.);
b. Renovating an existing or acquired facility;
c. Expanding an existing or acquired facility;
d. Equipping university facilities (e.g., lab equipment, library
books, furniture, etc.); or
e. Property acquisition; and
f. Applicants can use up to 20 percent of the grant for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD reports). A
detailed explanation of these costs is provided in the OMB circulars
that can be accessed at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.
Each activity proposed for funding must meet at least one of the
following Community Development Block Grant (CDBG) Program national
objectives:
[sbull] Benefit low- and moderate-income persons;
[sbull] Aid in the prevention or elimination of slums or blight; or
[sbull] Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs.
Criteria for determining whether an activity addresses one or more
objectives are provided at 24 CFR 570.208. The CDBG publication
entitled ``Community Development Block Grant Program Guide to National
Objectives and Eligible Activities for Entitlement Communities''
describes the CDBG regulations, and a copy can be obtained from HUD's
NOFA Information Center at 800-HUD-8929 or 800-HUD-2209 for the
hearing-impaired.
2. Audit Requirements. Applicants must ensure that their most
current A-133 audit is on file at the Federal Audit Clearinghouse.
(Applicants are not required to submit a copy of the audit with their
application.) Grantees that expend $500,000 or more in Federal
financial assistance in a single year (this can be program year or
fiscal year) must be audited in accordance with the OMB requirements as
established in 24 CFR part 84. Additional information regarding this
requirement can be access at the following Web site: http://
harvester.census.gov/sac.
3. Threshold Requirements Applicable to All Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below to be evaluated,
rated, and

[[Page 13735]]

ranked. Applications that do not meet these requirements are considered
ineligible for funding and will be disqualified.
a. The applicant must meet the eligibility requirements as defined
in Section III.A. Eligible Applicants.
b. The applicant may request no more than $600,000 for award.
c. Only one application can be submitted per campus. If multiple
applications are received, all will be disqualified.
d. An individual campus that is one of several campuses of the same
institution may apply separately as long as the applicant's campus has
a separate administrative and budget structure.
d. Institutions that received grants in FY 2004 are not eligible to
apply under this NOFA.
e. Applicants must receive a minimum score of 75 points to be
considered for funding.
f. An applicant must have a DUNS number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement).
h. Electronic applications must be received by Grants.gov no later
than 11:59:59 p.m. Eastern time on June 16, 2005. See the General
Section for information on application submission and timely receipt
requirements.
4. Program Requirements. In addition to the standard requirements
listed in Section III.C. of the General Section, applicants must meet
the following program requirements:
a. All funds awarded are for a three-year (36 months) grant
performance period.
b. While communitywide use of a facility (that is purchased,
equipped, leased, renovated or built) is permissible under this
program, the facility must be predominantly for the use of the
institution (i.e., it must be used by the staff, faculty, and/or
students at least 51 percent of the time).
c. Applicants that claim leveraging from any source (e.g., Tribal,
Federal and/or state governments, Tribally Designated Housing Entities,
foundations, etc.), including their own institution, must provide
letters of firm commitment, memoranda of understanding, or agreements
evidencing the extent and firmness of the commitment. These documents
must follow the outline provided in Section V. Application Review
Information ``Factor 4: Leveraging Resources'' of this NOFA. Please
refer to Section IV.F of the General Section for further instruction on
how to submit these third party documents via the electronic submission
process.
d. If a TCU is a part or instrumentality of a federally recognized
tribe, the applicant must comply with the Indian Civil Rights Act (25
U.S.C. 1301 et seq.) and all other applicable civil rights statutes and
authorities as set forth in 24 CFR 1000.12. If the TCU is not a part or
instrumentality of a federally recognized tribe the applicant must
comply with the Fair Housing Act (42 U.S.C. 3601-19) and implementing
regulations at 24 CFR part 100 et seq., Title VI of the Civil Rights
Act of 1964 (42 U.S.C. 2000d-2000d-4) (Nondiscrimination in Federally
Assisted Programs) and implementing regulations at 24 CFR part 1, and
Section 109 of Title One of the Housing and Community Development Act
of 1974 (HCDA), as amended, with respect to nondiscrimination on the
basis of age, sex, religion, or disability and implementing regulations
at 24 CFR part 6.
e. Labor Standards. Institutions and their subgrantees, contractors
and subcontractors must comply with the labor standards (Davis-Bacon)
requirements referenced in 24 CFR 570.603. However, in accordance with
HCDA section 107(e)(2), the Secretary waives the provisions of HCDA
section 110 with respect to the TCUP program for grants to a TCU that
is part of a tribe, i.e., a TCU that is legally a department or other
part of a tribal government, but not a TCU that is established under
tribal law as an entity separate from the tribal government. If a TCU
is not part of a tribe, the labor standards of HCDA section 110, as
referenced in 24 CFR 570.603, apply to activities under the grant to
the TCU.
f. Environmental Requirements. Selection for award does not
constitute approval of any proposed sites. Following selection for
award, HUD will perform an environmental review of activities proposed
for assistance in accordance with 24 CFR part 50. The results of the
environmental review may require that proposed activities be modified
or proposed sites be rejected. Applicants are particularly cautioned
not to undertake or commit funds for acquisition or development of
proposed properties prior to HUD approval of specific properties or
areas. An application constitutes an assurance that the institution
will assist HUD to comply with part 50; will supply HUD with all
available and relevant information to perform an environmental review
for each proposed property; will carry out mitigating measures required
by HUD or select alternate property; and will not acquire,
rehabilitate, convert, demolish, lease, repair, or construct property
and not commit or expend HUD or local funds for these program
activities with respect to any eligible property until HUD's written
approval of the property is received. In supplying HUD with
environmental information, applicants should use the same guidance as
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental
Review Processing for HUD Colonia Initiative (HCI) Grants'' issued
January 27, 1999.
Further information and assistance on HUD's environmental
requirements is available at: http://www.hud.gov/offices/cpd/
energyenviron/environment/index.cfm.
g. Site Control. Where grant funds will be used for acquisition,
rehabilitation, or new construction an applicant must demonstrate site
control. Funds may be recaptured or deobligated from applicants that
cannot demonstrate control of a suitable site within one year after the
initial notification of award.
h. Economic Opportunities for Low- and Very-Low Income Persons
(Section 3). The provisions of Section 3 of the Housing and Urban
Development Act of 196 (12 U.S.C. 1701u) apply to this NOFA.
Regulations are located at 24 CFR part 135.

IV. Application and Submission Information

A. Address To Request Application Package

Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information, you may call the Grants.gov Support desk
toll free, 800-518-GRANTS or email your questions to
Grants.gov">Support@Grants.gov. The Support Desk staff will assist you in accessing
the information. Please remember that you must be registered to submit
an application utilizing Grants.gov. Your registration allows you to
electronically sign the application and enables Grants.gov to
authenticate that the person signing the application has the legal
authority to submit the application on behalf of the applicant. Please
see the General Section for information regarding the registration
process or ask for registration information from the Grants.gov Support
Desk. Please be aware that the registration process is a separate
process from requesting email notification of funding opportunities or
downloading the application and should be done as soon as you download
the application

[[Page 13736]]

from the Grants.gov Web site. If you are not sure if you are already
registered, the Grants.gov Support Desk can assist in verifying whether
you are registered.

B. Content and Form of Application Submission

1. Forms. The following forms are required for submission. Copies
of these forms are included in Appendix A of the General Section. The
electronic version of the NOFA contains all forms required for
submission.
a. Application for Federal Assistance (SF-424);
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Grant Application Detailed Budget (HUD-424-CB);
d. Disclosure of Lobbying Activities (SF-LLL);
e. America's Affordable Communities Initiative (HUD-27300), if
applicable;
f. Applicant/Recipient Disclosure/Update Report (HUD-2880);
g. Program Logic Model (HUD-96010);
h. Acknowledgement of Applicant Receipt (HUD-2993). Only applicants
that do not submit an electronic application need to include this form
with their application. Please complete this form if you have received
a waiver to the electronic application submission requirement.
Applicants are not required to include this form, but it is recommended
that they do so;
i. Client Comments and Suggestions (HUD-2994). This form is
included to solicit information from the most valuable source, the
applicant. The changes that we have instituted this year are designed
to make things easier for the applicant. If applicants complete and
submit this form, it will help us to assess whether the changes have
had the intended results. It will also guide us in our continuing
efforts to improve the competitive grant process. Applicants are not
required to complete this form; and
j. Facsimile Transmittal Cover Page (HUD 96011). This form must be
used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
Applicants are advised to download the application package, complete
the SF-424 first and it will pre-populate the Transmittal Cover page.
The Transmittal Cover page will contain a unique identifier embedded in
the page that will help HUD associate your faxed materials to your
application. Please download the cover page and then make multiple
copies to provide to any of the entities responsible for submitting
faxed materials to HUD on your behalf.
2. Certifications and Assurances. Please read the General Section
for detailed information on all the Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount (entire three-years) should be entered,
not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and email address of the designated contact. This is the person
who will receive the reviewer comments; therefore, please ensure the
accuracy of the information;
(3) The Employer Identification/Tax ID number;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.519;
(6) The project's proposed start and completion dates. For the
purpose of this application the program start date should be November
1, 2005; and
(7) The signature of the Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required elements of their application
submission requirements. Applicants receiving a waiver of the
electronic application submission requirement must include a copy of
the checklist in their application submission. Applicants submitting an
electronic application do not have to submit the checklist in their
application. The checklist is found in the NOFA (See Attachment A).
c. Abstract. Applicants must include the following:
(1) A clear description of the proposed project activities, the
target population that will be assisted, and the impact this project
will have on the institution;
(2) A statement that the institution is an eligible institution
because it is a two-or four-year fully accredited institution, the name
of the accrediting agency and an assurance that the accrediting agency
is recognized by the U.S. Department of Education; or the applicant is
a candidate for accreditation by a regional instructional accrediting
association recognized by the U.S. Department of Education, including
the name of the accrediting agency;
(3) The designated contact person, including phone number,
facsimile number, and email address (This is the person who will
receive the reviewers' comments; therefore, please ensure the accuracy
of the information);
(4) University's name, mailing address, telephone number, facsimile
number and email address; and
(5) The project director, if different from the designated contact
person for the project, including phone number, facsimile number, and
email address.
d. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address the factor fully. Please do not repeat
material in response to the five factors; instead focus on how well the
proposal responds to each of the factors. In factors where there are
subfactors, each subfactor must be presented separately, with the short
title of the subfactor presented. Make sure to address each subfactor
and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 75
pages, doubled spaced (excluding forms, budget narrative, assurances,
commitment letters, memoranda of understanding, agreements, and
abstract). Each page of the narrative must be numbered and include the
applicant's name. Please note that although submitting pages in excess
of the page limit will not disqualify an applicant, HUD will not
consider the information on any excess pages. This exclusion may result
in a lower score or failure to meet a threshold requirement.
e. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be

[[Page 13737]]

carried out with the proposed HUD grant. Each year of the program
should be presented separately. Applicants must also submit this form
to reflect the total cost for the entire grant performance period
(Grand Total).
Make sure that the amount shown on the SF-424, HUD-424-CB, and all
other required program forms is consistent and the totals are correct.
Remember to check the addition in totaling the categories on the HUD-
424-CB form so that all items are included in the total. All budget
forms must be fully completed. If an application is selected for award,
the applicant may be required to provide greater specificity to the
budget during grant agreement negotiations.
(2) Budget Narrative. Applicants must submit a narrative that
explains how the applicant arrived at the cost estimates for any line
item over $5,000 cumulative. For example, an applicant proposes to
construct an addition to an existing building, which will cost
approximately $200,000. The following cost estimate reflects this
total: Foundation cost $75,000, electrical work $40,000, plumbing work
$40,000, interior finishing work $35,000 and landscaping $10,000. The
proposed cost estimates should be reasonable for the work to be
performed and consistent with rates established for the level of
expertise required to perform the work proposed in the geographical
area. When necessary, quotes from various vendors or historical data
should be used and included. All direct labor or salaries must be
supported with mandated city/state pay scales, Davis-Bacon wage rates,
tribally designated wage rate (if applicable) or other documentation
(See the General Section of how to submit this information
electronically). When an applicant proposes to use a consultant, the
applicant must indicate whether there is a formal written agreement.
For each consultant, please provide the name, if known, hourly or daily
fee, and the estimated time on the project. Applicants must submit a
cost estimate based on historical data from the institution and/or from
a qualified firm (e.g., Architectural or Engineering firm), vendor and/
or qualified individual (e.g., independent architect) other than the
institution for projects that involve rehabilitation of residential,
commercial and/or industrial structures, and/or acquisition,
construction, or installation of public facilities and improvements.
Such an entity must be involved in the business of rehabilitation,
construction, and/or management. Equipment and contracts cannot be
presented as a total estimated figure. For equipment, applicants must
provide a list by type and cost for each item. Applicants using
contracts must provide an individual description and cost estimate for
each contract.
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants should
include a copy of their indirect cost rate agreement with their
application. Please refer to Section IV.F of the General Section for
instructions on how these documents are to be submitted to HUD using
the electronic submission process. Applicants who are selected for
funding that do not have an approved indirect cost rate agreement
(established by the cognizant Federal agency, Certified Public Account,
or auditor) will be required to establish a rate. In such cases, HUD
will issue an award with a provisional rate and assist applicants with
the process of establishing a final rate.
f. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of commitment, memoranda of understanding and
agreements for funds/resources in response to Factor 4 and other
required forms in this section. For applicants submitting electronic
applications, please refer to Section IV.F of the General Section for
instructions on how third party documents are to be submitted to HUD
using the electronic submission process. An applicant SHOULD NOT submit
general support letters, resumes, or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. Eastern time on or
before June 16, 2005. Applications may be submitted in advance of the
submission date. Electronic faxes using the Facsimile Transmittal (Form
HUD 96011) cover sheet contained in the electronic application may be
submitted prior to the application submission date and must be received
no later than 11:59:59 p.m. Eastern time on the application submission
date. Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

This program is excluded for an Intergovernmental Review.

E. Funding Restrictions

Ineligible activities for funding under this program include, but
are not limited to the following:
1. Renovation of a facility in which the facility is not used at
least 51 percent of the time by the institution;
2. Rental space to another entity that operates a small business
assistance center;
3. Building of a new facility, where the activities are for non-
students or the activities are primarily run by an outside entity;
4. Using more than 20 percent of the grant for payments of grant
administrative costs related to planning and execution of the project
(e.g., preparation/submission of HUD reports);
5. Public services, or program delivery type activities; and
6. Curriculum development and or expansion on an institution's
existing curriculum.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the electronic submission
and receipt procedures for all applications because failure to comply
may disqualify your application.
2. Waiver of Electronic Submission Requirements. Please refer to
Section IV.F. of the General Section for further discussion.

V. Application Review Information

A. Criteria

[[Page 13738]]

relevant experience. Experience will be judged in terms of recent and
relevant knowledge and skills of the staff to undertake eligible
program activities. HUD will consider experience within the last five
(5) years to be recent and experience pertaining to similar activities
to be relevant.
b. Past Performance (10 Points) For Previously Funded Grant
Applicants Only. This subfactor will evaluate the extent to which an
applicant has performed successfully under all previously completed and
open HUD/TCUP grants. Applicants must demonstrate this by providing the
following information:
(1) A detailed list outlining the achievement of specific tasks,
measurable objectives, and specific outcomes consistent with the
approved timeline/work plan in previous grants;
(2) Comparison of the proposed leveraged funds and/or resources in
previous grants with what was actually leveraged;
(3) A list of all HUD/TCUP grants received, including the dollar
amount awarded and the amount expended as of the date of this
application; and
(4) A detailed list outlining the timeliness and completeness of
complying with all the TCUP reporting requirements. In addressing
timeliness compare when reports were due with when they were actually
submitted.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: The ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; and receipt of
promised leveraged funds. In evaluating past performance, HUD reserves
the right to deduct up to five (5) points from this rating score as a
result of the information obtained from HUD's records (i.e., progress
and financial reports, monitoring reports, Logic Model submission, and
amendments), including timely submission of required progress reports.
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed project activities and an indication of the importance of
meeting the need(s). The need(s) described must be relevant to
activities for which funds are being requested. The proposal will be
evaluated on the extent to which the level of need for the proposed
project activities and the importance of meeting the need(s) are
documented.
Applicants must use statistics and analyses contained in at least
one or more current data sources that are sound and reliable. The data
provided must be current and specific to the area where the proposed
project activities will be carried out. Reliable sources of data may
include information that describes the need, such as a need to have a
building renovated because it is 50 years old and is deteriorating; a
new computer lab has been built, but the computers are obsolete; a
library has been expanded, but the books are outdated, etc. When
presenting data, include the source and date of the information.
3. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality and effectiveness of the proposed work plan.
There must be a clear relationship between the proposed activities and
the need(s) identified in Factor 2 for an applicant to receive points
for this factor.
This factor will be evaluated based on the extent to which the
proposed work plan demonstrates the following:
a. (40 Points) Quality of Work Plan. This subfactor will be
evaluated on the extent to which an applicant provides a clear detailed
description of the proposed project and anticipated accomplishments.
Specifically, HUD will examine the proposed activities and determine to
what extent the project activities are measurable (e.g., the number of
classrooms added, the increase in enrollment), result in improvement to
the institution as a result of the project activities (e.g., fifty more
students will be receiving computer literacy training, etc.), and how
well the applicant demonstrates that these objectives will be achieved
by the proposed management plan and team.
(1) (35 Points) Specific Services and/or Activities. The work plan
must:
(a) Provide a clear description of all the proposed activities;
(b) Outline major tasks in sequential order (e.g., complete
environmental review requirement, develop plans and specifications,
advertise bids, etc.) necessary to successfully implement the proposed
project, and target completion dates for the tasks;
(c) Identify the individuals, as described in Factor 1, who will be
responsible for completing the identified tasks; and
(d) Describe the measurable objectives that will be realized as a
result of implementing the proposed project.
(2) (5 Points) Describe clearly how each proposed project activity
will:
(a) Address the needs identified in Factor 2;
(b) Relate to and not duplicate other activities in the target
area; and
(c) Meet one of the following Community Development Block Grant
(CDBG) Program national objectives:
(1) Benefit low- and moderate-income persons;
(2) Aid in the prevention or elimination of slums or blight; or
(3) Meet other community development needs having a particular
urgency because existing conditions pose a serious and immediate threat
to the health and welfare of the community, and other financial
resources are not available to meet such needs. Criteria for
determining whether an activity addresses one or more objectives are
provided at 24 CFR 570.208.
b. (2 Points) Involvement of the Faculty and Students. The
applicant must describe the extent to which it proposes to integrate
the institution's students and faculty into proposed project
activities.
c. (3 Points) HUD Policy Priorities. HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities and help the Department achieve its
goals and objectives in FY 2006, when the majority of grant recipients
will be reporting programmatic results and achievement. In addressing
this factor, HUD will evaluate the extent to which a program will
further and support HUD priorities. The quality of the responses
provided to one or more of HUD's priorities will determine the score an
applicant can receive. Applicants must describe how each policy
priority will be addressed. Applicants that just list a priority will
receive no points.
Each policy priority addressed has a point value of one point, with
the exception of the policy priority related to remove regulatory
barriers to affordable housing, which has a value of up to 2 points.
The total number of points available to applicants that address policy
priorities is
3. It is up to the applicant to determine which of the policy
priorities they elect to address to receive the available 3 points. To
receive points for efforts to remove regulatory barriers to affordable
housing, an applicant must submit the completed questionnaire (HUD-
27300) ``HUD's Initiative on Removal of Regulatory Barriers'' found in
the General Section along with required documentation. The form is part
of the electronic application and is constructed to permit the required
documentation to be attached to the electronic form. For the full list
and explanation of each policy priority, please refer to the General
Section.

[[Page 13739]]

4. Rating Factor 4: Leveraging Resources (8 Points). This factor
addresses the ability of the applicant to secure resources that can be
combined with HUD's grant funds to achieve the program's purpose.
In evaluating this factor, HUD will consider the extent to which
the applicant established partnerships with other entities to secure
additional resources to increase the effectiveness of the proposed
program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated for the
purpose(s) of the grant. Resources may be provided by governmental
entities (e.g., Tribal, Federal, and/or state governments), public or
private nonprofit organizations, for-profit private organizations, or
other entities. Overhead and other institutional costs (e.g., salaries,
indirect costs) that the institution has waived may be counted.
Examples of potential sources for outside assistance include:
[sbull] Tribal, Federal, state, and local governments.
[sbull] Tribally Designated Housing Entities.
[sbull] Local or national nonprofit organizations.
[sbull] Banks and/or private businesses.
[sbull] Foundations.
[sbull] Faith-based and other community-based organizations.
For each cash or in-kind contribution, a letter of commitment,
memorandum of understanding, or agreement must be provided that shows
the extent and firmness of the commitments of leveraged funds
(including any commitment of resources from the applicant's own
institution) in order for these resources to count in determining
points under this factor. Resources will not be counted for which there
is no commitment letter, memorandum of understanding or agreement or
quantified level of commitment. Letters, memoranda of understanding, or
agreements must be submitted from the provider on the provider's
letterhead and included in the application package. (Applicants
submitting paper copy applications must place all letters, memoranda of
understanding, or agreements in the Appendix. Applicants submitting
these items electronically must follow the submission directions in
Section IV.F of the General Section.) The date of the letter,
memorandum of understanding, or agreement from the CEO of the
provider's organization must be dated no earlier than nine months prior
to the date of this published NOFA. Letters, memoranda of understanding
or agreements must be submitted on the provider's letterhead in
accordance with the instructions in the General Section. Applicants
that do not include evidence of leveraging or address all the items
listed below will receive zero (0) points for this Factor.
a. A firm commitment letter, memorandum of understanding or
agreement must address the following:
(1) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and use is not
shown, the source will not be counted);
(2) A specific description of how each contribution is to be used
toward the proposed activities;
(3) The date the contribution will be made available and a
statement that describes the duration of the contribution;
(4) Any terms or conditions affecting the commitment, other than
receipt of a HUD grant; and
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. Please remember that
only items eligible for funding under this program can be counted.
5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. The factor measures the applicant's
commitment to assess their performance to achieve the project's
proposed objectives and goals. Applicants are required to develop an
effective, quantifiable, outcome-oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements.
``Outcomes'' are benefits accruing to institutions of higher
education during or after participation in the TCUP program. Applicants
must clearly identify the outcomes to be measured and achieved.
Examples of outcomes include an increased number of campus facilities
(e.g., newly built or renovated), an increased number of classroom
spaces available, or an increased student enrollment and graduation
rate.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the project's activities. Examples of
outputs are the number of new facilities renovated, or the number of
new dormitories built. Outputs should produce outcomes for the project.
At a minimum, an applicant must address the following activities in the
evaluation plan:
a. Short-and-long term outputs to be achieved;
b. Measurable outcomes the grant will have on the university or the
target population;
This information must be placed on a HUD-96010, Program Outcome
Logic Model form. Applicants may submit as many copies of this form as
required. It will not be included in the page count. A narrative is not
required. However, if a narrative is provided, those pages will be
included in the page count. Additional information on this form and how
to use can be found in the General Section.

B. Review and Selection Process

1. Application Selection Process.
Two types of reviews will be conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V.A. above. Only those applications that pass the
threshold review will receive a technical review and be rated and
ranked.
2. Rating Panels. To review and rate applications, HUD may
establish panels that may include experts or consultants not currently
employed by HUD. These individuals may be included to obtain certain
expertise.
3. Ranking. HUD will fund applications in rank order, until all
available program funds are awarded. In order to be funded, an
applicant must receive a minimum score of 75 points out of a possible
100 points. The RC/EZ/EC-II bonus points described in the General
Section do not apply to this NOFA. If two or more applications have the
same number of points, the application with the most points for Factor
3, Soundness of Approach, shall be selected. If there is still a tie,
the application with the most points for Factor 1, Capacity of the
Applicant and Relevant Organizational Experience, shall be selected. If
there is still a tie, the application with the most points for Factor
2, 4, and 5 shall be selected in that order until the tie is broken.
HUD reserves the right to select out of rank order to provide for
geographic distribution of grantees. HUD also reserves the right to
reduce the amount of funding requested in order to fund as many highly
ranked applications as possible. Additionally, if funds remain after
funding the highest ranked applications, HUD may fund part of the

[[Page 13740]]

next highest-ranking application. If an applicant turns down the award
offer, HUD will make the same determination for the next highest-
ranking application. If funds remain after all selections have been
made, the remaining funds will be carried over to the next funding
cycle's competition.
4. Corrections to Deficient Applications. The General Section
provides the procedures for corrections to deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notice

After all selections have been made, HUD will notify all winning
applicants in writing. HUD may require winning applicants to
participate in additional negotiations before receiving an official
award. For further information about award administration, please refer
to the General Section.

B. Administrative and National Policy Requirements

For additional information regarding these requirements, please
refer to Section VI.B. in the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing and submitted to: Sherone Ivey; Office of University
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 8106; Washington, DC 20410-6000. Applicants may also write to
Ms. Ivey via email at [email protected].
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Government Wide Regulations Applicable to
Financial Assistance Programs. The General Section provides discussion
of OMB circulars and governmentwide regulations.
4. Code of Conduct. See the General Section for further discussion.
5. Procurement of Recovered Materials. See Section III.C. of the
General Section for further discussion.
6. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Toward Government Contractors' Labor Relations of
Federal and Federally Funded Construction Projects. See the General
Section for further discussion if applicable.
7. Executive Order 13166, Improving Access to Services For Persons
With Limited English Proficiency (LEP). See the General Section for
further discussion.

C. Reporting

All grant recipients under this NOFA are required to submit
quarterly progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflects costs
incurred by budget line item, as well as a cumulative summary report
during the reporting period.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model (HUD-96010),
which identifies output and outcome achievements.

VII. Agency Contacts

Applicants may contact Sherone Ivey at (202) 708-3061, extension
4200, or Susan Brunson at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service TTY at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Ms. Ivey via email
at [email protected], and Ms. Brunson at Susan--S.--
[email protected].

VIII. Other

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0215. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 68 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, quarterly and final report. The
information will be used for grantee selection and monitoring the
administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.
BILLING CODE 4210-32-P

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[[Page 13744]]

The Community Outreach Partnership Centers (COPC) Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: Community Outreach Partnership
Centers (COPC) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Numbers: The Federal Register Number for
this Notice of Funding Availability (NOFA) is FR-4950-N-10. The OMB
Approval Number for this program is 2528-0180.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.511.
F. Dates: The application submission date is June 23, 2005. Please
be sure to read the General Section for electronic application
submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program. The Community Outreach Partnership
Centers (COPC) Program provides funds to two-year and four-year
colleges and universities to establish and operate COPCs to address the
problems of urban areas.
2. Award Information. In Fiscal Year (FY) 2005, approximately $6.64
million has been appropriated by the Consolidated Appropriations Act,
2005 (Pub. L. 108-447). HUD will award two kinds of grants under this
program, First Time Grants and New Directions Grants.
a. First Time Grants will be awarded to applicants who have never
received a COPC grant to undertake eligible work. The maximum amount an
applicant can request for award is $400,000 for a maximum three-year
(36 months) grant performance period.
b. New Directions Grants will be awarded to applicants who have
previously received a COPC grant to undertake new directions in their
activities. Applicants are only eligible to receive one New Directions
Grant. The maximum amount an applicant can request for award is
$200,000 for a maximum two-year (24 months) grant performance period.
HUD will use up to $5.2 million to fund approximately (13) First
Time Grants and up to $1.4 million to fund approximately seven (7) New
Directions Grants.
3. Eligible Applicants: Public or private nonprofit institutions
granting two- or four-year degrees that are accredited by a national or
regional accrediting agency recognized by the U.S. Department of
Education are eligible to apply. A consortium of eligible institutions
may also apply for funding under this program, as long as one
institution is designated the lead applicant.

(Note: Institutions that participated in a COPC grant as a
member of a consortium are eligible to apply for a New Grant if they
received 25 percent or less of the funding from the earlier grant).
HUD intends to fund at least two eligible COPC New First Time Grant
applications (applications that receive a minimum score of 75
points) that serve Colonias (as defined in the General Section).
While it is not necessary for the institution to be located in a
Colonias, all program activities must be directed to the Colonias
and its residents. If less than two fundable applications are
eligible for award, these funds will be used to award additional
COPC grants.

Full Text of Announcement

I. Funding Opportunity Description

The purpose of the Community Outreach Partnership Centers (COPC)
program is to assist in establishing or carrying out outreach and
applied research activities that address problems of urban areas. The
program also seeks to encourage structural change, both within an
institution and in the way the institution relates to its neighbors.
A. Funding under this program shall be used to establish and
operate local Community Outreach Partnership Centers (COPCs). The five
key concepts that a COPC Program should include are:
1. Outreach activities and technical assistance to address
multidimensional urban problems;
2. Empowerment efforts that engage community-based organizations
and residents as partners with the institution throughout the life of
the project and beyond;
3. Applied research related to the project's outreach activities
(Note: Applicants are not required to undertake any research as part of
their project and may apply for a project that is totally outreach
focused);
4. Assistance to target communities primarily from the faculty,
students, and to a limited extent by neighborhood residents and
community-based organizations funded by the university; and
5. Support from the university's senior officials to make the
program part of the institution's broader effort to meet its urban
mission.

B. Authority

The COPC program is authorized under the Community Outreach
Partnership Act of 1992 (42 U.S.C. 5307 note; the ``COPC Act''). The
COPC Act is contained in section 851 of the Housing and Community
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992)
(HCD Act of 1992). Section 801(c) of the HCD Act of 1992 authorized
$7.5 million for each year of the 5-year demonstration to create
Community Outreach Partnership Centers as authorized in the COPC Act.
The Consolidated Appropriations Act, 2005 (Pub. L. 108-447) continues
this program beyond the initial five-year demonstration by providing
funding for Community Outreach Partnership Centers for FY 2005. This
program is being implemented through this NOFA and the policies
governing its operation are contained herein.

C. Modifications

Listed below are major modifications from the FY 2004 program-
funding announcement:
1. Applicants are required to submit their application
electronically via the following Web site: http://www.grants.gov/Apply.
Read the General Section for further discussion.
2. Applicants that apply as a Consortium must include a memorandum
of understanding or agreement signed by each of the Chief Executive
Officers of the institutions involved. The document must describe all
the members of the Consortium, outline each institution's roles and
responsibilities, and how much funding each institution will receive
from the grant. (Applicants must place the memorandum of understanding
or agreement in the Appendix.)
3. Letters, memoranda of understanding, or agreements in response
to Factor 4 now can be dated no earlier than nine months prior to the
date of this published NOFA and received no later than the application
submission date.

II. Award Information

In Fiscal Year (FY) 2005, approximately $6.64 million is being made
available under this program. HUD will award two kinds of grants under
this program, First Time Grants and New Directions Grants.
A. First Time Grants will be awarded to applicants who have never
received a COPC grant to undertake eligible work. The maximum amount an
applicant can request for award is $400,000 for a maximum three-year
(36 months) grant performance period.
B. New Directions Grants will be awarded to applicants who have
previously received a COPC grant to undertake new directions in their

[[Page 13745]]

activities. The maximum amount an applicant can request for award is
$200,000 for a maximum two-year (24 months) grant performance period.
HUD will use up to $5.2 million to fund approximately (13) First
Time Grants and up to $1.4 million to fund approximately seven (7) New
Directions Grants.

III. Eligibility Information

A. Eligible Applicants

Public or private nonprofit institutions granting two- or four-year
degrees that are accredited by a national or regional accrediting
agency recognized by the U.S. Department of Education are eligible to
apply for funding under this program. A Consortium of eligible
institution may also apply, as long as one institution is designated
the lead applicant. Applicants that apply as a Consortium must include
a memorandum of understanding or agreement signed by each of the Chief
Executive Officers of the institution involved. The document must
describe all the members of the Consortium, outline each institution's
roles and responsibilities, and how much funding each institution will
receive from the grant. (Applicants must place the memorandum of
understanding or agreement in the Appendix if submitting a paper copy
application or following the submission instructions in the General
Section for electronic copy submission. Note: Institutions that
participated in a COPC grant as a member of a Consortium are eligible
to apply for a First Time Grant if they received 25 percent or less of
the earlier grant funds.) HUD intends to fund at least two eligible
COPC First Time Grant applications (applications that receive a minimum
score of 75 points) that serve Colonias (as defined in the General
Section). While it is not necessary for the institution to be located
in a Colonias, all program activities must be directed to the Colonias
and its residents. If less than two fundable applications are eligible
for award these funds will be used to award additional COPC grants.

B. Cost Sharing or Matching

Applicants are required to meet the following match requirements:
1. First Time Grant Applicants Match Requirements.
a. Research Activities. 50 percent of the total project costs of
establishing and operating research activities.
b. Outreach Activities. 25 percent of the total project costs of
establishing and operating outreach activities.
2. New Directions Grant Applicants Match Requirements.
a. Research Activities. 60 percent of the total project costs of
establishing and operating research activities.
b. Outreach Activities. 35 percent of the total project costs of
establishing and operating outreach activities.
For each match, cash or in-kind contribution to the program,
applicants must submit a signed letter of commitment (See Section V,
Application Review Information, Factor 4: Leveraging Resources).
Applicants may not count as match any costs that would be ineligible
for funding under the program (e.g., housing rehabilitation). In
previous competitions, some applicants incorrectly based their match
calculations on the Federal grant amount only. An applicant's match is
evaluated as a percentage of the total cost of establishing and
operating research and outreach activities, not just the Federal grant
amount.
Assume that the total project cost for a First Time COPC Grant was
$710, 000, with $110,000 for research and $600,000 for outreach. Note
that this project meets the requirement that no more than one-quarter
of the total project costs be allocated for research as defined in
Section III, Eligibility Information, Other. The total amount of the
required match would be $205,000. The research match would be $55,000
($110,000 x 50 percent) and the outreach match would be $150,000
($600,000 x 25 percent). The Federal grant requested would be $400,000
($710,000 minus the match of $310,000). In calculating the match,
administrative costs should be applied to the appropriate attributable
outreach or research component.

C. Other

1. Eligible Activities. COPC Programs may combine outreach
activities with research (if applicable) and work with communities and
local governments to address the multidimensional problems that beset
urban areas. Examples of urban problems include, but are not limited to
homeownership, economic development, neighborhood revitalization,
health care, job training, education, crime prevention, planning, the
environment, and capacity building.
a. Outreach activities, technical assistance, and information
exchange activities must be designed to address specific urban problems
in designated communities and neighborhoods served by the grant.
b. Research activities (if applicable, research activities are not
required) must have a clear near-term potential and practical
application for solving specific, significant urban problems in
designated communities and neighborhoods, including evaluation of the
effectiveness of the outreach activities and how they relate to HUD
programs. Applicants must have the capacity to apply the research
results directly to the proposed outreach activities outlined in the
application's work plan. In addition, applicants must work with
communities and local institutions, including neighborhood groups,
local governments, and other appropriate community stakeholders, in
applying these results to real-life urban problems.
(1) Examples of outreach activities include, but are not limited
to:
(a) Assistance to communities to improve consolidated housing and
community development plans and to eliminate impediments to the design
and implementation of such plans;
(b) Innovative use of funds to provide direct technical expertise
and assistance to local community groups, residents, and other
appropriate community stakeholders to resolve local problems such as
homelessness, housing discrimination, and impediments to fair housing
choice;
(c) Technical assistance in business start-up activities for low-
and moderate-income individuals and organizations, including business
start-up training and technical expertise and assistance, mentor
programs, assistance in developing small loan funds, business
incubators, etc;
(d) Technical assistance to local public housing agencies on
welfare-to-work initiatives and physical transformations of public or
assisted housing, including development of accessible and visitable
housing;
(e) Job training and other training projects, such as workshops,
seminars, and one-on-one and on-the-job training; and
(f) Assistance to communities in eliminating or reducing excessive,
unnecessary or duplicative regulations, processes or policies that
restrict the development or rehabilitation of affordable housing (For
further discussion of Regulatory Barriers see the General Section.)
c. Funds for faculty development, including paying for course time
or summer support, to enable faculty members to work with the COPC.
d. Funds for stipends or salaries for students (but the program
cannot cover tuition and fees) while students are working with the
COPC.
e. Up to 20 percent of the grant may be used for payments of
reasonable grant administrative costs related to planning and execution
of the project (e.g., preparation/submission of HUD

[[Page 13746]]

reports). Detailed explanations of these costs are provided in the
Office of Management and Budget (OMB) circulars that can be accessed at
the White House Web site at: http://www.whitehouse.gov/omb/circulars/
index.html.
f. Activities to carry out the ``Program Requirements'' as defined
in this NOFA. These activities may include leases for office space in
which to house the Community Outreach Partnership Center, under the
following conditions:
(1) The lease must be for existing facilities not requiring
rehabilitation or construction;
(2) No repairs or renovations of the property may be undertaken
with Federal funds; and
(3) Properties in the Coastal Barrier Resource System designated
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be
leased with Federal funds.
g. Components of the program may address metropolitan or regional
strategies. Applicants must clearly demonstrate how:
(1) Strategies are directly related to what the targeted
neighborhoods and neighborhood-based organizations have decided is
needed; and
(2) Neighborhoods and neighborhood organizations are involved in
both the development and implementation of the metropolitan or regional
strategies.
2. Audit Requirements. Applicants must ensure that their most
current A-133 audit is on file at the Federal Audit Clearinghouse.
(Applicants are not required to submit a copy of the audit with the
application.) Grantees that expend $500,000 or more in federal
financial assistance in a single year (this can be program year or
fiscal year) must be audited in accordance with the OMB requirements as
established in 24 CFR part 84. Additional information regarding this
requirement can be accessed at the following Web site: http://
harvester.census.gov/sac.
3. Threshold Requirements Applicable to All Applicants. All
applicants must comply with the threshold requirements as defined in
the General Section and the requirements listed below to be evaluated,
rated, and ranked. Applications that do not meet these requirements
will be considered ineligible for funding and will be disqualified.
There will be two separate competitions, one for First Time Grant
applicants and one for New Directions Grant applicants.
a. The applicant must meet the eligibility requirements as defined
in Section III.A, Eligible Applicants.
b. The maximum amount an applicant applying for a First Time Grant
can request for award is $400,000. The maximum amount an applicant
applying for a New Directions Grant can request for award is $200,000.
c. Applicants must meet the program's statutory match requirement
(the requirement is defined in Section III.B Cost Sharing or Matching).
d. First Time Grant applications must be multifaceted. For purposes
of this grant, multifaceted means an applicant must address three or
more distinct urban problems and propose at least one distinct activity
for each of the problems identified. For instance, an applicant might
identify inadequate educational systems for grades K-12 as an urban
problem and propose a program to train parents to successfully
influence change and become involved in the public school system as the
distinct activity. The applicant might address a second urban problem
relating to unemployment of youth released from the local juvenile
justice detention center and propose a counseling and job placement
program. The third urban problem the applicant might address is
inadequate social service for homeless families. The proposed activity
would be to coordinate with or become part of a local Continuum of Care
to conduct surveys to develop a strategy and create an implementation
plan to more efficiently address the needs identified. Single or dual-
purpose applications are not eligible and will be disqualified. For
example, an applicant proposes: (1) A program to train residents for
employment in the energy assistance industry; (2) a model curriculum
for incorporating energy conservation into public school science
programs; and (3) a program to assist local nonprofit organizations to
conduct home energy assessments. Although all three activities are
distinct, they address the same urban issue--energy conservation.
e. New Directions Grant applications must address two urban
problems and undertake at least one activity for each of these
problems. Applicants must also demonstrate that the proposed activities
either implement new eligible projects in the current target
neighborhood(s) or implement eligible projects in a new target
neighborhood(s). Single purpose applications are not eligible and will
be disqualified.
f. New Directions Grant applicants must have drawn down at least 75
percent of the grant funds from any previous COPC award three weeks
prior to the program's application submission date to be eligible to
apply for a New Directions Grant. It is the applicant's responsibility
to make sure that this requirement is met.
g. Applicants who were a member of a consortium and received more
than 25 percent of the earlier funding are not eligible to apply for a
First Time Grant. However, applicants may submit an application for a
New Directions Grant (applicants may submit an application individually
or as part of the old consortium).
h. Only one First Time Grant or New Directions application will be
eligible for funding from an institution. If multiple applications are
submitted, all will be disqualified. However, different campuses of the
same university system are eligible to apply, even if one campus has
already received COPC funding, if they have an administrative and
budgeting structure independent of other campuses in the system.
i. Applicants may be part of only one consortium or submit only one
application, or all applications will be disqualified. HUD will hold
the applicant responsible for ensuring that neither the applicant nor
any part of their institution, including specific faculty, participates
in more than one application.
j. Programs must operate in an urban area. The statute creating
COPC is very specific that programs address the problems of urban
areas. HUD uses the Census definition of an urban area: a single
geographic place (e.g., a city, town, or village, but not a county)
with a population of 2,500 or more. Applicants cannot meet this test by
aggregating several places smaller than the population threshold in
order to meet this requirement. (However, because of the size of the
grant and the three-year performance period, HUD encourages applicants
to target activities in a minimum number of definable neighborhoods or
communities.)
k. In order to ensure that the primary focus of the proposed
project is on outreach, there is a limit on the amount of money that
can be budgeted for research costs for this program. No more than 25
percent of the total project costs (Federal share plus matching funds)
can be spent on research activities. However, applicants are not
required to undertake any research as part of their project and may
apply for a project that is totally outreach focused.
l. Applicants must receive a minimum score of 75 points to be
considered for funding.
m. An applicant must have a DUNS number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement.)
n. Electronic applications must be received by Grants.gov no later
than 11:59:59 p.m. Eastern time on the June

[[Page 13747]]

23, 2005. See the General Section for information on application
submission and timely receipt requirements.
4. Program Requirements. In addition to the requirements listed in
Section III.C of the General Section, applicants must meet the
following program requirements:
a. All funds awarded under this program to First Time Grant
applicants are awarded for a three-year (36 months) grant performance
period. All funds awarded under this NOFA to New Directions grant
applicants are awarded for a two-year (24 months) grant performance
period;
b. Employ the outreach and research resources of the institution to
solve specific urban problems identified by communities served by the
Center;
c. Establish and coordinate outreach activities in areas identified
in the application as the communities to be served by the Center;
d. Establish a community advisory committee comprised of
representatives of local institutions and residents of the communities
to be served to assist in identifying local needs and advise on the
development and implementation of strategies to address those issues;
e. Facilitate public service projects in the communities served by
the Center;
f. Act as both a national and a regional/local clearinghouse for
dissemination of information;
g. Develop instructional programs, convene conferences, and provide
training for local community leaders, when appropriate;
h. Grant funds will pay for activities conducted directly, rather
than passing funds to other entities (in order for an application to be
competitive no more than 25 percent of the grant funds should be passed
through to other entities); and
i. Applicants must seek to provide access to program benefits and
information to individuals who may be limited English proficient
through translation and interpretive services in accordance to HUD's
LEP Recipient Guidance published in the Federal Register on December
19, 2003.

IV. Application and Submission Information

A. Addresses To Request Application Package

Applicants may download the instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov./Apply. The
instructions contain the General Section of the published NOFA as well
as forms that you must complete and attach as a zip file to your
application submission. If you have difficulty accessing the
information you may call the Grants.gov Support desk toll free (800-
518-GRANTS) or emailing your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has the legal authority to submit the
application on behalf of the applicant. Please see the General Section
for information regarding the registration process or ask for
registration information from the Grants.gov Support Desk. Please be
aware that the registration process is a separate process from
requesting e-mail notification of funding opportunities or downloading
the application and should be done as soon as you download the
application from the Grants.gov Web site. If you are not sure if you
are already registered, the Grants.gov Support Desk can assist in
verifying whether you are registered.

B. Content and Form of Application Submission

[[Page 13748]]

contact. This is the person who will receive the reviewers' comments;
therefore, please ensure the accuracy of the information;
(3) The Employer Identification/Tax ID;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.511;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be November
1, 2005; and
(7) The signature of an Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the elements required in their application
submission. Applicants receiving a waiver of the electronic application
submission requirements must include a copy of the checklist in their
application submission. Applicants submitting an electronic application
do not have to submit the checklist in their application. The checklist
can be found in the NOFA (See Attachment A).
c. Abstract. Applicants must include no more than a two-page
summary of the proposed project. Please include the following:
(1) A clear description of the proposed project activities, the
target population that will be assisted, and the impact this project
will have on the institution;
(2) A statement that the institution is an eligible institution
because it is a two- or four-year fully accredited institution, the
name of the accrediting agency and an assurance that the accrediting
agency is recognized by the U.S. Department of Education;
(3) The designated contact person, including phone number,
facsimile number, and e-mail address (This is the person who will
receive the reviewers' comments; therefore, please ensure the accuracy
of the information);
(4) University's name, department, mailing address, telephone
number, facsimile number, and e-mail address; and
(5) The principal investigator, if different from the designated
contact person, for the project, including phone number, facsimile
number, and e-mail address.
d. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address each factor fully. Please do not repeat
material in response to the five factors; instead, focus on how well
the proposal responds to each of the factors. In factors where there
are subfactors, each subfactor must be presented separately, with the
short title of the subfactor presented. Make sure to address each
subfactor and provide sufficient information about every element of the
subfactor. The narrative section of an application must not exceed 75
pages, doubled spaced (excluding forms, budget narrative, commitment
letters, memoranda of understanding, agreements, and abstract). Each
page of the narrative must include the applicant's name and be
numbered. Please note that although submitting pages in excess of the
page limit will not disqualify an applicant, HUD will not consider the
information on any excess pages. This exclusion may result in a lower
score or failure to meet a threshold requirement.
e. Budget. The budget submission must include the following form:
(1) HUD-424-CB ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately. Applicants must also submit
this form to reflect the total cost for the entire grant performance
period (Grand Total).
Make sure that the amount shown on the SF-424, the HUD-424-CB, and
all other required program forms is consistent and the budget totals
are correct. Remember to check addition in totaling the categories on
all forms so that all items are included in the total. If there is an
inconsistency between any of the budget forms required, the HUD-424-CB
will be used. All budget forms must be fully completed. If an
application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the applicant arrived at the cost estimates for any line item,
including match items, over $5,000. For example, a van rental, $150 per
month x 36 months equals $5,400. The proposed cost estimates should be
reasonable for the work to be performed and consistent with rates
established for the level of expertise required to perform the work
proposed in the geographical area. When necessary, quotes from various
vendors or historical data should be used and included. When an
applicant proposes to use a consultant, the applicant must indicate
whether there is a formal agreement or written procurement policy. For
each consultant, please provide the name, if known, hourly or daily
rate, and the estimated time on the project. For equipment, applicants
must provide a list by type and cost for each item and explain how it
will be used. Applicants using contracts must provide an individual
description and cost estimate for each contract.
(3) Indirect costs. Indirect costs, if applicable, are allowable
based on an established approved indirect cost rate. Applicants should
include a copy of their indirect cost rate agreement with their
application. Please refer to Section IV.F of the General Section for
instructions on how these documents are to be submitted to HUD using
the electronic submission process. Applicants who are selected for
funding that do not have an approved indirect cost rate agreement
(established by the cognizant Federal agency, Certified Public Account,
or auditor) will be required to establish a rate. In such cases, HUD
will issue an award with a provisional rate and enter into an agreement
to have one established.
f. Match and Research Compliance. All applicants must include the
following forms:
(1) HUD-30001, ``Community Outreach Partnership Centers Matching
Requirements.'' This form should show how the match requirements have
been met. Under each category, list the specific project activities.
Only the dollar totals for research and outreach activities should be
listed; costs by activity do not need to be listed. For the purpose of
this form, administrative costs should be allocated between research
and outreach activities, as appropriate. Applicants must provide
letters, memoranda of understanding or agreements that show the extent
and firmness of commitments of leveraged funds (including an
applicant's own resources) in order for these resources to count. Any
resource for which there is no commitment letter will not be counted,
nor will the resource be counted without the proposed level of
commitment being quantified. Each letter must include the specific
dollar amount and the use of the funds. If a dollar amount and use is
not shown, the

[[Page 13749]]

source cannot be counted toward the match requirement in Factor 4. This
form is included in Appendix B.
(2) HUD-30002, ``Community Outreach Partnership Centers Breakdown
of Outreach and Research Activities.'' This form is used to demonstrate
that the applicant has not allocated more than 25 percent of the total
budget (including Federal and matching funds) to research activities.
This form is included in Appendix B.
For purposes of this form, all costs (including administrative
costs) must be categorized or apportioned as either research or
outreach, as appropriate.
(Note: While indirect costs can count toward meeting the required
match, they will not be used to calculate the match percentage above
the match requirement. Only direct costs can count in this factor).
Letters, memoranda of understanding, and agreements must be signed by
an authorized representative of the funding source. If any matching
sources are for more than one year, the commitment letter, memorandum
of understanding, or agreement must state the number of years, the per
year commitment, and the total commitment. Only items eligible for
program funding can be counted as match. Include matching documentation
at the end of the narrative statement addressing the Factors for Award
and note in this section a list of the letters that have been placed
there.
(3) HUD-30011, ``Verification of the Match.'' Applicants must
include a multiple page worksheet (included in Appendix B) to determine
if a sufficient match has been provided. This worksheet must be
included in the application. Please note on this form by each
commitment listed if the match is an inside or outside match
commitment. Electronic filers should use the PureEdge Electronic form
found on the Grants.gov application package. Paper copy filers should
use this form found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
g. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of commitment, memoranda of understanding, and
agreements for funds/resources in response to Factor 4 and all other
required forms for this section. For applicants submitting electronic
applications, please refer to Section IV.F of the General Section for
instructions on how third party documents are to be submitted to HUD
using the electronic submission process. An applicant SHOULD NOT submit
general support letters or resumes or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.
Applicants applying as a Consortium must include a memorandum of
understanding or agreement signed by each of the Chief Executive
Officers of the institutions involved. The document must describe all
the members of the Consortium, outline each institution's roles and
responsibilities, and describe how much funding each institution will
receive from the grant.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. Eastern time on June
23, 2005. Applications may be submitted in advance of the submission
date. Electronic faxes using the Facsimile Transmittal (Form HUD 96011)
cover sheet contained in the electronic application may be submitted
prior to the application submission date and must be received no later
than 11:59:59 p.m. Eastern time on the application submission date.
Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

1. Activities such as, but not limited to, the following are
ineligible for funding:
a. Research activities that account for more than 25 percent of the
total project cost (federal share plus match) and/or that have no clear
and immediate practical application for solving urban problems or do
not address specific problems in designated communities and
neighborhoods or have any specific link to HUD programs.
b. Any type of construction, rehabilitation, or other physical
development costs.
c. Costs used for routine operations and day-to-day administration
of institutions of higher education, local governments, or neighborhood
groups.
2. Funding may only be provided to applicants that meet the
standards for eligible applicants in Section III.A.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the
General Section carefully and completely for the submission and receipt
procedures for all applications because failure to comply may
disqualify your application.
2. Wavier of Electronic Submission Requirements. Please refer to
the General Section for further discussion.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points). This factor addresses the extent
to which the institution has the organizational resources necessary to
successfully implement the proposed activities in a timely manner. In
rating this factor, HUD will consider the extent to which the proposal
demonstrates:
a. Knowledge and Experience. For First Time Applicants (20 Points)
For New Directions Grant Applicants (10 Points). The knowledge and
experience possessed by the proposed project director and staff,
including the day-to-day program manager, consultants (including
technical assistance providers), and contractors in planning and
managing the kind of program for which funding is being requested.
Applicants must clearly identify the following: Key project team
members, titles (e.g., project manager/coordinator, etc.), respective
roles for the project staff, and a brief description of their relevant
experience. Experience will be judged in terms of recent and relevant
knowledge and skills of the staff to undertake eligible program
activities. HUD will consider experience within the last five (5) years
to be recent and experience pertaining to similar activities to be
relevant. The more recent and substantial the experience of the staff,
particularly the institution's own staff who will work on the project
have in successfully conducting and completing similar activities, the
higher the number of points an applicant can receive for this rating
factor. The following areas will be evaluated:
(1) Outreach activities in communities to solve or ameliorate
significant urban issues;
(2) Projects with community-based organizations or local
governments;
(3) Solving community problems that have a direct bearing on the
proposed activities and that make a national contribution to solving
long-term and immediate urban problems/issues; and
(4) Research activities (if applicable) that have a practical
application to significant urban issues.
b. Past Performance (10 points) New Directions Grant Applicants
Only. This subfactor will evaluate the extent to which an applicant has
performed successfully under a previous COPC

[[Page 13750]]

grant. Applicants must demonstrate this by providing the following
information:
(1) A detailed list outlining the achievement of specific tasks,
measurable objectives and outcomes consistent with the approved
timeline/work plan in previously awarded grant;
(2) Comparison of proposed required match funds and resources in a
previous grant with what was actually matched; and
(3) A detailed list outlining the timeliness and completeness of
complying with all the COPC reporting requirements. In addressing
timeliness compare when reports were due with when they were actually
submitted.
HUD will also review an applicant's past performance in managing
funds, including, but not limited to: the ability to account for
funding appropriately; timely use of funds received from HUD; meeting
performance targets for completion of activities; and receipt of
promised match funds. In evaluating past performance, HUD reserves the
right to deduct up to five (5) points from this rating score as a
result of the information obtained from HUD's records (i.e., progress
and financial reports, monitoring reports, Logic Model submissions, and
amendments), including the timely submission of required progress
reports.
2. Rating Factor 2: Need/Extent of the Problem (10 Points). This
factor addresses the extent to which there is a need for funding the
proposed program activities and an indication of the importance of
meeting the need(s) in the target area. The need(s) described must be
relevant to the activities for which funds are being requested. The
proposal will be evaluated on the extent to which the level of need for
the proposed activities and the importance of meeting the need(s) are
documented.
In rating this factor, HUD will consider data collected within the
last five (5) years to be current. To the extent that the targeted
community's Five Year Consolidated Plan and Analysis of Impediments to
Fair Housing Choice (AI) identify the level of the problem and the
urgency in meeting the need, applicants should include references to
these documents in response to this factor.
Applicants must use statistics or other analyses contained in at
least one or more current data sources that are sound and reliable.
Sources for localized data can be found at: http://www.ffiec.gov.
Other reliable sources of data include, but are not limited to,
Census reports, HUD Continuum of Care gap analysis and its E-Map (To
find additional information go to HUD's Web site: http://www.hud.gov/
emaps), law enforcement agency crime reports, Public Housing Agencies'
Comprehensive Plans, community needs analyses such as provided by the
United Way, the applicant's institution, and other sound and reliable
appropriate sources. Needs in terms of fulfilling court orders or
consent decrees, settlements, conciliation agreements, and voluntary
compliance agreements may also be addressed.
The data used must be specific to the area where the proposed
activities will be carried out (not the entire locality or state).
Remember, the statute creating COPC is very specific that the program
addresses problems of an urban area: a single geographic place (e.g., a
city, town, or village, but not a county) with a population of 2,500 or
more. (However, because of the size of the grant and the three-year
period of performance, HUD encourages applicants to target activities
in a minimum number of definable neighborhoods or communities.)
3. Rating Factor 3: Soundness of Approach (40 Points). This factor
addresses the quality and effectiveness of the proposed work plan.
There must be a clear relationship between proposed activities and
community needs for an applicant to receive points for this factor.
This factor will be evaluated based on the extent to which the proposed
work plan demonstrates the following:
a. Quality of Work Plan (26 Points).
(1) Specific Services and/or Activities. The work plan must
describe all proposed activities and major tasks required to
successfully implement the proposed project. HUD will consider the
probability of success of the program, the significance of the tasks
identified, how realistic are the proposed time frames, and who will be
responsible for completing each proposed activity. (Note: applicants
are not required to undertake research as part of the grant.)
(a) Describe a clear outreach agenda and demonstrate this by
providing the following:
(i) Identifiable outreach activities;
(ii) Required tasks to be completed (in sequential order) for each
proposed activity;
(iii) Target completion date for each proposed task/activity to be
successfully implemented (in six-month intervals); and
(iv) The staff member, as described in Factor 1, who will be
responsible and accountable for completing each task.
(b) Describe how the project will:
(i) Involve the institution as a whole (i.e., variety of academic
disciplines and administrative offices);
(ii) Provide for on-site or frequent presence in the target area;
and
(iii) Ensure proposed activities do not duplicate outreach
activities by the institution or others for the target area previously
completed or currently underway.
(c) Applicants proposing research activities must describe a clear
research agenda that applies the proposed research results directly to
the proposed outreach activities and demonstrate this by providing the
following:
(i) Identifiable research activities and outcomes (e.g., reports,
surveys, etc.);
(ii) Required tasks to be completed (in sequential order) for each
proposed activity;
(iii) Time necessary for each proposed task/activity to be
successfully implemented (in six-month intervals) and target completion
date; and
(iv) The staff member, as described in Factor 1, who will be
responsible for research activities and accountable for completing each
task;
(v) Ensure that the proposed research is tied to the proposed
outreach agenda (e.g., a proposed study of the extent of housing
abandonment in a neighborhood is followed by a plan for reusing this
housing demonstrates a link between the proposed research and outreach
strategies); and
(vi) Describe how the research does not duplicate the research by
the institution or others for the target area previously completed or
currently underway. If similar research is underway, describe how the
proposed research agenda would complement it.
b. (5 Points) Community Involvement. The applicant must describe
the extent to which it proposes to integrate the community as partners
in the planning and implementation of proposed program activities. In
reviewing this subfactor, HUD will look at the extent to which:
(1) One or more Community Advisory Committees have been formed that
represent the community's diversity (including businesses, community
groups, residents, and others) and will serve to develop and implement
strategies to address the needs identified in Factor 2. In addressing
this subfactor, applicants must provide evidence that such a
committee(s) has been in place and what groups are represented, or that
commitments have been secured from the appropriate persons to serve on
a committee(s), rather than just describing generally the types of
people whose involvement will be sought.
(2) The committee(s) and partners play an active role in all stages
of the project and not serve as merely advisors or monitors.

[[Page 13751]]

(3) The outreach agenda includes training projects for local
community leaders to increase their capacity to direct their
organizations or undertake various kinds of community development
projects.
c. (5 Points) Dissemination Strategies. In reviewing this
subfactor, HUD will assess the applicant's demonstrated ability to
disseminate results of outreach and research activities to other COPCs
and communities. In addition, the scope and quality of the applicant's
plan to disseminate information results, strategies, and lessons
learned through such means as conferences, cross-site technical
assistance, Web sites, publications, etc. will be assessed. (Note:
Applicants must make materials available in alternative formats for
persons with disabilities (e.g., Braille, audio, large type) upon
request, and provide materials in languages other than English that are
common in the community, if speakers of these languages are found in
significant numbers and come into frequent contact with the program.)
d. (2 Points) Affirmatively Further Fair Housing. This subfactor
will be evaluated on the extent to which an applicant describes how
they propose to undertake activities designed to affirmatively further
fair housing opportunities for individuals on the basis of race, color,
national origin, sex, religion, familial status, or disability. For
example:
(1) Working with other entities in the community to overcome
impediments to fair housing, such as discrimination in the sale or
rental of housing or in advertising, provision of brokerage services,
or lending;
(2) Promoting fair housing choice through the expansion of
homeownership opportunities and improved quality of services for
minorities, families with children, and persons with disabilities; or
(3) Providing housing mobility counseling services.
e. (2 Points) HUD Policy Priorities. HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities that will help the Department
achieve its goals and objectives in FY2006, when the majority of grant
recipients will be reporting programmatic results and achievements. In
addressing this subfactor, HUD will evaluate the extent to which a
program will further and support HUD's priorities. The quality of the
responses provided to one or more of HUD's priorities will determine
the score an applicant can receive. Applicants must describe how each
policy priority selected will be addressed. Applicants that just list a
priority will receive no points.
Each policy priority addressed has a value of one point with the
exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to applicants that address policy
priorities is 2. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available 2
points. To receive points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD-27300) ``HUD's Initiative on Removal of Regulatory
Barrier'' found in the General Section along with required
documentation. The form is part of the electronic application and is
constructed to permit the required documentation to be attached to the
electronic form. For the full list and explanation of each policy
priority, please refer to the General Section.
4. Rating Factor 4: Matching Resources and Institutionalization of
Program (20 Points). This factor addresses the ability of the applicant
to secure resources and make the program activities part of the
institution's on-going mission. In evaluating this factor, HUD will
consider the extent to which the applicant established partnerships
with other entities (other than HUD) to secure additional resources to
increase the effectiveness of the proposed program activities.
a. Matching Resources (10 Points). This subfactor addresses the
applicant's ability to secure community resources combined with HUD's
grant funds to achieve the program's purpose. Resources may include
funding or in-kind contributions, such as services or equipment,
allocated to the purpose(s) of the grant being sought. External
resources (those acquired from outside the college or university) may
be provided by governmental entities (only block grants or formula
grants will be considered, no direct grants), public or private
nonprofit organizations, for-profit private organizations, or other
entities willing to establish partnerships. Applicants may also
establish partnerships with funding recipients in other grant programs
to coordinate the use of resources in the target area. Please note that
the value of the time of individuals serving on an applicant program
advisory board cannot be counted as an in-kind contribution. Applicants
may count overhead and other institutional costs (e.g., salaries,
indirect costs, etc.) that the institution has waived. In evaluating
this subfactor, HUD will allocate points as follows:
(1) (5 Points) will be awarded for a match that is 25 percent or
more over the required match, as described in Section V, Application
Review Information. Fewer points will be assigned depending on the
extent of the match overage provided. Matching funds must be provided
unconditionally in order to be counted for this subfactor.
HUD is concerned that applicants should be providing hard dollars
as part of their matching contributions to enhance the tangible
resources going into targeted neighborhoods. Thus, while indirect costs
can count toward meeting the required match, they will not be used in
calculating match overage. Only direct costs can count in this factor.
(2) (5 Points) will be awarded for the extent to which applicant
documents that matching funds are provided from eligible external
sources other than the institution (e.g., funds from the city,
including CDBG, other state or local government agencies, public or
private organizations, or foundations). Federal funds can be used for
the match as long as the funds are not a result of a direct Federal
grant, but are block or formula grant funds that allow states or local
governments allocation authority. Fewer points will be assigned
depending on the amount of the outside match.
For each match, cash or in-kind contribution, a letter of
commitment, memorandum of understanding, or agreement must be provided
that shows the extent and firmness of the commitment of leveraged funds
(including any commitment of resources, as well as an indirect cost
considered an internal match) in order for the resources to count in
determining points under this factor. Resources will not be counted for
which there is no commitment letter, memorandum of understanding, or
agreement, nor quantified level of commitment. Letters, memoranda of
understanding, or agreements must be submitted on the provider's
letterhead and be submitted as part of the application package.
(Applicants submitting paper copy applications must place all letters,
memoranda of understanding, or agreements in the Appendix. Applicants
submitting these items electronically must follow the submission
directions in Section IV.F of the General Section.) The date of the
letter, memorandum of understanding, or agreement from the CEO of the
provider organization must be dated no earlier than nine months prior
to the date of this published NOFA. Applications that do not include

[[Page 13752]]

evidence of matching or address all items described below will receive
zero (0) points for this Factor and will be disqualified.
a. A firm commitment letter, memorandum of understanding, or
agreement must address the following:
(1) The cash amount contributed or dollar value of the in-kind
goods and/or services committed (If a dollar amount and use is not
shown, the source will not be counted toward the match requirement);
(2) A specific description of how the match is to be used toward
one of the proposed program activities;
(3) The date the match will be made available and a statement that
describes the duration of the contribution. If any of the matching
sources are for more than one year, the commitment letter, memorandum
of understanding, or agreement must state the number of years, the per
year commitment, and the total commitment. Without this statement, HUD
will assume that the commitment is for only one year;
(4) Any terms or conditions affecting the commitment, other than
receipt of a HUD grant;
(5) The signature of the appropriate executive officer authorized
to commit the funds and/or goods and/or services. Please remember that
only items eligible for funding under this program can be considered as
a match; and
(6) Internal match provided by an applicant must be documented by a
letter, memorandum of understanding, or agreement; describes the
requirements outlined above; and be signed by the appropriate executive
officer authorized to commit funds and/or goods and/or services. See
the General Section for instructions on how to submit these documents
to HUD using the electronic submission process.
b. Institutionalization (10 Points). This subfactor looks at how
the institution plans to make the COPC function and related activities
a part of its urban mission and ensure funding in the future by sources
other than HUD.
(1) First Time Grant Applicants. In reviewing this subfactor for a
First Time Grant, HUD will consider the extent to which the First Time
Grant applicant addresses the institution's capacity and commitment to
undertake outreach activities. HUD will evaluate the following:
(a) COPC activities as they relate to the institution's urban
mission;
(b) Support and involvement of the institution's executive
leadership (e.g., department chairs, deans, etc.), faculty, staff and
students from across many disciplines in order to demonstrate the
institution's commitment to these kinds of activities;
(c) Commitment of the institution to establish a climate that
rewards faculty and staff for work in COPC neighborhoods by including
this work in decisions affecting rank, tenure, and promotion;
(d) Benefit to students through the implementation of service
learning programs or professional training at the institution that are
reflected in the curriculum (rather than just volunteer activities);
(e) Commitment to a formal organizational structure within the
university related to outreach and community partnerships as reflected
in the university's budget and planning documents of the university.
(2) New Directions Applicants. In reviewing this subfactor for a
New Directions Grant, HUD will consider the extent to which the New
Directions applicant's proposed project will sustain the institutional
capacity and commitment of the institution to undertake outreach
activities. HUD will evaluate the following:
(a) Increases in the number of faculty undertaking this kind of
work;
(b) Increases in the number of courses linked to outreach
activities and the number of students taking these courses; and
(c) Formal changes in institutional policies related to support of
outreach.
5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the program's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
logic model should be consistent with the information contained in the
narrative statements, but does not have to be as detailed.
``Outcomes'' are benefits accruing to institutions of higher
education and/or communities during or after participation in the COPC
program. Applicants must clearly identify the outcomes to be measured
and achieved. Examples of outcomes are increased business start-up in
the target community by a certain percentage, or increased family
financial stability (e.g., increased assets to families and communities
through the development of incubators).
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs''
are the direct products of the program's activities. Examples of
outputs are the number of new businesses developed, the number of
students involved in service learning activities, the number of new
courses an institution developed that focus on community outreach
activities, the number of newly formed partnerships that aid in
community capacity building. Outputs should produce outcomes for the
program. At a minimum, an applicant must address the following
activities in the evaluation plan:
a. Specific time-phased short- and long-term measurable outputs to
be accomplished.
b. Measurable outcomes the grant will have on the community in
general and the target area or population.
c. The impact the grant will have on the long-term commitment of
the university to the faculty and students to provide opportunities to
continue this type of work.
d. The impact the grant will have on assisting the university to
obtain additional resources to continue this type of work at the end of
the grant performance period.
This information must be placed under this section on a HUD-96010
Program Outcome Logic Model form. Applicants may submit as many copies
of this form as required. It will not be included in the page count
requirement. A narrative is not required. However, if a narrative is
provided, those pages will be included in the page count. Additional
information on this form and how to use it can be found in the General
Section.

B. Review and Selection Process

[[Page 13753]]

HUD. These individuals may be included to obtain certain expertise.
3. Ranking. HUD will fund applications in rank order until all
available program funds are awarded. In order to be funded, an
applicant must receive a minimum score of 75 points out of a possible
102 points, which includes up to two bonus points that may be awarded
for activities conducted in the RC/EZ/EC-II communities, as described
in the General Section. If two or more applications have the same
number of points, the application with the most points for Factor 3,
Soundness of Approach, shall be selected. If there is still a tie, the
application with the most points for Factor 1, Capacity of the
Applicant and Relevant Organizational Experience, shall be selected. If
there is still a tie, the application with the most points for Factors
2, 4 and then 5 shall be selected in that order until the tie is
broken. HUD reserves the right to make selections out of rank order to
provide for geographic distribution of grantees. In addition, HUD
intends to fund at least two eligible COPC First Time Grant
applications that serve Colonias (as defined in the General Section).
While it is not necessary for the institution to be located in a
Colonias, all program activities must be directed to the Colonias and
its residents. If less than two fundable applications are eligible for
award these funds will be made available to award additional COPC
grants.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down the award offer, HUD will make
the same determination for the next highest-ranking application. If
funds remain after all selections have been made, the remaining funds
will be carried over to the next funding cycle's competition.
4. Correction to Deficient Applications. The General Section
provides the procedures for correction to deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notice

B. Administrative and National Policy Requirements

For information regarding these requirements, please refer to
Section VI.B the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing and submitted to: Kinnard Wright; Office of University
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 8106; Washington, DC 20410-6000. Applicants may also write to
Mr. Wright via e-mail at [email protected].
2. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations), A-21 (Cost Principles for Educational Institutions) and
A-133 (Audits of States, Local Governments, and Non-Profit
Organizations). Applicants can access the OMB circulars at the White
House Web site at: http://www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to
Financial Assistance Programs. The General Section provides further
discussion.
4. Code of Conduct. See the General Section for further discussion.
5. Recovered Materials. The General Section provides further.
6. Environmental requirements. In accordance with 24 CFR 50.19(b)
of the HUD regulations, activities under the COPC program are
categorically excluded from the requirements of the National
Environment Policy Act and are not subject to environmental review
under related laws and authorities.

C. Reporting

All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two
components, a narrative that must reflect the activities undertaken
during the reporting period and a financial report that reflect costs
by budget line item, as well as a cumulative summary of costs incurred
during the reporting period.
For each reporting period, as part of the required report to HUD,
grant recipients must include a completed Logic Model (HUD-96010),
which identifies output and outcome achievements.

VII. Agency Contacts

Applicants may contact Kinnard Wright at (202) 708-3061, extension
7495 or Susan Brunson, at (202) 708-3061, extension 3852. Persons with
speech or hearing impairments may call the Federal Information Relay
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these
numbers are not toll-free. Applicants may also reach Mr. Wright via e-
mail at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0180. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 144 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data for the application, quarterly, semi-annual and
final reports. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.
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The Early Doctoral Student Research Grant Program and Doctoral
Dissertation Research Grant Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships.
B. Funding Opportunity Title: The Early Doctoral Student Research
Grant (EDSRG) Program and the Doctoral Dissertation Research Grant
(DDRG) Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register Number for this
Notice Of Funding Availability (NOFA) is FR4950-N-07. The OMB Approval
Numbers for the programs in this NOFA are as follows:
1. Early Doctoral Student Research Grant Program is 2528-0216.
2. Doctoral Dissertation Research Grant Program is 2528-0213.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The
CFDA Numbers for the programs in this NOFA are as follows:
1. Early Doctoral Student Research Grant Program is 14.517
2. Doctoral Dissertation Research Grant Program is 14.516
F. Dates: The application submission deadline shall be on or before
May 18, 2005. Please be sure to read the General Section for electronic
submission and receipt requirements.
G. Optional, Additional Overview Content Information: 1. Purpose of
the University Partnership Dissertation Programs:
a. Early Doctoral Student Research Grant (EDSRG) Program. The
purpose of the EDSRG program is to enable doctoral students enrolled at
accredited institutions of higher education recognized by the U.S.
Department of Education to cultivate their research skills through the
preparation of research manuscripts that focus on policy-relevant
housing and urban development issues.
b. Doctoral Dissertation Research Grant (DDRG) Program. The purpose
of the DDRG program is to enable Ph.D. candidates enrolled at
accredited institutions of higher education recognized by the U.S.
Department of Education to complete their research and dissertations on
policy-relevant housing and urban development issues.
2. Award Information: In Fiscal Year (FY) 2005, approximately
$550,000 has been made available for the following Office of University
Partnerships (OUP) dissertation programs.
a. Early Doctoral Student Research Grant Program--Approximately
$150,000 is available for funding under this program. The maximum grant
performance period is 12 months. The performance period will commence
on the effective date of the grant agreement. The maximum amount that
can be requested by a doctoral student for award is $15,000.
b. Doctoral Dissertation Research Grant Program--Approximately
$400,000 is available for funding under this program. The maximum grant
performance period is 24 months. The performance period will commence
on the effective date of the grant agreement. The maximum amount that
can be requested by a doctoral student for award is $25,000.
If funding remains after all eligible EDSRG doctoral students are
awarded, the remaining funds will be made available to fund eligible
DDRG doctoral students. If funding remains after all eligible DDRG
doctoral students are awarded, the remaining funds will be made
available to fund eligible EDSRG doctoral students.
3. Eligible Applicants. Eligible applicants are accredited
institutions of higher education recognized by the U.S. Department of
Education that sponsor doctoral students who meet the following program
requirements:
a. Early Doctoral Student Research Grant Program. Doctoral students
applying for funding under this program must meet the following
requirements:
(1) Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled as a full-time student in an accredited
doctoral program;
(2) Have a major or concentration within a field related to housing
and urban development;
(3) Have not taken the preliminary/comprehensive examinations;
(4) Completed at least two semesters or three terms of a doctoral
studies program (depending on the course structure of the institution);
(5) Have an assigned faculty advisor to supervise the research
manuscript;
(6) Submit a letter of support from the assigned faculty advisor in
the doctoral student's department; and
(7) Provide a support letter from the institution. This support may
not replace support or assistance the institution would otherwise
provide to the student.
b. Doctoral Dissertation Research Grant Program. Doctoral students
applying for funding under this program must meet the following
requirements:
(1) Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled an accredited doctoral program;
(2) Have an approved dissertation proposal;
(3) Provide documentation from the dissertation committee
chairperson that states the feasibility of the following:
(a) By the application due date, the student's dissertation
proposal will be accepted by the full dissertation committee;
(b) The student will have an assigned dissertation advisor;
(c) By September 1, 2005, the student will have satisfactorily
completed all other written and oral Ph.D. requirements, including all
examinations and defense of the proposal, except the dissertation; and
(d) The proposed dissertation can be prepared and delivered within
the two-year grant period.
(4) Provide a support letter from the institution. This support may
not replace support or assistance the institution would otherwise
provide to the student.

Full Text of Announcement

I. Funding Opportunity Description

A. Early Doctoral Student Research Grant (EDSRG) Program

The purpose of the EDSRG program is to enable doctoral students
enrolled at an accredited institution of higher education recognized by
the U.S. Department of Education to cultivate their research skills
through the preparation of research manuscripts that focus on policy-
relevant housing and urban development issues. The FY 2005 EDSRG
program seeks to fund research studies that may impact federal problem
solving and policymaking and that are relevant to HUD's policy
priorities and annual goals and objectives (See the General Section for
discussion of these priorities and annual goals and objectives).

B. Doctoral Dissertation Research Grant (DDRG) Program

The purpose of the DDRG program is to enable Ph.D. candidates
enrolled at accredited institutions of higher education recognized by
the U.S. Department of Education to complete their research and
dissertations on policy-relevant housing and urban development issues.
The FY 2005 DDRG program seeks to fund research studies that may impact
federal problem solving and policymaking and that are relevant to HUD's
policy priorities and annual

[[Page 13765]]

goals and objectives (See the General Section for discussion of these
priorities and annual goals and objectives).

C. Topics

Examples of topics addressing these issues (applicable to both the
EDSRG and DDRG programs) include but are not limited to:
1. Increase Homeownership Opportunities
a. Increase Minority Homeownership.
b. Simplify the Home Buying Process (RESPA reform) and Reduce
Settlement Costs.
c. Set Appropriate Housing Goals for the GSEs.
d. Counter Predatory Lending.
e. Help Low-Income Homeowners Avoid Default and Foreclosure.
f. Evaluate Housing Counseling.
2. Promote Decent Affordable Housing
a. Reduce Regulatory Barriers to the Development of Affordable
Housing, as well as All Forms of Multifamily Housing.
b. Develop Creative Strategies for Expanding the Availability of
Affordable Housing.
c. Strengthen the Delivery of HUD-Funded Rental Assistance and
Assistance Provided Through the Low-Income Housing Tax Credit.
d. Promote Self-Sufficiency Among Residents of Public and Assisted
Housing.
e. Meet the Housing-Related Needs of the Elderly.
f. Meet the Housing-Related Needs of Persons with Disabilities.
g. Improve Housing Quality and Affordability through Technology and
Design.
3. Strengthen Communities
a. End Chronic Homelessness.
b. Prevent Homelessness.
c. Strengthen Cities.
d. Meet the Housing and Community and Economic Development Needs of
Residents of High-Needs Areas, including the Colonias, Appalachia, the
Mississippi Delta, and Indian Country.
4. Ensure Equal Opportunity In Housing
a. Reduce Housing Discrimination.
b. Improve Housing Accessibility for Persons with Disabilities.
5. Embrace High Standards of Ethics, Management, and Accountability
a. Reduce Fraud, Waste, and Abuse in HUD-Funded Programs.
b. Improve the Effectiveness of HUD Programs Through Program
Evaluations and Performance Measurement.
6. Promote Participation of Faith-Based and Community Organizations
a. Strengthen the Capacity of Faith-Based and Community
Organizations.

D. Modifications

There is one major modification from the Fiscal Year (FY) 2004
program-funding announcement. In FY 2005, applicants are required to
submit their application electronically via the following Web site:
http://www.grants.gov/Apply. Read the General Section for further
information regarding submitting your application electronically.

E. Authority

HUD's authority for making funding available under this NOFA is the
Consolidated Appropriations Act, 2005 (Pub. L. 108-447, approved
December 8, 2004). These programs are undertaken under HUD's research
authority under Title V of the Housing and Urban Development Act of
1970. They are being implemented through this NOFA and the policies
governing their operation are contained herein.

II. Award Information

In Fiscal Year (FY) 2005, approximately $550,000 is made available
for the Office of University Partnerships (OUP) dissertation programs
as follows:

A. Early Doctoral Student Research Grant Program

Approximately $150,000 will be made available for funding under
this program. The maximum grant performance period is 12 months. The
performance period will commence on the effective date of the grant
agreement. The maximum amount that can be requested by a doctoral
student for award is $15,000.

B. Doctoral Dissertation Research Grant Program

Approximately $400,000 will be made available for funding under
this program. The maximum grant performance period is 24 months. The
performance period will commence on the effective date of the grant
agreement. The maximum amount that can be requested by a doctoral
student for award is $25,000.
If funding remains after all eligible EDSRG doctoral students are
awarded, the remaining funds will be made available to fund eligible
DDRG doctoral students. If funding remains after all eligible DDRG
doctoral students are awarded, the remaining funds will be made
available to fund eligible EDSRG doctoral students.

III. Eligibility Information

A. Eligible Applicants

Eligible applicants are accredited institutions of higher education
recognized by the U.S. Department of Education that sponsor doctoral
students. The institution must address the following program
requirements:
1. Early Doctoral Student Research Grant Program. Doctoral students
applying for funding under this program must meet the following
requirements:
a. Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled as a full-time student in an accredited
doctoral program;
b. Have not taken the preliminary/comprehensive examinations;
c. Have completed at least two semesters or three terms of a
doctoral studies program (depending on the course structure of the
institution);
d. Have an assigned faculty advisor to supervise the research
manuscript (provide the advisor's name, address, phone number,
facsimile number, and email address);
e. Submit a letter of support from the assigned faculty advisor of
the doctoral student that confirms that the student meets all of the
conditions above and that the proposed research manuscript can be
completed within the one-year grant period; and
f. Provide a support letter from the institution that includes in
detail the type of support the university is providing. Such support
might include tuition waivers, office space, computer time, assumption
of indirect costs, or similar items the doctoral student might need in
order to complete the required product. This support may not replace
support or assistance the institution would otherwise provide to the
student.
2. Doctoral Dissertation Research Grant Program. Doctoral students
applying for funding under this program must meet the following
requirements:
a. Be a U.S. citizen or lawful permanent resident (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) currently enrolled in an accredited doctoral program;
b. Have an approved dissertation proposal;
c. Provide letter from the dissertation committee chairperson that
confirms the following:
(1) By the application due date, the student's dissertation
proposal has been accepted by the full dissertation committee and the
student has been assigned a dissertation advisor (provide

[[Page 13766]]

the advisor's name, address, phone number, facsimile number, and email
address);
(2) By September 1, 2005, the student will have satisfactorily
completed all other written and oral Ph.D. requirements, including all
examinations and defense of the proposal, except the dissertation; and
(3) The proposed dissertation can be prepared and delivered within
the two-year grant period.
d. Provide a support letter from the institution that includes in
detail the type of support the university is providing. Such support
might include tuition waivers, office space, computer time, assumption
of indirect costs, or similar items the student might need in order to
complete the required product. This support may not replace support or
assistance the institution would otherwise provide to the student.

B. Cost Sharing or Matching

None Required.

C. Other

1. Eligible Activities
Grant funds awarded for programs under this NOFA must be used to
support direct costs incurred in the timely completion of the research
product. Eligible costs include stipends, computer software, purchase
of data, travel expenses to collect data, transcription services, and
compensation for interviews.
2. Audit Requirements
Applicants must ensure that their most current A-133 audit is on
file at the Federal Audit Clearinghouse. (Applicants are not required
to submit a copy of the audit with the application.) Grantees that
expend $500,000 or more in federal financial assistance in a single
year (this can be program year or fiscal year) must be audited in
accordance with the OMB requirements as established in 24 CFR Part 84.
Additional information regarding this requirement can be access at the
following Web site: http://harvester.census.gov/sac.
3. Threshold Requirements Applicable to All Applicants
All applicants and doctoral students must comply with the threshold
requirements as defined in the General Section and the requirements
listed below to be evaluated, rated, and ranked. Applications that do
not meet these requirements will be considered ineligible for funding
and will be disqualified.
a. The doctoral student must meet the eligibility requirement for
the program for which they are requesting funding as defined in Section
III.A, Eligible Applicants;
b. University sponsorship. The university shall enter into a Grant
Agreement with HUD that provides for payment of the grant by HUD to the
university and from the university to the approved doctoral student,
and that further provides all required certifications and assurances.
The university shall agree to provide as the Principal Investigator
under the Grant Agreement a faculty advisor or chairperson of the
doctoral student's dissertation committee who shall supervise the
student's work under the Grant Agreement;
c. The student has provided a letter from the faculty advisor or
chairperson of the doctoral student's dissertation committee confirming
the applicant is eligible as outlined in Section III A, Eligible
Applicants;
d. The student's institution has provided a letter agreeing to
provide support and outlines the specific type of support they will
provide as part of this grant as defined in Section III A, Eligible
Applicants;
e. The student has requested no more funding than the grant maximum
allocated for the program from which they are requested funding as
outlined in Section II, Award Information;
f. Only one application package can be submitted per doctoral
student. Students who have received funding in the past are not
eligible to receive funding under the same program.
g. Applications must receive a minimum score of 75 points to be
considered for funding;
h. The University (the official applicant on behalf of the student)
must have a DUNS number to receive HUD grant funds. (The General
Section provides information regarding the DUNS requirement); and
i. Electronic applications must be received by grants.gov no later
than 11:59:59 p.m. eastern time on May 18, 2005. See the General
Section for information on application submission and timely receipt
requirements.

IV. Application and Submission Information

A. Addresses To Request Application Package

Applicants may download the instructions to the application found
on the grants.gov Web site at http://www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or e-mail your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has legal authority to submit the application
on behalf of the applicant. Please see the General Section for
information regarding the registration process or ask for registration
information from the Grants.gov Support Desk. Please be aware that the
registration process is a separate process from requesting e-mail
notification of funding opportunities or downloading the application
and should be done as soon as you download the application from the
grants.gov Web site. If you are not sure if you are already registered,
the Grants.gov Support Desk can assist in verifying whether you are
registered.

B. Content and Form of Application Submission

1. Forms.
The following forms are required for submission. Copies of these
forms are included in Appendix A of the General Section. All required
forms are contained in the electronic application package.
a. Application for Federal Assistance (SF-424);
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Grant Application Detailed Budget (HUD-424-CB);
d. Disclosure of Lobbying Activities (SF-LLL);
e. America's Affordable Communities Initiative (HUD-27300), if
applicable;
f. Applicant/Recipient Disclosure/Update Report (HUD-2880);
g. Program Logic Model (HUD-96010);
h. Client Comments and Suggestions (HUD-2994). This form is
included to solicit information from the most valuable source, the
applicant. The changes that we have instituted this year are designed
to make things easier for the applicant. If applicants complete and
submit this form, it will help us to assess whether the changes have
had the intended results. It will also guide us in our continuing
efforts to improve the competitive grant process. Applicants are not
required to complete this form;
i. Acknowledgement of Applicant Receipt (HUD-2993). Only applicants

[[Page 13767]]

that do not submit an electronic application need to include this form
with their application. Please complete this form if you have received
a waiver to the electronic application submission requirement.
Applicants are not required to include this form, but it is recommended
that they do so; and
j. Facsimile Transmittal Cover Page (HUD 96011). This form must be
used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
Applicants are advised to download the application package, complete
the SF 424 first and it will pre-populate the Transmittal Cover page.
The Transmittal Cover page will contain a unique identifier embedded in
the page that will help HUD associate your faxed materials to your
application. Please download the cover page and then make multiple
copies to provide to any of the entities responsible for submitting
faxed materials to HUD on your behalf.
2. Certifications and Assurances.
Please read the General Section for detailed information on all
Certifications and Assurance. All applications submitted through
Grants.gov constitute an acknowledgement and agreement to all required
certifications and assurances. Please include in your application each
item listed below. Applicants submitting paper copy applications should
submit the applications in the following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The name of the applicant for these programs is the University.
Please make sure that the University's address is listed on this form
(not the student's information);
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact person. This is
the University contact who will receive all information pertinent to
this grant;
(3) The total grant amount requested;
(4) The University's Employer Identification/Tax ID;
(5) The DUNS Number;
(6) The Catalog of Federal Domestic Assistance Number for the
program from which you are requesting funding;
(a) Early Doctoral Student Research Grant Program is 14.517
(b) Doctoral Dissertation Research Grant Program is 14.516.
(7) The signature of the Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Table of Contents
c. Application Checklist. Doctoral students should use the
checklist to ensure that they have all the required components of the
application. Students submitting an electronic application do not have
to submit the checklist. Students who receive a waiver of the
electronic application submission requirement must include a copy of
the checklist in their application. The checklist is found in the NOFA
(See Attachment A).
c. Executive Summary (700 words or less). The Executive Summary
should, at a minimum, include a summary of the proposed research
project that addresses the following information:
(1) Specific purpose of the manuscript/dissertation;
(2) Methodology being used; and
(3) How the student meets the eligibility criteria for the program
from which she/he is requesting funding.
In addition, include the following information:
(1) Student's address, telephone number, facsimile number, and e-
mail address at the university;
(2) The faculty/chairperson advisor's name, title, department,
address, telephone number, facsimile number, and e-mail address. This
person will serve as the Principal Investigator for this grant; and
(3) The designated university contact person, including phone
number, facsimile number, and e-mail address.
d. Narrative Statement Addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Therefore, it is very important that the student becomes
fully familiar with the rating factors for the program from which he/
she is requesting funding. The narrative should be numbered in
accordance with each factor and subfactor. Please do not repeat
material in response to the four factors; instead, focus on how well
the proposal responds to each of the factors. Make sure to address each
factor and subfactor and provide sufficient information about every
element. The application narrative, bibliographies, and any supporting
references must not exceed 20 pages in length (excluding forms,
assurances, budget narrative, Table of Contents, Executive Summary,
agreements, and letters) and must be submitted on 8 \1/2\ by 11-inch
paper, double-spaced on one side of the paper, with one inch margins
(from the top, bottom, left, and right side of the document) and
printed in standard Times New Roman 12-point font. Each page must be
numbered and the name of the student and university on each page. The
double-spacing requirement applies to the narrative section of the
application (excluding references, bibliographies, agreements, and
letters). Please note that although submitting pages in excess of the
page limit will not disqualify the application, HUD will not consider
the information on any excess page. This exclusion may result in a
lower score or failure to meet a threshold requirement.
Support Letters--For doctoral students submitting electronic
applications, please refer to Section IV.F of the General Section for
further instructions on how third party documents are to be submitted
to HUD via the electronic submission process.
(1) Faculty Advisor/Dissertation Advisor Support Letter. This
letter must provide a statement from the doctoral student's faculty
advisor or chairperson of the doctoral student's dissertation committee
verifying the doctoral student has met all the eligibility criteria
described in Section III.A, Eligible Applicant.
(2) University Support Letter. This letter must provide a statement
from the appropriate official at the university that describes in
detail the type of support the University will be providing, as
described in Section III.A, Eligible Applicant. Please remember that
this support may not replace support or assistance that the institution
would otherwise provide the student.
g. Budget. The budget submission must include the following:
(1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget
form shows the total budget by year and by line item for the program
activities to be carried out with the proposed HUD grant. Each year of
the program should be presented separately.
Make sure that the amount shown on the SF-424, the HUD-424-CB and
on all other required program forms is consistent and the budget totals
are correct. Remember to check addition in totaling the categories on
the Form HUD-424-CB so that that all items are included in the total.
The budget form must be fully completed. If there is any inconsistency
between any required forms, the HUD-424-CB will be used. If this
correction puts an application over the grant maximum, the doctoral
student will not be able to correct the

[[Page 13768]]

amount requested and the application will be disqualified. If an
application is selected for award, the applicant may be required to
provide greater specificity to the budget during grant agreement
negotiations.
(2) Budget Narrative. A narrative must be submitted that explains
how the doctoral student arrived at the cost estimates. The proposed
cost estimates should be reasonable for the work to be performed and
consistent with rates established for the level of expertise required
to perform the work proposed.
h. Appendix. Doctoral students receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters and other required forms in this section. For
doctoral students submitting electronic applications, please refer to
Section IV.F of the General Section for instructions on how third party
documents are to be submitted to HUD using electronic submission
process. An applicant SHOULD NOT submit general support letters,
resumes, or other back-up materials. If this information is included,
it will not be considered during the review process. The additional
items will also slow the transmission of your application.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. eastern time on or
before May 18, 2005. Applications may be submitted in advance of the
submission date. Electronic faxes using the Facsimile Transmittal (Form
HUD 96011) cover sheet contained in the electronic application may be
submitted prior to the application submission date and must be received
no later than 11:59:59 p.m. Eastern time on the application submission
date. Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

These programs are excluded from an Intergovernmental Review.

E. Funding Restrictions

1. Funding may only be provided to doctoral students who meet the
standards for eligible applicants outlined in Section III. A.
2. Grant funds awarded for programs under this NOFA may not be used
to pay for tuition, computer hardware, or meals.
3. Early Doctoral Student Research Grant (EDSRG) Program
Three thousand dollars of the grant funds will be held until the
doctoral student's research manuscript has been completed and accepted
for presentation at a conference or publication in a refereed journal
by the end of the grant period, or a committee of three faculty members
(including the faculty sponsor, as the principal investigator of the
grant) has determined and certified to HUD that the manuscript is of
high quality and worthy of submission to conferences or journals, and
two copies of the research product are submitted to HUD in their final
version.
4. Doctoral Dissertation Research Grant (DDRG) Program
Six thousand dollars of the grant funds will be held until the
doctoral student's dissertation has been completed, approved by the
committee, and two final copies are submitted to HUD.
5. Institutions that have had previously awarded grants under these
programs terminated for non-performance and have outstanding funds owed
to HUD resulting from the termination will be excluded from competition
until the outstanding funds are repaid. (Applicants must comply with
the Delinquent Federal Debt Requirement as defined in the General
Section.)

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Please read the
General Section of the SuperNOFA carefully and completely for the
submission and receipt procedures for all applications because failure
to comply may disqualify a doctoral student's application.
2. Waiver of Electronic Submission Requirements. Please refer to
Section IV.F4 of the General Section for further discussion.

V. Application Review Information

A. Criteria

1. Rating Factor 1
Capacity to do the Research (20 Points). In reviewing this factor,
HUD will determine the extent to which:
a. The student's skills and experience are relevant to the proposed
research manuscript/dissertation (e.g., course work, teaching, research
projects, and presentations);
b. The student provides a research outline that identifies the
preliminary steps that have been undertaken (e.g., literature review,
research hypotheses, questions to be answered) to produce the proposed
manuscript/dissertation; and
c. For Early Doctoral Program Applicants only; The proposed
research will help to further the student's research skills (i.e., it
is relevant to the kind of projects the student will continue to work
on as she/he earns his/her Ph.D.).
d. For Doctoral Dissertation Research Applicants only; The doctoral
student's previous research experience (e.g., graduate-level research
projects, presentations at conferences, publications, etc.) is relevant
to and supportive of the proposed dissertation.
2. Rating Factor 2
Need for the Research (35 Points). In reviewing this factor, HUD
will determine the extent to which the proposed research manuscript/
dissertation will produce policy-relevant information that is directly
related to HUD's research priorities and/or annual goals and objectives
(i.e., the research that will be produced could have an effect on HUD's
strategic goals and programs and policies to achieve these goals). The
more direct the relationship is between the doctoral student's
manuscript/dissertation and one of these topics, the higher number of
points awarded. For example a study of minorities' housing choice
decisions would have high relevance to HUD's strategic goals; a study
of transportation inequities would have medium relevance; and a study
of the effects of global warming on urban development would have low
relevance. For a full list and explanation of the research priorities
and/or annual goals, please refer to the General Section.
3. Rating Factor 3
Soundness of Approach (35 Points). This factor addresses the
quality and effectiveness of the proposed research design and
methodology and the actions regarding HUD's policy priorities. This
factor will be evaluated based on the extent to which the proposed work
plan will demonstrate the following:
a. Quality of Research (33 Points). (1) The research design and
methodology proposed is likely to produce data and information that
will successfully answer the research hypothesis; and
(2) The methodology proposed is sound and generally accepted by the
relevant research community and is in line with research already
completed or existing publications in the field as they relate to the
scholarly standard for the research questions.
b. HUD Policy Priorities (2 Points). An important purpose of these
programs is

[[Page 13769]]

to fund research that may impact federal problem solving and
policymaking and is relevant to HUD's policy priorities and annual
goals and objectives. (See General Section for further discussion). HUD
encourages doctoral students to undertake research that will assist the
Department in implementing its policy priorities and which help the
Department achieve its goals and objectives in FY 2006. In addressing
this factor, HUD will evaluate the extent to which the research will
further and support HUD's priorities. The quality of a student's
response to one or more of HUD's priorities will determine the score a
doctoral student can receive. Students must describe how each policy
priority they selected will be addressed. Students who just list a
priority will receive no points.
Each policy priority addressed has a value of one point with the
exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to students who address policy
priorities is two. It is up to the student to determine which of the
policy priorities they elect to address to receive the available 2
points. To receive points for efforts to remove regulatory barriers to
affordable housing, a student must submit a completed questionnaire
(HUD-27300) ``HUD's Initiative on Removal of Regulatory Barriers''
found in the General Section along with required documentation. This
form is part of the electronic application and is constructed to permit
the required documentation to be attached to the electronic form. For
the full list and explanation of each policy priority, please refer to
the General Section.
4. Rating Factor 4 Issuance of the Research Product (10 Points)
In reviewing this factor, HUD will determine the following:
a. For Early Doctoral Program Applicants only. The extent to which
the proposed research manuscript will be completed within the grant
performance period and be suitable for presentation at a conference or
publication in a refereed journal.
b. For Doctoral Dissertation Program Applicants only. The extent to
which the proposed research can feasibly be prepared and delivered to
HUD by the end of the grant performance period.
c. Students must demonstrate the feasibility of completing their
research within the grant performance period by providing the following
information:
(1) Major tasks involved in completing the proposed research;
(2) Indicate the sequence in which these tasks will be performed;
and
(3) Identify any key individuals responsible for carrying out any
proposed activities. The sequence and duration of this effort should be
presented in quarterly (3 month) intervals for the entire life of the
grant (use of a milestone chart to present this information is
recommended).
(4) Efforts on the part of the doctoral student who proposes
extremely complex and time-consuming data collection efforts (e.g.,
major longitudinal studies or a very large number of site visits within
the grant period) will be determined less feasible for completion
within the allotted grant performance period. For example, if the
proposed methodology is based on information that may not be publicly
available until after the end of the grant period (e.g., Census
information), or a data collection plan that will take longer than the
allotted grant performance period is proposed, zero points will be
awarded for this factor.
(5) HUD will also evaluate the student's plan to disseminate the
research through other means (e.g., seminars, university publications,
or relevant electronic means).

B. Review and Selection Process

1. Application Selection Process
Two types of reviews will be conducted:
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review for all applications that pass the threshold
review to rate and rank the application based on the ``Rating Factors''
listed in Section V.A above.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels
To review and rate applications, HUD may establish panels which may
include experts or consultants not currently employed by HUD. These
individuals may be included to obtain certain expertise.
3. Ranking
In order to be funded, an application must receive a minimum score
of 75 points out of a possible 100 for Factors 1 through 5. The RC/EZ/
EC-II communities, two bonus points described in the General Section,
do not apply to this NOFA. HUD will fund applications under each
program in rank order, until all available program funds are awarded.
If two or more applications have the same number of points, the
application with the higher points for Factor 1, Capacity to do the
Research, shall be selected. If there is still a tie, the application
with the higher points for Factor 2, Need for the Research, shall be
selected. HUD reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funds remain after funding the highest
ranked applications, HUD may fund part of the next highest-ranking
application. If an applicant turns down the award offer, HUD will make
the same determination for the next highest-ranking application.
4. Correction to Deficient Applications
The General Section provides the procedures for correction to
deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notices

B. Administrative and National Policy Requirements

For additional information regarding these requirements, please
refer to the General Section.
1. Debriefing. The General Section provides the procedures for
requesting a debriefing. All requests for debriefings must be made in
writing and submitted to Armand Carriere; Office of University
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 8106; Washington, DC 20410. Applicants may also write to Mr.
Carriere via e-mail at [email protected].
2. Environmental Requirements. The provision of assistance under
these programs is categorically excluded from environmental review
under the National Environmental Policy Act of 1969 (42 U.S.C. 4321)
and not subject to compliance actions for related environmental
authorities under 24 CFR 50.19(b)(1) and (b)(9).
3. Administrative. Grants awarded under this NOFA will be governed
by the provisions of 24 CFR part 84 (Grants and Agreements with
Institutions of

[[Page 13770]]

Higher Education, Hospitals and Other Non-Profit Organizations), A-21
(Cost Principles for Educational Institutions) and A-133 (Audits of
States, Local Governments, and Non-Profit Organizations). Applicants
can access the OMB circulars at the White House Web site at:
www.whitehouse.gov/omb/circulars/index.html.

C. Reporting Requirements

All recipients of grant funds for programs in this NOFA are
required to submit a report, halfway through the grant period, on the
progress to date that has been made toward completion of the research
product and the likelihood that it will be completed on time.
HUD requires that funded recipients collect racial and ethnic
beneficiary data. HUD has adopted the Office of Management and Budget's
Standards for the Collection of Racial and Ethnic Date. In view of
these requirements, applicants should use form HUD-27061, Racial and
Ethnic Date Reporting Form or a comparable form, or a comparable
electronic data system for this purpose.

VII. Agency Contacts

Doctoral students may contact Armand Carriere, Office of University
Partnerships at (202) 708-3061, extension 3181 or Susan Brunson at
(202) 708-3061, extension 3852. Persons with speech or hearing
impairments may call the Federal Information Relay Service TTY at 800-
877-8339. Except for the ``800'' number, these telephone numbers are
not toll-free. Students may also reach Mr. Carriere via the Internet at
[email protected] and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0216 (for the Early Doctoral Student Research
Grant Program) and 2528-0213 (for the Doctoral Dissertation Research
Grant Program). In accordance with the Paperwork Reduction Act, HUD may
not conduct or sponsor, and a person is not required to respond to, a
collection of information unless the collection displays a currently
valid OMB control number. Public reporting burden for the collection of
information is estimated to average 44 hours per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing, and reporting the data for the application,
semi-annual reports, and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required in order to receive the
benefits to be derived.
BILLING CODE 4210-32-P

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Community Development Work Study Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Policy Development and Research, Office of
University Partnerships
B. Funding Opportunity Title: Community Development Work Study
Program (CDWSP).
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register Number for this
Notice of Funding Availability (NOFA) is FR-4950-N-08. The OMB approval
number for this program is 2528-0185.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA
Number for this program is 14.512.
F. Dates: The application submission date is May 18, 2005. Please
be sure to read the General Section for electronic application
submission and receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Program: The Community Development Work Study
Program (CDWSP) funds two-year grants to accredited institutions of
higher education, Area Planning Organizations (APOs), and states
applying on behalf of institutions to provide assistance to
economically disadvantaged and minority graduate students who
participate in a community development work study program. Students
must be U.S. citizens or lawful permanent residents (recipient of an
Alien Registration Recipient Card-Form I-551, commonly referred to as a
Green Card) and enrolled full-time in a graduate community building
academic degree program. Grants will cover the academic period August
2005 through August 2007.
2. Award Information: In Fiscal Year (FY) 2005, approximately $2.8
million has been made available for this program, plus $391,144 in
previously unobligated FY 2004 funds. The grant performance period is
two years (24 months). The performance period will commence on the
effective date of the grant agreement. Institutions may request no more
than $15,000 per year per student for a total of $30,000 for a two-year
(24 months) grant performance period. The minimum number of students
that can be assisted under this program per participating institution
is three. The maximum number of students that can be assisted under
this program per participating institution is five. The maximum amount
an institution can request for funding is $150,000.
3. Eligible Applicants: Organizations are eligible if they are:
a. An accredited institution of higher education recognized by the
U.S. Department of Education that offers a graduate degree in a
community development academic program;
b. An Area Planning Organization (APO) (Additional information and
locations of APOs can be accessed at the following Web site, http://
www.narc.org.) applying on behalf of two or more eligible accredited
institutions recognized by the U.S. Department of Education that offer
a graduate degree in a community development academic program. These
institutions must also be located in the same Standard Metropolitan
Statistical Area (SMSA) or non-SMSA as the APO (in accordance with the
regulations at 24 CFR 570.415, institutions of higher education are
permitted to choose whether to apply independently or through an APO);
or
c. A state applying on behalf of two or more eligible accredited
institutions recognized by the U.S. Department of Education that offer
a graduate degree in a community development academic program and that
are located in the state.

Full Text of Announcement

I. Funding Opportunity Description

The Community Development Work Study Program (CDWSP) funds two-year
grants to accredited institutions of higher education, Area Planning
Organizations (APOs), and states applying on behalf of institutions to
provide assistance to economically disadvantaged and minority graduate
students who participate in a community development work study program.

A. Authority

HUD's authority for making funding available under this NOFA is
Section 107(c) of the Housing and Community Development Act of 1974 (42
U.S.C. 5301 et seq.). Regulations for the program appear at 24 CFR
570.415.

B. Modifications

Listed below are major modifications to the Fiscal Year (FY) 2004
program-funding announcement:
1. Applicants are required to submit their application
electronically via the following Web site: http://www.grants.gov/Apply.
Read the General Section for further information regarding submitting
your application electronically.
2. The procedure for institutions to apply for funding under this
NOFA has changed. See Section III.A. of this NOFA for details.
3. If an applicant is an APO or State the application narrative
must not exceed 85 pages in length including any supplemental
photocopies or excerpts from official publications of the educational
institution or department (excluding forms and assurances, Executive
Summary, agreements and letters).

C. Program Definitions

1. Area Planning Organizations (APO)--An organization authorized by
law or by interlocal agreement to undertake planning and other
activities for a metropolitan or non-metropolitan area. For an
organization operating in a non-metropolitan area to be considered an
APO, its jurisdiction must cover at least one county. Additional
information and locations of APOs can be accessed at the following Web
site http://www.narc.org.
2. Economically disadvantaged and minority students--Students who
satisfy all applicable guidelines established at the participating
institution to measure financial need for academic scholarship or loan
assistance, including, but not limited to, students who are Black,
American Indian/Alaskan Native, Hispanic, or Asian/Pacific Island, and
including students with disabilities.
3. Student--An individual enrolled in an eligible full-time
academic program. He/she must be a first-year student in a two-year
graduate program. Students enrolled in Ph.D. programs are ineligible.

II. Award Information

In Fiscal Year (FY) 2005, approximately $2.8 million, plus $391,144
in previously unobligated FY 2004 funds is made available under this
NOFA. Institutions may request no more than $15,000 per year per
student for a total of $30,000 for a two-year (24 months) grant
performance period. The performance period will commence on the
effective date of the grant agreement. The minimum number of students
that can be assisted per participating institution is three. The
maximum number of students that can be assisted under this program is
five per participating institution. The maximum amount of funding an
institution can request is $150,000.

III. Eligibility Information

A. Eligible Applicants

Organizations are eligible if they are:
1. An accredited institution of higher education recognized by the
U.S.

[[Page 13775]]

Department of Education that offers a graduate degree in a community
development academic program;
2. An APO (Additional information and locations of APOs can be
accessed at the following Web site, http://www.narc.org.) applying on
behalf of two or more eligible accredited institutions recognized by
the Department of Education that offer a graduate degree in a community
development academic program. These institutions must also be located
in the same Standard Metropolitan Statistical Area (SMSA) or non-SMSA
as the APO (in accordance with the regulations at 24 CFR 570.415,
institutions are permitted to choose whether to apply independently or
through an APO); or
3. A state applying on behalf of two or more eligible accredited
institutions recognized by the Department of Education that offer a
graduate degree in a community development academic program that are
located in the state.
4. Accredited institutions located in a state may apply
independently even if the state is applying. However, if the
institution is also included in the application of the State or APO
then the separate individual application from that institution will be
disregarded. Additionally, if an institution is included in the
application of both an APO and a State, then the reference to the
institution in the application of the State will be stricken. The
State's application will then be ineligible if fewer than two
institutions remain as participants in the State's application.

B. Cost Sharing or Matching

None Required.

C. Other

Audit Requirements
Applicants must ensure that their most current A-133 audit is on
file at the Federal Audit Clearinghouse. (Applicants are not required
to submit a copy of the audit with the application.) Grantees that
expend $500,000 or more in federal financial assistance in a single
year (this can be program year or fiscal year) must be audited in
accordance with the OMB requirements as established in 24 CFR Part 84.
Additional information regarding this requirement can be accessed at
the following Web site: http://harvester.census.gov/sac.
2. Threshold Requirements Applicable to All Applicants
All applicants must comply with the threshold requirements as
defined in the General Section and the requirements listed below to be
evaluated, rated, and ranked. Applications that do not meet these
requirements will be considered ineligible for funding and will be
disqualified:
a. The applicant must meet the eligible requirement as defined in
Section III.A, Eligible Applicants.
b. Applicants must comply with all statutory and regulatory
requirements applicable to this program. CDWSP regulations can be found
at 24 CFR 570.415. Copies of the regulations are available on request
from http://www.HUDUSER.org.
c. An eligible community building academic program includes, but is
not limited to, accredited graduate degree programs in community and
economic development, community planning, community management,
community organizing, public administration, public policy, urban
economics, urban management, and urban planning.
d. The minimum number of students that may be assisted per
participating institution is three. If an APO or state receives
assistance for a program that is conducted by two or more institutions,
each participating institution must have a minimum of three students
per program. The maximum number of students that can be assisted under
this program is five per participating institution. The applicant may
request no more than $150,000 for award.
e. Only one application can be submitted per institution. If
multiple applications are submitted, all will be disqualified. If a
single institution application is also included in the application of
an APO or state, then the individual application of the institution
will be disregarded. Additionally, if an institution is included in the
application of both an APO and a state, then the reference to the
institution in the application of the state will be stricken. The
state's application will then be ineligible if fewer than two
institutions remain as participants in the state's application.
f. Applicants must receive a minimum score of 75 points to be
considered for funding.
g. An applicant must have a DUNS Number to receive HUD grant funds.
(The General Section provides information regarding the DUNS
requirement.)
h. Electronic applications must be received by Grants.gov no later
than 11:59:59 p.m. eastern time on May 18, 2005. See the General
Section for information on application submission and timely receipt
requirements.
3. Program Requirements
In addition to the standard requirements listed in Section III.C of
the General Section, applicants must meet the following program
requirements:
a. All funds awarded under this program must be spent during a two-
year (24 months) grant performance period.
b. Applicants must have on file a signed agreement with each
student that covers the purpose of the work placement, responsibilities
of both parties, including financial support and work components. This
agreement should also address the student's responsibilities as
described in the program regulations that can be found at 24 CFR
570.415.
c. Applicants must have on file a signed agreement with each work
placement agency that covers the purpose of the work placement, and the
respective roles of all parties. Among other matters determined to be
appropriate, this agreement should address the work placement agency's
responsibilities described in the program regulations that can be found
at 24 CFR 570.415.
d. Where the recipient is an APO or State, the recipient and each
participating institution must execute a written agreement
incorporating their mutual responsibilities under the CDWSP program.
Applicants must have on file a copy of all executed agreements.

(Note: HUD does not provide a model or sample format for any of
these agreements).

IV. Application and Submission Information

A. Address to Request Application Package

Applicants may download the instructions to the application found
on the grants.gov Web site at http://www.Grants.gov/Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or e-mail your questions to Grants.gov">Support@Grants.gov. The
Support Desk staff will assist you in accessing the information. Please
remember that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and enables Grants.gov to authenticate that the person
signing the application has the legal authority to submit the
application on behalf of the applicant. Please see the General Section
for information regarding the registration

[[Page 13776]]

process or ask for registration information from the Grants.gov Support
Desk. Please be aware that the registration process is a separate
process from requesting e-mail notification of funding opportunities or
downloading the application and should be done as soon as you download
the application from the grants.gov Web site. If you are not sure if
you are already registered, the Grants.gov Support Desk can assist in
verifying whether you are registered.

B. Content and Form of Application Submission

1. Forms
The following forms are required for submission. Copies of these
forms are included in Appendix A of the General Section. All required
forms are contained in the electronic application package.
a. Application for Federal Assistance (SF-424);
b. Survey of Ensuring Equal Opportunity for Applicants (SF-424
Supplement);
c. Disclosure of Lobbying Activities (SF-LLL);
d. America's Affordable Communities Initiative (HUD-27300), if
applicable;
e. Applicant/Recipient Disclosure/Update Report (HUD-2880);
f. Program Logic Model (HUD-96010);
g. Community Development Work Study Program Student Data Sheets
Budget (HUD-30007);
h. Community Development Work Study Program Student Budget Sheet
(HUD-30015);
i. Budget Cover Sheet for State/Area-Wide Planning Organizations
Budget Summary Sheet (HUD-30014) if applicable only for states and
APOs; and
j. Client Comments and Suggestions (HUD-2994). This form is
included to solicit information from the most valuable source, the
applicant. The changes that we have instituted this year are designed
to make things easier for the applicant. If applicants complete and
submit this form, it will help HUD to assess whether the changes made
to this document have had the intended results. It will also guide us
in our continuing efforts to improve the competitive grant process.
Applicants are not required to complete this form;
k. Acknowledgement of Applicant Receipt (HUD-2993). Only applicants
that do not submit electronic application need to include this form
with their application. Please complete this form if you have received
a waiver to the electronic application submission requirement.
Applicants are not required to include this form, but it is recommended
that they do so; and
l. Facsimile Transmittal Cover Page (HUD 96011). This form must be
used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
Applicants are advised to download the application package, complete
the SF-424 first and it will pre-populate the Transmittal Cover page.
The Transmittal Cover page will contain a unique identifier embedded in
the page that will help HUD associate your faxed materials to your
application. Please download the cover page and then make multiple
copies to provide to any of the entities responsible for submitting
faxed materials to HUD on your behalf.
2. Certifications and Assurances. Please read the General Section
for detailed information on all the Certifications and Assurances. All
applications submitted through Grants.gov constitute an acknowledgement
and agreement to all required certifications and assurances. Please
include in your application each item listed below. Applicants
submitting paper copy applications should submit the application in the
following order:
a. SF-424, Application for Federal Assistance. Please remember the
following:
(1) The full grant amount for the entire two years should be
entered, not the amount for just one year;
(2) Include the name, title, address, telephone number, facsimile
number, and e-mail address of the designated contact. This is the
person who will receive the reviewers' comments; therefore, please
ensure the accuracy of the information;
(3) The Employer Identification/Tax ID;
(4) The DUNS Number;
(5) The Catalog of Federal Domestic Assistance Number for this
program is 14.512;
(6) The project's proposed start date and completion date. For the
purpose of this application, the program start date should be September
1, 2005; and
(7) The signature of the Authorized Organization Representative
(AOR) who has been authenticated by the credential provider to submit
applications via Grants.gov. The AOR must be able to make a binding
legal agreement with HUD. See the General Section for instructions and
requirements for Registration with Grants.gov.
b. Application Checklist. Applicants should use the checklist to
ensure that they have all the required components of their application.
Applicants receiving a waiver of the electronic submission must include
the completed checklist in their application. Applicants submitting an
electronic application do not have to submit the checklist in their
application. The checklist can be found in the NOFA (See Attachment A).
c. Executive Summary. Applicants must include an Executive summary
that is no more than three pages in length. The Executive Summary must,
at a minimum, describe:
(1) The academic degree programs for which the students will be
selected;
(2) The type of work placement agencies (including specific
examples) that have committed to participate in the program (students
cannot be placed at a federal government agency);
(3) The plans and resources/facilities for administering the
program and assisting students to pursue post-academic or community
building opportunities; and
(4) The contact person and the address where correspondence and all
other information should be sent. If this is not included, all
information will be forwarded to the address and the official named on
the Form SF-424.
d. Designation of Applicable Graduate Degree Program(s) Form HUD-
30013 (Community Development Work Study Program Designation of
Applicable Graduate Academic Degree Program). Review carefully the
regulations that can be found at 24 CFR 570.415 dealing with eligible
types of degree programs before completing this form. If the proposed
program is other than one listed as an eligible degree program, please
contact Madlyn Wohlman-Rodriguez for additional guidance. See Section
VII below for contact information.
e. Narrative statement addressing the Rating Factors. HUD will use
the narrative response to the ``Rating Factors'' to evaluate, rate, and
rank applications. The narrative statement is the main source of
information. Applicants are advised to review each factor carefully for
program specific requirements. The response to each factor should be
concise and contain only information relevant to the factor, but
detailed enough to address each factor fully. Please do not repeat
material in response to the five factors; instead, focus on how well
the proposal responds to each of the factors. In factors where there
are subfactors, each subfactor must be presented separately, with the
short title of the subfactor presented. Make sure to address each
subfactor and provide sufficient information about every element of
each subfactor. The application narrative

[[Page 13777]]

must not exceed 50 pages in length including any supplemental
photocopies or excerpts from official publications of the educational
institution or department (excluding forms and assurances, Executive
Summary, agreements and letters) unless the applicant is an APO or
State. If an applicant is an APO or State the application narrative
must not exceed 85 pages including any supplemental photocopies or
excerpts from official publications of the educational institution or
department (excluding forms and assurances, Executive Summary,
agreements and letters). Each page of the narrative must be numbered
and include the applicant's name. Please note that although submitting
pages in excess of the page limit will not disqualify an applicant, HUD
will not consider the information on any excess pages. This exclusion
may result in a lower score or failure to meet a threshold requirement.
f. Budget. Use the budget form HUD-30015 (Community Development
Work Study Program Student Budget Sheet) for the August 2005 through
August 2007 funding period. An APO or State must also complete the HUD-
30014 (Community Development Work Study Program State/Area Planning
Organization Budget Summary). Please provide any necessary back-up
documentation (e.g., pages from course catalogues listing the fees) to
demonstrate concisely that the amounts requested are reasonable and
customary. Applicants are not required to submit documentation for the
administrative allowance amount. Any anticipated increases to these
project costs should be included and an explanation for the basis of
the increases provided. If documentation is not included, the award
amount will be based on current tuition rates, regardless of any
subsequent tuition increase. HUD will not increase the amount of the
grant once awarded to reflect any tuition or fee increases that have
not been set forth in the application. Also, HUD will not cover any
costs exceeding the per-student maximum.
g. Appendix. Applicants receiving a waiver of the electronic
submission requirements and submitting a paper copy of the application
must place all letters of support, agreements, and other required forms
in this section. For applicants submitting electronic applications,
please refer to Section IV.F of the General Section for instructions on
how third party documents are to be submitted to HUD using the
electronic submission process. An applicant should not submit general
support letters, resumes, or other back-up materials. If this
information is included, it will not be considered during the review
process. The additional items will also slow the transmission of your
application.

C. Submission Dates and Times

A complete application package must be received electronically by
the Grants.gov portal no later than 11:59:59 p.m. eastern time on or
before May 18, 2005. Applications may be submitted in advance of the
submission date. Electronic faxes using the Facsimile Transmittal (Form
HUD 96011) cover sheet contained in the electronic application may be
submitted prior to the application submission date and must be received
no later than 11:59:59 p.m. eastern time on the application submission
date. Please see Section IV.F of the General Section for electronic
application submission instructions and timely receipt requirements.

D. Intergovernmental Review

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

Funding may only be provided to applicants that meet the standards
for eligible applicants defined in Section III.

F. Other Submission Requirements

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Academic Program and Relevant Past
Experience (25 Points)
This factor addresses the extent to which an applicant's academic
program has the capacity to prepare students for careers in community
building. In evaluating this factor, HUD will consider:
a. Capacity of the Academic Program. For First Time Applicants (20
Points). For Previously Funded Applicants (15 Points). Applicants must
describe the quality of the academic program the institution offers (or
in the case of an application from an APO or state, those offered by
the institutions included in the application) including, without
limitation, the following:
(1) The course offerings in terms of their depth and emphasis on
applied coursework; and
(2) Qualifications of the faculty, such as the number of relevant
Ph.D.s, specific accomplishments and the percentage of their time
devoted to teaching and research in community building.
As a supplement to the narrative response, applicants can include
photocopies of excerpts from official publications of the educational
institution or department. Please make sure to place these documents
after the narrative and include them in the page count. For applicants
submitting electronic applications, please refer to Section IV.F of the
General Section for instructions on how third party documents are to be
submitted to HUD using the electronic submission process.
b. Rates of Graduation. For First Time Applicants (5 Points). For
Previously Funded Applicants (10 Points). HUD will evaluate the
graduation rates of students previously enrolled in a community
building academic degree program, specifically (where applicable),
graduation rates from any previously funded CDWSP academic programs or
similar programs. This factor measures the rate of graduation for all
applicable years and awards points based on the extent to which the
applicant exceeds a 50 percent graduation rate each applicable year.
Previously funded CDWSP programs should include copies of the final
Community Development Work Study Program Student Data Sheet, HUD-30007,
for each previously enrolled student who received assistance from the
program in the last six years. These documents must be submitted
electronically.
2. Rating Factor 2: Need for the Program (10 Points). This factor
addresses the extent to which there is a need for funding the proposed
program activities and an indication of the importance of meeting the
need. In responding to this factor, HUD will evaluate the applicant's
commitment to meeting the needs of economically disadvantaged and
minority students as demonstrated by the institution's policies and
plans, past efforts and successes recruiting, enrolling, and
financially assisting economically disadvantaged and minority students,
including the provision of reasonable accommodations for students with
disabilities. If the applicant is an APO or state, HUD will consider
the demonstrated commitment of each accredited institution of higher

[[Page 13778]]

education on whose behalf the APO or state is applying.
3. Rating Factor 3: Soundness of Approach (45 Points)
This factor addresses the quality and effectiveness of the proposed
student work placement assignments.
a. Quality of the Work Placement Assignments (13 Points). HUD will
evaluate the extent to which participating students will receive a
variety of work placement assignments. (Note: Students cannot be placed
with a federal government agency.) The assignments should provide
practical and useful experience to students participating in the
program and further the participating students' preparation for
professional careers in community building. In rating this subfactor,
HUD will consider the variety of work placement agencies, and the
variety of projects/experiences at each agency and overall. Applicants
must also include a description of the plan for rotating students among
work placement agencies. In addition, for each placement applicants
must outline the educational objectives of the placement, the nature of
the supervision, the standard of evaluation, and the student's
commitment under the work placement agreement.

Note: Students engaging in community building projects through
an institution of higher education (rather than being directly
supervised by local work placement sites) may do so only through a
HUD-funded Community Outreach Partnership Center (COPC), which will
be considered a work placement agency even if the community building
projects are undertaken with or through a separate organization or
entity. Accordingly, students engaging in community building through
an institution of higher education's outreach center should do so
during only part of their academic program and should rotate to
other work placement agency responsibilities as well. In order to
receive higher points on this subfactor, applicants must propose at
least three different work placement experiences for each student
(typically, one each school year and one during the summer between
the two school years) and include executed agreements with their
proposed work study sites, rather than just listing the sites.

b. Effectiveness of Program Administration (15 Points). HUD will
evaluate the degree to which the applicant will be able to effectively
coordinate and administer the program. HUD will allocate the maximum
points available under this criterion equally among the following three
considerations, except that the maximum points available under this
criterion will be allocated equally only between (1) and (2), if the
applicant has not previously administered a CDWSP-funded program. If an
applicant received a CDWSP grant in FY 2001 or before and has not
received one since, the applicant is considered a new applicant for the
purposes of this factor. Applicants must include a Management Work Plan
(it should be included under this subfactor) that addresses the
following details at a minimum:
(1) The strength and clarity of the plan for placing CDWSP students
on rotating work placement assignments and for monitoring CDWSP
students' progress both academically and in their work placement
assignments. In addition, include plans, procedures, schedules, and
preferably a milestone chart that indicates the sequence in which these
tasks will be performed, noting areas of work that will be performed
simultaneously and continually during the life of the grant, along with
the name of the responsible individual. Also, include plans for
recruiting and selecting students, monitoring and guidance of students
academic progress, coordinating and monitoring student work placement
agencies, and other matters deemed significant;
(2) The key personnel responsible for administering, managing, and
evaluating the project; the experience, responsibilities, available
time, and authority of the individual who will coordinate and
administer the program; and
(3) The effectiveness of prior coordination and administration of a
CDWSP-funded program, where applicable. In addressing this factor,
applicants should describe the timeliness of report submissions.
Applicants should review their prior CDWSP grant agreements and reports
and compare when reports were due with when the reports actually were
submitted. Applicants should also describe their timeliness in
expending grant funds. Applicants are encouraged to provide a chart
that outlines report submissions for each grant by the submission date
and the pattern of drawing down of funds. HUD will also review an
applicant's past performance in managing funds, including, but not
limited to: the ability to account for funding appropriately; timely
use of funds received from HUD; and meeting performance targets for
completion of the grant. In evaluating past performance, HUD reserves
the right to deduct up to five points from this rating score as a
result of the information obtained from HUD's records (i.e., progress
reports, including Logic Model submissions, amendments and financial
reports), including the timely submission of required progress reports.
c. Likelihood of Fostering Students' Permanent Employment in
Community Building (15 Points). HUD will evaluate the extent to which
the proposed program will lead participating students directly and
immediately to permanent employment in community building. Include a
statement that describes, at a minimum, the following:
(1) Past success (in the last four years) in placing graduates
(particularly CDWSP-funded and similar program graduates, where
applicable) in permanent employment in community building; and
(2) How the institution will assist students (particularly students
in CDWSP-funded and similar programs, where applicable) in finding
permanent employment in community building. Include the amount/type of
faculty/staff time and institutional resources that will be devoted to
assisting students.
d. HUD Policy Priorities (2 Points). HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities and which will help the Department
achieve its goals and objectives in FY 2006, when the majority of grant
recipients will be reporting programmatic results and achievements. In
addressing this subfactor, HUD will evaluate the extent to which an
applicant will provide students with work place assignments that
undertake specific activities that will further and support HUD's
priorities. The quality of the responses provided to one or more of
HUD's priorities to determine the score an applicant can receive.
Applicants must describe how each policy priority selected will be
addressed.
Applicants that just list a priority will receive no points. Each
policy priority addressed has a point value of one point with the
exception of the policy priority to remove regulatory barriers to
affordable housing, which has a point value of up to 2 points. The
total number of points available to applicants that address policy
priorities is 2. It is up to the applicant to determine which of the
policy priorities they elect to address to receive the available 2
points. To receive points for efforts to remove regulatory barriers to
affordable housing, an applicant must submit the completed
questionnaire (HUD-27300) ``HUD's Initiative on Removal of Regulatory
Barriers'' found in the General Section along with required
documentation. The form is part of the electronic application and is
constructed to permit the required documentation to be attached to the

[[Page 13779]]

electronic form. For the full list and explanation of each policy
priority, please refer to the General Section.
4. Rating Factor 4: Leveraging Resources (10 points). HUD will
evaluate the applicant's commitment and ability to assure that CDWSP
students will receive sufficient financial assistance above and beyond
the CDWSP funding to complete their academic program in a timely manner
and without working in excess of 20 hours a week during the school
year. When addressing this issue, delineate the full costs budgeted
annually per student (including living expenses, fees, etc), explain
the basis for the budget and how the financial assistance package
offered to each CDWSP student will meet that budget. Applicants must
explain how variations in the budget needs and emergency financial
needs will be addressed among students. Loans are less preferred than
grants because of the burden placed on the student to repay them.
Therefore, higher points will be given to applicants that provide
assistance in the form of grants rather than loans.
5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points). This factor reflects HUD's goal to embrace high standards of
management and accountability. It measures the applicant's commitment
to assess their performance to achieve the project's proposed
objectives and goals. Applicants are required to develop an effective,
quantifiable, outcome-oriented evaluation plan for measuring
performance and determining that objectives and goals have been
achieved. The Logic Model is a summary of the narrative statements
presented in Factors 1-4. Therefore, the information submitted on the
Logic Model form should be consistent with the information contained in
the narrative statements.
``Outcomes'' are benefits accruing to students in the program.
Applicants must clearly identify the outcomes to be measured and
achieved. Examples of outcomes include the number of students that
complete the program and/or the number of students that obtained full-
time employment.
In addition, applicants must establish interim benchmarks and
outputs that lead to the ultimate achievement of outcomes. ``Outputs``
are the direct products of the program's activities. An example of
output is the number of placements a student has during the course of
the grant. Outputs should produce outcomes for the program.
All performance indicators should be objectively quantifiable and
measure actual achievements against anticipated achievements.
Applicants must also describe the steps that will be taken to make
adjustments to the work plan if performance targets are not met within
the established time frame associated with each activity. At a minimum,
the evaluation plan should address the following activities:
a. Student recruitment;
b. Student completion of degree program; and
c. Long-term placement after graduation (1 year after graduation).
This information must be placed under this section on a HUD-96010,
Program Outcome Logic Model form. Applicants may submit as many copies
of this form as required. It will not be included in the page count
requirement. A narrative is not required for this factor. However, if a
narrative is provided, those pages will be included in the page count.
Additional information on how to use this form can be found in the
General Section.

B. Review and Selection Process

1. Application Selection Process
Two types of reviews will be conducted.
a. A threshold review to determine an applicant's basic
eligibility; and
b. A technical review based on the ``Rating Factors'' listed above.
Only those applications that pass the threshold review will receive
a technical review and be rated and ranked.
2. Rating Panels
To review and rate applications, HUD may establish panels which may
include persons not currently employed by HUD. These individuals may be
included to obtain certain expertise.
3. Ranking
HUD will fund applications in rank order, until all available
program funds are awarded. In order to be funded, an application must
receive a minimum score of 75 points. The maximum number of points
available for this program is 100. The RC/EZ/EC-II communities, two
bonus points described in the General Section, do not apply to this
program. HUD may make awards out of rank order to achieve geographic
diversity, and may provide assistance to support a number of students
that is less than the number requested under an application or a lower
funding level per student, in order to provide assistance to as many
highly ranked applications as possible. If there is a tie in the point
scores of two applications, the rank order will be determined by the
scores on Rating Factor 3 entitled ``Soundness of Approach.'' The
application with the higher points on this factor will be given the
higher rank. If there is still a tie, the rank order will be determined
by the applicant's scores on Rating Factor 1 entitled ``Capacity of the
Applicant's Academic Program and Relevant Past Experience.'' The
application with the most points for this selection factor will be
given the higher rank. If there is still a tie, the application with
the most points for Factors 2, 4, and then 5 shall be selected in that
order until the tie is broken. HUD reserves the right to make
selections out of rank order to provide for geographic distribution of
grantees.
HUD also reserves the right to reduce the amount of funding
requested in order to fund as many highly ranked applications as
possible. Additionally, if funding remains after all selections have
been made, the remaining funds will be carried over to the next funding
cycle.
4. Correction to Deficient Applications
The General Section provides the procedures for correction to
deficient applications.

C. Anticipated Announcement and Award Dates

Announcements of awards are anticipated on or before September 30,
2005.

VI. Award Administration Information

A. Award Notice

B. Administrative and National Policy Requirements

For information regarding these requirements, please refer to
Section VI.B in the General Section.
1. Debriefing
The General Section provides the procedures for requesting a
debriefing. All requests for a debriefing must be made in writing and
submitted to Madlyn Wohlman-Rodriguez, Office of University
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 8106; Washington, DC 20410-6000. Applicants may also write to
Ms. Wohlman-Rodriguez at [email protected].
2. Administrative
Grants awarded under this NOFA will be governed by the provisions
of 24 CFR

[[Page 13780]]

part 84 (Grants and Agreements with Institutions of Higher Education,
Hospitals and Other Non-Profit Organizations), A-21 (Cost Principles
for Educational Institutions) and A-133 (Audits of States, Local
Governments, and Non-Profit Organizations). Applicants can access the
OMB circulars at the White House Web site at http://www.whitehouse.gov/
omb/circulars/index.html.
3. OMB Circulars and Government-Wide Regulations Applicable to
Financial Assistance Programs
The General Section provides further discussion on this matter.
4. Environmental Requirements
In accordance with 24 CFR 50.19 (b)(3) and (b)(9) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 (42 U.S.C. 4321) and are not subject to environmental review
under the related laws and authorities.
5. Code of Conduct
See the General Section for further discussion.

C. Reporting

All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two
components, a narrative (including forms) that must reflect the
activities undertaken during the reporting period and a financial
report that reflects costs incurred during the reporting period, as
well as a cumulative summary.
For each reporting period, as part of the required report to HUD, a
grant recipient must include a completed Logic Model (HUD-96010), which
identifies output and outcome achievements.
HUD requires that funded recipients collect racial and ethnic
beneficiary data. HUD has adopted the Office of Management and Budget's
Standards for the Collection of Racial and Ethnic Data. In view of
these requirements, applicants should use form HUD-27061, Racial and
Ethnic Data Reporting Form or a comparable form, or a comparable
electronic data system for this purpose.

VII. Agency Contacts

Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061,
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852.
Person with speech or hearing impairments may call the Federal
Information Relay Service TTY at (800) 877-8339. Except for the ``800''
number, these numbers are not toll-free. Applicants may also reach Ms.
Rodriguez via e-mail at [email protected], and/or
Ms. Brunson at [email protected].

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2528-0185. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 60 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, semi-annual reports, and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.
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[[Page 13788]]

Fair Housing Initiatives Program

Overview Information:
A. Federal Agency Name: U.S. Department of Housing and Urban
Development, Office of Fair Housing and Equal Opportunity
B. Funding Opportunity Title: Fair Housing Initiatives Program
(FHIP)
C. Announcement Type: Initial Announcement
D. Funding Opportunity Number: The OMB Approval Number is: 2539-
0033. The Federal Register number for this NOFA is: FR-4950-N-18.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private
Enforcement Initiative (PEI) 14.408; Fair Housing Organizations
Initiative (FHOI) 14.408; Education and Outreach Initiative (EOI)
14.408.
F. Dates: The application submission date shall be on or before May
23, 2005. Please see the General Section for information on electronic
submission and timeliness requirements.
G. Optional, Additional Overview Content Information
1. For FY2005, FHIP electronic applications will be available on
www.Grants.gov/Find and Apply. For further instructions on electronic
application submission requirements using Grants.gov, please read the
General Section of the SuperNOFA.
2. FHIP funds are used to increase compliance with the Fair Housing
Act (the Act) and with substantially equivalent state and local fair
housing laws. Approximately $18,040,000 in FY 2005 funds and any
potential recapture is allocated to three (3) initiatives as follows:
a. Private Enforcement Initiative (PEI) $13,000,000
b. Education and Outreach Initiative (EOI) $3,940,000
c. Fair Housing Organizations Initiative (FHOI) $1,100,000
3. HUD expects to award a cost reimbursable cooperative agreement
or grant agreement to each applicant selected for award. Upon
completion of negotiations, HUD reserves the right to use the funding
instrument it determines is most appropriate.
4. Eligible applicants are Qualified Fair Housing Enforcement
Organizations (QFHOs) and Fair Housing Enforcement Organizations
(FHOs); see 24 CFR 125.103; public or private, for-profit or not-for-
profit organizations or institutions and other public or private
entities that are formulating or carrying out programs to prevent or
eliminate discriminatory housing practices (including entities that
will be established as a result of receiving an award under this FHIP
NOFA); agencies of state or local governments; and agencies that
participate in the Fair Housing Assistance Program (FHAP).
5. Except for applicants under FHOI and the PEI-Performance Based
Funding Component (PBFC), applicants may not submit multiple
applications under this NOFA.
6. Applicants awarded funding under the PEI--(PFBC) will not be
eligible to submit applications for additional FHIP funding for FY 2006
and FY 2007. Applicants awarded funding under this component will be
eligible to apply for funding in FY 2008.
7. If you are interested in applying for funding under the Fair
Housing Initiatives Program (FHIP), please review carefully the General
Section of the SuperNOFA (hereafter, the General Section), the FHIP
Authorizing Statute (Sec. 561 of the Housing and Community Development
Act of 1987, as amended), the FHIP Regulations (24 CFR 125.103-501).
8. For planning purposes, assume a start date no later than
September 19, 2005.

Full Text of Announcement

I. Funding Opportunity Description

Authority. Section 561 of the Housing and Community Development
Act of 1987, as amended, (42 U.S.C. 3616) established the FHIP and
the implementing regulations are found at 24 CFR part 125.

A. FHIP Initiatives and Components

The FHIP assists fair housing activities that increase compliance
with the Act and with substantially equivalent fair housing laws
administered by State and local government agencies under the Fair
Housing Assistance Program (FHAP).
1. Private Enforcement Initiative (PEI).
This Initiative assists private, tax-exempt fair housing
enforcement organizations in the investigation and enforcement of
alleged violations of the Act and substantially equivalent State and
local fair housing laws. Under this Initiative, there are two
Components, the General Component and the Performance Based Funding
Component (PBFC). The PBFC is being established to award high
performing enforcement organizations with continuous funding for a
three-year period that will assist agencies in implementing strategic
plans and developing long-term systemic investigations.
2. Education and Outreach Initiative (EOI).
This Initiative assists projects that inform the public about their
rights and obligations under the Act and substantially equivalent State
and local fair housing laws. Applications are solicited for this
Initiative under the EOI-Regional/Local/Community-Based Program (R/L/C-
B)--in which activities are conducted on a regional/local/community-
based level.
Applicants who apply under EOI R/L/C-B may apply under one of four
(4) Components, as follows: EOI-General Component; EOI Disability
Component; EOI Asian/Pacific Islander Fair Housing Awareness Component;
or the Minority Serving Institutions Component.
All applications submitted under EOI are required to describe a
complaint referral process that should result in referrals to HUD of
fair housing complaints and other information regarding discriminatory
housing practices.
3. Fair Housing Organizations Initiative (FHOI).
This Initiative provides assistance to a project (sponsoring
organization) that will establish or build the capacity of a start up
fair housing organization to become a viable fair housing enforcement
organization that will conduct fair housing activities in underserved
areas (as defined in Section I. B.1. ``Program Definitions'' below)
rural areas and/or areas with new immigrants (especially racial and
ethnic minorities who are not English-speaking or have limited English
proficiency.) This is accomplished with the assistance of a sponsoring
organization. The sponsoring organization must submit the application
and must certify that the sponsored organization has the ability to
become a QFHO or FHO. The period of performance for the award of funds
to assist in capacity building activities is renewable for a period of
up to three years, based upon successful performance of the sponsored
organization. Funds are distributed to the sponsored organization by
the sponsoring organization. All fund distributions are based on the
performance of both the sponsoring and the sponsored organization.

B. Other

1. Program Definitions. The definitions that apply to this FHIP
section of the NOFA are as follows:
a. Broad-based proposals are those that include activities that are
not limited to a single fair housing issue but instead, cover multiple
issues related to housing discrimination covered under the Act, such
as: rental, sales and financing of housing. (See also Full Service
Projects below).
b. Complaint means the person, including the Assistant Secretary
for

[[Page 13789]]

Fair Housing and Equal Opportunity at HUD, who files a complaint under
Section 810 of the Fair Housing Act.
c. Disability Advocacy Groups means organizations that
traditionally have provided for the civil rights of persons with
disabilities. This would include organizations such as Independent
Living Centers and cross-disability legal services groups. Such
organizations must be experienced in providing services to persons with
a broad range of disabilities, including physical, cognitive, and
psychiatric/mental disabilities. Such organizations must demonstrate
actual involvement of persons with disabilities throughout their
activities, including on staff and board levels.
d. Enforcement proposals are potential complaints under the Act
that are timely, jurisdictional, and well-developed, that could
reasonably be expected to become enforcement actions if an impartial
investigation found evidence supporting the allegations and the case
proceeded to a resolution with HUD or FHAP Agency involvement.
e. Fair Housing Act means Title VIII of the Civil Rights Act of
1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C.
3600-3620).
f. Fair Housing Assistance Program (FHAP) Agencies mean State and
local fair housing enforcement government agencies that receive FHAP
funds because they administer laws deemed substantially equivalent to
the Act, as described in 24 CFR part 115.
g. Fair Housing Enforcement Organization (FHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
h. Full-service projects must include the following enforcement-
related activities in your project application: interviewing potential
victims of discrimination; analyzing housing-related issues; taking
complaints; testing; evaluating testing results; conducting preliminary
investigations; conducting mediation; enforcing meritorious claims
through litigation or referral to administrative enforcement agencies;
and disseminating information about fair housing laws.
i. Grassroots organizations (See General Section).
j. Jurisdiction means that the complaint must be timely filed; the
complainant must have standing; the respondent and the dwelling
involved (where the complaint involves a provision or denial of a
dwelling) must be covered by the Act; and the subject matter or issue,
and the basis of the alleged discrimination, must constitute illegal
practices as defined by the Act.
k. Meritorious claims means enforcement activities by an
organization that resulted in lawsuits, consent decrees, legal
settlements, HUD and/or substantial equivalent agency (under 25 CFR
115.6) conciliations and organization initiated settlements with the
outcome of monetary awards for compensatory and/or punitive damages to
plaintiffs or complaining parties, or other affirmative relief,
including the provision of housing (24 CFR 125.103).
l. Minority Serving Institutions (See General Section).
m. Operating budget means your organization's total planned budget
expenditures from all sources, including the value of in-kind and
monetary contributions, in the period for which funding is requested.
n. Qualified Fair Housing Enforcement Organization (QFHO) means an
organization engaged in fair housing activities as defined in 24 CFR
125.103.
o. Regional/Local/Community-Based Activities are defined at 24 CFR
125.301(a) & (d).
p. Rural Areas, eligible Rural Area means the following:
(1) A non-urban place having fewer than 2,500 inhabitants (within
or outside of the metropolitan areas).
(2) A county or parish with an urban population of 20,000
inhabitants or less
(3) Territory, including its persons and housing units, in rural
portions of ``extended cities''. The Census Bureau identifies the rural
portions of extended cities.
(4) Open Country that is not part of or associated with an urban
area. The USDA describes ``open country'' as a site separated by open
space from any adjacent densely populated urban area. Open space
includes undeveloped land, agricultural land, or sparsely settled
areas, but does not include physical barriers (such as rivers and
canals), public parks, commercial and industrial developments, small
areas reserved for recreational purposes, or open space set aside for
future development.
(5) Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
q. Traditional Civil Rights Organizations mean non-profit
organizations or institutions and/or private entities with a history
and primary mission of securing Federal civil rights protection for
groups and individuals protected under the Act or substantially
equivalent State or local laws and that are engaged in programs to
reduce discriminatory housing practices.
r. Underserved Areas mean jurisdictions where there are no Fair
Housing Initiatives Program or Fair Housing Assistance Program agencies
and where either no public or private fair housing enforcement
organizations exist or the jurisdiction is not sufficiently served by
one or more public or private enforcement fair housing organizations
and there is a need for service.
s. Underserved Populations mean groups of individuals who fall
within one or more of the categories protected under the Act or who are
also:
(1) of an immigrant population (especially racial and ethnic
minorities who are not English-speaking or limited English
proficiency);
(2) in rural populations,
(3) the homeless,
(4) persons with disabilities who can be historically documented to
have been subject to discriminatory practices not having been the focus
of Federal, State or local fair housing enforcement efforts, and
(5) areas that are heavily impacted with minorities and there is
inadequate protection and ability to provide service from the state or
local government or private fair housing organizations.

II. Award Information

For Fiscal Year 2005, $20,000,000 is appropriated for the Fair
Housing Initiatives Program (FHIP). Of this amount, approximately
$18,040,000 is being made available on a competitive basis to eligible
organizations responding to this FHIP program section of the SuperNOFA.
The amount available for each initiative or component and the maximum
amount of funds that can be awarded for each award are specified as
follows:

A. Private Enforcement Initiative (PEI)

Approximately $13,000,000 is allocated under two Components: (1)
Approximately $8,100,000 under the General Component; maximum award is
$275,000 per grant, project duration is 12-18 months and (2)
Approximately $4,900,000 under the Performance Based Funding Component
(PBFC); the maximum award is $275,000 per year for a three-year
duration (a total of $825,000), based upon appropriations.

B. Education and Outreach Initiative (EOI)

Approximately $3,940,000 is allocated to 4 components under this
initiative for EOI, the estimated number of awards is: The maximum
award is $100,000 for the R/L/CB Program and the project duration is
12-18 months. The components are as follows:

[[Page 13790]]

1. EOI-General Component.
Approximately $2,340,000 is allocated.
2. EOI-Disability Component. Approximately $800,000 is allocated.
3. Asian and Pacific Islander Fair Housing Awareness Component.
Approximately $400,000 is allocated, and
4. Fair Housing and Minority Serving Institutions Component.
Approximately $400,000 is allocated.

C. Fair Housing Organizations Initiative (FHOI)

Approximately $1,100,000 is allocated; project duration is three
years. The maximum award is $1,100,000 allocated over a three-year
period at up to $366,666 per year. For FHOI the estimated number of
awards is one (1).

D. Award Instrument

The type of funding instrument HUD may offer a successful applicant
which sets forth the relationship between HUD and the grantee will be a
grant or cooperative agreement, where the principal purpose is the
transfer of funds, property, services, or anything of value to the
applicant to accomplish a public purpose. Upon completion of
negotiations, HUD reserves the right to use the funding instrument it
determines is most appropriate. The agreement will identify the
eligible activities to be undertaken, financial controls, and special
conditions, including sanctions for violations of the agreement. HUD
will determine the type of instrument under which the award will be
made and monitor progress to ensure that the grantee has achieved the
objectives set out in the agreement. Failure to meet such objectives
may be the basis for HUD determining the agreement to be in default and
exercising available sanctions, including suspension, termination, and/
or the recapture of funds. Also HUD may refer violations or suspected
violations to enforcement offices within HUD, the Department of
Justice, or other enforcement authorities.
If awarded as a Cooperative Agreement, HUD will also exercise the
right to have substantial involvement by: conducting quarterly reviews
and approval of all proposed deliverables documented in the applicant's
Work Plan or Statement of Work (SOW), and determining whether the
agency meets all certification and assurance requirements under the
grant, cooperative agreement, etc. HUD will conduct this performance
assessment, in part, by using the Logic Model submitted by the
applicant and approved by HUD in the award agreement (rating Factor 5).
If upon completion of this assessment by the Government Technical
Representative (GTR) a determination is made that the quarterly
requirements have not been met, the grantee will be obligated to
provide additional information or make modifications to its work plan
and activities, as necessary, in a timeframe to be established by the
GTR.

E. Project Starting Period

For planning purposes, assume a start date no later than September
19, 2005.

III. Eligibility Information

A. Eligible Applicants

1. Private Enforcement Initiative (PEI)
a. Eligible Applicants. Eligible applicants are fair housing
enforcement organizations (FHOs) with at least one year of experience
in complaint intake, complaint investigation, testing for fair housing
violations, and meritorious claims in the two years prior to the filing
of this application (24 CFR 125.401(b)(2)) and Qualified Fair Housing
Enforcement Organizations (QFHOs) with at least two years of
enforcement-related experience, as noted above, and meritorious claims
in the three years prior to filing this application, (24 CFR 125.103).
All applicants claiming QFHO and FHO status are required to be a
501(c)(3) tax-exempt organization and also to submit with their
application a copy of its Letter of Determination from the Internal
Revenue Service (IRS) in support of its 501(c)(3) tax-exempt status.
Additional Requirements--PEI Performance Based Funding Component.
In addition to the above, applicants to the PBFC must have
received: (1) two years of excellent performance reviews for FHIP
awards made in FY's 2002 and 2003; and (2) a minimum score of 95 for
their most recent (FY '02 or FY '03) performance assessment received
from your Government Technical Representative.
b. Eligible Activities include:
(1) Complaint intake of allegations of housing discrimination,
testing, evaluating testing results, or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws.
(2) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(3) Mediation or other voluntary resolution of allegations of fair
housing discrimination after a complaint has been filed; and
(4) Litigating fair housing cases including procuring expert
witnesses.
c. Eligibility of Successor Organization. HUD recognizes that QFHOs
and FHOs may merge with each other or other organizations. The merger
of a QFHO or an FHO with a new organization, that has a separate
Employer Identification Number (EIN), does not confer QFHO or FHO
status upon the successor. To determine whether the successor
organization meets the eligibility requirements for this Initiative,
HUD will look at the enforcement-related experience of the successor
organization (based upon the successor organization's EIN). The
successor organization is not eligible to apply under this Initiative
unless it establishes in its application that it is a private, tax-
exempt organization with the requisite two years of enforcement related
experience for a QFHO or one year experience for an FHO.
2. Education and Outreach Initiative
a. Eligible Applicants. Eligible applicants are QFHOs; FHOs; public
or private, for-profit or not-for-profit organizations or institutions
or other public or private entities that are formulating or carrying
out programs to reduce discriminatory housing practices; agencies of
State or local governments; and agencies that participate in the FHAP.
If you are a disability advocacy group, or an organization that
partners with or substantially provides activities for grassroots,
faith-based or other community-based organizations, minority
universities or institutions, or traditional civil rights
organizations, you are encouraged to apply under this Initiative.
b. Eligible Activities: The following are eligible activities for
the components under EOI: conducting educational symposia or other
training; developing innovative fair housing activities or materials
into languages applicable to your community throughout your project
area; providing outreach and information on fair housing through
printed and electronic media; developing fair housing curricula;
providing outreach to persons with disabilities and their support
organizations and service housing providers; and working with homeless
activists or persons to determine if fair housing plays a part in their
homeless condition, and the general public regarding the rights of
persons with disabilities under the Act. When

[[Page 13791]]

conducting outreach activities, you are encouraged to use existing fair
housing materials; except that you are required to translate these
existing materials in languages applicable to your community using the
four factor Limited English Proficient (LEP) Guidance as referenced in
the General Section of the SuperNOFA.
(1) Disability Component. Applicants that emphasize the fair
housing needs of person with disabilities, so that persons with
disabilities, housing providers and the general public better
understand the rights and obligations under the Act and fully
appreciate the forms of housing discrimination that persons with
disabilities may encounter, should submit their applications under the
EOI-Disability Component. Although the component has a disability
focus, the funded education and outreach activities must be provided to
all persons protected under the Act.
(2) Asian and Pacific Islander Fair Housing Awareness Component.
Applicants must be able to provide bilingual materials and oral
interpretation services to Asians and Pacific Islanders (APIs) so that
they are aware of and educated about their fair housing rights and
responsibilities under the Act. HUD's ``Discrimination in Metropolitan
Housing Markets, Phase 2--Asians and Pacific Islanders'' report showed
that API prospective renters and homebuyers experienced consistent
adverse treatment. Fair Housing education and outreach activities
should be designed to address the areas where APIs received adverse
treatment as addressed in the Report. These activities should include,
but not limited to:
(a) Using HUD fair housing translated materials or other translated
material available through fair housing organizations, the applicant
will sponsor fair housing classes, seminars, and fairs to educate the
API communities on their rights.
(b) The applicant should also design a fair housing course of study
(lesson plans, fair housing material to be used, performance tests to
measure students knowledge) that may be duplicated by other fair
housing groups to be used with the API communities.
(c) The applicant shall develop an advertising mechanism to assist
in the distribution of education and outreach material through
community and faith-based organizations, immigrant advocacy groups,
schools and universities, and workplace.
In addition, an applicant and its staff must have demonstrated
bilingual experience, which is defined as three (3) years of proven
experience in providing social services to persons of Asian and Pacific
Islanders or must have established a partnership with an established
grass-roots, faith-based or other community-based organization to carry
out the objectives of this component. Although the component's focus is
providing education and outreach to these communities, the funded
education and outreach activities must be provided in a non-
discriminatory manner. Grantees may not deny services and activities to
any class protected by the Fair Housing Act.
(3) Minority Serving Institutions (MSI) Component. This Component
will focus on furthering HUD's goal of establishing partnerships with
Tribal Colleges and Universities, historically Black Colleges and
Universities, Hispanic serving institutions and Asians and Pacific
Islanders serving institutions. Working with local fair housing
organizations, and other federal government agencies, the recipient
will develop curricula for students to pursue careers in fair housing
law and investigations. Applicants under this component must have the
ability to design and support the development of quality fair housing
education at MSIs.
(4) General Component. Applications for all other fair housing
education and outreach activities should be submitted to the EOI-
General Component.
3. Fair Housing Organization Initiative.
This Initiative will provide assistance to a project (sponsoring
organizations) that will establish or build the capacity of an
organization to become a viable fair housing enforcement organization,
as referenced in 24 CFR Part 125.103, that conducts fair housing
enforcement activities in underserved areas (as defined in Section
I.B.), in rural areas and areas with new immigrants (especially racial
and ethnic minorities who are not English-speaking or limited English
proficiency). It is the sponsoring organization that submits the
application under this Initiative and certifies the sponsored
organization's ability to become a QFHO or FHO (Note: The sponsoring
organization is ineligible if they received a grant under this
Initiative in FY 2003 or FY 2004.) The sponsored organization, whose
enforcement capacity is established or enhanced by funding under this
Initiative, will be allowed to participate in this Initiative for three
years contingent upon acceptable annual performance reviews. Funds are
awarded under this Initiative for a three (3) year period of
performance and are distributed to the sponsored organization by the
HUD awardee.
a. Eligible Applicants. Only the sponsoring organization is
eligible to apply under this Initiative. The sponsoring organization
must be a qualified fair housing enforcement organization (QFHO). You
must certify in this application that your organization is a QFHO.
Sponsored agencies that cannot establish themselves as private, tax
exempt non-profit charitable organizations cannot qualify as a QFHO or
an FHO.
b. Eligible Activities. The proposed activities must build the
enforcement capacity of the sponsored organization so that it can
undertake all of the following activities by the conclusion of year
three (3) of the grant cycle:
(1) Complaint intake of allegations of housing discrimination,
testing, evaluating testing results or providing other investigative
and complaint support for administrative and judicial enforcement of
fair housing laws;
(2) Investigations of individual complaints and systemic housing
discrimination for further enforcement processing by HUD, through
testing and other investigative methods;
(3) Mediation or other voluntary resolution of allegations of fair
housing discrimination after a complaint has been filed; and
(4) Litigating fair housing cases including procuring expert
witnesses.
The following chart summarizes each FHIP Initiative/Component and
the approximate Funding Available along with Eligible Applicants:

[[Page 13792]]

----------------------------------------------------------------------------------------------------------------
Allocation Project
Initiative/Component amount Applicant eligibility period Award caps
available (months)
----------------------------------------------------------------------------------------------------------------
Private Enforcement Initiative $8,100,000 QFHOs and FHO (with at 12-18 $275,000
(PEI) General Component: Assists least one year of
private, tax-exempt fair housing enforcement related
enforcement organizations in the experience). See
investigation and enforcement of Section III of the FHIP
alleged violations of the Fair NOFA-Eligibility
Housing Act and substantially Information.
equivalent state and local fair
housing laws See Section I of
the FHIP NOFA-Funding
Opportunity Description.
Private Enforcement Initiative $4,900,000 QFHOs and FHOs (with at 36 $275,000 per year for a
(PEI) Performance Based Funding least one year of three-year duration,
Component Assists private, tax- enforcement related based upon
exempt fair housing enforcement experience) who have appropriations.
organizations in the received an Excellent Eligible PBFC applicants
investigation and enforcement of Performance Rating on must receive a minimum
alleged violations of the Fair their FY 2002 and 2003 score of 95 from the FY
Housing Act and substantially FHIP award activities; '05 Technical
equivalent state and local fair and have received a Evaluation Panel (TEP)
housing laws. minimum score of 95 on to be considered for
their most recent ('02 funding.
or '03) performance
assessment from their
Government Technical
Representative.
Fair Housing Organization 1,100,000 Only QFHOs are eligible 36 months 1,100,000
Initiative Assistance to to apply under this
projects (sponsoring Initiative to serve as
organizations) that establish or a sponsoring
build the capacity of organization. See
organizations to become viable Section III of the FHIP
fair housing enforcement NOFA-Eligibility
organizations that conduct fair Information.
housing activities in
underserved areas (as defined in
Section I.B. ``Program
Definitions'') or in rural areas
with new immigrants especially
immigrants with limited English
proficiency. The sponsoring
organization must submit the
application and must certify
that the sponsored organization
has the ability to become a QFHO
or FHO. See Section I of the
FHIP NOFA-Funding Opportunity
Description.
Education and Outreach Initiative 3,940,000 QFHOs FHOs, public or 12-18 100,000
(EOI)-. EOI Regional, Local and private for profit or months
Community Based Program: Assists not for profit
projects that inform the public organizations or
about rights and obligations institutions, or other
under the Fair Housing Act and public or private
substantially equivalent State entities that carry out
and local fair housing laws. programs to prevent or
Applicants must develop a eliminate
complaint referral process so discriminatory housing
that funded activities will practices. This
result in referrals to HUD of includes agencies of
fair housing complaints and State or local
other possible discriminatory governments and
housing practices. See Section I agencies that
of the FHIP NOFA-Funding participate in the Fair
Opportunity Description. Housing assistance
Program (FHAP). See
Section III of the FHIP
NOFA-Eligibility
Information.
EOI-General Component Open to 2,340,000 Same as EOI above. See 12-18 100,000
applicants for all other fair Section III of the FHIP months
housing education and outreach NOFA-Eligibility
activities. See Section I of the Information.
FHIP NOFA-Funding Opportunity
Description.

[[Page 13793]]

EOI-Disability Component 800,000 Same as EOI above. See 12-18 100,000
Applicants must emphasize the Section III of the FHIP months
fair housing needs of persons NOFA-Eligibility
with disabilities, so that Information.
persons with disabilities,
housing providers and the
general public better understand
the rights and obligations under
the Fair Housing Act and fully
appreciate housing
discrimination that persons with
disabilities may encounter. The
funded education and outreach
activities must be provided to
all persons protected under the
Fair Housing Act.
EOI-Asians and Pacific Islanders 400,000 Same as EOI above. See 12-18 100,000
Fair Housing Awareness Section III of the FHIP months
Component--Applicants must be NOFA-Eligibility
able to provide bilingual Information.
materials and services to Asian
Pacific Islanders so that they
and others are educated about
their fair housing rights and
responsibilities under the Fair
Housing Act. Funded education
and outreach activities must be
provided in a non-discriminatory
manner. Recipients may not deny
services to a client who is not
Asian-Pacific Islander See
Section I of the FHIP NOFA-
Funding Opportunity Description.
EOI-Minority Serving Institution 400,000 Same as EOI above. See 12-18 100,000
Component- Under the Fair Section III of the FHIP months
Housing and Minority Serving NOFA-Eligibility
Institution Component, Information.
applicants must demonstrate the
ability to establish
partnerships with Tribal
Colleges and Universities,
historically Black Colleges and
Universities, Hispanic serving
institutions, and Asian Pacific
Islanders serving institutions
to broaden support for
development of quality fair
housing education in MSIs See
Section I of the FHIP NOFA-
Funding Opportunity Description.
----------------------------------------------------------------------------------------------------------------

B. Cost Sharing or Matching

No matching funds are required for the Education and Outreach or
Private Enforcement Initiatives. For the Fair Housing Organizations
Initiatives, Federal funds can be used as matching funds if the
statutes governing the Federal funds consider the funds to be local
resources i.e., Community Development Block Grants. See Rating Factor 4
for additional information.

C. Other

1. Threshold Requirements
Program Requirements for All Initiatives. In addition to the Civil
Rights and other Threshold Requirements found in the General Section of
the SuperNOFA, your FHIP-funded program application must also meet the
following requirements:
a. Protected Classes. All FHIP-funded projects must address housing
discrimination based upon race, color, religion, sex, disability,
familial status, or national origin. All services and activities must
be available to the protected class members.
b. Tax Exempt Status. Applicants for the PEI and FHOI Initiatives
are ineligible for funding if they are not a 501(c)(3) tax-exempt
organization as determined by the Internal Revenue Service (IRS) prior
to the application submission date.
c. Name Check Review. See the General Section.
d. Poor Performance. All applicants are ineligible for funding if
they are a previous FHIP grantee that has received a ``Poor''
performance rating for its most recent performance rating from its
Government Technical Representative (GTR) except for those applicants
submitting applications under the PBFC. Applicants submitting
applications under the PBFC must receive an excellent performance
rating on their FY2002 and FY2003 and receive a minimum score of 95 on
their most recent performance assessment. HUD will assess performance
ratings for applicants who have received FHIP funding in FY 2002 or
2003. If the applicant has received a ``poor'' performance rating for
its most recent performance rating from its GTR, its application is
ineligible for FY 2005 competition. An applicant that does not agree
with its determination of ineligibility for the FY 2005 competition
because of ``poor'' performance must address to HUD's satisfaction the
factors resulting in the ``poor'' performance

[[Page 13794]]

rating before the FHIP application deadline. If the ``poor''
performance rating is not resolved to the Department's satisfaction
before the application deadline, the application is ineligible for
funding. HUD is interested in improving the performance level of all
grantees; therefore, applicants who are deemed ineligible because of a
``poor'' performance rating have the right and are encouraged to seek
technical assistance from HUD to correct their performance in order to
be eligible for future NOFA competition. Applicants who have received a
``poor'' performance prior to FY 2002 must provide written
documentation that they have implemented remedies to address those
issues and concerns that contributed to a ``poor'' performance rating.
This written documentation should be an addendum to your abstract.
e. Suits Against the United States. Your application is ineligible
for funding if, as a current or past recipient of FHIP funds, your
organization used any funds provided by HUD for the payment of expenses
in connection with litigation against the United States (24 CFR
125.104(f)).
f. Other Litigation. Your application is ineligible for funding if
you used funds provided by HUD under this Program to settle a claim,
satisfy a judgment, or fulfill a court order in any defensive
litigation (24 CFR 125.104).
g. Maximum award. Applicants are ineligible for funding if they
request funding in excess of the maximum allowed under the Initiative
or Component for which they are applying. Any amount over the maximum
award, even if less than one dollar, will be considered a request in
excess of the maximum award. In addition, inconsistencies in the amount
requested and/or miscalculations that result in amounts over the
maximum award will be considered excessive; therefore the application
will be considered ineligible.
h. DUN and Bradstreet Numbering System (DUNS) Numbering
Requirement. Refer to General Section of SuperNOFA for information
regarding the DUNS requirement. You must have a DUNS number to receive
an award from HUD. You must have a DUNS number to register with
Grants.gov . Registration with Grants.gov is required to submit your
application electronically.
i. Majority of Eligible Activities. If a majority (greater than
50%) of the activities and costs within your Statement of Work (SOW)
and budget are not fair housing related activities, your application
will be deemed ineligible.
Fair Housing Assistance Program agencies who are under a Suspension
based on agency performance, as designated under 24 CFR Part 115.211(b)
at time of application are ineligible for funding under this FHIP NOFA.
j. Minimum TEP Score. Except for the PBFC, applicants must receive
a minimum TEP score of 75 to be considered for funding.
k. Single Applications. Except for applicants under FHOI and PEI-
PBFC, all other applicants must submit only one application under the
FHIP. Applicants must determine under which Initiative/Component to
which they want to apply and submit a completed application to only
that Initiative/Component. FHOI and PEI-PBFC applicants may apply under
one other Initiative/Component. However, applicants to the PBFC can
only be considered for one award. Multiple applications submitted to
more than one Initiative/Component, except for applicants to the FHOI
and PEI-PBFC, will be treated as a technical deficiency and the
applicant will be asked to identify the application they want reviewed,
if qualified. Applicants applying under PEI-PBFC and any other
Initiative/Component must state their preference in the Abstract.
l. Independence of Awards. HUD will review each eligible
application separately and without reference to other applications
submitted by you or others. However, the application you submit must be
independent and capable of being implemented without reliance on the
selection of other applications submitted by you or other applicants.
m. Training funds. Your proposed budget must set aside funds to
participate in the National Fair Housing Training Academy (NFHTA) or
other HUD mandatory sponsored or approved training-$5,000 for 12-18
month projects (EOI and PEI); $6,000 annually for 36 month projects
(FHOI); and for PEI-PBFC, $5000 annually for a 36 month duration. For
FHOI, there must be attendance from the sponsoring and sponsored
organization. Requests to attend the NFHTA must be submitted to the GTR
for approval in advance of the requested training. Staff performance
assessments must be submitted to the NFHTA prior to attendance. Do not
include amounts over the $5,000 or $6,000 (as appropriate) for the
training set-aside in this category. If applicants do not include these
funds in the budget and you are selected for an award, HUD will modify
your budget, reallocating the appropriate amount for training. If
grantees key personnel do not attend mandatory HUD-approved or HUD
sponsored training, training funds must be returned to HUD and it will
be reflected on your performance assessment.
n. Accessibility Requirements. All activities, facilities, and
materials funded by this Program must be accessible and visitable to
persons with disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
o. Fair Housing Act. HUD expects applicants to address housing
discrimination covered under the Act. HUD has determined there is a
need to ensure equal opportunity and access to housing in communities
across the nation.
p. Research Activities. Applicants are ineligible for funding if
between 90-100% of their project is aimed at research.
q. Tax Exempt Status. Your application must include a copy of your
Letter of Determination from the Internal Revenue Service, dated prior
to the application submission date of this FHIP Program Section of the
SuperNOFA, establishing your 501(c)(3) tax-exempt status. Failure to
submit this with your application is a technical deficiency.
r. Limited English Proficient (LEP). Applicants obtaining an award
from HUD must provide access to program benefits and information to LEP
individuals through translation and interpretive services in accordance
with HUD's published LEP Guidance.
s. OMB Circular. For-profit awardees are not allowed to earn a
profit and must adhere to OMB Circular A-133.
t. Single Audit Requirement. All applicants who have expended
$500,000 or more in Federal financial assistance in a single year (this
can be a program or fiscal year) must be audited in accordance with the
OMB-A133 requirements as established in 24 CFR part 84 and 85.
2. Other Program Requirements by Initiative
a. Asians and Pacific Islander Fair Housing Awareness Component.
Applicants are ineligible for funding if the current bilingual or
bicultural Project Director does not have at least three years of
proven experience providing bilingual or bicultural services; and if
the organization does not have three years of proven experience
providing bilingual or bicultural services. You must list all bilingual
or bicultural employees and provide proof of employment. Grantees may
not deny services and activities to

[[Page 13795]]

any protected classes under the Fair Housing Act.
b. FHOI. Applicants for FHOI are ineligible if their organization
received previous FHOI awards in FY 2003 or FY 2004.
c. Under the PBFC, applicants must receive a minimum FY '05 TEP
score of 95 to be considered for funding.
3. Performance Measures and Products
For all Initiatives. Applicants must submit a Logic Model (Form HUD
96010) in their application and report against planned actions on a
quarterly basis as specified in the award agreement. Refer to the Logic
Model Form HUD 96010. In addition:
(1) Your application must demonstrate how your project activities
will support HUD goals;
(2) Identify performance measures/outcomes in support of those
goals, describe your proposed record-keeping and evaluation systems;
and
(3) Identify current (baseline) conditions and target levels of the
performance measures that you plan to achieve.
(a) For PEI, your application also must contain a strategy for
generating enforcement related project products (e.g., testing audits,
complaint based testing, or systemic investigations) with related
timelines and milestones.
(b) PEI--Performance Based Funding Component applicants must show
how this three years of funding will be used and the outcomes to be
achieved by the end of each year.
(c) For FHOI, if the sponsoring organization is enhancing an
existing organization, then the sponsoring organization must submit a
statement outlining:
(i) what is expected of the sponsored organization, and
(ii) that the sponsored organization will be part of the program.
If the sponsoring organization is being created, then the sponsored
organization must submit a mission statement for the sponsoring
organization and a timeline for creation and independence. If selected
for funding, your final performance measures will be negotiated with
HUD as part of the executed grant agreement.
4. Tester Requirements for PEI and FHOI applicants. If you propose
a testing program, you must explain how you plan to structure the
tests, train testers, and conduct investigations, etc. Testers in your
FHIP-funded testing activities must not have prior felony convictions
or convictions of crimes involving fraud or perjury. All testers must
receive training acceptable to HUD or be experienced in testing
procedures and techniques. Testers and the organizations conducting
tests, and the employees and agents of these organizations may not:
(1) Have an economic interest in the outcome of the test; except to
the extent that they could recover damages as provided by law;
(2) Be a relative related by adoption, blood, or marriage to any
party in a case;
(3) Have had any employment or other affiliation, within the past
year, with the person or organization to be tested; or
(4) Be a competitor of the person or organization to be tested in
the listing, rental, sale, or financing of real estate.
a. Review and Approval of Testing Methodology. If your SOW proposes
testing, other than rental housing testing, HUD may require copies of
the following documents to be reviewed and approved by HUD prior to
your carrying out the testing activities.
(1) The testing methodology to be used;
(2) The training materials to be provided for testing; and
(3) Other forms, protocols, cover letters, etc., used in the
conduct of testing and reporting of results.
If HUD has approved your testing methodology for FY 2003 and FY
2004, then there is no need to submit your testing methodology, unless
you are revising the methodology that was approved by HUD. If changes
are being made, you must submit information on the methodology to be
used, highlighting the changes from the methodology previously approved
by HUD. Please tell us within your application. Also tell us whether
you have made any changes to that approved methodology and what those
changes are. For all other applicants, the testing methodology and
training materials that you submit to HUD for review and approval will
remain confidential.
b. Retainer Fees. If you are a recipient of FHIP funds, you cannot
require any complainant to whom you are providing assistance to sign a
retainer agreement or other contract for legal fees as part of the
filing, commencement, or maintenance of a Fair Housing Act complaint.
If the FHIP recipient has a successful settlement or a verdict, then
the FHIP is able to include its reasonable fees as a part of the
settlement, though the complainant shall be under no obligation to
accept such an agreement. If reasonable legal fees are recovered, the
FHIP agency must return to HUD a percentage of the legal fees that is
equal to the percentage of FHIP funds spent on the prosecution of the
case. For example, if 5% of FHIP funding were spent on prosecution of
the case, HUD would recover 5% of any legal fees. However, the amount
of funds recovered will never exceed the actual amount of the FHIP
grant.
(1) Agencies that are the recipients of FHIP funds agree to provide
HUD with information regarding the recovery of fees and applicable
reimbursement of FHIP funds on a yearly basis;
(2) All settlements and verdicts involving cases processed using
FHIP funds are a matter of public record. The grantee cannot claim
attorney-client or other privilege against the release of data
concerning a case.
(3) This restriction on withholding of information must be
communicated to the complainant.
(4) The complainant must agree to such a restriction before a case
can be processed using FHIP funds.

IV. Application and Submission Information

A. Address To Request Application Package

This section describes how you may obtain application forms and
additional information about the FHIP program. Copies of the published
SuperNOFA, FHIP NOFA and application forms may be downloaded from the
grants.gov Web site at http://www.grants.gov/FIND or if you have
difficulty accessing the information you may receive customer support
from Grants.gov by calling their help line at (800) 518-GRANTS or
sending an email to [email protected]. The operators will assist you
in accessing the information. If you do not have internet access and
you need to obtain a copy of the NOFA you can contact HUD's NOFA
Information Center toll-free at (800) HUD-8929. Persons with hearing or
speech impairments may also call toll-free at (800) HUD-2209.

B. Content and Form of Application Submission

1. Please ensure that your application contains all of the
following items in the exact order as described below:

a. SF-424*
b. SF 424 Supplement*-Survey on Ensuring Equal Opportunity for
Applicants.
c. Project Abstract Outlining Project Activities
d. Factor No. 1 Narrative
e. Factor No. 1 Attachments: Tester Experience, Letter of Determination
from IRS on 501(c)(3), if applicable.
f. Factor No. 2 Narrative
g. Factor No. 2 Attachments
h. Factor No. 3 Narrative
i. Factor No. 3 Attachments: Statement of Work (SOW) with activities
listed

[[Page 13796]]

in priority order, Budget Forms HUD 424 CB* and HUD 424 CBW reflecting
the order of the statement of work and prioritized activities,* Budget
Narrative.
j. Factor No. 4 Narrative
k. Factor No. 4 Attachments: Letter(s) of Firm Commitment
l. Factor No. 5 Narrative
m. Responses to Additional Requirements for Specific Initiative/Project
n. HUD-2880 (Applicant Recipient Disclosure Update Report (General
Section)*
o. OMB SF-LLL Disclosure of Lobbying Activities (General Section)*
p. HUD 2990 Certification of Consistency with the RC/EZ/EC-IIs. (See
HUD's Web page at www.hud.gov/cr. for listing and www.hud.gov/crlocator
for project eligibility.
q. HUD-2994 Client Comments and Suggestions

This Checklist reflects all forms that must be included in your
electronic application submission.
In addition to the above, all applicants must read and adhere to
Initiative specific information. Applicants are encouraged to review
the chart entitled ``Summary of Initiatives/Components'' to assist in
identifying the Initiative and component to which you wish to apply.
Also, to submit documents using the facsimile method, applicants must
use form HUD-96011, Facsimile Transmittal, which is a cover page for
the faxed materials. The form HUD-96011 is an electronic form and is
part of the downloaded application. See the General Section of the
SuperNOFA for specific procedures governing facsimile submission.
2. For All Applicants. The maximum narrative page requirement is
ten (10) pages per factor. The narrative pages must be double-spaced.
This includes all narrative text, titles and headings. (However, you
may single space footnotes, quotations, references, captions, charts,
forms, tables, figures and graphs). You are required to use 12-point
type size. You must respond fully to each factor to obtain maximum
points. Failure to provide narrative responses to all factors or
omitting requested information will result in less than the maximum
points available for the given rating factor or sub-factors. Failure to
provide double-spaced, 12-point type size narrative responses will
result in five points being deducted from your overall score (one point
per factor).
3. EOI and PEI-General Component. Organizations applying under the
EOI and PEI General Component must submit a budget at 100% of proposed
costs and activities. Additionally, applicants must identify costs and
activities in priority order so if HUD funds at an 80% level, approved
awards will reflect the priorities of the applicant. The activities and
line item costs above the 80% should be reflected as optional
activities in the applicant's SOW, Logic Model and Budget.
For example, if an applicant proposes 10 workshops, the applicant
can designate 2 workshops as optional to reduce their funding by 20%.
By providing the information in this manner if there are no further
changes during negotiations, the applicant does not have to submit
another budget.
4. Application Submission and Timeliness Procedures. See the
General Section of the SuperNOFA for specific procedures governing the
submission and receipt of applications.

C. Submission Dates and Times

You must submit a completed electronic application for the specific
initiative and component for which you are applying to HUD on or before
May 23, 2005. Grants.gov will reject applications that do not meet the
deadline requirements.

----------------------------------------------------------------------------------------------------------------
Complete application package
contains Required content Required form or format When to submit it
----------------------------------------------------------------------------------------------------------------
Application:
Cover sheet...................... (per required form)...... Form SF-424, available On or before 11:59:59
from (General Section). p.m. on the application
submission date using
Grants.gov/Apply.
Survey for Ensuring Equal ......................... SF-424 Supplement.......
Opportunity for Applicants.
Budget information............... (per required form)...... Form SF-424CB and SF-
424CBW, ).
Disclosure of Lobbying Activities (per required form)...... SF-LLL, if applicable...
Applicant-Recipient Disclosure (per required form)...... HUD-2880................
Update Report.
Certification of Consistency with (per required form)...... HUD-2990................
RC/EZ/EC-II Strategic Plan.
Program Outcome Logic Model...... (per required form)...... HUD-96010 or equivalent.
Race and Ethnic Date Reporting (per required form)...... HUD-27061...............
Form.
America's Affordable Communities (per required form)...... HUD-27300...............
Initiative.
Narrative........................ Described in Section Format described in
IV.B. of this Section IV.B of this
announcement. announcement.
Letters from third parties Third parties' No specific form or
contributing to cost sharing. affirmations of amounts format.
of their commitments.
Addendum to Abstract--Correction Written documentation No specific form or
of Poor Performance (as that performance issues format.
appropriate). and concerns have been
cured.
Project Abstract................. Short summary of project No specific form or
activities, areas of format.
concentration and
persons to be served.
----------------------------------------------------------------------------------------------------------------

D. Intergovernmental Review

Intergovernmental Review is not applicable to this program.

E. Funding Restrictions

1. Administrative Costs for the Sponsoring Organization (FHOI). The
sponsoring organization may use no more than 15 percent of the annually

[[Page 13797]]

awarded funds to cover its costs to administer the grant.
2. PEI and FHOI Limitations for Education & Outreach--There is a 5%
limit on the amount of education- and outreach related activities that
can be funded in an enforcement award. If you exceed the limit, points
will be deducted in the rating process and funds will be adjusted to
maintain the required limitation.

F. Other Submission Requirements

Electronic delivery via http://www.grants.gov/Apply is HUD's
required method for application delivery beginning in FY 2005.
Applicants interested in applying for FHIP funding must submit their
applications electronically or request a waiver from the Assistant
Secretary responsible for the program area. Waiver requests must be
submitted at least thirty days prior to the application submission
date. See the General Section for detailed instructions on how to
submit applications using Grants.gov. The General Section also provides
requirements and instructions for submitting a waiver request.

V. Application Review Information

A. Criteria for Regional/Community-Based Applications

1. Rating Factor 1: Capacity of Applicant and Relevant Organizational
Experience (25 Points).
You must describe staff expertise and your organization's ability
to complete the proposed activities within the grant period.
In General. HUD recognizes that, in carrying out the proposed
activities, you may have persons already on staff, plan to hire
additional staff, or rely on subcontractors or consultants to perform
specific tasks. You must describe your staffing plan and the extent to
which you plan to add staff (employees) or contractors. If your
application proposes using subcontractors and these subcontractor
activities amount to more than 10 percent of your total activities, you
must submit a separate budget for each subcontractor. Failure to
include a separate budget will result in lower points being assessed to
your application.
a. Number and expertise of staff (this includes subcontractors and
consultants). (5) Points for current FHIP grantees (10) Points for New
Applicants. You must show that you will have sufficient, qualified
staff that will be available to complete the proposed activities.
Provide the following information for all staff assigned to or hired
for this project, not just key personnel (those persons identified in
attachments to Rating Factor 3: Soundness of Approach). Applicants
applying to the Asians, Pacific Islanders Fair Housing Awareness
Component must list all bilingual employees, identify the languages
they are fluent in, and provide proof of their employment.
(1) Identify, by name and/or title and hours, all persons that will
be assigned to the project. You must describe the knowledge and
experience of the proposed overall project director or day-to-day
program manager (whose duties and responsibilities include managing all
program and administrative activities as outlined in the SOW and
ensuring that all timelines are met), in planning and managing projects
similar in scope and complex interdisciplinary programs. To receive
maximum points, your day-to-day program manager must devote a minimum
of 75% of his/her time to the project, and this individual must be
stationed in the metropolitan area where the project will be carried
out. For day-to-day managers who do not have at least 75% of their time
devoted to the project, no points will be awarded under this sub-
factor. For example, if the Executive Director is responsible for
managing the overall program administrative activities, the application
should reflect the Executive Director's time as 75%. However, if a
staff person will be assigned this responsibility, the 75% time should
be reflected as such. You may not designate more than one person to fit
this 75% criterion. You may demonstrate capacity by thoroughly
describing your staff's prior experience in fair housing. You should
indicate how this prior experience would be used in carrying out your
proposed activities. Your application must also clearly identify those
persons that are on staff at the time this application is submitted and
those persons who will be assigned at a later date; describe each
person's duties and responsibilities and their expertise (including
years of experience and bilingual languages as noted above) to perform
project tasks; and indicate whether the staff person is assigned to
work full-time or part-time (if part-time, indicate the percentage of
time each person is assigned to the project).
(2) Attach resumes for all key personnel or position descriptions
for newly created positions. (Resumes or position descriptions do not
count against the ten-page limit.)
b. Organizational experience. (10) Points for current FHIP
grantees;(15) Points for new applicants. In responding to this sub-
factor, you must show that your organization has:
(1) conducted a past project or projects similar in scope and
complexity to the project proposed in this application (whether FHIP-
funded or not), or
(2) engaged in activities that, although not similar, are readily
transferable to the proposed project.
EOI applicants must show that they have engaged in projects that
are Regional/Local/Community based. Experience will be judged in terms
of recent, relevant and successful experience of your staff to
undertake eligible activities. In rating this factor, HUD will consider
experience within the last three years to be recent, experience
pertaining to the specific activities to be relevant, and experience
producing measurable accomplishments to be successful. The more recent
the experience and the more experience your own staff members who work
on the project have in successfully conducting and completing similar
activities, the greater the number of points you will receive for this
rating factor.
(a) If you are applying for funding under the EOI-Asians and
Pacific Islanders Fair Housing Awareness Component, in addition to the
items described under items (1) and (2) above, you must provide the
following information when responding to this sub-factor.
(i). A list of all bilingual or bicultural materials developed and
distributed.
(ii). A description of specific instances where projects similar to
the scope and activities proposed in this application had an impact in
various communities.
(iii). A description of recent relevant experience. Recent
experience is experience within the past three years.
(b) If you are applying for funding under the EOI-Fair Housing and
Minority Serving Institutions Component, in addition to the items
described under item (1) and (2) above, you must provide the following
information when responding to this sub-factor:
(i) A description of staff's experience in providing fair housing
and educational curricular development with the objective of increasing
awareness of fair housing and
(ii) A designation from the Department of Education specifying the
organization as a Tribal College and University, historically Black
College or University, Hispanic serving institutions, or Asian, Pacific
Islander serving institution.
(c) If you are applying for funding under PEI or FHOI, you must
provide

[[Page 13798]]

the following information when responding to this sub-factor:
(i) If you propose to conduct testing (other than rental or
accessibility testing), projects proposing testing in specific areas
should document that, at a minimum, you have conducted successful
testing in those areas. Provide a general description of when and where
the tests occurred, the entities tested, and the overall results of the
tests, including complaints filed and the settlements or remedies
secured (for example, if testing is for sales of housing, your
application should outline your sales testing experience).
(ii) Discuss your compliance with the requirement to reimburse the
Federal government for compensation received from FHIP-funded
enforcement activities. If you have not reimbursed the Federal
government for such compensation, explain why you have not. Also, state
whether you reported to HUD any likely compensation that may result in
such reimbursement. Two (2) points will be deducted for this sub-factor
if you have not complied with the requirement.
(d) FHOI. Provide a statement of organizational capacity and
experience of the sponsored organization and a list of persons who will
work on the project along with their experience.
c. Performance on past project(s). (10) Points for current FHIP
grantees; (0) Points for new applicants. HUD will assess your
organization's past performance in conducting activities relevant to
your application. For current FHIPs, past performance will be assessed
based on your most recent performance assessment received from your HUD
Government Technical Representative (GTR) over the past two (2) years
(FY 2002-FY 2003).
This information will be provided to the Technical Evaluation Panel
(TEP) by HUD staff; however, you may also include a copy in your
application. Based on past performance, the following points will be
deducted from your score under this rating sub-factor:
(1) 10 points out of 10 possible points will be deducted if you
received a ``fair performance'' assessment;
(2) 5 points out of 10 possible points will be deducted if you
received a ``good performance'' assessment; and
(3) 0 points will be deducted if you received an ``excellent
performance'' assessment.
2. Rating Factor 2: Need/Distress/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented fair housing
problem(s) in the target area(s). You will be evaluated on the
information that you submit that describes the fair housing need in the
geographic area you propose to serve, its urgency and how your project
is responsive to that need.
a. Documentation of Need. To justify the need for your project, PEI
and EOI applicants must describe the following:
(1) The fair housing need, including:
(a) Geographic area to be served and your proximity to the area;
(b) Populations that will be served--your project must serve all
persons protected by the Act; and
(c) The presence of housing discrimination, high segregation
indices or other evidence of discrimination prohibited by the Act
within the project area.
(2) The urgency of the identified need. For example:
(a) The potential consequences to persons if your application is
not selected for funding;
(b) The extent to which the organizations provides the services
identified in your application;
(c) Other sources that support the need and urgency for this
project. For example, make reference to reports, statistics, or other
data sources that you used that are sound and reliable, including but
not limited to, HUD or other Federal, State or local government reports
analyses, relevant economic and/or demographic data--including those
that show segregation--foundation reports and studies, news articles,
and other information that relate to the identified need. Chapter V of
the Fair Housing Planning Guide, Vol. 1 has other suggestions for
supporting documentation. You may access the Guide from the HUD web at
``www.hud.gov.''
To receive maximum points under this sub-factor, applicants must
submit data and studies that support (a), (b), and (c) above. Those
that address each category and submit supporting data will receive
higher points than those that do not.
b. For FHOI: to justify the need for a sponsored organization under
FHOI, the sponsoring organization must describe the following:
(1) Populations that will be served--HUD has targeted for funding
under this Initiative, projects that will provide fair housing
enforcement services to underserved areas, rural areas and areas
serving individuals who are immigrants (especially racial and ethnic
minorities who are not English-speaking or limited English proficient).
(2) The presence of housing discrimination, segregation and/or
other indices of discrimination that are in the project area prohibited
by the Act. Submit data and studies that support your claim; and
(3) Why the project area is underserved and why the proposed
sponsored organization is needed. Your proposed activities must serve
all persons protected by the Act.
For example, make reference to reports, statistics, or other data
sources that you used that are sound and reliable, including but not
limited to, HUD or other Federal, state or local government reports
analyses, relevant economic and/or demographic data, including those
that show segregation, foundation reports and studies, news articles,
and other information that relate to the identified need.
For all applicants: You must use sound data sources to identify the
level of need and the urgency in meeting the need (ex. Consolidated
Plan (CP), Analysis of Impediments to Fair Housing Choice (AI), fair
housing studies, etc.) For you to receive maximum points for this
factor, there must be a direct relationship between your proposed
activities and the community(ies) fair housing needs, including your
knowledge of and your proximity to the targeted area, and the purpose
of the program funding.
To the extent possible, the data you use should be specific to the
area where the proposed activity will be carried out. You should
document needs as they apply to the specific area(s) where activities
will be targeted and your proximity to the target area, rather than the
entire locality or state. If the data presented does not specifically
represent your target area, you should discuss why the target areas
were proposed.
(4) The link between the need and your proposed activities:
(a) How the proposed activities augment or improve upon on-going
efforts by public and private agencies, organizations and institutions
in the target area, and/or
(b) Why, in light of other on-going efforts, the additional funding
you are requesting is necessary.
c. In addition, with respect to Documentation of Need, the
following apply to specific FHIP initiatives or components:
(1) EOI-Disability Component. Your project must focus on persons
with disabilities, however you must serve all persons protected by the
Act.
(2) EOI-Asians and Pacific Islanders Fair Housing Awareness
Component. Your project must focus on serving Asians, Pacific
Islanders; however, you must serve all persons protected by the Act.
Therefore, provide specific

[[Page 13799]]

demographics on areas to be served and the relationship of the area
served to the objectives of the project. The need in these
neighborhoods must be clearly stated and supported with documentation
such as beneficiary information.
(3) EOI-Fair Housing and Minority Serving Institutions Component.
Your project must document curricular development and a critical level
of need for fair housing activities in the area where activities will
be carried out.
3. Rating Factor 3: Soundness of Approach (35 Points)
You must describe your project in detail, demonstrate how your
project activities will support HUD's policy priorities that support
HUD's goals, propose suggested performance measures/outcomes in support
of these goals, and identify current baseline conditions and target
levels of the performance measures that you plan to achieve. Attach a
Statement of Work (SOW) and budget. Your proposed activities must
support HUD's policy priorities as referenced in the General Section.
a. Support of Policy Priorities (8 Points). Describe how your
proposed project will further and support HUD's policy priorities for
FY 2005. HUD encourages applicants to undertake specific activities
that will assist the Department in implementing its policy priorities
and which will help the Department achieve its goals and objectives in
FY 2005. HUD will evaluate the extent to which a program will further
and support HUD's priorities. The quality of the responses provided to
one or more of HUD's priorities will determine the score an applicant
can receive. Applicants must describe how each policy priority selected
will be addressed.
Applicants that just list a priority will receive no points. Each
policy priority addressed must discuss the geographic area to be served
in relation to the project's purpose, the persons to be served and the
methodology for carrying out these activities. Each policy priority has
a point value of one point, with the exception of the policy priority
to remove regulatory barriers to affordable housing which has a point
value of up to 2 points; and, for EOI applicants only, promoting
participation of grassroots faith-based and other community-based
organization or partnering with an organization promoting participation
in grassroots faith-based and other community-based organizations,
which has a point value of up to 4 points The total number of points
that can be received for this sub-factor is 8. It is up to the
applicant to determine which of the policy priorities they elect to
address to receive the available 8 points. Applicants are eligible to
receive up to 2 points for efforts to remove regulatory barriers to
affordable housing. To secure points an applicant must submit the
completed questionnaire (HUD 27300), and provide the required
documentation. Please see the General Section for further information
on Removal of Regulatory Barriers to Affordable Housing. The
questionnaire is part of the electronic application package and is also
found in the Appendix to the General Section. For the full list of each
policy priority, please refer to the General Section of this SuperNOFA.
b. Proposed Statement of Work (SOW) and Information Requirements
(17 Points). The SOW and budget are attachments that will not count
toward the 10-page limit on the narrative response to this factor.
However, points will be assigned based on the relevance of proposed
activities to stated needs, attention to implementation steps, proposed
activities consistent with organizational expertise and capacity and
accuracy of the SOW and budget.
(1) Statement of Work--Submit a proposed SOW that comprehensively
outlines in chronological order the administrative and program
activities and tasks to be performed during the grant period. Your
outline should identify all activities and tasks to be performed and by
whom (e.g., you, a subcontractor, or partner), and the products that
will be provided to HUD and when. You should also include a schedule of
your activities and products (with interim implementation steps), staff
allocation over the term of the project; staff acquisition and
training; and activities of partners and/or subcontractors. Applicants
should provide figures on the projected clients to be served. Do not
provide ranges or percentages, but a specific number of clients. These
figures should represent individuals to be served entirely with HUD
FHIP funding.
(2) EOI-General and PEI-General Applicants Only-You must identify
optional activities (to achieve an 80% budget) in order to receive full
points under this sub-factor.
(3) For the Asians and Pacific Islanders Fair Housing Awareness
Component include:
(a) All bilingual or bicultural key personnel and their capacity to
communicate and disseminate information in projected neighborhoods.
(b) A plan that reflects an understanding of the characteristics
and needs of the neighborhoods selected and outlines a plan of action
pertaining to the scope and detail of how the work outlined will be
accomplished.
c. The Budget Form and the Budget Information (10 Points). HUD will
also assess the soundness of your approach by evaluating the quality,
thoroughness, and reasonableness of the budget and financial controls
of your organization, including information on your proposed program
cost categories. As part of your response you must prepare a budget
that is:
(1) Reasonable in achieving the goals identified in your proposed
SOW;
(2) relate tasks in the SOW to the proposed budget costs;
(3) cost-effective, e.g. in terms of staff used to perform the
activities, results to be achieved for the dollar costs of the program,
location of the organization in relation to targeted area(s), etc.
(4) quantifiable based on the need identified in Factor 2, and
(5) justifiable for all cost categories in accordance with the cost
categories indicated in the HUD-424 CB (see General Section Grant
Application Detailed Budget). Include your approved Indirect Cost rate
in your budget submission, as well as the agency contact name and
telephone number. If you do not have a Federally approved indirect cost
rate, please provide your proposed rate and submit an indirect cost
rate proposal with your application. If HUD is the cognizant agency, it
will establish a rate or contact the appropriate Federal agency to
establish a rate. For information on Indirect Cost rates, you can
review HUD's training on www.hud./gov.
(6) Cost Effectiveness of Program. Discuss and provide supportive
facts concerning the extent to which your proposed program is cost
effective in achieving the anticipated results of the proposed
activities in the targeted area. Applicants seeking funding to conduct
activities in an area other than the applicant's State or locality must
discuss the cost effectiveness of where the activities will be
conducted in relation to the location of the organization. HUD will
look at the cost effectiveness of your travel to and from your location
to the targeted area(s), personnel expenses for outstationed personnel,
contracts and subgrantees, and other direct costs, which may include
relocation expenses, and telecommunications expenses. Also, indicate
how the proposed project is quantifiable based on the needs identified
in Rating Factor 2.
(7) Financial Management Capacity. Describe and provide
documentation to support your organization's financial management
system and your Board's

[[Page 13800]]

contribution to the organization. In addition, provide documentation
about your capabilities in handling financial resources, dissemination
to subcontracting affiliates, and maintenance of an adequate accounting
and internal control procedures.
(8) For FHOI provide a statement of transfer of programmatic and
management responsibilities from the sponsoring to sponsored
organization by the end of grant year three. Also provide budgetary
information on the viability of the sponsoring organization to maintain
the sponsored organization for the duration of the grant.
(9) Your Grant Application Detailed Budget Worksheet (HUD-424-CBW)
and Grant Application Detailed Budget (HUD-424-CB) must show the total
cost of the project and indicate other sources of funds that will be
used for the project. While the costs are based only on estimates, the
budget narrative work plan may include information obtained from
various vendors, or you may rely on historical data. Applicants must
round all budget items to the nearest dollar.
A written budget narrative work plan must accompany the proposed
budget explaining each budget category listed and must explain each
cost category. Failure to provide a written budget narrative work plan
will result in 2 points being deducted from your application. It must
explain each cost category you list. Generally, estimated costs for
high-cost items or subcontractors/consultants should be supported by
bids from at least three (3) sources. Where there are travel costs for
subcontractors/consultants, you must show that the combined travel
costs (per diem rates) are consistent with Federal Travel Regulations
(41 CFR 301.11) and travel costs for the applicant's subcontractors
and/or consultants do not exceed the rates and fees charged by local
subcontractors and consultants. The narrative (which does count toward
the 10 page limit) and supporting documentation (which does not count
toward the 10 page limit) must address the Grant Application Detailed
Budget.
4. Rating Factor 4: Leveraging Resources (5 Points)
This factor addresses your ability to secure additional resources
to support your project. Points will be awarded on the basis of the
percentage of non-FHIP resources you have identified and how firm the
commitment is for those resources.
a. Firm Commitment of Leveraging. HUD requires you to secure
resources from sources other than what is requested under this FHIP
Program Section of the SuperNOFA. Community resources may include
funding or in-kind contributions, such as workspace or services or
equipment, allocated to the purpose(s) of your proposal. Contributions
from affiliates, subsidiaries, divisions, or employees of the applicant
do not qualify as in-kind contributions. Resources may be provided by
governmental entities (including other HUD programs if such costs are
allowed by statute), public or private non-profit organizations, faith-
based organizations, for-profit or civic private organizations, or
other entities willing to work with you. In order to secure points you
must establish leveraging of resources by providing letters of firm
commitment from the organizations and/or individuals who will support
your project. Each letter of firm commitment must:
(1) Identify the organization and/or individual committing
resources to the project and identify any affiliation with the
applicant,
(2) Identify the sources and amounts of the leveraged resources
(the total FHIP and non-FHIP amounts must match those in your proposed
budget submitted under Factor 3), and
(3) Describe how these resources will be used under your SOW. The
letter must be signed by the individual or organization official
legally able to make commitments for the organization. If the resources
are in-kind or donated goods, the commitment letter must indicate the
fair market value of those resources and describe how this fair market
value was determined. (Do not include indirect costs within your in-
kind resources). In-kind matching and leveraging contributions, as well
as Program Income must comply with 24 CFR 84.23 and 84.24 requirements.
FHIP funds cannot be used for in-kind or donated services (for example,
a current staff person on a FHIP-funded project). No points will be
awarded for general letters of support endorsing the project from
organizations, including elected officials on the local, State, or
national levels, and/or individuals in your community. See Section
IV.F. of the General Section of the SuperNOFA for instructions on how
third party documents are to be submitted to HUD via the electronic
submission process. For PEI and EOI, if your project will not be
supported by non-FHIP resources, then you will not receive any points
under this factor. Points will be assigned for each Initiative based on
the following scale:
One point will be awarded if less than 5% of the projects total
costs come from non-FHIP resources.
Two points will be awarded if between 5% and 10% of the project's
total costs are from non-FHIP resources.
Three points will be awarded if between 11% and 20% of the
project's total costs are from non-FHIP resources.
Four points will be awarded if between 21% and 30% of the project's
total costs are from non-FHIP resources.
Five points will be awarded if at least 31% of the project's total
costs are from non-FHIP resources.
The sponsored organization must not rely exclusively on FHIP
funding. At the conclusion of each grant year, the sponsored
organization must show increasing support from sources other than what
is awarded under this program. Specifically, at the conclusion of year
1, no less than 5% of the funds supporting the sponsored organization's
fair housing enforcement-related activities must be funded from non-
FHIP funds; at the conclusion of year 2, no less than 10% of the funds
supporting the sponsored organization's fair housing enforcement-
related activities must be from non-FHIP funds; and at the conclusion
of year 3, no less than 20% of the funds supporting the sponsored
organization's fair housing enforcement-related activities must be from
non-FHIP funds. Your application must state how you will meet these
requirements.
For FHOI, two points will be awarded if between 5% and 10% of the
project's total costs are from non-FHIP resources. Three points will be
awarded if between 11% and 20% of the project's total costs are from
non-FHIP resources; Four points will be awarded if between 21% and 30%
of the project's total costs are from non-FHIP resources; Five points
will be awarded if at least 31% of the projects total costs are from
non-FHIP resources.
5. Rating Factor 5: Achieving Results and Program Evaluation (15
Points)
a. In evaluating this factor, HUD will assess the extent to which
you demonstrate how you will measure your success or results to be
achieved that represent the work of your organization as set out in
your budget. Applicants must describe their specific methods and
measures to assess progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. This will
ensure that performance measures are met and that grantees are
establishing achievable realistic goals. Applicants who have identified
outputs and outcome measurements and include means for assessing these
measurements, tracking and monitoring performance goals and
achievements against these

[[Page 13801]]

commitments made in the application, will receive higher points than
those that do not. To meet this Factor requirement, you must first
refer to the Logic Model and instructions provided in the forms
appended to the General Section. All applicants must use the Logic
Model Form to respond to this Factor. Applicants should also review the
Logic Model training which can be found at http://www.hud.gov/offices/
adm/grants/training/training.cfm.
b. In evaluating this Factor: (1) HUD will consider how you have
described the degree to which you have identified and characterized the
information needs of your intended audience or target populations;
(2) Output. The direct products of the applicant's activities that
lead to the ultimate achievement of outcomes. Examples of outputs
include, but are not limited to, the number of training sessions
conducted; the number of PSA's aired; the number of conferences held;
the number of brochures/fair housing materials to be disseminated and/
or the number of outreach activities;
(3) Outcome. Demonstrate ability to measure outcomes so the major
outcome is to increase awareness of fair housing laws and enforce the
fair housing act. Outcomes are benefits provided to all protected class
members as a result of education and outreach or fair housing
enforcement activities; and, performance indicators the applicant
expects to achieve or goals it hopes to meet over the term of the
proposed grant. In other words, provide the figure that the applicant
estimates for that outcome category as a result of the applicant's
activities. For example as it relates to EOI Activities:
[sbull] The number of individuals reached as a result of training,
outreach efforts, one on one fair housing counseling, participation in
a conference or symposium.
[sbull] The percentage of persons whose knowledge and awareness of
fair housing is increased as a result of training, outreach efforts,
one on one fair housing counseling, participation in a conference or
symposium.
[sbull] The number of complaints received as a result of training,
outreach efforts, one on one fair housing counseling, participation in
a conference or symposium.
As it relates to PEI Activities:
[sbull] The number of tests completed as result of investigations,
systemic testing or audit testing.
[sbull] The number of enforcement actions as a result of testing
investigations, systemic testing, or audit testing.
The number of individuals served as a result of pre-complaint
counseling and/or education and outreach efforts as a result of testing
activities.
(4) Describe how your program will be held accountable for meeting
program goals, objectives, and the actions undertaken in implementing
the grant program. You should provide a description of the procedure to
be used to assess progress and track performance in meeting the goals
and objectives outlined in the work plan.
Accountability can be achieved using specific measurements tools to
assess the impact of your solutions. Examples include:
[sbull] Intake Assessment Instrument;
[sbull] Pre/Post Tests;
[sbull] Customer/Client Satisfaction Survey;
[sbull] Follow-up Survey;
[sbull] Observational Survey;
[sbull] Functioning scale; or
[sbull] Self-sufficiency scale.
You should describe what kind of fair housing activities you
propose to accomplish and the success of your project as identified in
Factor 2, for these activities. For the EOI-Disability Component, you
should also demonstrate how the activities will assist the Department
in implementing the New Freedom Initiative (see General Section).

B. Reviews and Selection Process

1. Rating and Ranking. Although all rating factors are organized
the same way for all FHIP initiatives, there are differences in
application requirements and rating criteria, which are indicated
throughout the Rating Factor instructions. Your application for funding
will be evaluated competitively against all other applications
submitted under one of the following initiatives or components:
a. Private Enforcement Initiative (PEI)--
(1) General Component (PEI-GC);
(2) Performance Based Funding Component (PEI-PBFC).
b. Education and Outreach Initiative (EOI)--
(1) Regional/Local/Community-Based Programs:
(a) General Component (EOI-GC);
(b) Disability Component (EOI-DC);
(c) Asians, Pacific Islanders Fair Housing Awareness Component
(EOI-AC);
(d) Fair Housing and Minority Serving Institutions Component (EOI-
MSI);
c. Fair Housing Organizations Initiative (FHOI). For all
initiatives, all eligible applications will be reviewed and points
awarded based upon: 1. Your narrative responses to the Factors for
Award and accompanying materials (e.g., resumes) and 2. EC/EZ-II bonus
points, as applicable. Ineligible applications will not be ranked. The
maximum number of points to be awarded for the Rating Factors is 100.
See Section V. of the General Section for information on Bonus Points.
Applications with a score of seventy-five (75) points or more will
be considered of sufficient quality for funding. The Selecting Official
will not select for award any application with a score below seventy-
five (75) points. Generally, applications of sufficient quality for
funding will be selected in rank order under each initiative or
component.
For the PEI--Performance Based Funding Component applicants will be
evaluated competitively against other applicants who apply and have
received an Excellent Performance Assessment for FY 2002 and 2003 FHIP-
funded activities, as well as a 95 on their most current performance
review (FY '02 or '03). These applicants will then be rated by the
Technical Evaluation Panel and ranked by score. Only those applicants
who receive a minimum final score of 95 from the TEP will be considered
for funding under this Component.
2. Tie Breaking. When two or more applications have the same total
overall score, the application with the higher score under Rating
Factor 3: Soundness of Approach will be ranked higher. If this does not
break the tie, the application with the higher score under Rating
Factor 1: Capacity of the Applicant and Relevant Organizational
Experience will be ranked higher. If this does not break the tie, the
application requesting the lower amount of FHIP funding will be ranked
higher. Finally, if this does not break the tie, the application with
the higher score under Rating Factor 2 will be rated higher.
For the PEI--Performance Based Component, the tie breaking
provision does not apply.
3. Achieving Geographic Diversity of Awards. a. PEI and EOI. HUD
reserves the right to select applications out of rank order to achieve
geographic diversity, to ensure that, to the extent possible,
applications from more States for each initiative or component are
selected for funding. If the Selecting Official exercises this
discretion, there will be two determinants used: (1) geography and (2)
score. Geographic diversity shall be applied to all qualified
applications (applications of sufficient quality for funding--
applications that received a score of 75 or more points) in each
Initiative or Component in which the Selecting Official applies
geographic diversity. The geographic

[[Page 13802]]

diversity provision will be applied as follows: when there are two or
more applications of sufficient quality from the same state, the
application(s) with the lower score(s) will be moved to the end of the
qualified queue. The applications moved to the end of the qualified
queue will retain their geographic rank order. If sufficient funds
remain, it is possible that applications moved to the end of the queue
may be selected for award.
b. FHOI and PEI--Performance Based Funding Component. Under FHOI
and the PEI--Performance Based Funding Component, the geographic
diversity provision does not apply.
4. Adjustments to Funding. As provided in the General Section, HUD
may approve an application for an amount lower than the amount
requested, fund only portions of your application, withhold funds after
approval, reallocate funds among activities and/or require that special
conditions be added to your grant agreement, in accordance with 24 CFR
84.14, the requirements of the SuperNOFA, or where:
a. HUD determines whether the amount requested for one or more
eligible activities is unreasonable or unnecessary;
b. An ineligible activity is proposed in an otherwise eligible
project;
c. Insufficient amounts remain to fund the full amount requested in
the application, and HUD determines that partial funding is a viable
option;
d. The past record of key personnel warrants special conditions;
or,
e. Training funds are not reserved for FHIP training.
5. Reallocation of Funds. If after all applications within funding
range have been selected or obligations are completed in an Initiative
and funds remain available, the selecting official or designee will
have the discretion to reallocate leftover funds in rank order among
initiatives as follows:
a. For EOI, any remaining funds from any component will be
reallocated first within the initiative; if after reallocating funds
within the initiative left over funds remain, they shall be reallocated
to PEI then to FHOI;
b. For PEI, any remaining funds will be reallocated to EOI then to
FHOI;
c. For FHOI, left over funds will be reallocated to PEI then to
EOI.

C. Anticipated Announcement and Award Dates

For planning purposes, anticipate an announcement date of July 29,
2005 and an award date of August 31, 2005.

VI. Award Administration Information

A. Award Notices

1. Applicant Notification and Award Procedures
a. Notification. No information about the review and award process
will be available to you during the period of HUD evaluation, which
begins on the application submission date under this NOFA and lasts
approximately 90 days thereafter. However, you will be advised, in
writing or by telephone, if HUD determines that your application is
ineligible or has technical deficiencies which may be corrected as
described in the General Section of the SuperNOFA and Section of this
NOFA. HUD will communicate only with persons specifically identified in
the application. HUD will not provide information about the application
to third parties such as subcontractors.
b. Negotiations. If you are selected, HUD will require you to
participate in negotiations to determine the specific terms of your
cooperative or grant agreement. HUD will follow the negotiation
procedures described in the General Section of the SuperNOFA. The
selection is conditional and does not become final until the
negotiations between the applicant and the Department are successfully
concluded and the grant or cooperative agreement is signed and
executed. HUD will negotiate only with the person identified in the
application as the Director of the organization or if specifically
identified in the application as the Project Director. HUD will not
negotiate with any third party (i.e., a subcontractor, etc.). Grantees
awarded funding who have had a `poor performance' rating in subsequent
years prior to FY 2002, will be required to provide documentation of
the agency's improved performance status during negotiations. The Grant
Officer and Government Technical Representative will determine on a
case-by-case basis if technical assistance or additional monitoring is
required.
Performance Based Funding Component-Applicants selected for funding
under the PBFC will be required to submit a SOW that projects the
agency's activities for a period of three years commensurate with the
level of funding.
c. Applicant Debriefing. After awards are announced, applicants may
receive a debriefing on their application as described in the General
Section. Materials provided during the debriefing will be the
applicant's final scores for each rating factor and final evaluator
comments for each rating factor. Applicants requesting a debriefing
must send a written request to Annette Corley, Grant Officer, U.S.
Department of Housing and Urban Development, FHIP/FHAP Support
Division, 451 7th Street SW., Room 5224, Washington, DC 20410. HUD will
not release the names of applicants or their scores to third parties

B. Administrative and National Policy Requirements

1. Accessibility Requirements. All activities, facilities, and
materials funded by this Program must be accessible to persons with
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
2. Protected Classes. All FHIP-funded projects must address housing
discrimination based upon race, color, religion, sex, disability,
familial status, or national origin.
3. Environmental Requirements. In accordance with 24 CFR
50.19(b)(3), (4), (9), (12), and (13) of HUD regulations, activities
assisted under this program are categorically excluded from the
requirements of the National Environmental Policy Act and are not
subject to environmental review under related laws and authorities.
4. Procurement of Recovered Materials. State agencies (FHAP
agencies) and agencies of a political subdivision of a state that are
using assistance under a HUD program NOFA for procurement, and any
person contracting with such an agency with respect to work performed
under an assisted contract, must comply with the requirements of
Section 6002 of the Solid Waste Disposal Act, as amended by the
Resource Conservation and Recovery Act. See General Section for
details.
5. Product Information. Press releases and any other product
intended to be disseminated to the public must be submitted to the
Government Technical Representative (GTR) two weeks before release for
approval and acceptance.
6. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women Owned Businesses. (See General
Section).
7. Payment Contingent on Completion. Payment of FHIP funds is made
on a reimbursement basis. Payments are contingent on the satisfactory
and timely completion of your project activities and products as
reflected in your grant or cooperative agreement. Requests for funds
must be accompanied by financial and progress reports.
8. Copyright Materials. You may copyright any work that is eligible
for copyright protection subject to HUD's right to reproduce, publish,
or otherwise

[[Page 13803]]

use your work for Federal purposes, and to authorize others to do so as
required in 24 CFR 84.36.
9. Complaints Against Awardees. Each FHIP award is overseen by a
HUD Grant Officer (See Appendix A for list of Grant Officers per region
Complaints from the public against FHIP grantees should be forwarded to
the Grant Officer. The Grant Officer's name and contact information is
provided in the grant agreement. If, after notice and consideration of
relevant information, the Grant Officer concludes that there has been
inappropriate conduct, such as a violation of FHIP program
requirements, terms or conditions of the grant, or any other applicable
statute, regulation or other requirement, HUD will take appropriate
action in accordance with 24 CFR 84.62. Such action may include:
written reprimand; consideration of past performance in awarding future
FHIP applications; repayment to HUD of funds received under the grant;
or temporary or permanent denial of participation in the FHIP in
accordance with 24 CFR part 24.
10. Double Payments. If you are awarded funds under this NOFA, you
(and any subcontractor or consultant) may not charge or claim credit
for the activities performed under this project under any other
Federally assisted project.
11. Performance Sanctions. A grantee or subcontractor failing to
comply with the requirements set forth in its grant agreement will be
liable for such sanctions as may be authorized by law, including
repayment of improperly used funds, termination of further
participation in the FHIP, and denial of further participation in
programs of HUD or any Federal agency.

C. Reporting

1. HUD requires that funded recipients collect racial and ethnic
beneficiary data. It has adopted the Office of Management and Budget's
Standards for the Collection of Racial and Ethnic Data. In view of
these requirements, you should use Form HUD-27061, Racial and Ethnic
Data Reporting Form (and instructions for its use), found on
www.HUDclips.org., a comparable program form, or a comparable
electronic data system for this purpose. As your project ends, you must
report meaningful data derived from client feedback on how they
benefited from your project's activities.
2. Listed below is a sample-reporting document of activities and
tasks to be performed by a FHIP Grantee.

Administrative Activities
----------------------------------------------------------------------------------------------------------------
Activities Tasks Submitted by Submitted to
----------------------------------------------------------------------------------------------------------------
1. Complete HUD-22081 Race and ........................... 45 Days............... GTR/GTM.
Ethnic Data Reporting Form.
2. Complete HUD-2880 Disclosure Submit Disclosure When changes occur.... GTR/GTM.
Statements. Statement. If no changes
occur, submit statement of
no change with final
report.
3. Complete SF-269A Financial Submit SF-269A and Copy of Quarterly............. GTR/GTM.
Status Report and Written Written Report.
Quarterly Status Reports on All
Activities.
4. Voucher for Payment............. Submit payment request to Per Payment Schedule.. GTR/GTM.
LOCCS.
5. Complete Listing of Current or Submit listing for 45 Days and At end of GTR/GTM.
Pending Grants/Contracts/Other recipient and any Grant.
Financial Agreements. contractors.
6. Prepare and Submit Draft of Submit Draft of Report. One month before end GTR/GTM.
Final Report. Report Summary should of grant term.
include objectives,
accomplishments, and
results. Complaint and
testing activities should
summarize data on
complaints received and
tests conducted by basis,
issues, and outcomes. This
should include number of
credible, legitimate
complaints filed with HUD,
a State or local Fair
Housing Agency, Department
of Justice or private
Litigator; and types of
relief/results.
7. Complete Final Report and Submit a copy of the Final Within 90 days after GTR/GTM.
Provide Copies of All Final Report and All Final end of grant term.
Products Not Previously Submitted. Products not previously
submitted to GTR and GTM.
8. Submit 2 copies of Final Report Submit activities and Within 90 days after GTR/GTM.
and all final program products database entry sheet(s) to end of grant term.
produced under the Grant (with HUD. Submit copy of HUD
diskette, where feasible) to HUD. database entry sheet(s) or
detailed description of
items submitted to GTR and
GTM.
----------------------------------------------------------------------------------------------------------------

VII. Agency Contacts

You may contact Myron P. Newry or Denise L. Brooks, of the Office
of Fair Housing and Equal Opportunity's FHIP Support Division, at 202-
708-0800 (this is not a toll-free number). Persons with hearing or
speech impairments may contact the Division by calling 1-800-290-1617
(this is a toll-free number).

VIII. Other Information

1. Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2529-0033 In accordance with the Paperwork Reduction
Act, HUD may not conduct or sponsor, and a person is not required to
respond to a collection of information unless the collection displays a
currently valid OMB control number. Public reporting burdens for the
collection of information is estimated to average xxx hours per annum
per respondent for the application and grant administration. This
includes the time for collecting, reviewing, and reporting the data for
the application, semi-annual reports and final report. The information
will be used for grantee selection and monitoring the

[[Page 13804]]

administration of funds. Response to this request for information is
required in order to receive the benefits to be derived.

2. Frequently Asked Questions

Q. If data, tables, exhibits, reports, and studies are submitted
with the application, will they be counted toward the 10-page limit
requirement?
A. The attachments do not count toward the ten-page limit. However,
you are encouraged to summarize the points that support your Factor
responses. Do not attach data tables, exhibits, and studies and expect
the evaluator to read them and discern the points that should be
considered. If you summarize information from studies, reports, etc,
simply include a bibliography or other reference at the end of each
Rating Factor.
Q. In previous years, FHIP applicants were not required to submit
the Certification of Consistency with the Consolidated Plan. Is the
Certification required this year?
A. For FY 2005, the Certification of Consistency with the
Consolidated Plan is not required.
Q. Where can I find a copy of the Application Kit?
A. There is no Application Kit for the FY 2005 FHIP NOFA. The NOFA
clearly describes the requirements for completing a successful
application and all forms and certifications needed to complete the
application are included in the General and FHIP Sections of the
SuperNOFA.
Q. What is the maximum number of narrative pages that can be
submitted for each Rating Factor?
A. The maximum number is 10 pages per Rating Factor. This does not
include any attachments that may be required under each factor (for
example, the proposed statement of work and budget required under
Factor 3, Resumes as required by Factor 1, or any reports or documents
you attach to support your Factor information). The narrative pages
must be double-spaced and you are required to use 12-type size (font).
However, all pages in the narrative portion of your application must be
consecutively numbered starting with Rating Factor One page one (1)
through the end of your application for each narrative rating factor
response.
Q. The FHIP SuperNOFA refers to QFHOs and FHOs. What is the
difference between them?
A. These terms are defined in the FHIP regulations. Both
organizations must be private, tax-exempt, charitable organizations
that have engaged in enforcement-related activities. The amount of
enforcement-related experience is an eligibility requirement, for PEI
at least one year and for FHOI at least two years. (See 24 CFR 125.103
for QFHO and 24 CFR 125.401(b)(2) for FHO.) For PEI and FHOI,
applicants must self-identify as a QFHO or an FHO and provide
information, including dates of enforcement-related activities. The
information you provide should enable HUD to determine if your
organization meets at least the one or two year enforcement-related
experience requirement.
Q. May an applicant subcontract out a percentage of its activities
to subcontractors, partner, or consultants, if it is selected for a
FHIP award?
A. Yes. However, when the expenditures to a particular
subcontractor, partner, or consultant exceed 10% of the grant amount,
an itemized budget is required.
Q. Is an organization ``engaged in testing for fair housing
violations'' if it hires a qualified organization to carry out its
testing program?
A. Yes, so long as the applicant maintains decision making
authority, analyzes the test results, and maintains oversight or
selection of testing operations.
Q. Does the SuperNOFA identify what makes an application
ineligible?
A. Yes. For FHIP, see the eligibility requirements for each
Initiative, and the Threshold Criteria in Section III. For threshold
requirement information under the SuperNOFA, see Section of the General
Section of the SuperNOFA.
Q. Can an applicant propose to do an Analysis of Impediments (AI)?
A. No. The applicant can identify activities to be carved out of
the AI but not to do planning to develop AI.
Q. Will applicants be able to apply for other funding if selected
for the Performance Based Funding Component?
A. No, applicants selected to the PEI-PBFC will not be able to
apply for any other FHIP funding for the three-year period of the PBF.
Q. Are grantees required to attend the National Fair Housing
Training Academy (NFHTA)?
A. Yes, provisions have been included in Training Funds to
accommodate grantee's participation in the NFHTA.
Q. At what point may a FHOI ``sponsored organization'' apply under
any FHIP Initiative?
A. A sponsored organization is eligible after three (3) years to
apply for funds under other initiatives or components.
Q. What are maximum awards?
A. Maximum award is the maximum amount that will be awarded under
the Initiative/Component for which you are applying. If you request an
amount over this maximum amount, your application will be declared
ineligible.
Q. Where do you send completed applications?
A. All applications must be submitted electronically. Please review
Section IV.F of the General Section of the SuperNOFA for specific
information on electronic application submittal.
Q. How do I sign my electronic application?
A. Applications submitted through grants.gov constitute submission
as electronically signed applications once the Authorized Organization
Representative (AOR) (the individual who has been authenticated by the
grants.gov credential provider to submit applications on behalf of your
organization) transmits your application via grants.gov. Please see
Section IV.F of the General Section of the SuperNOFA for details.
Q. What is the Web site address to apply for funding?
A. Http://www.grants.gov/Apply. See General Section for more
information.
Q. What is the application submission date?
A. The application submission date is outlined in this NOFA under
Section IV.C., ``Submission Dates and Times.''
Q. If I have a technical question, can I call HUD?
A. Yes, technical questions should be directed to Myron P. Newry or
Denise L. Brooks of the FHIP Support Division at (202) 708-0800 (this
is not a toll-free number). Persons with hearing or speech impairments
may call 1-800-290-1617 (this is a toll-free number). Technical
assistance does not include assisting you in determining your
eligibility to apply for funds. Applicants must make their own
determination, based upon the requirements identified in the FHIP
component under the section labeled Eligible Applicants. Technical
Assistance cannot be provided to help you write any part of your
application or develop responses to the application requirements.
Rather, technical assistance, outside of the training broadcasts, will
only clarify general application and program requirements published in
the NOFA.
Q. As an FHOI applicant, are education and outreach expenses
required to come out of my 15% administrative costs?
A. Yes.

Appendix A

[[Page 13805]]

FHEO Field Structure--Office of Fair Housing and Equal Opportunity
----------------------------------------------------------------------------------------------------------------
FHEO offices Directors Telephone No. Area covered
----------------------------------------------------------------------------------------------------------------
BOSTON Hub--Thomas P. O'Neill, Federal Marcella Brown........... (617) 565-6977 MA, CT, ME, VT, NH, RI.
Bldg., 10 Causeway Street, Room 375,
Boston, MA 02222-1092.
NEW YORK CITY Hub--26 Federal Plaza, Stanley Seidenfeld....... (221) 264-1290 NY, NJ.
New York, NY 10278-0068.
PHILADELPHIA Hub--The Wanamaker Wanda S. Nieves.......... (215) 656-0647 PA, MD, VA, DC, WV, DE.
Building, 100 Penn Square East,
Philadelphia, PA 19107-3380.
ATLANTA Hub--5 Points Plaza, 40 James Sutton............. (404) 331-5001 GA, AL, MS, FL, PUERTO
Marrietta Street, SW, Atlanta, GA RICO, KY, TN, SC, NC.
30303-3388.
CHICAGO Hub--Ralph H. Metcalfe, Federal Barbara Knox............. (312) 353-7776 IL, MN, MI, WI, OH, IN.
Building, 77 West Jackson Boulevard,
Chicago, IL 60604-3507.
FORT WORTH Hub--1600 Throckmorton Garry Sweeney............ (817) 978-9271 TX, AR, OK, LA, NM.
Street, Fort Worth, TX 76113-2905.
KANSAS CITY Hub--Gateway Tower II, 400 Robbie Herndon........... (913) 551-6958 KA, MO, NE, IA.
State Avenue, Kansas City, KS 66101-
2406.
DENVER Hub--633 17th Street, Denver, CO Evelyn Meininger......... (303) 672-5434 CO, UT, WY, SD, ND, MT.
80202-3607.
SAN FRANCISCO Hub--Phillip Burton Chuck E. Hauptman........ (415) 436-6569 CA, HI, NV, AZ, Guam.
Federal Bldg., 450 Golden Gate Avenue,
San Francisco, CA 94102-3448.
SEATTLE Hub--Seattle Federal Office Judith Keeler............ (206) 220-5170 WA, OR, ID.
Bldg., 909 1st Avenue, Suite 200,
Seattle, WA 98104-1000.
----------------------------------------------------------------------------------------------------------------

BILLING CODE 4210-32-P

[[Page 13806]]

[GRAPHIC] [TIFF OMITTED] TN21MR05.109

[[Page 13807]]

Housing Counseling Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Single Family Housing.
B. Funding Opportunity Title: Housing Counseling Program.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number is: FR-
4950-N-05. The OMB Approval number is: 2502-0261.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.169
Housing Counseling Assistance Program.
F. Dates: The application submission date is June 6, 2005. Please
see the General Section of the SuperNOFA for application submission and
receipt procedures.
G. Available Funds: Approximately $38.914 million is made available
for eligible applicants under this program NOFA.

Full Text Of Announcement

I. Funding Opportunity Description

A. Program Description. This program supports the delivery of a
wide variety of housing counseling services to homebuyers, homeowners,
low-to moderate-income renters, and the homeless. The primary
objectives of the program are to expand homeownership opportunities and
improve access to affordable housing. Counselors provide guidance and
advice to help families and individuals improve their housing
conditions and meet the responsibilities of tenancy and homeownership.
Counselors also help borrowers avoid inflated appraisals, unreasonably
high interest rates, unaffordable repayment terms, and other conditions
that can result in a loss of equity, increased debt, default, and
eventually foreclosure.
Applicants funded through this program may also provide Home Equity
Conversion Mortgage (HECM) counseling to elderly homeowners who seek to
convert equity in their homes into income that can be used to pay for
home improvements, medical costs, living expenses, or other expenses.
This grant program also supports the delivery of housing counseling
services to potential homebuyers and homeowners utilizing Section 8
Homeownership Vouchers (hereafter referred to as Homeownership
Vouchers) under HUD's Homeownership Voucher Program. The primary
objectives of counseling in conjunction with the Homeownership Voucher
program are to: (1) Help Homeownership Voucher Program participants
make the transition from renting to homeownership; (2) assist them in
evaluating their readiness and in making informed decisions; (3) help
them meet the responsibilities of homeownership; and (4) encourage
increased participation by Public Housing Agencies (PHAs) in HUD's
Homeownership Voucher Program.
B. Grant Applicant Categories. HUD will award a single grant to
qualified applicants through one of three categories: (1) Local Housing
Counseling Agencies (LHCAs); (2) National and Regional Intermediaries
(Intermediaries); and (3) State Housing Finance Agencies (SHFAs).
1. Comprehensive Counseling. All awards through the 3 categories
will consist of a specified sum for comprehensive counseling which is
also the minimum required application amount as specified in III.C.3.b.
2. Supplemental Funding. Comprehensive counseling awards may be
used for any of the activities specified below. Applicants may also
request additional funds to carry out the following specific activities
and assistance to targeted communities:
a. Predatory Lending. Supplemental funding is available for
counseling and educational activities designed to combat predatory
lending, including helping borrowers avoid inflated appraisals,
unreasonably high interest rates, unaffordable repayment terms, and
other conditions that can result in a loss of equity, increased debt,
default, and foreclosure.
b. Homeownership Voucher Counseling. Supplemental funding is
available for counseling and educational activities in conjunction with
HUD's Homeownership Voucher Program.
c. Colonias. Supplemental funding is available for the counseling
and educational activities targeted at Colonias. Colonias means any
identifiable, rural community that is located in Arizona, California,
New Mexico, or Texas; is within 150 miles of the border between the
United States of America and the United Mexican States; and is
determined to be a Colonia on the basis of objective need criteria,
including lack of potable water supply, lack of adequate sewage
systems, and lack of decent, safe, sanitary, and accessible housing.
d. HECM Counseling. Supplemental funding is available for
counseling and educational activities in conjunction with HUD's Home
Equity Conversion Mortgage (HECM) Program.
C. Authority. HUD's Housing Counseling Program is authorized by
Section 106 of the Housing and Urban Development Act of 1968 (12 U.S.C.
1701x).
The Homeownership Voucher Program refers to the homeownership
option in the Housing Choice Voucher Program. The homeownership option
is authorized by section 8(y) of the United States Housing Act of 1937,
as amended by section 555 of the Quality Housing and Work
Responsibility Act of 1998. The implementing regulations are found at
24 CFR 982.625 through 982.643.
The Home Equity Conversion Mortgage (HECM) Program is authorized by
section 255 of the National Housing Act (12 U.S.C. 1715z-20).

II. Award Information

A. Amount Allocated. Of the $41.664 million appropriated for
housing counseling in FY2005, $38.914 million is available for eligible
applicants under this NOFA. Specifically, $32.120 million is available
for comprehensive counseling, $2.7 million is available for counseling
services that address predatory lending, $1.7 million is available for
counseling in conjunction with HUD's Homeownership Voucher Program,
$394,000 is available for counseling services that specifically target
Colonias, and $2.0 million is available for HECM counseling.
B. Specific Allocations. Funding is allocated to each Homeownership
Center (HOC), regional HUD offices that oversee the Housing Counseling
Program in their jurisdiction, by a formula that incorporates first-
time homebuyer rates, default rates, HECM endorsements, and minority
homebuyers.

------------------------------------------------------------------------
Total amount
Applicant categories Who is eligible available
------------------------------------------------------------------------
Category 1--LHCAs............. HUD-approved Local $14,954,946
Housing Counseling
Agencies.
Category 2--Intermediaries.... HUD-approved National 21,575,182
and Regional
Intermediaries.
Category 3--SHFAs............. State Housing Finance 2,383,873
Agencies.
------------------------------------------------------------------------

[[Page 13808]]

1. Category 1--Local Housing Counseling Agencies (LHCAs).
Approximately $14,954,946 is available from HUD to directly fund HUD-
approved LHCAs, including $12,920,000 for comprehensive counseling,
$1,199,880 in supplemental funding for predatory lending, $722,500 in
supplemental funding for counseling in conjunction with HUD's
Homeownership Voucher Program, and $112,566 for counseling targeting
Colonias.
Allocations for Category 1 by HOC are as follows:

--------------------------------------------------------------------------------------------------------------------------------------------------------
Homeownership
HOC Comprehensive Predatory voucher Colonias Total
counseling lending counseling
--------------------------------------------------------------------------------------------------------------------------------------------------------
Philadelphia............................................. $3,511,709 $326,127 $196,376 ................. $4,034,212
Atlanta.................................................. 3,706,596 344,246 207,285 ................. 4,258,127
Denver................................................... 345,317 310,649 187,055 56,283 3,899,304
Santa Ana................................................ 2,356,378 218,858 131,784 56,283 2,729,398
--------------------
Total................................................ 12,920,000 1,199,880 722,500 112,566 14,954,946
--------------------------------------------------------------------------------------------------------------------------------------------------------

2. Category 2--Intermediaries. Approximately $21,575,182 is
available from HUD to directly fund HUD-approved Intermediaries,
including $17,200,000 for comprehensive counseling, $1,300,050 in
supplemental funding for predatory lending, $850,000 in supplemental
funding for counseling in conjunction with HUD's Homeownership Voucher
Program, $225,132 for counseling targeting Colonias, and $2.0 million
for HECM counseling.
3. Category 3--State Housing Finance Agencies (SHFAs).
Approximately $2,383,873 is available to fund SHFAs that provide
housing counseling services directly or serve as intermediaries to
Affiliates who offer housing counseling services, including $2.0
million for comprehensive counseling, $200,070 in supplemental funding
for predatory lending, $127,500 in supplemental funding for counseling
in conjunction with HUD's Homeownership Voucher Program, and $56,303
for counseling targeting Colonias.
Allocations for Category 3 by HOC are as follows:

--------------------------------------------------------------------------------------------------------------------------------------------------------
Homeownership
HOC Comprehensive Predatory voucher Colonias Total
counseling lending counseling
--------------------------------------------------------------------------------------------------------------------------------------------------------
Philadelphia............................................. $543,600 $54,379 $34,655 ................. $632,634
Atlanta.................................................. 573,800 57,400 36,580 ................. 667,780
Denver................................................... 517,800 51,798 33,010 28,152 630,759
Santa Ana................................................ 364,800 36,493 23,256 28,152 452,700
--------------------
Total................................................ 2,000,000 200,070 127,500 56,303 2,383,873
--------------------------------------------------------------------------------------------------------------------------------------------------------

C. Individual Awards.

1. Category 1: No individual LHCA may be awarded more than
$260,000, which includes any supplemental funding. Specifically, the
limit for Comprehensive Counseling is $175,000. The limit for
supplemental funding for predatory lending is $40,000, the limit for
supplemental funding for Homeownership Voucher Counseling is $30,000,
and the limit for supplemental funding for Colonias is $40,000. HUD
anticipates that the average total award for LHCAs will be
approximately $40,000.
2. Category 2: Awards for individual HUD-approved intermediaries
may not exceed $3.4 million, which includes any supplemental funding.
The limit for Comprehensive Counseling is $2.5 million. The limit for
supplemental funding for predatory lending is $325,000, the limit for
supplemental funding for Homeownership Voucher Counseling is $275,000,
the limit for supplemental funding for Colonias is $300,000 and the
limit for HECM counseling is $2.0 million. HUD anticipates that the
average total award for Intermediaries will be $1.1 million.
3. Category 3: No individual SHFA may be awarded more than
$450,000, which includes any supplemental funding. Specifically, the
limit for Comprehensive Counseling is $300,000. The limit for
supplemental funding for predatory lending is $63,000, the limit for
supplemental funding for Homeownership Voucher Counseling is $47,000,
and the limit for supplemental funding for Colonias is $40,000. HUD
anticipates that the average total award for SHFAs will be
approximately $140,000.
D. Grant Period. Funds awarded shall be available for a period of
12 calendar months.
E. Award Instrument. HUD will use a Grant Agreement. All Housing
Counseling Program awards will be made on a cost reimbursement basis in
accordance with the requirements in OMB Circular A-87, Cost Principles
for state and local governments and Indian tribal governments; or OMB
Circular A-122, Cost Principles for Non-Profit Organizations, as
applicable to your organization; and the administrative requirements
established in OMB Circular A-102, which was implemented by 24 CFR part
85 (Administrative Requirements for Grants and Cooperative Agreements
to state, local, and federally recognized Indian tribal governments);
OMB Circular A-110, which was implemented by 24 CFR part 84 (Grants and
Agreements with Institutions of Higher Education, Hospitals and Other
Non-Profit Organizations); and OMB Circular A-133 which was implemented
by 24 CFR parts 84 and 85. Grantees must ensure that any Sub-grantees
and/or Branches also comply with the above requirements. OMB circulars
can be found at http://www.whitehouse.gov/omb/.

[[Page 13809]]

III. Eligibility Information

A. Eligible Applicants Eligible applicants include: HUD-approved Local
Housing Counseling Agencies (LHCAs); HUD-approved national and regional
intermediaries (Intermediaries); and State Housing Finance Agencies
(SHFAs). LHCAs and Intermediaries are private or public nonprofit
organizations, including grassroots community-based organizations,
inclusive of faith-based organizations, that secure HUD approval as an
LHCA, or as an intermediary, as of the publication date of the
SuperNOFA, and retain such approval through the term of any grant
awarded. A SHFA does not need HUD approval in order to apply for a
grant through this NOFA.

1. Definitions
a. Affiliate. ``Affiliate'' means an organization to which a
Grantee awards a sub-grant and which is accountable to the Grantee for
the use of funds provided. An affiliate is separately incorporated or
organized but connected with an intermediary or SHFA for the purposes
of this NOFA. To be eligible for a sub-grant an affiliate must be: (1)
duly organized and existing as a nonprofit, (2) in good standing under
the laws of the state of its organization, and (3) authorized to do
business in the states where it proposes to provide housing counseling
services. In the case of an intermediary or SHFA, all affiliates must
be identified in the application submitted in response to this NOFA.
b. Applicant. ``Applicant'' means a HUD-approved housing counseling
agency or SHFA applying for a Housing Counseling grant from HUD through
this NOFA. The term ``Applicant'' includes the agency's branch or
branch offices identified in its application.
c. Branch. ``Branch'' or ``Branch Office'' means an organizational
and subordinate unit of an LHCA, Intermediary or SHFA not separately
incorporated or organized. A Branch or Branch Office must be in good
standing under the laws of the state where it is authorized to do
business and where it proposes to provide housing counseling services.
A Branch or Brach Office cannot be an applicant, affiliate or sub-
grantee.
d. Grantee. ``Grantee'' means the HUD-approved housing counseling
agency or SHFA that receives housing counseling funds from HUD through
this NOFA. The term ``Grantee'' includes the agency's branch or branch
offices identified in its application.
e. Intermediary. ``Intermediary'' means a HUD-approved national or
regional organization that provides housing counseling services through
its branches or affiliates. As used in this NOFA, the term Intermediary
refers to any of the following entities:
(7) National Intermediary. A National Intermediary provides housing
counseling services through its branches or affiliates in a number of
states as determined by HUD.
(2) Regional Intermediary. A Regional Intermediary provides housing
counseling services through its branches or affiliates in a generally
recognized region or group of regions within the United States of
America, such as the Southwest, Mid-Atlantic, and New England.
f. Local Housing Counseling Agency (LHCA). ``LHCA'' means a HUD-
approved Local Housing Counseling Agency. LHCAs must be approved by one
of HUD's four HOCs. Affiliates of HUD-approved Housing Counseling
intermediaries are not HUD-approved LHCAs by virtue of their
affiliation with the intermediary. They are, however, eligible to
individually apply for HUD approval as an LHCA.
g. State Housing Finance Agency (SHFA). For the purpose of this
NOFA, a ``SHFA'' is the unique public body, agency, or instrumentality
created by a specific act of a state legislature and empowered to
finance activities designed to provide housing and related facilities
and services, for example through land acquisition, construction or
rehabilitation, throughout a state. The term state includes the several
states, Puerto Rico, the District of Columbia, Guam, the Commonwealth
of the Northern Mariana Islands, American Samoa, and the U.S. Virgin
Islands.
h. Sub-grantee. ``Sub-grantee'' means an organization to which the
grantee awards a sub-grant, and which is accountable to the grantee for
the use of the funds provided. A Sub-grantee may be separately
incorporated or organized, but connected with an intermediary or SHFA
for purposes of this NOFA.
In the case of an intermediary or SHFA, all Sub-grantees must be
identified in the grantee's application. Under certain conditions,
grantees may amend their Sub-grantee list after awards are made.

B. Cost Sharing or Matching

No specific ratio is required. However, in order to receive points
under Rating Factor 4, applicants are required to demonstrate the
commitment of other private and public sources of funding to supplement
HUD funding for the applicant's counseling program. HUD does not intend
for the Housing Counseling grants to cover all costs incurred by an
applicant.

C. Other

1. Eligible Activities for Awards Under all Applicant Categories
Grantees and sub-grantees will only be reimbursed for the eligible
activities outlined in this Section. Grantees and sub-grantees
providing housing counseling services under Categories 1 through 3 may
use their HUD housing counseling funds for one or more of the following
activities.
a. Pre-Purchase Homebuyer Counseling. This includes the following
types of one-on-one counseling: pre-purchase; evaluating mortgagor
readiness; search assistance/mobility; fair housing; budgeting for
mortgage payments; money management (does not include administration of
debt management plans whereby an organization pays bills on behalf of a
client); selecting a real estate agent, and home inspection. This also
may include guidance on: alternative sources of mortgage credit; how to
apply for special programs available to potential homebuyers; how to
identify and avoid predatory lending practices; locating housing that
provides universal design and visitability; and referrals to community
services and regulatory agencies.
b. Homebuyer Education Programs. These programs are homeownership
preparation-related group education programs in which educational
materials, including HUD's Homebuyer Education and Learning Program
(HELP) guide, are used in training sessions for multiple participants,
and not tailored to the unique circumstances of an individual. This
activity also includes financial literacy workshops that are geared
toward potential homebuyers, and group sessions that assist potential
homebuyers with identifying and avoiding predatory lending practices,
such as loans with unreasonable and inappropriate terms and conditions,
and other unscrupulous practices intended to defraud or take advantage
of homebuyers and borrowers. Applicants that provide homebuyer
education must also offer individual counseling that complements the
group sessions.
c. Counseling to Resolve or Prevent Mortgage Delinquency or
Default. This includes counseling on how to: restructure debt, obtain
re-certification for mortgage subsidy, establish reinstatement plans,
seek loan forbearance, and manage household finances. This counseling
can also include helping clients affected by predatory lending,
foreclosure

[[Page 13810]]

prevention strategies, explaining the foreclosure process, providing
referrals to other sources, and assisting clients with locating
alternative housing, or pursuing loss mitigation strategies.
d. Non-Delinquency Post-Purchase Counseling including Improving
Mortgage Terms, Home Equity Conversion, and Home Improvement. This
includes information and advice on finding favorable mortgage loan
terms, personal money management, and relations with lenders. It also
includes help in converting home equity into cash, such as counseling
on HUD's HECM Program. HECM counseling assists clients who are 62 years
or older with the opportunity to convert the equity in their homes into
income to pay living, medical, or other expenses. This counseling also
includes counseling the client about: home improvement and
rehabilitation; property maintenance; loan and grant options; the loan
or grant application processes; what housing codes and housing
enforcement procedures apply for the intended activity; accessibility
codes and how to design features to provide accessibility for persons
with disabilities; non-discriminatory lending and funding for persons
who modify their dwellings to accommodate disabilities; visitability
and universal design; how to specify and bid construction work; how to
enter into construction contracts; and how to manage construction
contracts, including actions to address the non-performance of
contractors.
e. Post-Purchase Education Programs. These are post-purchase
oriented group sessions in which educational materials are used in
training sessions for multiple participants. Topics can include
resolving or preventing mortgage delinquency and default, converting
home equity into cash, seeking favorable mortgage loan terms, budgeting
and financial management, real estate taxes and insurance, and home
maintenance. Agencies that provide this service must also offer
individual counseling to complement group sessions.
f. Counseling and Education on Locating, Securing, or Maintaining
Residence in Rental Housing. This refers to one-on-one counseling and
group education sessions regarding renter-related topics, including:
helping clients obtain and utilize rent subsidies; pre-rental search
assistance/mobility counseling; budgeting for rent payments; educating
clients on landlords' and renters' rights; explaining the eviction
process; ensuring clients understand their rights when faced with
displacement; explaining the responsibility of the entity causing
displacement; and providing assistance with locating alternate housing.
g. Counseling on Shelter or Services for the Homeless. Includes
referrals to social, community, and homeless services such as emergency
shelter or transitional housing.
h. Marketing and Outreach Initiatives. This includes providing
general information and materials about housing opportunities and
issues, conducting informational campaigns, advocating with lenders for
non-traditional lending standards, and raising awareness about critical
housing topics, such as predatory lending or fair housing issues.
(Note: affirmative fair housing outreach should be directed at those
populations least likely to seek counseling services. To do so, it may
be necessary to broaden the target areas or provide translation and
interpretive services in languages other than English in order to reach
a greater variety of racial and ethnic minorities.)
2. Eligible Activities--Supplemental Funding
a. Predatory Lending. Recipients of supplemental funding for
Predatory Lending must use the supplemental funds for any of the
marketing and outreach initiatives, group sessions, or one-on-one
counseling activities outlined in Section III.C. of this NOFA, in a
manner that clearly and directly assists clients affected by predatory
lending or helps to prevent predatory lending.
b. Homeownership Voucher Counseling. Recipients of supplemental
funding for counseling in conjunction with HUD's Homeownership Voucher
Program must use the supplemental funds for any of the group sessions
or one-on-one counseling activities outlined in Section III.C of this
NOFA, in a manner that clearly and directly assists recipients of
Homeownership Vouchers to utilize those vouchers toward the purchase
and maintenance of a home.
According to the Final Rule on the Homeownership Voucher Program
(65 FR 55163), suggested topics for the HUD-required pre-assistance
counseling program include: how to negotiate the purchase price of a
home; how to obtain homeownership financing and loan pre-approvals,
including a description of types of financing that may be available,
and the pros and cons of different types of financing; alternative
sources of mortgage credit; how to find a home, including information
about homeownership opportunities, schools, and transportation in the
PHA jurisdiction; mobility counseling, including purchasing a home
outside the PHA's jurisdiction; advantages of purchasing a home in an
area that does not have a high concentration of low-income families and
how to locate homes in such areas; how to design features to provide
accessibility for persons with disabilities; how to obtain funding for
modifications that will make housing accessible and available to
clients and their family members with disabilities; information on fair
housing, including fair housing lending and local fair housing
enforcement agencies; information about the Real Estate Settlement
Procedures Act (12 U.S.C. 2601 et seq.) (RESPA); state and federal
truth-in-lending laws; how to identify and avoid loans with oppressive
terms and conditions; home maintenance; budgeting and money management;
and credit counseling.
Counseling services in conjunction with HUD's Homeownership Voucher
Program can be adapted to reflect local circumstances, fit the pre- and
ongoing post-purchase needs of the individual families, and fulfill
specific requirements established by the PHA as identified in the
written agreement. The PHA has the discretion to require ongoing
counseling for all or select participants in the homeownership option.
For example, agencies may provide on-going counseling on issues
such as home improvement and rehabilitation. This could include
educating the client about loan and grant options; loan or grant
application processes; what housing codes and housing enforcement
procedures apply for the intended activity; accessibility codes;
visitability and universal design; non-discriminatory lending for
persons who modify their dwellings to accommodate disabilities; how to
identify and hire a construction contractor; how to specify and bid
construction work; how to enter into construction contracts; and how to
manage construction contracts, including actions to address the non-
performance of contractors.
Additional ongoing counseling needs may include default counseling
and loss mitigation strategies such as debt restructuring, establishing
reinstatement plans, seeking loan forbearance, and managing household
finances. Counselors can also help program participants that are
affected by predatory lending, provide referrals to emergency and
social service providers, and assist clients with locating alternative
housing.
c. Colonias. Recipients of this supplemental funding may provide
any of the eligible activities outlined in

[[Page 13811]]

Section III.C, so long as they serve individuals in communities that
meet the definition of a Colonia provided in Section I.B.2.c, of this
NOFA.
d. HECM Counseling. Recipients of this supplemental funding must
provide counseling to individuals/families that may be eligible for or
are interested in obtaining a Home Equity Conversion Mortgage (HECM).
Counseling must be provided by AARP certified HECM counselors who must
explain all of the details related to HECM financing to help clients
make informed decisions.
3. Threshold Requirements
Applications that do not meet all of the following Threshold
Requirements are not eligible to receive an award from HUD.
a. Applicants, and Sub-grantees, must meet the Threshold
Requirements in the General Section of the SuperNOFA.
b. Minimum grant request. Applications must contain a request for
funds of not less than $15,000 from LHCAs, not less than $50,000 from
SFHAs and not less than $200,000 from Intermediaries. Applications for
lesser amounts will not be considered.
c. Only HUD-approved Housing Counseling Agencies and SHFAs may
apply. Applicants must be currently approved by HUD as an LHCA or as a
housing counseling intermediary, and have secured HUD approval as a
housing counseling agency by the publication date of this NOFA. SHFAs
are not required to be HUD-approved, but must meet the eligibility
requirements listed in this NOFA.
d. Recipients of Previous Housing Counseling Grants. Applicants
that received a HUD Housing Counseling grant or grants through the
FY2003 HUD Housing Counseling NOFA, and did not receive an extension
approved by HUD, must have drawn-down at least 70 percent of award
monies by December 31, 2004.
e. HUD-9902. Applicants that were, for any reason, required to
submit Form HUD-9902 data, covering the period October 1, 2003, through
September 30, 2004, must have submitted the data to HUD by June 6,
2005.
f. Applicants Requesting Supplemental Funding. No separate
application is needed to apply for supplemental funding. However,
applicants who propose to use the Comprehensive portion of their award
for these activities must propose outputs and outcomes under
supplemental funding categories exclusive of (over and above) those
proposed under comprehensive counseling. Applicants must also meet the
following requirements.
(1) Predatory Lending. An applicant must: (a) request the
supplemental funding by specifically and separately identifying
``Predatory Lending'' and the specific amount requested along with
budget information in Section B of the SF-424A; (b) identify predatory
lending related needs in the target community in the response to Rating
Factor 2; (c) include predatory lending related activities over and
above the proposed comprehensive counseling activities listed in
response to the Rating Factors; (d) indicate, where required in the
Rating Factors, how many individuals in addition to those served under
the comprehensive counseling award will be served with the requested
supplemental funding for predatory lending; and (e) respond to all
predatory lending related requests for information throughout the NOFA.
Be sure clearly to identify the total number served, the activities
provided, and the output and outcome goals to be achieved with the
supplemental funding.
(2) Homeownership Voucher Counseling. An applicant must: (a)
request the supplemental funding by specifically and separately
identifying ``Homeownership Voucher Counseling'' and the specific
amount requested along with budget information in Section B of the SF-
424A; (b) respond to all Homeownership Voucher Counseling related
requests for information throughout the NOFA; (c) include counseling
and other related activities in conjunction with the Homeownership
Voucher Program over and above the proposed comprehensive counseling
activities listed in response to the Rating Factors; (d) indicate,
where required in the Rating Factors, how many individuals additional
to those served under the comprehensive counseling award will be served
with the requested supplemental funding for Homeownership Voucher
Counseling; and (e) provide a written agreement from one or more Public
Housing Authorities (PHAs) with whom the applicant has an agreement to
provide housing counseling to participants of the PHA's Homeownership
Voucher Program. Intermediaries and SHFAs proposing to make sub-grants
must provide a separate written agreement from a PHA for each proposed
sub-grantee. There is no requirement that the PHA commit to use the
applicant for the provision of all housing counseling services related
to its Homeownership Voucher Program, although this would be
acceptable.
Written agreements from PHAs do not have to be ratified by the PHA
Board, although a formal document, such as a Memorandum of
Understanding (MOU) between the PHA and the applicant, is acceptable.
The written agreement must be on PHA letterhead, specifically mention
the housing counseling agency (applicant) and proposed sub-grantee, if
applicable; and be signed by an official authorized to sign on behalf
of the PHA. Moreover, the written agreement must indicate that the PHA
is exercising its option to implement the Homeownership Voucher Program
and agrees to refer Homeownership Voucher participants to the applicant
to fulfill the housing counseling requirement specified in the
Homeownership Voucher Program regulations. The written agreement must
clearly outline: (1) The respective activities and responsibilities to
be undertaken by the PHA and the applicant; (2) the estimated number of
Homeownership Voucher Program participants, both pre-purchase and
ongoing, to be referred by the PHA to the applicant during the grant
period October 1, 2005, to September 30, 2006; (3) the services to be
delivered and the specific PHA requirements for ongoing counseling; and
(4) outputs and outcome goals.
While no written agreement is required from PHAs approved by HUD as
housing counseling agencies, the PHA must estimate the number of
voucher participants to be counseled in connection with its
Homeownership Voucher Program, and describe the types of counseling,
and output and outcome goals to be achieved. See the General Section
for directions for submitting documents requiring third party
signatures. Be sure clearly to identify the total number served, the
activities provided, and the output and outcome goals to be achieved
with the supplemental funding.
(3) Colonias. An applicant must: (a) Request the supplemental
funding by specifically and separately identifying ``Colonias'' and
providing the specific amount requested along with budget information
in Section B of the SF-424A; (b) identify Colonias-related needs in the
target community in its response to Rating Factor 2; (c) respond to all
Colonias-related requests for information throughout the NOFA; (d)
include counseling and other related activities targeted at Colonias
over and above the proposed comprehensive counseling activities listed
in response to the Rating Factors; (e) indicate in the response to
Rating Factors how many individuals in addition to those served under
the comprehensive counseling award will be served with the requested
supplemental funding for Colonias; and (f) demonstrate that the
communities that the applicant will target with these funds meet the
definition of Colonias

[[Page 13812]]

provided in Section I.B.2.c.of this NOFA. Be sure clearly to identify
the total number served, the activities provided, and the output and
outcome goals to be achieved with the supplemental funding.
(4) HECM Counseling. An applicant must: (a) request the
supplemental funding by specifically and separately identifying
``HECM'' and providing the specific amount requested along with budget
information in Section B of the SF-424A; (b) identify HECM-related
needs in the target community in its response to Rating Factor 2; (c)
respond to all HECM-related requests for information throughout the
NOFA; (d) include counseling and other related activities targeted at
HECM clients over and above the proposed comprehensive counseling
activities listed in response to the Rating Factors; and (e) indicate
in the Rating Factors how many individuals will be served with the
requested supplemental funding for HECM counseling in addition to those
served under the comprehensive counseling award. Be sure clearly to
identify the total number served, the activities provided, and the
output and outcome goals to be achieved with the supplemental funding.
4. Other Program Requirements
To receive a grant or subgrant under this Housing Counseling NOFA,
all applicants and subgrantees (except SHFAs) must be:
[sbull] duly organized and existing as a nonprofit;
[sbull] in good standing under the laws of the state of their
organization; and
[sbull] authorized to do business in the states where they propose
to provide housing counseling services.
a. Limits on applications. (1) HUD-approved LHCAs. HUD-approved
LHCAs may apply for and receive: one grant under Applicant Category 1;
or one sub-grant from an intermediary or SHFA under Applicant Category
2 or 3, but not both. The only exception to this rule is that HUD-
approved LHCAs that have one or more HECM Network Counselors that
receive a grant or sub-grant under Categories 1-3, may also receive a
sub-grant, or be reimbursed exclusively for HECM counseling activities
from a HUD-approved intermediary that exclusively provides HECM
counseling.
HUD-approved LHCAs applying under Category 1 are also eligible for
supplemental funding to combat predatory lending, homeownership voucher
counseling, and to provide counseling to residents of Colonias.
Funded LHCAs may not make sub-grants to other HUD-approved LHCAs or
non-HUD-approved entities.
(2) HUD-approved Intermediaries. HUD approved intermediaries may
only apply for a grant under Applicant Category 2. HUD-approved
intermediaries are also eligible for supplemental funding to combat
predatory lending, homeownership voucher counseling, provide counseling
to residents of Colonias, and for HECM counseling.
(3) SHFAs. SHFAs may only apply for grants under Applicant Category
3 and are eligible to apply for comprehensive counseling funds and
supplemental funding to combat predatory lending, homeownership voucher
counseling, and to provide counseling to residents of Colonias. b. Sub-
grantees of Intermediaries and SHFAs. (1) Sub-grantees of
intermediaries and SHFAs are not required to be HUD-approved, although
HUD-approved LHCAs may apply to an intermediary or SHFA as a sub-
grantee.
(2) Intermediaries and SHFAs that award sub-grants to counseling
agencies that are not HUD-approved must assure that the sub-grantee
organizations meet or exceed HUD's approval standards, listed in
Section III.C.4.c. Program Requirements.
(3) Subgrantees must also be in compliance with all civil rights
threshold requirements. Intermediaries that do not ensure their sub-
grantee's compliance with HUD standards may be prohibited from
participating in the Housing Counseling Program. HUD will monitor sub-
grantees.
(4) Sub-grantees under Categories 2 or 3 must not have directly
applied for or received a grant under Category 1 of this NOFA, or
applied for or received a sub-grant from an intermediary or SHFA under
Category 2 or 3 of this NOFA.
(5) Sub-grantees may apply for and receive only one sub-grant from
an intermediary or SHFA under Category 2 or 3, but not both. The only
exception to this rule is that sub-grantees that have one or more HECM
Network Counselors that receive a sub-grant from an intermediary or
SHFA under Category 2 or 3 may also receive a sub-grant or be
reimbursed exclusively for HECM counseling activities, from a HUD-
approved intermediary that exclusively provides HECM counseling.
(6) Intermediaries and SHFAs that make sub-grants must execute sub-
grant agreements with sub-grantees that clearly delineate the mutual
responsibilities for program management, including appropriate time
frames for reporting results to HUD. Intermediaries and SHFAs have wide
discretion to decide how to allocate their HUD Housing Counseling
funding among sub-grantees, with the understanding that a written
record must be kept documenting and justifying funding decisions. This
record must be made available to sub-grantees and to HUD.
c. Approval Criteria. The following approval criteria apply to all
applicants, except SHFAs.
(1) Each branch or affiliate included in an approval application
must satisfy these criteria.
(a) Nonprofit Status. An applicant and its branches or affiliates
for approval must function as private or public nonprofit
organizations. The applicant must submit evidence of nonprofit status
as demonstrated by section 501(c)(3) of the Internal Revenue Code
approval (or pending approval) to support its nonprofit status and that
of its branches or affiliates.
(b) Community Base. The applicant or its branches and affiliates
must have functioned as a housing counseling agency for at least one
year in the geographical area that the applicant proposes to serve as a
HUD-approved housing counseling agency or agencies and must have
established working relationships with private and public community
resources to which it can refer clients who need help the agency cannot
offer.
(c) Staff. The applicant and its branches or affiliates must employ
staff trained in housing counseling with at least six months experience
in the job they will perform in the counseling program.
(d) Language Skills/Limited English Proficiency. Agencies must seek
to provide access to program benefits and information to persons with
limited English proficiency (LEP) through translation and interpretive
services. Applicants that receive an award from HUD must satisfy the
requirements of HUD's LEP Recipient Guidance published on December 19,
2003 at 68 FR 70968.
(e) Knowledge of HUD Programs and Local Housing Market. The
applicant's housing counseling staff, including those in branches and
affiliates, must possess a working knowledge of HUD housing programs
(including public housing), the housing programs available in the
community, and the local housing market A working knowledge means that
a counselor can inform the client in detail regarding what housing is
available for which the client is eligible, how the client applies for
the housing, and the rights and responsibilities of all parties
involved in

[[Page 13813]]

particular housing transactions--leases, mortgages, notes, contracts,
etc.
(f) State and Local Requirements. The applicant, including its
branches or affiliates, must meet all State and local requirements for
its operation.
(g) Facilities. The counseling facilities of the applicant or its
branches or affiliates must meet the following criteria.
(i) Located in the community of the target population.
(ii) Provide privacy for all one-on-one sessions between a
counselor and a client.
(iii) Public transportation is within easy walking distance (15
minutes) of the applicant's location, except for rural or distant
suburban locations.
(iv) Operating hours include regular work hours and days, and other
hours and days when necessary to meet the needs of working clients.
(v) All grantees and sub-grantees must make counseling offices and
services accessible to persons with a wide range of disabilities and
help persons locate suitable housing in locations throughout the
applicant's community, target area, or metropolitan area, as defined by
the applicant. For each of the general activities proposed, grantees
must be prepared to meet the needs of all individuals requesting
services, including persons with disabilities, regardless of the
complexity of the services involved.
d. List of HUD-approved Housing Counseling Agencies. Pursuant to
section 106 (C)(5) of the Housing and Urban Development Act of 1968,
HUD maintains a list of all HUD-approved and HUD-funded counseling
agencies, including contact information that interested persons can
access. All HUD-approved LHCAs and their branches, and all sub-grantees
and their branches that receive funding under Applicant Categories 2
and 3 of this NOFA will be placed on this list and must accept
subsequent referrals, or when they do not provide the services sought,
refer the person to another organization in the area that does provide
the services.
e. Non-Discrimination Requirement. (1) Grant recipients and sub-
grantees are prohibited from discriminating on behalf of or against any
segment of the population in the provision of services or in outreach.
(2) Organizations funded under this program may not engage in
inherently religious activities, such as worship, religious
instruction, or proselytization, as part of the programs or services
funded under this program. If an organization conducts such activities,
these activities must be offered separately, in time or location, from
the programs or services funded under this part, and participation must
be voluntary for the HUD-funded programs or services.
f. Indirect Cost Rate. Grantees that plan to use grant funds to
cover direct costs only are not required to provide an indirect cost
rate. However, Grantees that plan to use grant funds to cover any
indirect costs must submit their approved indirect cost rate
established by the cognizant federal agency. If the grantee does not
have an established indirect cost rate, it will be required to develop
and submit an indirect cost proposal to HUD, or the cognizant federal
agency as applicable, for determination of an indirect cost rate that
will govern the award. Applicants that do not have a previously
established indirect cost rate with a federal agency shall submit an
initial indirect cost rate proposal immediately after the applicant is
advised that it will be offered a grant and, in no event, later than
three months after the start date of the grant. OMB Circular A-122
established the requirements to determine allowable direct and indirect
costs and the preparation of indirect cost proposals, and can be found
at http://www.whitehouse.omb.gov. Applicants can review Indirect Cost
Training on http://www.hud.gov at: http://www.hud.gov/offices/adm/
grants/training/training.cfm.
g. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Section 3 does not apply to Housing Counseling Grants.
h. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Woman-Owned Businesses. See the General
Section for information on this topic.
i. Subcontracting. Grantees and sub-grantees must deliver all of
the counseling activities set forth in the applicant's work plan
provided in Factor 3 of this NOFA. Subcontracting with other entities
is permitted only in geographical areas where no HUD-approved housing
counseling agency exists; however, the subcontractor must meet HUD's
approval standards, listed at III.C.4.c. above.
j. Conflicts of Interest. See the General Section. In addition, a
grantee or sub-grantee that is using grant funds to pay a subcontractor
for housing counseling services pursuant to a housing counseling sub-
agreement is prohibited from having a controlling interest in that
subcontractor or vice versa. In other words, a grantee or sub-grantee
cannot use grant funds to pay for housing counseling services by a
subcontractor, if the subcontractor is partially or fully-controlled by
the grantee or sub-grantee, or affiliate or vice versa.
k. Accessible Technology. See the General Section.
l. Participation in HUD Sponsored Program Evaluation. See the
General Section.

IV. Application and Submission Information

A. Receiving an Application Package

Applicants may download the Instructions to the application found
on the Grants.gov Web site at http://www.Grants.gov. The instructions
contain the General Section and Program Section of the published NOFA
as well as forms that you must complete and attach as a zip file to
your application submission. If you have difficulty accessing the
information you may call the Grants.gov Support desk toll free 800-518-
GRANTS or email your questions to Grants.gov">Support@Grants.gov. The Support Desk
staff will assist you in accessing the information. Please remember
that you must be registered to submit an application utilizing
Grants.gov. Your registration allows you to electronically sign the
application and Grants.gov to authenticate that the appropriate
organization staff with legal authority to submit the application on
behalf of the applicant submitted the application. Please see the
General Section for information regarding the registration process or
ask for registration information from the Grants.gov Support Desk.
Please be aware that the registration process is a separate process
from requesting email notification of funding opportunities or
downloading the application and should be done prior to downloading the
grant application from the Grants.gov web site. If you are not sure if
you are already registered, the Grants.gov Support Desk can assist in
verifying whether you are or are not registered.

B. Content and Form of Application Submission

Please be sure to read the General Section for application
submission and timely receipt requirements as HUD is using electronic
application submission via www.Grants.gov. In addition to the
instructions in the General Section follow the instructions below:
1. Size Limitations and Format for Narrative Statements
Applicants must be as specific and direct as possible. For LHCAs,
narrative responses to each factor must be limited to 10 double-spaced,
size 12 font, single sided pages. Intermediaries and SHFAs

[[Page 13814]]

are limited to 20 double-spaced, size 12 font, single sided page
narratives for each factor. Pages in excess of the size limit will not
be read. Number the pages of the narrative statements and include a
header that includes the applicant's name and the Rating Factor number
and title. Within each narrative, clearly identify each sub-factor
immediately above the response for that sub-factor. The General Section
of the SuperNOFA provides detailed requirements for electronic
submission of narrative statements and other documents that are part of
the application.
2. Application Checklist
The Application Checklist indicates forms, information,
certifications and assurances that apply to this NOFA.

Housing Counseling NOFA Application Checklist

[sbull] SF-424, Application for Federal Assistance
[sbull] SF-424 Supplement--Survey on Ensuring Equal Opportunity for
Applicants
[sbull] SF 424A, Budget Information--Non-Construction Programs
[sbull] SF-LLL, Disclosure of Lobbying Activities (if applicable)
[sbull] HUD-27300, Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers (optional)
[sbull] HUD-2880, Applicant/Recipient Disclosure/Update Report
[sbull] HUD-2990, Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (LHCAs only) (if applicable)
[sbull] HUD-2991, Certification of Consistency with the
Consolidated Plan (if applicable)
[sbull] HUD-2994, Client Comments and Suggestions (optional)
[sbull] HUD-96010, Program Outcome Logic Model
[sbull] HUD-96011 Facsimile Transmittal Cover Page
[sbull] HUD-9902, Housing Counseling Agency Fiscal Year Activity
Report
[sbull] SHFA Statutory Authority. SHFAs must submit evidence of
their statutory authority to operate as a SHFA, as defined in this
NOFA, and must submit evidence of their authority to apply for funds
and subsequently use any funds awarded.
[sbull] Written Agreement with a PHA. Applicants applying for
Supplemental Funding for Homeownership Voucher Counseling, and
applicants proposing to counsel clients in conjunction with HUD's
Homeownership Voucher Program with comprehensive counseling funds, must
provide a copy of a written agreement from each Public Housing
Authority (PHA) with which the applicant, and proposed sub-grantees and
branches, have entered into an agreement, as described in Section III
of this NOFA.
[sbull] Letters, Contracts, MOUs and/or other documentation that
demonstrates working relationships.
[sbull] Letters, Contracts, MOUs and/or other documentation that
shows leveraged resources.
[sbull] List of all offices. Intermediaries must provide a list of
the states in which they maintain offices, including the central office
and all affiliates or branch offices. Provide this information for all
affiliates and branch offices, not just the ones the applicant proposes
to fund through this grant. Indicate with an asterisk or other notation
those that will be funded through this grant and the amount, if known.
[sbull] Organization Description. Applicants must provide a brief
description, no more than 225 words, of their organizational history
and activities, as they would like them to appear in the press release
issued by HUD in the event that the applicant is funded through this
NOFA.
[sbull] Copy(s) of disclosure forms used by the housing counseling
agency or SHFA to inform clients they are not required to use other
services or products offered by the housing counseling agency or SHFA
or any of its associates.
[sbull] Narrative statements as required in this NOFA.

C. Submission Dates and Times

1. Application Submission Date and Proof of Timely Submission. The
application submission date is June 6, 2005. Please be sure to read the
General Section for timely submission and receipt requirements as
submission requirements have substantially changed this year. Failure
to follow the submission requirements and procedures may affect your
ability to receive an award of funds.

D. Intergovernmental Review

The Housing Counseling Program is not subject to Intergovernmental
Review.

E. Funding Restrictions

1. Funding is limited to the eligible activities described in
Section III.C of this NOFA.
2. Pre-award Costs. Grantees may incur pre-award costs not more
than 90 calendar days prior to the effective date of the grant
agreement and only with prior approval from HUD. All pre-award costs
are incurred at the applicant's risk and HUD has no obligation to
reimburse such costs if the award is inadequate to cover such costs or
the award offer is withdrawn because of the applicant's failure to
satisfy the requirements of this NOFA.

F. Other Submission Requirements See the General Section. Please read
the General Section instructions for submission of third-party
documents by facsimile or by scanning and attaching to Grants.gov
submission package.

V. Application Review Information

A. Criteria. The Factors for Award, and maximum points for each
factor, are outlined below. These factors will be used to evaluate all
applications. The maximum number of points for each applicant is 102
for LHCAs and 100 for all other applicants.
1. Bonus Points--``RC/EZ/EC-II''. ONLY LHCAs are eligible for 2
bonus points. See the General Section for information regarding ``RC/
EZ/EC-II'' bonus points.
2. Additional Information. HUD may rely on information from
performance reports, financial status information, monitoring reports,
audit reports, and other information available to HUD to make score
determinations to any relevant Rating Factor.
3. Responses to Factors for Award. Responses to the following
rating factors should provide HUD with detailed quantitative and
qualitative information and relevant examples regarding the housing
counseling work of the organization.
The Rating Factors contain requests for additional information from
applicants interested in supplemental funding. Applicants who propose
to use the Comprehensive portion of their award for these activities
must also respond to the requirements defined for each category the
applicant proposes to provide services in.
In responses to the various factors and sub-factors, intermediaries
and SHFAs should not submit a separate response for each proposed sub-
grantee and branch, but should provide a brief profile of each and
summary response for their entire network, highlighting individual
activities, partnerships, needs and/or results when appropriate.

[[Page 13815]]

a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (30 Points) HUD uses responses to this Rating
Factor to evaluate the readiness and ability of an applicant and
proposed sub-grantee and branch staff, to immediately begin, and
successfully implement, the proposed work plan detailed in Rating
Factor 3. HUD will also evaluate how effectively the applicant managed
work plan adjustments that may have been required if performance
targets were not met within established timeframes and how often work
plan adjustments were required.

(1) Applicants must provide the following information to support
evaluation of this Rating Factor. Information may be provided in a
chart or table.
(a) Number of full-time (35 hours + per week) housing counselors
working for the applicant and, if applicable, proposed sub-grantees or
branches;
(b) Number of part-time housing counselors working for the
applicant and, if applicable, proposed sub-grantees or branches;
(c) Number of bilingual housing counselors working for the
applicant and, if applicable, proposed sub-grantees or branches;
(d) Average years of housing counseling experience for counselors
working for the applicant and, if applicable, proposed sub-grantees or
branches;
(e) Average years of housing counseling program management
experience for the project director(s) for the applicant and, if
applicable, proposed sub-grantees or branches;
(f) For intermediaries and SHFAs, the number of sub-grantees and
branches that received funding from the applicant through a FY2003 HUD
housing counseling grant(s), if applicable, covering the period October
1, 2003-September 30, 2004.

(2) Knowledge and Experience (14 points)

Using the information provided above, demonstrate that the
applicant, including proposed sub-grantees and branches, has sufficient
personnel with the relevant knowledge and experience to implement the
proposed activities in a timely and effective manner, and bilingual
language skills, if appropriate.
Specifically, for LHCAs, scoring will be based on the number of
years of recent and relevant experience of Housing Counseling Program
project directors and recent housing counseling and relevant experience
of housing counselors.
For intermediaries and SHFAs, scoring will be based on: the number
of years of recent and relevant experience of project directors of
proposed sub-grantees and branches; the number of years of recent
housing counseling and relevant experience of counselors in proposed
sub-grantees and branches; and the number of years, for key
intermediary or SHFA personnel, of recent experience running a housing
counseling program consisting of a network of multiple housing
counseling agencies. HUD will award higher scores to applicants with
more experienced staff and management.
Related experience, such as experience in mortgage lending, will
also be considered, but will not be weighted as heavily in the scoring
as direct housing counseling or housing counseling program management
experience. HUD will also factor in other information that demonstrates
the capacity of the applicant, such as relevant staff trainings,
competency exams, and certifications. HUD will award higher scores to
applicants with staff and management that have the greatest combination
of experience, training and demonstrated competency.
(a) Submit the names and titles of employees, including
subcontractors and consultants who will perform the activities proposed
in the applicant's work plan in Rating Factor 3. Clerical staff should
not be listed. Describe each employee's, subcontractor's, or
consultant's relevant professional background and experience, and
bilingual language skills, if applicable. Experience is relevant if it
corresponds directly to projects of a similar scale and purpose.
Individual descriptions should be limited to one page, and do not count
toward narrative page limitations. Provide the number of years of
experience for each position listed, and indicate when each position
was held. Indicate whether the position is full-time or part-time, and
in the case of part-time positions, provide the number of hours per
week.
Intermediaries and SHFAs should summarize in a single chart
listing, each applicable employee, subcontractor, and consultant of
proposed sub-grantees or branches, the number of years of direct
counseling or counseling program management experience, and the number
of years of relevant experience. Please total each column.
(b) All applicants must indicate whether counselors in their agency
and proposed sub-grantees and branches are required to take and pass an
exam that evaluates housing counseling competency as a condition of
employment. Describe the test and testing process and how test results
are used to measure the capability of an employee.
(c) Indicate for each counselor listed the specific counseling
activities with which they have experience, distinguishing between
group sessions and one-on-one counseling, and the relevant number of
years of experience for each counseling type. In scoring this section,
HUD will evaluate whether the applicant has experience providing the
proposed services.
Applicants for supplemental funding for Homeownership Voucher
Counseling must provide detailed information regarding the
Homeownership Voucher Program-related experience of the applicant and
each PHA with whom the applicant, or its proposed sub-grantees and
branch offices, have a written commitment to partner, including the
number of years of experience that the applicant and partnering PHA(s)
have working with HUD's Homeownership Voucher Program. If different
from the applicant, explain what counseling agency or other
organization provided the housing counseling related to the PHA's
program.
Similarly, applicants for supplemental funding for Predatory
Lending, HECM and Colonias must specify the predatory lending, HECM or
Colonias-specific experience of project directors and counselors and
the organization. Applicants for Colonias supplemental funding must
also highlight the bilingual capacity of relevant counselors.
(d) Indicate for all housing counselors and project directors the
specialized trainings and certifications received relevant to the
proposed activities. Include when the training was received and who
provided it.
Applicants for supplemental funding must also indicate whether or
not staff has received recent and relevant specialized training. For
example, applicants for supplemental funding for predatory lending must
indicate if relevant personnel received FHA loss mitigation training or
other training relevant to predatory lending. Applicants that seek
supplemental funds for HECM counseling must indicate what relevant
training and certifications counselors received to qualify them as HECM
counselors. Likewise, specific training for Homeownership Voucher and
Colonias should be highlighted.
(e) Indicate if the applicant, affiliates and branches, utilized an
on-line Client Management System during the grant period October 1,
2003, to September 30, 2004. If a system was used, identify

[[Page 13816]]

which system, how long it has been used and whether or not it is web
based. If the applicant does not currently use an on-line or web-based
system but plans to in the coming grant period, October 1, 2005 through
September 30, 2006, indicate which system will be used, whether or not
it is web based, and how its use will be implemented in terms of
training employees to use it and its ability to improve client services
and generate reports.

(3) Grant and Compliance Management (6 points)

In scoring this Section, HUD will examine its files and evaluate
how well the applicant managed administration and met the requirements,
including reporting and grant document execution, of its FY2003 HUD
housing counseling grant, for the grant period October 1, 2003, to
September 30, 2004, and its ability to spend all grant funds allotted.
If the applicant did not receive an FY2003 HUD grant, it must provide a
response, with sufficient detail for HUD to evaluate management, based
on activities and requirements under other sources of funding, such as
other federal, state, or local grant awards. Identify the source(s),
amount(s), how funds were used for housing counseling and related
activities and whether work was completed during the period of
performance.
(a) HUD will evaluate the applicant's performance with regard to
the timeliness and completeness with which they satisfied grant
document execution and reporting requirements including quarterly (if
applicable), mid-term and final reports.
(b) If grant awards were not fully expended during the grant period
October 1, 2003, to September 30, 2004, indicate the percentage of
funds that were not spent, and provide an explanation as to the reason
why and the steps the applicant has taken to ensure that future funding
will be expended according to the terms of the grant agreement. To
receive full credit, either 100 percent of grant funds must have been
expended in a timely manner or all goals must have been achieved prior
to expending 100 percent of grant funds. If goals were achieved with
fewer funds, state so and briefly provide details of efficiencies
realized (if any).
(c) Biennial Performance Reviews. Significant findings on biennial
performance reviews conducted by HUD staff will be taken into
consideration when scoring this section. Explain how the applicant has
taken steps to address and correct any significant findings, if
applicable.

(4) Management--Goals and Results (10 points)

Applicants that received a FY2003 housing counseling grant covering
the period October 1, 2003 to September 30, 2004 were required to
submit a Program Outcome Logic Model, Form HUD-96010, which reflected
an effective, quantifiable, outcome-oriented evaluation plan for
measuring performance. The Logic Model was to identify what would be
measured, how it would be measured, and the steps the applicant would
take to make adjustments to the work plan if performance targets were
not met within established timeframes. Specifically, the plan had to
identify:
(a) Outputs. Outputs are the direct products of the applicant's
activities that lead to the ultimate achievement of outcomes. Examples
of outputs include, but are not limited to, the number of individual
counseling sessions, the number of group sessions to be provided, the
number of materials to be distributed, and outreach activities. Interim
and full grant term outputs, and time frames for accomplishing these
goals. The plan must have shown how the applicant would measure actual
accomplishments against anticipated achievements.
(b) Work Plan Adjustments. A description of steps in place to make
adjustments to the work plan if outputs are not met within established
time frames or if the applicant begins to fall short of established
outputs and time frames. Intermediaries and SHFAs should have indicated
if and how the performance of sub-grantees and branch offices affects
current and future sub-grants and allocations.
(c) Outcomes. Outcomes are benefits accruing to the families as a
result of participation in the program. Outcomes are performance
indicators the applicant expects to achieve or goals it hopes to meet
over the term of the proposed grant. For the period October 1, 2003-
September 30, 2004, the anticipated outcomes for clients as a result of
the proposed grant were required as part of the Logic Model. The
required outcome categories are:
[sbull] The number of individuals receiving pre-purchase counseling
who will purchase a home;
[sbull] The number of individuals receiving pre-purchase counseling
who are working toward becoming mortgage ready;
[sbull] The number of individuals receiving pre-purchase counseling
who, after evaluating their unique financial situation and the costs of
homeownership, will elect not to purchase a home;
[sbull] The number of individuals receiving default counseling who
will successfully avoid foreclosure;
[sbull] The number of individuals seeking help in locating or
securing residence in rental housing who found alternative rental
housing;
[sbull] Applicants proposing to address predatory lending should
indicate the number of clients affected by predatory lending counseled
that will have their mortgage modified, refinanced, or otherwise
assisted to avoid foreclosure.
These specific outcomes correspond to the Form HUD-9902.
Applicants who received a FY2003 Housing Counseling Grant must
explain differences in goals and actual results in narrative form
including any changes in measurement reporting tools and/or the
evaluation process as a result of variations in output and outcome
goals and results. For purposes of scoring this sub-factor, HUD's
primary concern is how the applicant managed change, when needed,
within the organization as well as a clear and reasonable explanation
as to why goals were not met, or why they were exceeded, and what steps
were taken organizationally to accommodate either scenario. Applicants
who did not receive a FY2003 Housing Counseling Grant must provide
detailed, quantifiable information on housing counseling related goals
they did set for their organization and actual results either for the
period covering October 1, 2003 to September 30, 2004 or for the 12
month period ending December 31, 2004 if more appropriate to the
Applicant's or other grant-required reporting schedule. In narrative
form, explain any differences in goals versus actual results and
indicate what measurement reporting tools were used as well as the
evaluation process. Form HUD-96010-1, Logic Model Instructions, which
is part of Form HUD-96010, provides information on what should be
included in measurement reporting tools and the evaluation process.
For applicants applying for the predatory lending supplemental
funding, identify the number of clients affected by predatory lending
that were counseled and able to have their mortgage modified,
refinanced, or otherwise assisted to avoid foreclosure. Compare these
outcome goals with the applicant's actual performance outcomes for
these categories, reported in the Form HUD-9902 submitted with this
application, covering the grant period October 1, 2003, to September
30, 2004. Characterize the applicant's performance at meeting its goals

[[Page 13817]]

regarding activities for that time period. Explain any differences
between goals and results. Describe relevant market conditions and
other circumstances that affected reported outcome numbers. If the
applicant did not establish outcome projections/goals for these
specific categories prior to the grant period October 1, 2003, to
September 30, 2004, indicate the specific quantitative goals that it
did make, and explain any difference between goals and results.

b. Rating Factor 2: Need/Extent of the Problem (12 Points)

This factor addresses the extent to which there is a need for
funding the proposed activities described in the applicant's work plan,
and the degree to which the applicant's work plan substantively
addresses departmental policy priorities.

(1) Needs Data (6 Points)

Provide current or recent economic and demographic data, and any
other evidence, that demonstrates housing counseling need relevant to
the target area. All proposed activities must have corresponding need-
related data. Sources for all data provided must be clearly cited. Do
not submit copies of reports or tables.
To the extent that the community the applicant serves has
documented need in its Consolidated Plan, Analysis of Impediments to
Fair Housing Choice (AI), or other planning documents, provide these in
the response. Economic and demographic data must include persons with
disabilities located in the target area. The U.S. Census Bureau, for
example, maintains disability data by state, county, and metropolitan
statistical area (MSA) at the following web site: http://
www.census.gov/hhes/www/disability.html.
Additionally, the HUD USER Research Information Service and
Clearinghouse, available at http://www.huduser.org/, allows users to
search over 800 HUD publications by subjects and keywords.
Applicants applying for predatory lending supplemental funding must
provide current or recent economic and demographic data, and any other
evidence, that demonstrates the prevalence and impact of predatory
lending within the target area.
Applicants planning to provide counseling in conjunction with HUD's
Homeownership Voucher Program must demonstrate that the local market
will support affordable homeownership. For example, describe the income
and wealth characteristics of Homeownership Voucher Program
participants, such as average income as a percent of area median
income, and average savings available for down payment, and then
demonstrate the availability in the local market of homes that are
affordable to these participants. Intermediaries and SHFAs must provide
this information for each sub-grantee or branch included in their
application that will engage in this activity.
In scoring this Section, HUD will evaluate the degree to which the
applicant is able to provide current or recent economic and demographic
data, and any other evidence, that demonstrates housing counseling need
relevant to the target area and the activities proposed in projected
work plan activities detailed in Rating Factor 3. Applicants that fail
to identify current or recent objective data will receive no points for
this factor.

(2) Departmental Policy Priorities (6 Points)

The Departmental policy priorities are described in detail in the
General Section. Of those listed, the following five apply to the
Housing Counseling Program for the purpose of this NOFA. Indicate if
and describe how the applicant's work plan substantively addresses each
of these departmental policy priorities. Applicants are advised to
review the policy priorities in the General Section, to assure they
fully understand the meaning of each, prior to responding to this sub-
factor.
In scoring this section, the applicant will receive one point for
each of the departmental policy priorities (a)-(d) that the work plan
substantively addresses. Up to 2 points are available for priority (e).
The activities the applicant proposes in its projected work plan,
detailed in Factor 3 of this NOFA, must address the policy priorities
for priorities (a)-(c) in order to receive rating points. Points will
only be awarded to applicants for policy priority (e) if the submission
includes the required documentation or URL sites where the
documentation can be found.
(a) Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Families with Limited English Proficiency.
(b) Providing Full and Equal Access to Grassroots, Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
(c) Participation of Minority-Serving Institutions in HUD Programs.
(d) Participation in Energy Star. Applicants must provide
information on how they promote or plan to promote Energy Star
materials and practices and buildings constructed to Energy Star
standards to homebuyers, renters and other applicable counseling
clients. Describe any outreach activities previously conducted and/or
planned to promote Energy Star products.
(e) Removal of Regulatory Barriers to Affordable Housing. Under
this policy priority, higher rating points are available to (1)
governmental applicants that are able to demonstrate successful efforts
in removing regulatory barriers to affordable housing and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. To obtain the
policy priority points for efforts to successfully remove regulatory
barriers, applicants must complete form HUD-27300, ``Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers.'' A limited number
of questions on form HUD-27300 expressly request the applicant to
provide brief documentation with its response. Other questions require
that, for each affirmative statement made, the applicant supply a
reference, URL or brief statement indicating where the back-up
information may be found, and a point of contact, including a telephone
number or e-mail address. Applicants that do not provide the URL
references or documentation will not get the policy priority points.
The General Section and HUD's Notices identify how policy priority
points will be awarded. Copies of HUD's notices published on this
issue, can be found on HUD's web site at http://www.hud.gov/grants/index.cfm.

c. Rating Factor 3: Soundness of Approach/Scope of Housing Counseling
Services (40 Points)

This factor addresses the quality and effectiveness of the
applicant's historical and proposed housing counseling activities.
(1) Historical Performance includes information on Housing
Counseling services conducted during the period October 1, 2003 through
September 30, 2004. Applicants must provide the following information,
which will be used as a basis to support the scoring of sub-factors
V.A.3.c (2) and V.A.3.c (3). Responses to V.A.3.c(2) and V.A.3.c (3)
should contain ``Historical Performance'' as part of the heading for
the response.
(a) Average hours of housing counseling per client, for the period
October 1, 2003, through September 30, 2004, for each of the following
service types, including follow-up, the applicant organization
provides:
(i) Pre-purchase Counseling

[[Page 13818]]

(ii) Homebuyer Education
(iii) Delinquency/Default Counseling
(iv) Non-Delinquency Post-Purchase Counseling
(v) Home Equity Conversion Mortgage (HECM) Counseling
(vi) Post-Purchase Education
(vii) Rental Counseling
(viii) Homeless/Displacement Counseling
(ix) Predatory Lending Counseling
(x) Homeownership Voucher Counseling and Education
(xi) Other (describe)
(b) FY2003 HUD housing counseling grant(s) or sub-grant(s), if
applicable. If the applicant received one or more FY2003 HUD housing
counseling grants or sub-grants covering the period October 1, 2003-
September 30, 2004, make sure that these grants are properly recorded
in Section 8 of the Form HUD-9902 that was submitted through HUD's
Housing Counseling System (HCS). Applicants that were not required to
submit Form HUD-9902 must complete one as part of this application
filling in the ``All Activities'' column only.
(c) FY2003 total housing counseling budget, covering the period
October 1, 2003-September 30, 2004, including HUD housing counseling
grant(s) or sub-grants, if applicable, as well as other resources
leveraged specifically for housing counseling. Do not include funds for
down payment or closing cost assistance, Individual Development
Accounts, emergency services, or other resources not used for the
direct provision of housing counseling.
(d) The number of clients recorded on the Form HUD-9902, covering
the period October 1, 2003, through September 30, 2004, that
participated only in Homebuyer Education Workshops or other types of
classes offered as group sessions:
(i) Under the ``HUD Grant Activities'' column, if applicable
(ii) Under the ``All Counseling Activities'' column
(e) The number of clients recorded on the Form HUD-9902 submitted
with this application, covering the period October 1, 2003, through
September 30, 2004, that participated in one-on-one counseling only:
(i) Under the ``HUD Grant Activities'' column, if applicable
(ii) Under the ``All Counseling Activities'' column
(f) If applicable, for the grant period October 1, 2003, through
September 30, 2004, indicate:
(i) The number of individuals and families counseled by the
applicant that participated in HUD's Homeownership Voucher Program;
(ii) The number of clients that received one-on-one counseling from
the applicant related to predatory lending, or if applicable, from sub-
grantees and branches;
(iii) The results of one-on-one counseling pertaining to predatory
lending, including the number of clients for whom loans have been
successfully restructured, credit fixed, and the success of other loss
mitigation strategies.
(iv) The number of clients that participated in group educational
sessions related to predatory lending
(2) Historical Performance--Quality and Complexity of Services (6
points).
HUD will evaluate the quality of, the variety of, and the level of
effort and time associated with the housing counseling services
provided by the applicant during the period October 1, 2003, to
September 30, 2004, both with HUD housing counseling grant funds, if
applicable, and with other resources leveraged for housing counseling.
For applicants that did not receive an FY2003 HUD housing counseling
grant, the analysis will be based on services provided with other
sources of funding.
(a) Applicants must carefully document the various types of housing
counseling and education services provided during the period October 1,
2003, through September 30, 2004, both with FY2003 HUD grant funds, if
applicable, and other resources leveraged for housing counseling. Also
describe follow-up activities, if applicable.
If applying for supplemental funding for predatory lending,
describe the applicant's activities for the grant period October 1,
2003, to September 30, 2004, in assisting individuals, through outreach
and group education, in identifying and avoiding predatory lending. For
example, describe group workshops, community meetings, mass media, or
material distribution (provide copies of relevant letters, brochures,
etc.) Also describe the applicant's outreach strategy, including the
various types of individuals targeted (e.g., sub-prime borrowers,
elderly homeowners with substantial equity in their homes, etc.),
explain the rationale for targeting specific areas, types of community
forums that are effective, methods through which ideas and materials
are disseminated, and all other relevant information.
Also, if applicable, describe efforts through one-on-one counseling
for the period October 1, 2003, to September 30, 2004, to assist
individuals in identifying and avoiding predatory lending, and describe
efforts through one-on-one counseling to assist clients affected by
predatory lending.
If applying for supplemental Homeownership Voucher Counseling
funds, describe counseling and education activities during the period
October 1, 2003, to September 30, 2004, performed in conjunction with
HUD's Homeownership Voucher Program.
If applying for supplemental funding for Colonias, describe the
applicant's activities for the grant period October 1, 2003, to
September 30, 2004, in assisting individuals in Colonias.
If applying for supplemental funding for HECM counseling describe
the applicant's activities for the grant period October 1, 2003, to
September 30, 2004, in assisting individuals that sought HECM
counseling.
(b) Describe the level of effort and time required to provide the
housing counseling services described in part (a) and to meet the needs
of clients. Explain the average counseling time per client figures
provided in Section V.A.4.c(1)(a). Scoring will be based on the degree
to which the applicant demonstrates that sufficient time and resources
were devoted to ensure that clients received quality counseling.
(c) Explain the figures provided in Section V.A.4.c(1)(d)-(f)
regarding group session participation and one-on-one counseling.
Describe how clients come to participate in one or the other, the
relationship between the two, and the role that each plays in the
applicant's overall service provision.
Applicants for supplemental funds should also provide this
information for the activities relevant to the specific supplemental
funding for which they are applying, which should include only
information on clients served exclusive of (over and above) those
served with comprehensive funds.
Scorers will evaluate the extent to which an agency encouraged and
provided one-on-one counseling, which HUD considers the most effective
form of housing counseling, instead of over-relying on homebuyer
education workshops and other forms of group sessions.
(3) Historical Performance--Impact/Outcomes (7 Points).
To score this Section, HUD will evaluate the applicant's, and
affiliates' and branches', clients served numbers for the grant period
October 1, 2003 to September 30, 2004. The quantity of clients the
applicant was able to serve will be compared to similar applicants
providing similar services. Clients served numbers will also be
analyzed in the context of the total housing counseling budget, which
applicants must provide from FY2003 HUD housing counseling grant(s),
including costs; spending decisions; the types of

[[Page 13819]]

services provided; level of effort expended; and the performance of
similar applicants providing similar services. HUD will also consider
the degree to which the services provided are time and resource
intensive.
Additionally, HUD will evaluate the geographic coverage of the
applicant's activities for the grant period October 1, 2003, through
September 30, 2004. For intermediaries and SHFAs, the number of sub-
grantees under a FY2003 HUD housing counseling grant(s), if applicable,
and the overall size of the housing counseling network during that
period will be factors in the scoring.
(a) Indicate how location, type of counseling, client type, and
expenses may have affected client volume that appears on the Form HUD-
9902, and in Section V.A.4.c(1)(d)-(f), that were served under the
column ``All Counseling Activities.'' This total should reflect all the
counseling activities performed by the applicant during the period
October 1, 2003 through September 30, 2004, both with HUD housing
counseling grant funds, if applicable, and with other leveraged
resources.
If the applicant received one or more FY2003 HUD housing counseling
grants, indicate differences in how the HUD grants were spent compared
to other leveraged resources. Justify expenses and explain why they
were reasonable, strategic, and appropriate for the counseling
activities identified above.
If applying for supplemental funding, quantify the applicant's
relevant predatory lending, Homeownership Voucher Counseling, Colonias
and/or HECM results during the period October 1, 2003 through September
30, 2004 and provide the total budget for each. For example, if
applying for supplemental funding for Homeownership Voucher Counseling,
provide the number of families that participated in the applicant's
Homeownership Voucher Program in the past complete fiscal year, and the
number of current homeowners receiving voucher assistance to date, and
other notable outcomes and information demonstrating the effectiveness
of the existing program. Provide the same information for PHAs with
whom the applicant, and if applicable, proposed sub-grantees and
branches have written commitments to partner.
(b) Intermediaries and SHFAs that received one or more FY2003 HUD
housing counseling grants, for the grant period October 1, 2003, to
September 30, 2004, must also indicate what percentage of their
grant(s) was passed through directly to sub-grantees or branches, and
explain how funds not passed through were spent.
LHCAs applying under Applicant Category 1 that received one or more
FY2003 HUD housing counseling grants for the grant period October 1,
2003, to September 30, 2004, must indicate what percentage of their
grant(s) was spent on the salaries and benefits of housing counselors
and project directors. Explain how other funds were spent.
Applicants that did not receive a FY2003 HUD housing counseling
grant must characterize their performance through other housing
counseling funding sources, providing as much detail, similar to that
requested above, as possible.
(c) LHCAs must describe the applicant's geographic coverage for the
period October 1, 2003 through September 30, 2004. For example,
indicate the percentage of a metropolitan area covered by the grantee.
If the LHCA operates in more than one state, indicate which states and
the percent of each state covered.
Intermediaries and SHFAs must identify the sub-grantees, affiliates
and branches, and corresponding states, to which the applicant provided
housing counseling funding, for the period October 1, 2003, through
September 30, 2004, through:
(i) FY2003 HUD housing counseling grant funds, if applicable
(ii) All housing counseling resources
(4) Projected Performance/Work Plan--Involves information on
housing counseling services to be conducted during the period October
1, 2005 through September 30, 2006. Applicants must provide the
following information, which will be used in conjunction with responses
in Rating Factor 5, as a basis to support the scoring of the sub-
factors below. Responses should contain ``Projected Performance'' as
part of the heading for the response.
(a) Average hours of housing counseling time the applicant
estimates per client, for each of the activities listed in
V.A.3.c(1)(a)(i)-(xi), including follow-up: If the projected average
times are the same as those listed for the period covering October 1,
2003-September 30, 2004, the applicant may simply state so in lieu of
listing them again here.
The proposed average hourly labor-rate for housing counselors
working for the applicant, affiliates, or branch network, if
applicable, including benefits.
(b) For intermediaries and SHFAs, the total number of sub-grantees
and branches, and corresponding number of states, that the applicant
estimates will receive funding through the proposed FY2005 HUD Housing
Counseling Grant. If applying for supplemental funding, indicate the
number of sub-grantees and branches the applicant estimates for
comprehensive counseling, and for each type of supplemental funding
requested.
(c) For intermediaries and SHFAs, the total number of sub-grantees
and branches that the applicant estimates will receive funding,
specifically for housing counseling, from the applicant, both through
the proposed FY2005 HUD Housing Counseling Grant, and other sources of
funds, during the grant period October 1, 2005, to September 30, 2006.

(5) Projected Performance/Work Plan--Quality and Complexity of Services
(12 points)

In scoring this Section, HUD will consider the types and variety of
housing counseling and education services being offered, and other
activities occurring in support of the applicant's housing counseling
program.
HUD will also evaluate the quality of the applicant's proposed
housing counseling services, and level of effort and time associated
with providing the proposed counseling services to the number of
clients it estimates it will serve. Scoring will be based on the degree
to which the applicant demonstrates that, for each type of counseling
service delivered, average, greater than average or less than average
time and resources will be devoted to ensure that clients receive
quality counseling.
Additionally, scorers will evaluate the extent to which an
applicant will encourage and provide one-on-one counseling, which HUD
considers the most effective form of housing counseling, instead of
over-relying on homebuyer education workshops and other forms of group
sessions.
(a) Describe the various types of housing counseling and education
services, and if applicable intermediary activities, including
training, the applicant proposes to undertake, and identify the
geographic area the services will cover. Also, describe planned follow-
up activities, if applicable.
Applicant work plans must include both pre-purchase counseling and
post-purchase counseling and a broad array of counseling services in
general. Applicants that provide default counseling as part of the work
plan will receive more points in this sub-factor than those that do
not.
Intermediaries and SHFAs must also:
(i) Describe the housing counseling and education activities to be
provided by proposed sub-grantees and branches,

[[Page 13820]]

explicitly stating the types of services to be offered, preferably in a
chart.
(ii) Describe the applicant's legal relationship with sub-grantees
(i.e. membership organization, field, or branch office, subsidiary
organization, etc.)
(iii) Explain the process that will be used to determine sub-
grantee funding levels and distribute funds. If applicable, indicate
how sub-grantee funding levels are adjusted on an on-going basis based
on performance.
(b) Describe the level of effort and time the applicant anticipates
is required to provide the proposed counseling services to, and meet
the needs of, the number of clients it indicates in Section V.A.4.c
(4)(a)-(d) that it will serve with the proposed grant. Explain and
describe the activities corresponding to the average counseling time
figures for each counseling type provided in Section V.A.4.c (4)(b).
(c) Explain the figures provided in Section V.A.4.c (4)(c)-(d)
regarding proposed group session participation and one-on-one
counseling. Describe how clients are selected for one or the other, the
relationship between the two, and the role that each will play in the
overall service provision.
(d) Indicate the names and titles of employees, including
subcontractors and consultants, allocated to each proposed activity, as
well as the corresponding staff hours for each task, and demonstrate
that the applicant has the human resources to accomplish the proposed
activities and serve the number of individuals the applicant proposes
to serve. The staff information should include who from Rating Factor 1
will be involved and any new staff, subcontractors or consultants that
will be hired for the October 1, 2005-September 30, 2006 grant period.

(6) Projected Performance/Work Plan--Coordination (5 points).

HUD will consider the extent to which, as compared to similar
applicants, the applicant can demonstrate it will coordinate proposed
activities with other organizations, and if applicable with other
services and products offered by the applicant's organization, in a
manner that benefits their clients. Scoring will also be based on the
degree to which the applicant takes steps to avoid conflicts of
interest, and discloses to clients that they have a choice in matters
such as the loan product they choose and the house that they purchase.
(a) Describe partnerships and efforts to coordinate proposed
activities with other organizations, including, but not limited to,
emergency and social services providers, lending organizations,
homeowner insurance providers, down payment and closing cost assistance
programs, and nonprofit housing providers. For example, describe
agreements with lenders regarding non-traditional lending standards.
Any written agreements or memoranda of understanding in place should be
described and copies provided.
Applicants should also highlight internal products and functions,
such as loan products available to clients, down payment and closing
cost assistance programs, as well as internal affordable housing
programs that can be a resource for clients.
Applicants requesting supplemental funding should highlight the
partnerships or internal products that are relevant to the proposed
predatory lending, Homeownership Voucher counseling, Colonias or HECM
activities. For example, applicants for supplemental funding for
predatory lending should also describe relevant partnerships and
relationships with other organizations, including state and local
government regulatory agencies, Legal Aid groups, and other
organizations with whom the applicant collaborates on predatory lending
cases and issues, or to whom the applicant refers clients affected by
predatory lending.
(b) Describe plans to avoid conflicts of interest, such as methods
for disclosing to participants that they are free to choose lenders,
loan products, and homes, regardless of the recommendations made by
counselors. To receive full credit in this Section, the applicant must
provide copies of the disclosure forms and materials used by the
applicant to communicate to clients that, while affordable homes,
lending products and other forms of assistance might be available
through the applicant, and partnerships in which the applicant has
entered, the client is under no obligation to utilize these services.
(7) Projected Performance/Work Plan--Impact/Efficient Use of
Resources (10 points).
In scoring this Section, HUD will evaluate the number of clients
that the applicant estimates will be served under the proposed HUD
grant, by the applicant and sub-grantees, if applicable, for the grant
period October 1, 2005, to September 30, 2006. Scoring will be based on
the cost and quantity of clients the applicant proposes to serve,
compared historical averages for similar services. Proposed clients
served numbers will also be analyzed in the context of budget, costs,
spending decisions, the types of services provided, level of effort
expended, etc. HUD will also factor in other information that
demonstrates that resources are being used efficiently; for example,
the percentage of grant funds intermediaries and SHFAs pass through to
sub-grantees Additionally, HUD will evaluate the geographic coverage of
the applicant's proposed activities.
In the case of intermediaries and SHFAs, the number of proposed
sub-grantees and branches, the overall size and scope of the counseling
network will be a factor in the scoring.
(a) Provide a context for, or qualify the number of clients the
applicant projects to serve with the proposed HUD grant. Indicate how
location, counseling and client types, and expenses may affect client
volume, and whether the impact will be short-term or long-term. Justify
proposed expenses and explain why they are reasonable, strategic, and
appropriate for the counseling activities identified above.
Explain and justify significant changes, relative to past
performance and grant/budget size, in the number of clients the
applicant proposes to serve. For example, describe changes in the types
of counseling being delivered, costs, etc.
(b) Intermediaries and SHFAs must also indicate what percentage of
their proposed award will be passed through directly to sub-grantees
and branches, and explain how funds not passed through will be spent.
LHCAs that apply under Applicant Category 1 must indicate what
percentage of their proposed award will be spent on the salaries and
benefits of housing counselors and project directors. Explain in detail
how other proposed funds will be spent.
(c) LHCAs must list all branch offices and indicate if they will be
funded through the proposed award. Also, describe the applicant's
geographic coverage. For example, indicate the percentage of a
metropolitan area that will be covered by the grantee, and if the
applicant will operate in more than one state, identify the states and
what percent of coverage in each the applicant will provide.
Intermediaries and SHFAs must also identify the sub-grantees and
branches, and corresponding states, the applicant proposes will receive
funding through this grant award. In the event that different sub-
grantees or branches will be selected for comprehensive counseling and/
or the supplemental funding types, separately list proposed sub-
grantees and branches for each. Applicants unable to precisely identify

[[Page 13821]]

proposed sub-grantees and branches to receive funding through the
proposed grant must identify the most likely sub-grantees and branches,
based on past experience, and explain what process will be used to
select actual sub-grantees and branches. Pursuant to the applicable
regulations at 24 CFR 84.82(d)(3)(iii) and 85.30(d)(4), grantees must
receive HUD's prior written approval for sub-grants.

d. Rating Factor 4: Leveraging Resources (10 Points)

HUD housing counseling grants are not intended to fully fund an
applicant's housing counseling program, or that of its sub-grantees.
All organizations that use housing counseling grant funds are expected
to seek other private and public sources of funding for housing
counseling to supplement HUD funding. Any agency that does not have
other resources available will receive no points for this factor.
Applicants will be evaluated based on their ability to show that
they have obtained additional resources for their housing counseling
activities, including: direct financial assistance; in-kind
contributions, such as services, equipment, office space, labor; etc.
Resources may be provided by governmental entities, public or private
nonprofit organizations, for-profit private organizations, or other
entities committed to providing assistance. Grantees will be required
to maintain evidence that leveraged funds were actually provided to the
agency. These files will be reviewed by HUD staff as a part of the
biennial reviews and on-site monitoring visits.
(1) Applicants must provide a comprehensive list of all leveraged
funds and in-kind contributions being claimed. Include the amount and
the source. All contributions, including cash and third party in-kind,
shall be accepted as part of the recipient's cost sharing or matching
when such contributions meet all of the criteria set forth in 24 CFR
84.23.
(2) Additionally, resources provided by the applicant may count as
leveraged resources. These amounts must include only funds that will
directly result in the provision of housing counseling services, but
not resources for activities such as down payment and closing cost
assistance, IDA programs, and emergency services.
(3) Intermediaries and SHFAs should include information on
leveraged resources for their entire counseling network and program,
not simply anticipated sub-grantees that will be funded through this
application.
(4) Points for this factor will be awarded based on the
satisfactory level of leveraging and financial sustainability and the
percentage of the applicant's total housing counseling budget that the
requested HUD housing counseling funds would represent. Depending on
organization type, the following scales will be used to determine
scores for this factor:

LHCAs and SHFAs

1-25%--10 points
26-40%--9 points
41-48%--8 points
49-55%--7 points
56-65%--6 points
66-75%--5 points
76-85%--4 points
86-91%--3 points
92-95%--2 points
96-99%--1 point

Intermediaries

1-15%--10 points
16-23%--9 points
24-29%--8 points
30-35%--7 points
36-41%--6 points
42-47%--5 points
48-53%--4 points
54-59%--3 points
60-65%--2 points
66-99%--1 point

e. Rating Factor 5: Achieving Results and Program Evaluation (8 Points)

This factor emphasizes HUD's determination to ensure that
applicants meet commitments made in their applications and grant
agreements and assess their performance to realize performance goals,
and reflects HUD's goal to embrace high standards of ethics, management
and accountability.
The purpose of this factor is for the applicant to identify program
outputs and outcomes that will allow it and HUD to measure actual
achievements against anticipated achievements. Outputs and outcomes
must be objectively quantifiable.
In scoring this section, HUD will consider the thoroughness of the
response, as well as the appropriateness of the proposed outcomes given
the proposed HUD award and past performance, as compared to similar
applicants.

(1) Program Outcome Logic Model (6 Points)

Applicants must complete and submit Form HUD-96010 identifying
activities to be performed, program outputs and outcomes to be achieved
with grant funds. Applicants must also submit an effective,
quantifiable, outcome-oriented evaluation plan for measuring
performance and determining that output and outcome goals have been
met. Applicants must submit a program evaluation plan, consisting of
the completed Form HUD-96010, Program Outcome Logic Model, and
corresponding narrative, that identifies what will be measured, how it
will be measured, and the steps the applicant has in place to make
adjustments to the work plan if performance targets are not met within
established timeframes. Specifically, the plan must identify:
(a) Outputs. Outputs are the direct products of the applicant's
activities that lead to the ultimate achievement of outcomes. Examples
of outputs include, but are not limited to, the number of individual
counseling sessions, the number of group sessions to be provided, the
number of materials to be distributed, and outreach activities.
Identify interim and full grant term outputs, and time frames for
accomplishing these goals. The plan must show how the applicant will
measure actual accomplishments against anticipated achievements.
[sbull] Provide the following figures. Do not provide ranges or
percentages, but a specific numbers of clients. These amounts should
represent individuals to be served entirely with HUD housing counseling
funding. If, in reality, various funding sources will contribute to the
services provided each individual, the applicant must prorate their
response to reflect a figure representing services provided with only
funding from the proposed grant.
[sbull] The total number of clients the applicant projects it and,
if applicable, sub-grantees, will serve under the total proposed HUD
grant, including all requested supplemental funding.
[sbull] If requesting supplemental funding, indicate the specific
number of clients the applicant projects it, or if applicable, sub-
grantees, will serve under the comprehensive counseling portion of the
requested award.
[sbull] If requesting supplemental funding, separately indicate for
each specific type of supplemental funding being requested, the number
of clients the applicant projects it, or if applicable, sub-grantees,
will serve under the proposed supplemental funding. The total number of
clients that will receive only Homebuyer Education Workshops or other
types of classes offered as group sessions with the proposed award in
general, and under each of the applicable supplemental funding types.
[sbull] The number of clients that will participate in one-on-one
counseling only, with the proposed award in general, and under each of
the applicable supplemental funding types.

[[Page 13822]]

(b) Work Plan Adjustments. Describe steps in place to make
adjustments to the work plan if outputs are not met within established
time frames or if the applicant begins to fall short of established
outputs and time frames. National and regional intermediaries and SHFAs
should indicate if and how the performance of sub-grantees and branch
offices, affects current and future sub-grants and allocations.
(c) Outcomes. Outcomes are benefits accruing to the families as a
result of participation in the program. Outcomes are performance
indicators the applicant expects to achieve or goals it hopes to meet
over the term of the proposed grant. For the period October 1, 2005-
September 30, 2006, provide the following anticipated outcomes for
clients as a result of the proposed grant. In other words, provide the
figure that the applicant estimates for that outcome category under the
HUD grant activities column on the Form HUD-9902.
[sbull] The number of individuals receiving pre-purchase counseling
that will purchase a home;
[sbull] The number of individuals receiving pre-purchase counseling
that are working toward becoming mortgage ready;
[sbull] The number of individuals receiving pre-purchase counseling
that, after evaluating their unique financial situation and the costs
of homeownership, will elect not to purchase a home;
[sbull] The number of individuals receiving default counseling that
will successfully avoid foreclosure;
[sbull] The number of individuals seeking help in locating or
securing residence in rental housing that found alternative rental
housing;
[sbull] Applicants proposing to address predatory lending should
indicate the number of clients affected by predatory lending counseled
that will have their mortgage modified, refinanced, or otherwise
assisted to avoid foreclosure.
These specific outcomes correspond to the Form HUD-9902 data. The
proposed outcomes the applicant provides will be compared to actual
results in the measurement of grant performance and future grant
application evaluations.
(2) Information Collection (2 points).
Describe the applicant's procedure for following-up with clients
and collection of outcome information.
B. Review and Selection Process. Two types of reviews will be
conducted.
1. Technical Review. First, each application will be reviewed for
technical sufficiency, in other words, whether the application meets
the threshold requirements set out in this NOFA and the General Section
and whether all required forms have been submitted. The General Section
provides the procedures for corrections to deficient applications.
2. General Review. The second review considers the responses to the
rating factors outlined above and other relevant information.
Applications will be evaluated competitively and ranked against all
other applicants that applied in the same funding category.
3. Rating Panels. Detailed information on the rating review panels
appears in the General Section.
4. Minimum Score for Fundable Applications. The minimum score for
fundable applications is 75 points.

VI. Award Administration Information

A. Award Notices

Following selection, applicants will receive notification from HUD
regarding their application.
1. Publication of Recipients of HUD Funding
HUD's regulations at 24 CFR Part 4 provide that HUD will publish a
notice in the Federal Register to notify the public of all decisions
made by the Department. Please see the General Section for more
information on this topic.
2. Debriefing
Applicants may receive a debriefing on their application
submission. Please see the General Section for a further discussion of
the time frame in which the debriefing request may be submitted.

B. Administrative and National Policy Requirements

1. Environmental Requirements
In accordance with 24 CFR 50.19(b)(9) and (12) of the HUD
regulations, activities assisted under this program are categorically
excluded from the requirements of the National Environmental Policy Act
and are not subject to environmental review under the related laws and
authorities.
2. Audit Requirements
Grantees that expend $500,000 or more in federal financial
assistance in a single year (this can be program year or fiscal year)
must be audited in accordance with the OMB requirements as established
in 24 CFR part 84. Additional information regarding this requirement
can be accessed at the following Web site: http://harvester.census.gov/
sac.
3. Other Matters
a. Relocation. See the General Section.
b. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. See the General Section.
c. Prohibition Against Lobbying Activities. See the General
Section.
d. Procurement of Recovered Materials. See the General Section.
f. Executive Order 13279 Equal Protection of the Laws for Faith-
Based and Community Organizations. See the General Section.
g. Salary Limitation for Consultants. See the General Section.
h. Executive Order 13132, Federalism. See the General Section.
i. Sense of Congress. See the General Section.

C. Reporting

1. Fiscal Year Activity Report
Grantees are required to submit Form HUD-9902, Fiscal Year Activity
Report, via HUD's web-based Housing Counseling System (HCS). The
information compiled from this report provides HUD with its primary
means of measuring program performance.
2. Program Outcome Logic Model
Grantees are required to submit an updated Form HUD-96010, Program
Outcome Logic Model in accordance with the reporting requirements of
the grant agreement. The information in this form provides the primary
means through which HUD will monitor the ongoing performance of the
grantee.

VII. Agency Contact(s)

A. Technical Assistance

For technical assistance in downloading or submitting an
application package using http:www.Grants.gov, contact the Grants.gov
support desk at 800-518-Grants or by sending an e-mail to
[email protected].

B. Programmatic Information

For program related information, LHCAs and SHFAs should contact the
HOC serving their area, as indicated below. Intermediaries should
contact HUD Headquarters, Program Support Division at (202) 708-0317
(this is not a toll-free number). Hearing and speech challenged persons
may access the telephone numbers listed below by calling the Federal
Information Relay Service at 800-877-8339.

[[Page 13823]]

------------------------------------------------------------------------
Homeownership center States
------------------------------------------------------------------------
PHILADELPHIA HOMEOWNERSHIP CENTER Ms. Connecticut, Delaware, District
Brenda Bellisario, Acting Director, of Columbia, Maine, Maryland,
Program Support Division, Wannamaker Massachusetts, Michigan, New
Building, 100 Penn Square East, 12th Hampshire, New Jersey, New
Fl Philadelphia, PA 19107-3389, For York, Ohio, Pennsylvania,
programmatic information contact: Rhode Island, Vermont,
Robert Wright [email protected]. Virginia, West Virginia.
(215) 656-0527 x3406.
ATLANTA HOMEOWNERSHIP CENTER Ms. Gayle Alabama, Puerto Rico, Florida,
Knowlson, Director, Program Support Georgia, Illinois, Indiana,
Division 40 Marietta Street, 8th Floor Kentucky, Mississippi, North
Atlanta, GA 30303-2806 For Carolina, South Carolina,
programmatic information contact: E. Tennessee.
Carolyn Hogans E.--Carolyn--
[email protected] (404) 331-5001, x2129.
DENVER HOMEOWNERSHIP CENTER Ms. Irma Arkansas, Colorado, Iowa,
Devich, Director, Program Support Kansas, Louisiana, Minnesota,
Division 1670 Broadway Denver, CO Missouri, Montana, Nebraska,
80202-4801 For programmatic New Mexico, North Dakota,
information contact: 303-672-5200 Vic Oklahoma, South Dakota, Texas,
Karels x1995 Victor--E.-- Utah, Wisconsin, Wyoming.
[email protected] Jonna Munson x1987
[email protected].
SANTA ANA HOMEOWNERSHIP CENTER Mr. Alaska, Arizona, California,
Jerrold Mayer, Director, Program Hawaii, Oregon, Idaho, Nevada,
Support Division 1600 N. Broadway Washington.
Suite 100 Santa Ana, CA 92706-3927 For
programmatic information contact:
Rhonda J. Rivera, rhonda--j.--
[email protected] 1-888-827-5605 x3210.
------------------------------------------------------------------------

VIII. Other Information

A. Satellite Broadcast

HUD will hold an informational broadcast via satellite for
potential applicants to learn more about the program and the
application. For more information about the date and time of the
broadcast, consult the HUD Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

B. Public Access, Documentation, and Disclosure

See the General Section of the SuperNOFA for more information on
this topic.

C. Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2502-0261. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, semi-annual reports and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.

Appendix A--Form HUD-9902, Fiscal Year Activity Report

BILLING CODE 4210-32-P

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[[Page 13837]]

Lead-Based Paint Hazard Control Grant Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control
B. Funding Opportunity Title: Lead-Based Paint Hazard Control Grant
Program
C. Announcement Type: Initial announcement
D. Funding Opportunity Number: FR-4950-N-25; OMB Approval Number
2539-0015
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.900
Lead-Based Paint Hazard Control in Privately Owned Housing
F. Dates: For 2005 HUD is accepting electronic applications
utilizing Grants.gov. The application submission date is June 7, 2005.
Applications submitted through www.grants.gov must be received by
Grants.gov no later than 11:59:59 p.m. eastern time on June 7, 2005.
All narrative files and any scanned documents must be submitted as a
zip file, single attachment to the electronic application. See the
General Section for specific instructions for application submissions
procedures, timely filing, methods, acceptable proof of application
submission and receipt procedures, and other information regarding
application submission. Materials associated to your electronic
application submitted by facsimile transmission must also be received
by 11:59:59 p.m. eastern time on the application submission date.
Applicants receiving a waiver of the electronic submission requirement
must submit their application to the United States Postal Service for
delivery no later than 11:59:59 p.m. eastern time on the application
submission date. Please carefully read the submission and timely
receipt requirements in the General Section.
G. Optional, Additional Overview Content Information:
1. Purpose of the Program. The purpose of the Lead-Based Paint
Hazard Control Grant Program is to assist states, Native American
Tribes and local governments in undertaking comprehensive programs to
identify and control lead-based paint hazards in eligible privately
owned housing for rental or owner-occupants.
2. Available Funds. Approximately $93.6 million.
3. Eligible Applicants. To be eligible to apply for funding under
this program, the applicant must be a state, Native American Tribe,
city, county, or similar unit of local government. Multiple units of a
local government (or multiple local governments) may apply as part of a
consortium; however, you must identify a lead applicant that will be
responsible for ensuring compliance with all requirements specified in
this NOFA. If you are a state or Tribal applicant, you must have a
Lead-Based Paint Contractor Certification and Accreditation Program
authorized by the Environmental Protection Agency (EPA). Current
grantees with grants ending after December 31, 2005 are not eligible to
apply.
4. Match. A statutory minimum of 10 percent match is required.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

The Lead-Based Paint Hazard Control Program is authorized by
Section 1011 of the Residential Lead-Based Paint Hazard Reduction Act
of 1992 (Title X of the Housing and Community Development Act of 1992,
Public Law 102-550). HUD's authority for making funding available under
this NOFA is the Consolidated Appropriations Act, 2005. The Lead-Based
Paint Hazard Control Grant Program assists states, Native American
Tribes and local governments in undertaking programs for the
identification and control of lead-based paint hazards in eligible
privately owned rental and owner-occupied housing units. Refer to
Section II.C.2, below, for instructions on downloading a table,
``Eligibility of HUD Assisted Housing,'' that lists the HUD-associated
housing programs that meet the definition of eligible housing under
this program. HUD is interested in promoting lead hazard control
approaches that result in the reduction of elevated blood lead levels
in children for the maximum number of low-income families with children
under six years of age, for the longest period of time, and that
demonstrate techniques which are cost-effective, efficient, and
replicable elsewhere. Copies of HUD's Lead-Safe Housing Regulation, and
the companion publication ``Interpretive Guidance: The HUD Regulation
on Controlling Lead-Based Paint Hazards in Housing Receiving Federal
Assistance and Federally Owned Housing Being Sold,'' are available from
the National Lead Information Clearinghouse at 1-800-424-LEAD (this is
a toll-free number). If you are a hearing- or speech-impaired person,
you may reach the telephone number via TTY by calling the toll-free
Federal Information Relay Service at 1-800-877-8339. Copies are also
available from the Office of Healthy Homes and Lead Hazard Control Web
site at: www.hud.gov/offices/lead.
1. Because lead-based paint is a national problem, these funds will
be awarded to programs which:
a. Maximize the combination of children under six years of age
protected from lead poisoning and housing units where lead-hazards are
controlled;
b. Target the reduction of elevated blood lead levels in children
for the maximum number of low-income families with children under six
years of age, for the longest period of time, and that demonstrate
techniques which are cost-effective, efficient, and replicable
elsewhere.
c. Stimulate cost-effective approaches that can be replicated;
d. Emphasize lower cost methods of hazard control;
e. Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities; and
f. Affirmatively further fair housing and environmental justice.
2. The objectives of this program include:
a. Implementation of a national strategy, as defined in Title X of
the Housing and Community Development Act of 1992 (42 U.S.C. 4851 et
seq.) (Title X), to build the community's capacity necessary to
eliminate lead-based paint hazards in housing, as widely and quickly as
possible by establishing a workable framework for lead-based paint
hazard identification and control;
b. Mobilization of public and private resources, involving
cooperation among all levels of government, the private sector, and
grassroots community-based nonprofit organizations, including faith-
based organizations, to develop cost-effective methods for identifying
and controlling lead-based paint hazards;
c. Development of comprehensive community approaches which result
in integration of all community resources (governmental, grassroots
community-based nonprofit organizations, including faith-based
organizations, or other community-based organizations, and private
businesses) to address lead hazards in housing;
d. Integration of lead-safe work practices into housing
maintenance, repair, weatherization, rehabilitation, and other programs
that will continue after the grant period ends;
e. Establishment of a public registry (listing) of lead-safe
housing or inclusion of the lead-safe status of properties in another
publicly accessible address-based property information

[[Page 13838]]

system to be affirmatively marketed to families with young children;
and
f. To the greatest extent feasible, promotion of job training,
employment, and other economic opportunities for low-income and
minority residents and businesses that are owned by and/or employ
minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR
33881, June 30, 1994).
3. Changes in FY2005 Competitive NOFA.
a. The page limit for the narrative response to the rating factors
has been reduced from 25 to 15 pages.
b. Applicants are to complete and submit the Rating Factor Tables
included in Section IV of this NOFA.
c. The minimum percentage of the federal funds requested identified
for direct lead hazard control activities has been increased from 60 to
65 percent with temporary relocation now included as a direct lead
hazard control activity. Direct lead hazard control activities consist
of dust testing, combined lead paint inspection and risk assessments,
interim controls, abatement of lead hazards, temporary relocation, and
clearance examinations. Direct hazard control activities do not include
blood lead testing of residents or workers, housing rehabilitation,
training, community education and outreach, applied research, purchase
of supplies or equipment, or administrative costs.

II. Award Information

A. Funding Available

Approximately $93.6 million will be available for the Lead-Based
Paint Hazard Control Grant Program. Approximately 32 to approximately
40 grants will be awarded. Grant award amounts shall be from
approximately $1 million up to a maximum of $3 million per grant. Of
the total grants, a maximum of $32.7 million will be made available to
applicants eligible for a Competitive Performance-Based Renewal grant,
as defined below in Section III.A.1.b. Competitive Performance-Based
Renewal award amounts shall be approximately $2 million up to a maximum
of $4 million per grant. We anticipate awarding approximately seven to
approximately ten grants to Competitive Performance-Based Renewal
applicants. Approximately $60.9 million will be awarded to new, current
and previously funded applicants not awarded Competitive Performance-
Based Renewal grants, as defined below in Section III.A.1.a. Grant
award amounts for these grants shall be from approximately $1 million
up to a maximum of $3 million per grant. The project duration shall be
36 months for all grant recipients. Period of performance extensions
for delays due to exceptional conditions beyond the grantee's control
will be considered for approval by HUD in accordance with 24 CFR
85.25(e)(2) and the OHHLHC Program Guide. Such extensions, when
granted, are one time only, and for no longer than a period of one
year.

B. Contracts or Other Formal Arrangements With Grassroots Community-
Based Nonprofit Organizations, Including Faith-Based Organizations

If selected for funding, local and State applicants are encouraged
to enter into formal arrangements with grassroots community-based
nonprofit organizations, including faith-based organizations. (This
does not apply to Native American Tribes.) These formal arrangements
could be a contract, a Memorandum of Understanding (MOU), a Memorandum
of Agreement (MOA), or a letter of commitment. Such relationships
should be established prior to the actual execution of an award or
within 120 days of the effective start date of the grant agreement.

III. Eligibility Information

See the General Section for additional eligibility requirements
applicable to HUD Programs.

A. Eligible Applicants

1. To be eligible to apply for funding under this program, the
applicant must be a State; Native American tribal government; or a
city, county, or similar unit of local government. Multiple units of a
local government (or multiple local governments) may apply as part of a
consortium; however, you must identify a lead applicant that will be
responsible for ensuring compliance with all requirements specified in
this NOFA. State government and Native American tribal applicants must
have an EPA approved State Program for certification of lead-based
paint contractors, inspectors, and risk assessors in accordance with 40
CFR 745. Current grantees with grants ending after December 31, 2005
may not apply under this NOFA.
a. ``General applicants'' are new applicants, previously funded
lead-based paint hazard control grantee applicants whose period of
performance ended prior to the NOFA publication date, and current
grantees with grants ending on or before December 31, 2005 (including
those who are not awarded under the Competitive Performance-Based
Renewal category), and will be evaluated and scored as a separate
group. Grantee applicants that are eligible to compete under the
Competitive Performance-Based Renewal category will be evaluated and
scored as a separate group.
b. Eligible Applicants for Competitive Performance-Based Renewal
Grants. Current grantees with grants ending on or before December 31,
2005 must meet specific competitive performance criteria outlined in
Section III.A.3, below, for the period ending March 31, 2005 to be
eligible for a Competitive Performance-Based Renewal Grant. Eligible
applicants that do not receive funding under the Competitive
Performance-Based Renewal category will be evaluated and scored in the
General applicant category. Unsuccessful applicants under the
Competitive Performance-Based Renewal category will be evaluated and
scored in the general applicant category. If your requested funding
amount for a Competitive Performance-Based Renewal application exceeds
$3 million, and if you wish to be considered for a General category
grant should you not be funded for a Competitive Performance-Based
Renewal grant, you must submit a separate application for the General
category with a funding request not exceeding $3 million in order to be
considered for funding in the General category if your Competitive
Performance-Based Renewal grant application is not funded.
2. Applicants may submit only one application for each category in
which you are eligible to apply. If a single applicant submits multiple
applications, this will be considered a technical deficiency and the
application review process delayed until the applicant notifies HUD in
writing which application should be reviewed. Your other applications
will be returned without being rated or ranked.
3. Minimum Eligibility Criteria for Competitive Performance-Based
Renewal Grants Eligibility Criteria For Period Ending March 31, 2005 *

[[Page 13839]]

------------------------------------------------------------------------
Percent of grant
agreement
Percent of grant federal funds
agreement units reimbursed
Calendar quarter of grant expiration completed and through the line
cleared of credit
control system
(LOCCS)
------------------------------------------------------------------------
April-June.......................... 100 80
July-September...................... 95 75
October-December.................... 80 60
------------------------------------------------------------------------

* Based on Quarterly Progress Reporting Data submitted to HUD for
the reporting period ending March 31, 2005.
By achieving the above-referenced minimum level of performance both
for percent of units cleared and grant award disbursement (as reported
through LOCCS), current grantees are eligible for competition under the
Competitive Performance-Based Renewal category for receiving additional
funds.
4. Existing grantees awarded grant funds under this category will
be required to meet the terms and conditions of their current grant
agreement and any additional applicable requirements under this NOFA
and subsequent grant agreement modification. HUD may terminate awards
to grantees that fail to meet established milestones or benchmark
performance standards established by this NOFA or the Award Agreement.

B. Cost Sharing or Matching

You must provide a matching contribution of at least 10 percent of
the requested grant sum. This may be in the form of cash, including
private sector funding, or in-kind (non-cash) contributions or a
combination of these sources. With the exception of Community
Development Block Grant (CDBG) funds, Federal Revenue Sharing programs,
or other programs which by statute allow their funds to be considered
local funds and therefore eligible to be used as matching funds,
federal funds may not be used to satisfy the statutorily required 10
percent matching requirement. Federal funds may be used, however, for
contributions above the statutory requirement. If an applicant does not
include the minimum 10% match in the application, it will be considered
ineligible for an award. The applicant must submit a letter of
commitment for the match from each organization other than itself that
is providing a match, whether cash or in-kind. The letter must describe
the contributed resources that you will use in the program and their
designated purpose. The signature of the authorized official on the
Form SF-424 commits matching or other contributed resources of the
applicant organization. A separate letter from the applicant
organization is not required.

C. Other

1. Eligible Activities
All lead hazard control activities must be conducted in compliance
with the applicable requirements of HUD's Lead-Safe Housing Regulation,
24 CFR Part 35, and as clarified in HUD's Interpretive Guidance about
the rule located at http://www.hud.gov/offices/lead. Activities must
also comply with any additional requirements in effect under a state or
Tribal Lead-Based Paint Training and Certification Program that has
been authorized by the EPA pursuant to 40 CFR 745.320.
There are, in general, four categories of expenditures under this
grant program, as are discussed below. They are: direct costs for lead
hazard identification control activities, direct costs for other
activities, indirect costs, and administrative costs.
a. Direct Lead Hazard Identification and Control Activities. The
proposed budget must show a minimum of 65 percent of the total Federal
amount requested identified for direct lead hazard control activities.
Direct lead hazard control activities consist of dust testing, combined
lead paint inspection and risk assessments, interim controls, abatement
of lead hazards, temporary relocation of occupants when lead hazard
control intervention work is conducted in a unit, and clearance
examinations. Direct hazard control activities do not include blood
lead testing of residents or workers, housing rehabilitation beyond
what is specifically required to carry out effective hazard control,
and without which the hazard control could not be completed and
maintained, training, community education and outreach, applied
research, purchase of supplies or equipment, or administrative costs.
The remaining 35 percent of the funds are to be used for other direct
costs, including those discussed in Section III.C.1.b below, or
indirect costs. See budget section IV.B.1.c(4), below, for discussion
of these cost limits.
(1) Performing dust testing, combined lead-based paint inspections
and risk assessments, and engineering and architectural activities that
are required for, and in direct support of, interim control and lead
hazard abatement work, of eligible housing units constructed prior to
1978 to determine the presence of lead-based paint and/or lead hazards
from paint, dust, or soil through the use of acceptable testing
procedures. The purchase or lease of a maximum of two X-ray
fluorescence analyzers used by the grant program, if not already
available, are eligible costs. All test results must be provided to the
owner of the unit, together with a notice describing the owner's legal
duty to disclose the results to tenants and buyers.
(2) Conducting lead hazard control activities that may include any
combination of the following strategies. All lead hazards identified in
a housing unit or common area of multifamily housing enrolled in this
grant program must be controlled or eliminated by any combination of
these strategies.
(a) Interim controls of lead-based paint hazards including lead-
contaminated soil in housing (that must include specialized cleaning
techniques to address lead dust), according to the HUD Guidelines,
located at http://www.hud.gov/offices/lead.
(b) Abatement. The complete abatement of all lead-based paint
hazards in a unit or structure is acceptable if it is cost-effective.
Abatement of lead-contaminated soil should be limited to areas with
bare soil in the immediate vicinity of the structure, i.e. drip line or
foundation of the unit being treated, and children's play areas.
(3) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
These grant funds may be used for lead hazard control work done in
conjunction with other housing rehabilitation programs. HUD encourages
integration of this grant program with housing rehabilitation,
maintenance,

[[Page 13840]]

weatherization, and other energy conservation activities.
(4) Conducting clearance dust-wipe testing and laboratory analysis
(the laboratory must be recognized by EPA's National Lead Laboratory
Accreditation Program (NLLAP) as being capable of performing lead
analyses of samples of paint, dust-wipes, and/or soil).
(5) Purchasing or leasing supplies having a per-unit cost under
$5,000.
(6) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors.
b. Eligible Other Direct Costs that you or your sub-recipients may
undertake, include:
(1) Carrying out temporary relocation of families and individuals
during the period in which hazard control is conducted and until the
time the affected unit receives clearance for re-occupancy. If families
or individuals are temporarily relocated in a project which utilizes
Community Development Block Grant funds, the guidance and requirements
of 24 CFR 570.606(b)(2)(i)(D)(1)-(3) must be met. HUD recommends you
review these regulations when preparing your proposal.
(2) Conducting targeted community awareness, affirmative marketing,
education or outreach programs on lead hazard control and lead
poisoning prevention designed to increase the ability of the program to
deliver lead hazard control services including educating owners of
rental properties, tenants, and others on the Residential Lead-Based
Paint Hazard Reduction Act, Lead-Safe Housing Rule, and applicable
provisions of the Fair Housing Act especially as it pertains to
familial status (i.e. families with children) and disability
discrimination, and offering educational materials in languages other
than English that are common in the community, consistent with HUD's
published LEP Recipient Guidance, 68 FR 70968, and providing training
on lead-safe maintenance and renovation practices and management. Upon
request, this also would include making all materials available in
alternative formats to persons with disabilities (e.g., Braille, audio,
and large type).
(3) Supporting data collection, analysis, and evaluation of grant
program activities. This includes compiling and delivering such
information and data as may be required by HUD. This activity is
separate from administrative costs.
(4) Preparing a final report at the conclusion of grant activities.
(5) Conducting required pre-hazard control blood lead testing of
children under six years of age residing in units undergoing lead paint
inspection/risk assessment, or hazard control, unless reimbursable from
Medicaid or another source.
(6) Providing resources to build capacity for lead-safe housing and
lead hazard control, including free delivery of HUD-approved lead-safe
work practices training courses for housing rehabilitation contractors,
rehabilitation workers, homeowners, renters, painters, remodelers,
maintenance staff, and others conducting renovation, rehabilitation,
maintenance or other work in private housing; free delivery of lead
sampling technician training, lead-based paint worker or contractor
certification training; and subsidies for licensing or certification
fees to low-income persons seeking credentials as lead-based paint
workers or contractors or lead sampling technicians.
(7) Providing instruction, training, materials and supplies for
dust control activities to grassroots community-nonprofit based
organizations, including faith-based organizations, or other community-
based organizations, parent organizations, homeowners, and renters in
low-income private housing.
(8) Conducting planning, coordination, and training activities to
comply with HUD's Lead-Safe Housing Rule (24 CFR Part 35). These
activities should support the expansion of a workforce properly trained
in lead-safe work practices which is available to conduct interim
controls on HUD assisted housing covered by these regulations. The
regulation and interpretive guidance about the rule are available from
the National Lead Information Center at 1-800-424-LEAD (this is a toll-
free number). If you are a hearing- or speech-impaired person, you may
reach the telephone number via TTY by calling the toll-free Federal
Information Relay Service at 1-800-877-8339. Copies are also available
from the HUD Web site at: http://www.hud.gov.
(9) Participating in applied research, studies, or developing
information systems to enhance the delivery, analysis, or conduct of
lead hazard control activities, or to facilitate targeting and
consolidating resources to further childhood lead poisoning prevention
efforts.
2. Eligibility of HUD-Assisted Housing. The chart ``Eligibility of
HUD-Assisted Housing,'' posted at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, lists the housing units that may participate
under the Lead Hazard Control Grant Program. Only those HUD-assisted
units on the list are eligible to participate and receive Lead-Based
Paint Hazard Control Grant funds.
3. Threshold Requirements. As an eligible applicant, you must meet
all of the threshold requirements in Section III.C of the General
Section as well as any specific threshold requirements listed in this
subsection. Applications will not be funded if they do not meet the
threshold requirements.
a. Applicants are required to match 10 percent of the grant funds
requested with other funds or resources.
b. EPA Authorization. If you are a State government or Indian
(Native American) Tribal government, you must have an EPA-authorized
Lead-Based Paint Training and Certification Program in effect on the
application deadline date to be eligible to apply for Lead Based Paint
Hazard Control Grant funds. The approval date in the Federal Register
notice published by the EPA will be used in determining the Training
and Certification status of the applicant state or Indian (Native
American) Tribal government. If you do not have an EPA authorized
program, the application will not be rated or ranked.
c. DUNS Requirement. You will need to obtain a Dun and Bradstreet
Universal Data Numbering System (DUNS) number in order to register and
submit your electronic application on line through http://www.grants.gov. To obtain a DUNS number your can follow the directions
on HUD's grants page at http://www.hud.gov/offices/adm/grants/duns.cfm
or at http://www.grants.gov/GetStarted.
4. Program Requirements
a. Environmental Requirements. Recipients of lead-based paint
hazard control grants must comply with 24 CFR Part 58, ``Environmental
Review Procedures for Entities Assuming HUD Environmental
Responsibilities.'' Recipients and other participants in the project
are prohibited from committing or expending HUD and non-HUD funds on
the project until HUD approves the recipient's Request for the Release
of Funds (form HUD 7015.15) or the recipient has determined that the
activity is either Categorically Excluded, not subject to the related
Federal laws and authorities pursuant to 24 CFR 58.35(b) or exempt
pursuant to 24 CFR 58.34. For Part 58 procedures, see http://
www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For
assistance, contact Karen Choi, the Office of Healthy Homes and Lead
Hazard Control Environmental Officer at (213) 534-2458 (this is not a
toll free-number) or the HUD Environmental Review Officer in the HUD
Field Office serving your area. If you are a hearing-

[[Page 13841]]

or speech-impaired person, you may reach the telephone number via TTY
by calling the toll-free Federal Information Relay Service at 1-800-
877-8339. Recipients of a grant under this funded program will be given
additional guidance in these responsibilities.
b. Executive Order 13202. Compliance with HUD regulations at 24 CFR
5.108 that implement Executive Order 13202, ``Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally-Funded Construction
Projects,'' is a condition of receipt of assistance under this NOFA.
c. Administrative Requirements.
(1) Lead-Based Paint Hazard Reduction Act (Title X of the Housing
and Community Development Act of 1992), Section 1011 of Title X.
Section 217 of Public Law 104-134 (the Omnibus Consolidated Rescissions
and Appropriations Act of 1996, 110 Stat. 1321, approved April 26,
1996) amended Section 1011(a) of the Residential Lead-Based Paint
Hazard Reduction Act of 1992 (Title X) to read as follows: ``Sec.1011.
Grants for Lead-Based Paint Hazard Reduction in Target Housing
``(a) General Authority. The Secretary is authorized to provide
grants to eligible applicants to target the reduction of elevated blood
lead levels in children for the maximum number of low-income families
with children under six years of age in housing that is not federally
assisted housing, federally owned housing, or public housing, for the
longest period of time, and that demonstrate techniques which are cost-
effective, efficient, and replicable elsewhere. Grants shall only be
made under this section to provide assistance for housing that meets
the following criteria--
``(1) for grants made to assist rental housing, at least 50 percent
of the units must be occupied by or made available to families with
incomes at or below 50 percent of the area median income level and the
remaining units shall be occupied or made available to families with
incomes at or below 80 percent of the area median income level, and in
all cases the landlord shall give priority in renting units assisted
under this section, for not less than 3 years following the completion
of lead abatement activities, to families with a child under the age of
six years, except that buildings with five or more units may have 20
percent of the units occupied by families with incomes above 80 percent
of area median income level.
``(2) for grants made to assist housing owned by owner-occupants,
all units assisted with grants under this section shall be the
principal residence of families with income at or below 80 percent of
the area median income level, and not less than 90 percent of the units
assisted with grants under this section shall be occupied by a child
under the age of six years or shall be units where a child under the
age of six years spends a significant amount of time visiting''. For
the purposes of complying with Section 1011, a unit occupied by a
pregnant woman meets the Congressional intent of promoting primary
prevention and therefore, can be assisted by this program.
(2) Certified and Trained Performers. Funded activities must be
conducted by persons qualified for the activities according to 24 CFR
Part 35 (possessing certification as abatement contractors, risk
assessors, inspectors, abatement workers, or sampling technicians, or
others having been trained in a HUD-approved course in lead-safe work
practices).
(3) Consolidated Plans. (This requirement does not apply to Native
American Tribes.) If your jurisdiction has a current HUD-approved
Consolidated Plan, you must submit, as an appendix, the lead-based
paint element included in the approved Consolidated Plan. If the
Analysis of Impediments (AI) includes references to lead-based paint as
an impediment to fair housing, this should be included in your
application as well. If your jurisdiction does not have a currently
approved Consolidated Plan, but it is otherwise eligible for this grant
program, you must include your jurisdiction's abbreviated Consolidated
Plan, which includes a lead-based paint hazard control strategy
developed in accordance with 24 CFR 91.235. You may provide a currently
validated web site (URL) reference where the required documentation
above is readily accessible for use, instead of submitting the
documentation itself.
(4) Lead hazard evaluation and control work must be conducted in
compliance with HUD's Lead Safe Housing Rule, 24 CFR Part 35, the HUD
Guidelines, and applicable federal, state and local regulations and
guidance.
(5) Prohibited Practices. You must not engage in the following
prohibited practices:
(a) Open flame burning or torching;
(b) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(c) Uncontained hydro blasting or high-pressure wash;
(d) Abrasive blasting or sandblasting without HEPA exhaust control;
(e) Heat guns operating above 1,100 degrees Fahrenheit;
(f) Chemical paint strippers containing methylene chloride or other
volatile hazardous chemicals in a poorly ventilated space; and
(g) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two square feet in any one interior room or space, or totaling no
more than 20 square feet on exterior surfaces.
(6) Written Policies and Procedures. You must have clearly
established, written policies and procedures for eligibility, program
marketing, unit selection, expediting work on homes occupied by
children with elevated blood lead levels, and all phases of lead hazard
control, including risk assessment, inspection, development of
specifications, pre-hazard control blood lead testing, financing,
temporary relocation and clearance testing. Grantees, subcontractors,
sub-grantees, sub-recipients, and their contractors must adhere to
these policies and procedures.
(7) Continued Availability of Lead-Safe Housing to Low-Income
Families. Units in which lead hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income residents as required by Title X (Section 1011). You must
maintain a publicly available registry (listing) of units in which lead
hazards have been controlled and ensure that these units are
affirmatively marketed to agencies and families as suitable housing for
families with children under six years of age. The grantee must also
notify the owner of the lead hazard evaluation and control information
generated by activities under this grant, so that the owner will comply
with disclosure requirements under 24 CFR part 35, Subpart A.
(8) Testing. In developing your application budget, include costs
for lead paint inspection, risk assessment, and clearance testing for
each dwelling that will receive lead hazard control, as follows:
(a) General. All testing and sampling shall conform to the current
HUD Guidelines and federal, state, or tribal regulations developed as
part of the appropriate contractor certification program, whichever is
more stringent. It is particularly important to provide this full cycle
of testing for lead hazard control, including interim controls. Testing
must be conducted according to the HUD Guidelines, located at http://
www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, and the
EPA lead hazard standards rule at 40 CFR

[[Page 13842]]

part 745. All test results must be provided to the owner in a timely
fashion.
(b) Lead-Based Paint and Lead-Based Paint Hazard Identification. A
combined lead-based paint inspection and risk assessment is required.
You should ensure that lead paint inspection and risk assessment
reports are conducted in accordance with established protocols and
sufficient to support hazard control decisions.
(c) Clearance Testing. Clearance testing shall be completed in
accordance with Chapter 15 of the HUD Guidelines and the EPA lead
hazards standards rule at 40 CFR part 745 for abatement projects and
the Lead-Safe Housing Regulation (24 CFR part 35) for lead hazard
control activities or other abatement. The clearance standards shall be
the more restrictive of those set by the local jurisdiction, EPA, or
HUD. In accordance with the HUD Guidelines, Table 7.3, for multi-family
residential properties, clearance can be done on randomly selected
units, and credit will be given for the entire project represented by
the units that were randomly selected. If rehabilitation is conducted
in conjunction with lead hazard control, clearance may be conducted
either after the lead hazard control work is completed, and again after
any subsequent rehabilitation work is completed, or after all of the
lead hazard control and rehabilitation work is completed. Clearance
shall be successfully completed before re-occupancy.
(d) Blood lead testing. Each occupant who is under six years of age
should be tested for lead poisoning within the six months preceding the
housing intervention. Any child with an elevated blood lead level must
be referred for appropriate medical follow-up. The standards for such
testing are described in the Centers for Disease Control and Prevention
(CDC) publications Preventing Lead Poisoning in Young Children (1991),
and Screening Young Children for Lead Poisoning: Guidance for State and
Local Public Health Officials (1997).
(9) Cooperation With Related Research and Evaluation. You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
EPA or other government agency and associated with this grant program,
including preservation of project data and records and compiling
requested information in formats provided by the researchers,
evaluators or HUD. This also may include the compiling of certain
relevant local demographic, dwelling unit, and participant data not
contemplated in your original proposal. Participant data shall be
subject to Privacy Act protection.
(10) Data collection. You will be required to collect and maintain
the data necessary to document the various lead hazard control methods
used and the cost of these methods. You should have a data archiving
and electronic data backup system.
(11) Section 3 Employment Opportunities. Please refer to Section
III.C of the General Section. The requirements of Section 3 of the
Housing and Urban Development Act of 1968 are applicable to this
program. In your application you should demonstrate how you will ensure
that, to the greatest extent feasible, training, employment, and other
economic opportunities will be directed to low- and very-low income
persons, particularly those who are recipients of government assistance
for housing, and business concerns that provide economic opportunities
to low- and very low-income persons. If you are funded, you will be
required to submit Form HUD-60002 annually.
(12) Replacing Existing Resources. Funds received under this grant
program shall not be used to replace existing community resources
dedicated to any ongoing project.
(13) Certifications and Assurances. By submitting your application,
you are making the certifications and assurances listed in section
IV.B.1.b.
(14) Conducting Business in Accordance with HUD Core Values and
Ethical Standards. Refer to the General Section for information about
conducting business in accordance with HUD's core values and ethical
standards.
(15) Lead-Safe Work Practice Training Activities. Applicants are
encouraged to provide resources to promote the expansion of a workforce
properly trained in lead-safe work practices and which is available to
conduct interim controls and/or lead hazard abatement as well as follow
lead-safe work practices while performing work on HUD assisted housing
units per the provisions of the HUD Lead-Safe Housing Rule, 24 CFR
35.1330(a)(4)(iii)(v), and to safely repair, rehabilitate, and maintain
other privately-owned residential property.
(16) By September 30, 2006, grantees are to participate in an
established statewide or jurisdiction-wide strategic plan to eliminate
childhood lead poisoning as a major public health problem by 2010, or
are to assist in the development of such a plan in states or localities
that do not have such a strategic plan. (Further guidance will be
provided to grantees on developing a strategic plan.) Applicants shall
demonstrate the nature of their collaboration with Centers for Disease
Control and Prevention (CDC) funded Childhood Lead Poisoning Prevention
grantees, which are now required to develop such plans, and the local
CDC subgrantee(s), where they exist for the grant's proposed target
area(s). A list of CDC childhood lead poisoning prevention programs can
be downloaded from www.cdc.gov/nceh/lead/grants/contacts/
keyContacts.htm. The CDC strategic elimination plans for state and
local childhood lead poisoning prevention programs can be downloaded
from http://www.cdc.gov/nceh/lead/Strategic%20Elim%20Plans/
strategicplans.htm.
Applicants shall include an outline of the steps that they will
take to participate in or develop a statewide or jurisdiction-wide
strategic plan. At a minimum, the plan must include the following
elements:
(a) Mission Statement;
(b) Purpose and Background on Lead Poisoning Prevalence;
(c) Goals, Objectives, and Activities; and
(d) Evaluation Plan.
(17) Coordination among Critical Agencies. Submit documentation of
the existence and nature of formal cooperation regarding childhood lead
poisoning prevention programs among health agencies, housing agencies,
community development agencies, and code enforcement agencies (or
equivalent) for their target area(s) local jurisdiction(s), and, for
state or tribal applicants, for their state or tribal health agencies,
housing agencies, development agencies. and code enforcement agencies
(or equivalent). Documentation shall include memoranda of agreement,
memoranda of understanding, operating plans, or similar materials that
describe the coordinated childhood lead poisoning prevention effort.
Where local or state governments have combined two or more of these
functions into a larger organization, the documentation may be from
either the individual component entities or the larger organization. As
part of this documentation, describe how the health department and the
housing and/or development agency will consider enrolling housing units
(or multifamily buildings) in which one or more children under age 6
years have elevated blood lead levels, with priority to housing where
repeated and/or severe cases of childhood lead poisoning have occurred.
(Because of the presence of a variety of priorities, it is not a
requirement that units with lead-poisoned children be enrolled, but the

[[Page 13843]]

process for giving such units high priority should be described and
implemented.)
(18) Work Plan. For all grantees, the work plan shall consist of
the goals and specific time-phased objectives established for each of
the major activities and tasks required to implement the program. These
major activities and tasks are outlined in the Quarterly Progress
Reporting System (Form-HUD-96006) and include: Program Management and
Capacity Building including data collection and program evaluation;
Community Education, Outreach and Training; and Lead Hazard Activities
including testing, interventions conducted, and temporary relocation.
(a) You should provide documentation that addresses your
jurisdiction's Consolidated Plan for pursuing goals for community
planning and development programs and housing programs, the Community
is tasked to address lead and other housing-related issues that affect
the health of residents. The Notice of Funding Availability (NOFA)
under which you received federal funding requires that your program
submit ``a copy of the lead hazard control element included in your
current program year's Consolidated Plan. (This does not apply to
Native American Tribes) You should include the discussion of any lead-
based paint issues in your jurisdiction's Analysis of Impediments,
particularly as it addresses your target areas.'' In accordance with
the requirements set forth in the NOFA, your work plan must include a
detailed strategy to:
(i) Obtain data from state or local health departments on the
addresses of housing units in which children have been identified as
lead poisoned, as required by 24 CFR 91.100(a)(2).
(ii) Formalize commitments, or provide documentation of
commitments, with applicable state or local health and child welfare
agencies, community development organizations, and housing agencies to
team with the HUD Lead Hazard Control grantee to identify and address
childhood lead poisoning in your jurisdiction collaboratively, and
describe your methods for coordinating among these agencies.
(iii) Address issues of patient confidentiality raised by the
Health Insurance Portability and Accountability Act of 1996 (HIPAA) as
it relates to the release of addresses of units where children have
been poisoned by lead-based paint hazards within your jurisdiction; in
addition, provide thorough details of all security measures to be taken
to ensure that the privacy of patient information obtained for the
purposes of public health services conducted through the lead hazard
control program will be safeguarded.
(iv) Describe how lead hazard units, especially those known to
contain EBL children, will be identified, selected, prioritized, and
considered for treatment under this grant and/or other programs of the
grantee or grantee's team members. You must demonstrate how you
consider housing units identified by local health and child welfare
agencies where incidences of childhood lead poisoning have occurred,
particularly those where multiple poisonings have been reported, for
enrollment into lead hazard control treatment programs.
(b) Demonstration of specific steps and/or actions that will be
taken to ensure that other resources in the community are utilized to
increase funding, to locate and provide training, and to link with
other local programs engaged in lead hazard control activities;
(c) The management plan that describes how the project will be
managed, and the timeline for staffing the program, establishing a
lead-based paint contractor pool, and obtaining HUD approval for the
Release of Funds Request (HUD Form 7015.15);
(d) Detailed description of how assistance and funding will flow
from the grantee to the actual performers of the hazard reduction work;
(e) Detailed description of the selection process for sub-grantees,
sub-contractors, or sub-recipients;
(f) Description of the financing mechanism used to support lead
hazard control work in units (name of administering agency, eligibility
requirements, type of financing (grant, forgivable or deferred loans,
private sector financing etc.), any owner matching requirement, and the
terms, conditions, and amounts of assistance available (include
affordability terms and forgiveness and recapture of funds provisions);
(g) Combined lead inspection and risk assessment testing procedures
using EPA standards to identify lead hazards and to conduct clearance
testing. [Dust wipe samples, soil samples and any paint samples to be
analyzed by a laboratory must be analyzed by a laboratory recognized by
the EPA National Lead Laboratory Accreditation Program (NLLAP)];
(h) The process for developing work specifications and bids on
properties selected for lead hazard control;
(i) The specific intervention methods and clearance procedures to
be conducted for units enrolled;
(j) The number of rental-occupied, vacant, and owner-occupied units
proposed for interim controls and hazard abatement;
(k) The relocation plan that will be carried out for residents
required to be out of their homes during hazard control activities;
(l) The education, outreach, and training activities to be
undertaken by the program;
(m) The blood lead testing and other health measures to be
undertaken to protect children under six, and other occupants of units
undergoing lead hazard control work; and
(n) The evaluation process used to measure program performance,
with particular attention given to program performance in the five key
areas evaluated by OHHLHC on a quarterly basis (cf. NOFA Rating Factor
5 response): number of units inspected and risk assessed; number of
units cleared of lead hazards; the amount of grant funds disbursed
through the LOCCS system; the number of persons reached through
outreach and education efforts; and, the number of persons trained in
lead hazard control courses.
(o) Objectives and Milestones. Measurable quarterly performance
objectives include:
(i) The overall objectives for lead hazard control activities
including the total number of lead hazard evaluations, units projected
to be completed and cleared, and the expenditure of Federal grant funds
(HUD Agreement Form HUD-1044). Quarterly performance milestones are to
be developed to achieve the overall objectives for these activities;
(ii) The overall objectives for community education, outreach, and
training activities. Quarterly performance milestones are to be
developed to achieve the overall objectives for these activities;
(iii) Quarterly performance benchmarks. The benchmarks for a 36-
month grant are on the Work Plan Development Worksheet with Minimum
Benchmark Standards for 36 Months--Form HUD-96008. You can download
Form HUD-96008 from http://www.hud.gov/offices/adm/grants/fundsavail.cfm, and can also find it on the HUD OHHLHC web site at:
http://www.hud.gov/offices/lead/grantfrm/hudgrantee.cfm. Development of
your work plan should include and reflect the benchmark standards.
(19) A detailed budget submission which identifies the total budget
(Federal share and matching

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contribution) identified on Form HUD 424CB with supporting narrative
and cost justifications for all budget categories of your grant
request. You must provide a separate estimate for the overall grant
management element (Administrative Costs), which is more fully defined
in Section IV.E of this NOFA. The budget shall include not more than 10
percent for administrative costs and not less than 90 percent for
eligible direct costs. A minimum of 65 percent of the total federal
amount requested must be dedicated to direct lead hazard control
activities. (Applicants are to identify the direct lead hazard control
costs that meet this requirement.) A table, ``Summary of Budget
Category Funding Limits,'' that can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm, shows the funding limits
for the three categories, direct lead hazard identification and control
activities, administrative costs, and total of other direct costs and
indirect costs.
You must provide a detailed budget for any subcontractors,
subgrantees, or subrecipients receiving greater than 10 percent of the
federal budget request. In the event of a discrepancy between grant
amounts requested in various sections of the application, the amount
you indicate on the Form SF-424 will govern as the correct value.
(19) If your program includes conducting research involving human
subjects in a manner which requires Institutional Review Board (IRB)
approval and periodic monitoring under 24 CFR 60, which incorporates
the Department of Health and Human Service's regulations at 45 CFR 46,
subpart A, address how you will obtain such approval and your
monitoring plan (before you can receive funds from HUD for activities
that require IRB approval, you must provide an assurance that your
study has been reviewed and approved by an IRB and evidence of your
organization's institutional assurance). Describe how you will provide
informed consent (e.g., from the subjects, their parents, or their
guardians, as applicable) to help ensure their understanding of, and
consent to, the elements of informed consent, such as the purposes,
benefits, and risks of the research. Describe how this information will
be provided and how the consent will be collected. For example,
describe your use of `plain language' forms, flyers, and verbal
scripts, and how you plan to work with families with limited English
proficiency or primary languages other than English, and with families
which include persons with disabilities.

IV. Application and Submission Procedures

A. Address To Request Application Package

See the General Section for specific procedures concerning the
electronic application submission requirements. Be advised that there
is no Application Kit for this Lead Hazard Control Grant Program. All
the information required to submit an application is contained in this
Notice of Funding Availability (NOFA).
Guidebook and Further Information. A guidebook to HUD programs
entitled, ``Connecting with Communities: A User's Guide to HUD Programs
and the FY2005 NOFA Process,'' is available from the HUD NOFA
Information Center and the HUD Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The guidebook provides a brief description
of all HUD programs, identifies eligible applicants for the programs,
and provides examples of how programs can work in combination to serve
local community needs. You can also get a copy from the NOFA
Information Center at (800) HUD-8929, or for the hearing impaired,
(800) HUD-2209 (TTY) (these are toll-free numbers). You can obtain
copies of the guidebook from HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The Grants.gov support desk is 1-
800-518-Grants or by e-mail at support@Grants.gov. This help desk
provides information on accessing and submitting the application.

B. Content and Form of Application Submission

Application Submission Requirements for eligible Applicants (this
includes General category applicants and those applicants qualifying
for consideration under the Competitive Performance-based Renewal
category). Applicants eligible to apply under this NOFA are to follow
the submission requirements described in Section IV.B.1.a. below.

1. Applicant Information

a. Application Format. The application narrative response to the
Rating Factors from new and eligible prior grantees is limited to a
maximum of 15 pages (excluding appendices and worksheets) of size 8\1/
2\'' x 11'' using a 12-point (minimum) font with not less than \3/4\''
margins on all sides. Appendices should be referenced and discussed in
the narrative response. Materials provided in the appendices should
directly apply to the specific rating factor narrative. Information
that is not referenced or does not directly apply to a specific
narrative response may not be rated or ranked by reviewers.
b. Application Checklist (Voluntary). Your application must contain
all of the required information noted in this NOFA and the General
Section. These items include the standard forms, and the certifications
and assurances listed in the General Section that are applicable to
this NOFA. The forms required for application submission and
instructions can be found in the application at www.grants.gov. Make
sure you see the General Section for how to submit third party letters
and other documents as part of your electronic submission utilizing
form HUD-96011, Facsimile Transmittal. The ``Checklist and Submission
Table of Contents'' below includes a listing of the required items
needed for submitting a complete application and receiving
consideration for funding. In the Checklist and Submission Table of
Contents, note the corresponding page number where the response is
located. Inclusion of this Checklist and Submission Table of Contents
with your proposal is recommended but not required.

Checklist and Submission Table of Contents--Lead-Based Paint Hazard
Control Grant Program

[sbull] Application Checklist (Paper copy applications only)
[sbull] Applicant Abstract (limited to a maximum of 2 pages)
[sbull] Rating Factor Response (limited to a maximum of 15
narrative pages plus the following forms)
1. Capacity of the Applicant and Relevant Organizational
Experience--Form HUD-96012
2. Needs/Extent of the Problem--Form HUD-96013
3. Soundness of Approach (Work Plan/Budget)--Form HUD-96014; and
Work Plan Development Worksheet with Minimum Benchmark Standards for 36
Months--Form HUD-96008
4. Leveraging Resources--Form HUD-96015
5. Achieving Results and Program Evaluation--Logic Model--Form HUD-
96010
[sbull] Required materials in response to rating factors (does not
count towards 15-page limit)
Application for Federal Assistance--Form SF-424
Survey on Ensuring Equal Opportunity for Applicants--Form SF-424
Supplement
Grant Application Detailed Budget--HUD-424CB--Grant Application
Detailed Budget Worksheet--HUD-424CBW, Total Budget (Federal Share

[[Page 13845]]

and Matching) with Supporting Narrative and Cost Justification
Disclosure and Update Report--Form HUD-2880
Certification of Consistency with the RC/EZ/EC-II Strategic Plan--
Form HUD-2990
Certification of Consistency with the Consolidated Plan--Form HUD-
2991
Disclosure of Lobbying Activities (if applicable)--Form SF-LLL
Facsimile Transmittal (for electronic applications)--Form HUD-96011
Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers, including the required information (if applicable)--Form HUD-
27300, including required documentation or URL references--
Acknowledgment of Application Receipt (for paper copy submissions
only)--Form HUD-2993
Client Comments and Suggestions--Form HUD-2994 (optional)
[sbull] Threshold Requirements
Lead-Based Paint Element in Consolidated Plan 10 Percent Matching
Contribution
[sbull] Material in support of the Rating Factors (20 page limit)
Budget.
Matching Contribution. An itemized breakout of your required
matching contribution, including:
Values placed on donated in-kind services;
Letters or other evidence of commitment from donors; and
The amounts and sources of contributed resources.
Grant Team Members. Contracts, Memoranda of Understanding or
Agreement, letters of commitment or other documentation describing the
proposed roles of agencies, local broad-based task forces,
participating grassroots community-based nonprofit organizations,
including faith-based organizations, local businesses, and others
working with the program.
Consolidated Plan Element. A copy or URL reference to the lead
hazard control element included in your current program year's
Consolidated Plan. (This does not apply to Native American Tribes.) You
should include the discussion of any lead-based paint issues in your
jurisdiction's Analysis of Impediments, particularly as it addresses
your target areas.

C. Submission Dates and Times

1. Application Submission Dates
The application submission date is June 7, 2005. Refer to the
General Section for additional submission requirements including
submission methods, proof of delivery, and other information regarding
electronic application submission via Grants.gov.

D. Intergovernmental Review

Not required.

E. Funding Restrictions

1. Ineligible Activities
You may not use grant funds for the following ineligible
activities:
a. Purchase of real property.
b. Purchase or lease of equipment having a per unit cost in excess
of $5,000, except for the purchase of X-ray fluorescence analyzers.
c. Chelation or other medical treatment costs related to children
with elevated blood lead levels. Non-federal funds used to cover these
costs may be counted as part of the required matching contribution.
d. Lead hazard control activities in publicly owned housing, or
project-based Section 8 housing (This housing stock is not eligible
under Section 1011 of the Lead-Based Paint Hazard Reduction Act).
e. Activities that do not comply with the Coastal Barrier Resources
Act (16 U.S.C. 3501).
f. Lead-based paint hazard control of a building or manufactured
home that is located in an area identified by the Federal Emergency
Management Agency (FEMA) under the Flood Disaster Protection Act of
1973 (42 U.S.C. 4001-4128), as having special flood hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
2. Administrative Costs
There is a 10 percent maximum for administrative costs as specified
in Section 1011(j) of the Residential Lead-Based Paint Hazard Reduction
Act of 1992 (Title X of the Housing and Community Development Act of
1992, Public Law 102-550). Additional information about allowable
administrative costs is provided below.
a. Purpose. The intent of this HUD grant program is to allow the
grantee to be reimbursed for the reasonable direct and indirect costs,
for the overall management of the grant. In most instances the grantee,
whether a state or a local government, principally serves as a conduit
to pass funding to sub-grantees, which are to be responsible for
conducting lead-hazard reduction work. Program planning and management
costs of sub-grantees and other sub-recipients are not included in the
10 percent maximum for grantee administrative costs. Congress set a
maximum of 10 percent of the total grant sum for the grantee to perform
the function of overall management of the grant program, including
passing on funding to sub-grantees. The cost of that function, for the
purpose of this grant, is defined as the ``administrative cost'' of the
grant, and is limited to ten percent of the total grant amount. The
balance of ninety percent or more of the total grant sum is reserved
for sub-grantees or other direct-performers of lead-hazard
identification and reduction work including relocation. For purposes of
the Lead-Based Paint Hazard Control Grant Program, lead hazard
identification and reduction includes lead paint inspection/risk
assessments, interim controls, and abatement of lead hazards, clearance
testing, and relocation.
b. Administrative Costs: What They Are Not. For the purposes of
this HUD grant program for States and local governments to provide
support for the evaluation and reduction of lead-hazards in low- and
moderate-income, private target housing, the term ``administrative
costs'' should not be confused with the terms ``general and
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair
share of an organization's costs that cannot be attributed to a
particular project or department (such as the chief executive's salary
or the costs of the organization's headquarters building) to all
projects and operating departments (such as the Fire Department, the
Police Department, the Community Development Department, the Health
Department or this program). Such allocated costs are added to those
projects' or departments' direct costs to determine their total costs
to the organization.
c. Administrative Costs: What They Are: For the purposes of this
HUD grant program, ``Administrative Costs'' are the grantee's allowable
direct costs for the overall management of the grant program plus the
allocable indirect costs. The allowable limit of such costs that can be
reimbursed under this program is 10 percent of the total grant

[[Page 13846]]

sum. Should the grantee's actual costs for overall management of the
grant program exceed ten percent of the total grant sum, those excess
costs shall be paid for by the grantee. However, excess costs paid for
by the grantee may be shown as part of the requirement for cost-sharing
funds to support the grant.
d. Administrative Costs Definition: (1) General: Administrative
costs are the allowable, reasonable, and allocable direct and indirect
costs related to the overall management of the HUD grant for lead-
hazard reduction activities. Those costs shall be segregated in a
separate cost center within the grantee's accounting system, and they
are eligible costs for reimbursement as part of the grant, subject to
the ten percent limit. Such administrative costs do not include any of
the staff and overhead costs directly arising from specific sub-grantee
program activities eligible under this NOFA, because those costs are
eligible for reimbursement under a separate cost center as a direct
part of project activities.
The grantee may elect to serve solely as a conduit to sub-grantees,
who will in turn perform the direct program activities eligible under
this NOFA, or the grantee may elect to perform all or a part of the
direct program activities in other parts of its own organization, which
shall have their own segregated, cost centers for those direct program
activities. In either case, not more than 10 percent of the total HUD
grant sum may be devoted to administrative costs, and not less than 90
percent of the total grant sum shall be devoted to direct program
activities. The grantee shall take care not to mix or attribute
administrative costs to the direct project cost centers. (2) Specific.
Reasonable costs for the grantee's overall grant management,
coordination, monitoring, and evaluation are eligible administrative
costs. Subject to the ten percent limit, such costs include, but are
not limited to, necessary expenditures for the following goods,
activities and services: (a) Salaries, wages, and related costs of the
grantee's staff, the staff of affiliated public agencies, or other
staff engaged in grantee's overall grant management activities. In
charging costs to this category the recipient may either include the
entire salary, wages, and related costs allocable to the program for
each person whose primary responsibilities (more than 75 percent of
their time) with regard to the grant program involve direct overall
grant management assignments, or the pro rata share of the salary,
wages, and related costs of each person whose job includes any overall
grant management assignments. The grantee may use only one of these two
methods during this program. Overall, grant management includes the
following types of activities:
(i) Preparing grantee program budgets and schedules, and amendments
thereto;
(ii) Developing systems for the selection and award of funding to
sub-grantees and other sub-recipients;
(iii) Developing suitable agreements for use with sub-grantees and
other sub-recipients to carry out grant activities;
(iv) Developing systems for assuring compliance with program
requirements;
(v) Monitoring sub-grantee and sub-recipient activities for
progress and compliance with program requirements;
(vi) Preparing presentations, reports, and other documents related
to the program for submission to HUD;
(vii) Evaluating program results against stated objectives;
(viii) Providing local officials and citizens with information
about the overall grant program; however, a more general education
program, helping the public understand the nature of lead hazards, lead
hazard reduction, blood-lead screening, and the health consequences of
lead poisoning is a direct project support activity);
(ix) Coordinating the resolution of overall grant audit and
monitoring findings; and
(x) Managing or supervising persons whose responsibilities with
regard to the program include such assignments as those described in
paragraphs (a) through (i).
(b) Travel costs incurred for official business in carrying out the
overall grant management;
(c) Administrative services performed under third party contracts
or agreements, for services directly allocable to grant management such
as: legal services, accounting services, and audit services;
(d) Other costs for goods and services required for and directly
related to the overall management of the grant program; and including
such goods and services as telephone, postage, rental of equipment,
renter's insurance for the program management space, utilities, office
supplies, and rental and maintenance (but not purchase) of office space
for the program.
(e) The fair and allocable share of grantee's general costs that
are not directly attributable to specific projects or operating
departments such as salaries, office expenses and other related costs
for local officials (e.g., mayor and city council members, etc.), and
expenses for a city's legal or accounting department which are not
charged back to particular projects or other operating departments. If
a grantee has an established burden rate, it should be used; if not,
the grantee shall be assigned a negotiated provisional burden rate,
subject to final audit.
3. Sixty-five percent (65 percent) of the total Federal funds
requested must be used for direct lead hazard control activities. The
remaining 35 percent of the funds can be used for other direct or
indirect costs.

F. Other Submission Requirements

Beginning in FY2005, HUD requires applicants to submit applications
electronically through Grants.gov. Applicants interested in applying
for funding must submit their application electronically via the Web
site http://www.grants.gov unless you request and are granted a waiver
to the electronic submission requirements. This site has easy to follow
step-by-step instructions that will enable you to apply for HUD
assistance. The www.grants.gov Web site includes a simple, unified
application process to enable applicants to apply for grants online.
See section IV.F of the General Section for additional information on
the electronic process and how to request a waiver from the
requirement.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points Maximum)
This factor addresses your organizational capacity necessary to
successfully implement the proposed activities in a timely manner. All
applicants must respond to this Rating Factor. The rating of the
``applicant'' or the ``applicant's staff'' for technical merit or
threshold compliance, unless otherwise specified, includes any
grassroots community-based nonprofit organizations, including faith-
based organizations, sub-contractors, consultants, sub-recipients, and
members of consortia that are firmly committed to your project.
In rating this factor, HUD will consider: the applicant's recent,
relevant, and successful demonstrated experience (including working
with governments, parent groups, and grassroots community-based
nonprofit organizations, including faith-based organizations) to
undertake eligible program activities. Applicants are to identify the
organizations or entities that will assist the applicant in
implementing the program. The applicant must describe the knowledge and
experience of the current or

[[Page 13847]]

proposed overall project director and day-to-day program manager in
planning and managing large and complex interdisciplinary programs,
especially involving housing rehabilitation, public health, or
environmental programs. The applicant must demonstrate that it has
sufficient personnel or will be able to retain qualified experts or
professionals, and be prepared to perform lead hazard evaluation, lead
hazard control intervention work, and other proposed activities within
120 days of the effective date of the grant award. HUD reserves the
right to terminate the grant if sufficient personnel or qualified
experts are not retained within these 120 days. In the narrative
response for this factor, you should include information on your
program staff, their experience, their commitment to the program,
salary information, and position titles. Resumes (for up to three key
personnel) or position descriptions for those key personnel to be
hired, and a clearly identified organizational chart for the lead
hazard control grant program effort (and for the overall organization)
must be included in an appendix. Indicate the percentage of time that
key personnel will devote to all lead hazard control projects (see
Factor 1 Table--Key Personnel and Partners). The applicant's day-to-day
program manager must be experienced in the management of housing
rehabilitation or lead hazard control, childhood lead poisoning
prevention, or similar work involving project management, and must be
dedicated to the proposed program for a minimum of 75 percent of the
time. The applicant should provide a description of any previous
experience in enrolling units and in completing lead hazard control
work, housing rehabilitation or other work in a timely and effective
manner. Describe how any other principal components of your agency,
other public entities, or other organizations will participate in
implementing or otherwise supporting or participating in the grant
program. You may demonstrate capacity by thoroughly describing your
prior experience in initiating and implementing lead hazard control
efforts and/or related environmental, health, or housing projects. You
should indicate how this prior experience will be used in carrying out
your proposed comprehensive Lead-Based Paint Hazard Control Grant
Program.
a. All Current or Previous HUD Lead-Based Paint Grantees (including
Competitive Performance-Based Renewal applicants). If the applicant
received previous HUD Lead-Based Paint Hazard Control Grant funding,
this past experience will be evaluated in terms of cumulative progress
and achievements under the previous grant(s). If the applicant has
received multiple HUD Lead Hazard Control Grants, performance under the
most recent grant award will be primarily evaluated. The applicant must
provide a description of its progress and performance implementing the
most recent grant award including the total number of housing units
enrolled, assessed, and completed and cleared as a result of program
efforts. The applicant must also describe outcomes, capacity building
efforts and impediments experienced during a previous Lead Hazard
Control Grant program. Other work plan activities and tasks associated
with implementing HUD's Lead-Safe Housing Regulation, integrating lead-
safe work practices into the private market, and promoting effective
education, outreach, and other training activities should be described.
The applicant should also describe specific instances where the program
has contributed positive impacts in the community, and indicate what
activities were undertaken to develop, enhance or expand the local
infrastructure through collaboration.
HUD's evaluation process will consider an applicant's past
performance record as reported to HUD in effectively organizing and
managing their grant operations, in meeting performance and work plan
benchmarks and goals, and in managing funds, including their ability to
account for funds appropriately, the timely use of funds received
either from HUD or other Federal, State or local programs, and meeting
performance milestones. HUD may also use other information relating to
these items from sources at hand, including public sources such as
newspapers, Inspector General or Government Accountability Office
Reports or Findings, hotline complaints, or other sources of
information that have been proven to have merit.
b. Eligible grantees applying for consideration as Competitive
Performance-Based Renewal Applicants. Competitive Performance-Based
Renewal applicants must include the number of units cleared and the
percentage of the current total award amount disbursed through LOCCS,
as of March 31, 2005, in their response to Rating Factor 1, as
described above in Section V.A.1. All applicants eligible to compete in
the Competitive Performance-Based Renewal category in accordance with
the eligibility table in Section III.A.4 will be evaluated against
other Competitive Performance-Based Renewal category applicants. If a
current lead hazard control grantee does not meet the established
threshold requirements for Competitive Performance-Based Renewal, the
application will not be considered under this category.
(1) Rating Factor 1 will be scored according to the applicant's
current grant performance using the Competitive Performance-Based
Renewal Score Table below. Although the narrative response to Factor 1
will not be initially reviewed, you must state your LOCCS and Units
Cleared performance data in the narrative response to Factor 1 to be
considered under the Competitive Performance-based Renewal category.
The Factor will be scored up to 20 points using the score tables below.
(a) Unit Production (15 points). The percentage of units completed
and cleared as of March 31, 2005. Grantees whose percentage of units
completed and cleared in their current agreement meets or exceeds the
performance criteria in the table, ``Competitive Performance-Based
Score Table for Units Completed and Cleared Based on Period of
Performance End-Date,'' that can be downloaded from www.hud.gov/offices/adm/grants/fundsavail.cfm, will be awarded points based on the
table. Points will be awarded for the percentage of housing units
cleared, compared to the commitment in the existing lead hazard control
grant, with the number of points depending on the 2005 calendar year
quarter (second, third or fourth) in which the grant expires. A grantee
whose performance does not meet the performance criteria for its ending
performance period quarter is ineligible for a Competitive-Based
Renewal grant.
(b) Cumulative LOCCS Drawdowns (5 Points). The cumulative drawdowns
from LOCCS as a percentage of the federal funds awarded in their
current agreement as of March 31, 2005. Grantees whose percentage of
cumulative LOCCS drawdowns in their current agreement meets or exceeds
the performance criteria below will be awarded points based in the
table, ``Competitive Performance-Based Score Sheet for Federal Funds
Reimbursed through the Line of Credit Control system (LOCCS) Based on
Period of Performance End-Date,'' that can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm, will be awarded points
based on the table. Points will be awarded for the percentage of
Federal funds reimbursed through LOCCS, compared to the commitment in
the existing lead hazard

[[Page 13848]]

control grant, with the number of points depending on the 2005 calendar
year quarter (second, third or fourth) in which the grant expires. A
grantee whose performance does not meet the performance criteria for
its ending performance period quarter is ineligible for a Competitive-
Based Renewal grant.
(2) Once all eligible Competitive Performance-Based Renewal
applicants have been evaluated, scored and ranked, any application not
awarded funding in this category will receive consideration as a
current or previously funded applicant in the General applicant
category using the applicant's narrative responses to Rating Factors 1
through 5 according to V.A.1(a)(2). The Competitive Performance-Based
Renewal Score Tables will not be used to figure scoring in this
circumstance. The Factor will be scored up to 20 points.
d. All applicants are to complete the Factor 1 Table to support the
narrative information submitted.
2. Rating Factor 2: Needs/Extent of the Problem (20 Points Maximum)
This factor addresses the extent to which there is a need for the
proposed program to address a documented problem related to lead-based
paint and lead-based paint hazards in your identified target area(s).
An applicant will be scored in this rating factor based on their
documented need as evidenced by thorough, credible, and appropriate
data and information. The evaluation will be based only on the
applicant's documentation of the data submitted. The data submitted in
response to this rating factor will be verified using data available
from the Census, HUDuser, other data available to HUD and/or in
cooperation with the Centers for Disease Control and Prevention. The
applicant is to complete the Factor 2 Table--Need/Extent of the Problem
in Section IV of this NOFA.
A maximum of 20 Points will be awarded in this rating factor based
on the information documenting the number of children with an elevated
blood lead level, the number of pre-1978 housing units, and the number
and percentage of families with incomes at or below 80% of the Area
Medium Income as determined by HUD within your jurisdiction and/or
target areas.
a. Documented Number of Children with an Elevated Blood Lead (EBL)
(10 Points Maximum).
Provide the actual number of children documented as having an
elevated blood lead (EBL) residing within the applicant's jurisdiction
for the most recent complete calendar year and identify the source of
the data. Data prior to calendar year 2001 will not be accepted. States
must report the number in the city, county, or other area where funds
will actually be used. Consortia of local governments must report the
number in the cities or counties making up the consortium. For the
purposes of this application, the ``documented number of children''
with an EBL is based on the CDC level of concern. A child under six
years of age with a blood lead level test result equal to or greater
than 10 micrograms of lead per deciliter of blood, which was performed
by a medical health care provider is considered to have an EBL. The
actual number of children with an EBL (not an estimate) must be
reported to HUD in order to receive points for this sub-factor. Do not
send the children's names or addresses or other identifiers. Failure to
provide this number in the application means that no points will be
awarded for this sub-factor. For you to receive maximum points for this
rating factor there must be a direct relationship between your proposed
lead hazard control activities and the documented community needs.
Since an objective of the program is to prevent at-risk children from
being poisoned, specific attention must be paid to documenting the
identified need as it applies to any selected targeted area(s).
Applicants are to use the Factor 2 Table to document the target
area(s) need:
Points based on the documented number of children with an EBL will
be awarded based on the chart below.
(1) Applicants are to complete the Factor 2 Table to document the
number of children with an elevated blood lead level. Points will be
awarded based on the documented number of children with an elevated
blood lead level according to the table, ``Points Awarded for Number of
Children Under Age 6 Years with an Elevated Blood Lead Level in Target
Area,'' that can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The table shows the number of points awarded
based on the number of children with an elevated blood lead level in
the grant target area(s).
b. Housing market data relevant to the specified target area(s)
Housing Age for the following sub-categories: Pre-1940, 1940-1949,
1950-1959, 1960-1969, 1970-1979 and 1980 or newer (Census information
includes 1970-1979 category). (5 Points Maximum). Points will be
awarded for the number of pre 1940 occupied rental units in the
applicant's jurisdiction according to the table, ``Points Awarded for
Number of Pre-1940 Occupied Rental Housing Units in Target Area,'' that
can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The table shows the number of points awarded based on
the number of pre-1940 occupied rental housing units in the grant
target area(s).
c. The number and percentage of very-low (income less than 50
percent of the area median) and low- (income less than 80 percent of
the area median) income families, as determined by HUD (http://
www.huduser.org), with adjustments for smaller and larger families
(Very-Low and Low-Income Population) (5 Points Maximum). Points will be
awarded for the percentage of very low (up to 50 percent of area median
income for the jurisdiction) and low-income (up to 80 percent of area
median income for the jurisdiction) families in the target area,
according to the table, ``Points Awarded for Number of Very Low and
Low-Income Percentages of Families in Target Area,'' that can be
downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
The table shows the number of points awarded based on the number of
very low and low-income percentages of families in target area(s).
3. Rating Factor 3: Soundness of Approach (30 Points)
This factor addresses the quality and cost-effectiveness of your
proposed work plan. Applicants should develop a work plan that includes
specific, measurable, and time-phased objectives for each major program
activity. The applicant's work plan should reflect benchmark standards
for production, expenditures, and other activities that have been
developed by the Office of Healthy Homes and Lead Hazard Control. These
benchmark standards, as well as policy guidance on developing work
plans have been included in this NOFA and are available at the HUD web
site at: http://www.hud.gov/offices/lead/grantfrm/hudgrantee.cfm. This
policy guidance provides a sample format and outline for developing the
Lead Hazard Control Grant Program Work Plan.
Applicants should describe the proposed activities and provide HUD
with measurable outcome results to be achieved with the requested
funds. Measurable outcome results should be stated in terms relevant to
the purpose of the program funds as a direct result of the work
performed within the performance period of the grant (e.g., estimated
number of units to be made lead-safe, estimated number of children
living in units made lead-safe, estimated number of persons to be
trained to perform lead hazard control activities, estimated number of
educational programs to be presented and/or the

[[Page 13849]]

number of persons to be served by such programs, and the basis for
these estimates). Each proposed activity must be eligible in accordance
with the requirements of this NOFA and meet statutory requirements for
assistance to low- and very low-income persons.
Your response to this factor must include the elements in
paragraphs a. through d. described below:
a. Lead Hazard Control Work Plan Strategy (30 of 40 points).
Describe your work plan goals and specific time-phased strategy to
complete work under the grant within the 36-month or less period of
performance for your lead hazard control grant program. You should
provide the information described in paragraphs (1) and (2) of this
factor.
(1) Implementing a Lead Hazard Control Program (15 points).
Describe how you will implement the strategy for your proposed lead
hazard control program. The description must include information on:
(a) How the project will be organized, managed, and staffed. You
must also identify the specific steps that will be taken to train and
ensure the availability of enough lead-based paint contractors and
workers to conduct lead hazard control interventions, and to perform
other program activities. In addition, you must provide a detailed
description of the selection process for sub-grantees, subcontractors
or sub-recipients, and how assistance and funding will flow from the
grantee to those who will actually perform the work under the grant.
(b) The overall number of eligible privately owned housing units,
especially those known to contain EBL children, scheduled for lead
hazard control intervention work and the strategy for their
identification, selection, prioritization, and enrollment in the
selected target area(s). Explain how you will obtain data from state or
local health departments on the addresses of housing units in which
children have been identified as lead poisoned. Discuss the eligibility
criteria for unit selection and how the program will identify units
that meet these criteria. Explain how you would target resources to
maximize the return on investment from grant funding. As funding is a
constraint for this program, it is imperative to maximize the impact of
grant dollars. Include in this discussion your proposed technical
approach and how this choice addresses local conditions and needs as
well as attempting to maximize the number of children protected from
lead hazards. As there are a variety of reduction techniques that
grantees can apply to lead hazards, it is important for HUD to be able
to assess the effectiveness of a grantee's choice of a technical
strategy. Explain how referrals of eligible units will be obtained from
childhood lead poisoning prevention programs, other health care or
housing agencies or health providers that serve children. Also, discuss
how referrals from the Section 8/Housing Choice Voucher programs and
other agencies that provide housing assistance to low-income households
with children including CDBG, HOME Investment Partnerships Program-
funded housing programs or other sources will be made. (Include as
attachments any referral agreements, commitment letters or other
documents from other entities that describe their participation in
recruiting eligible units in the lead hazard control grant program; see
Rating Factor 4 Leveraging Resources for additional information
regarding referral agreements. Applicants are to complete the Factor 3
Table).
(c) The degree to which the work plan focuses on eligible privately
owned housing units occupied or to be occupied by low-income families
with children under six years of age. Discuss strategies to control
lead hazards in units where children have already been identified with
an elevated blood lead level (EBL), including your capacity to rapidly
complete lead hazard control work in their units. Demonstrate how you
will consider housing units identified by local health and child
welfare agencies where incidences of childhood lead poisoning have
occurred, particularly those where multiple poisonings have been
reported. Describe your planned approaches to control lead hazards in
vacant and/or occupied units before children are poisoned and your
plans to ensure that the program will continue to affirmatively market
and match these units made lead-safe with low-income families with
children under six years of age in the future. Provide estimates of the
number of low-income children you will assist through this program. You
should describe how the program will respond to the needs of children
with elevated blood lead levels (EBLs) located outside the target
area(s).
(d) Discuss the lead hazard control financing strategy, including
financing eligibility requirements, terms, conditions, dollar limits,
and amounts available for lead hazard control work. Applicants must
also describe how grant funds will be recaptured by the program in the
event that a recipient of grant funds fails to comply with any terms
and conditions of the financing arrangement (e.g. affordability, sale
of property, etc.) You must discuss the way assistance from the grant
funds will be administered to or on behalf of property owners (e.g. use
of grants, deferred loans and/or forgivable loans and the basis and
schedule for forgiveness), and the role of other resources, such as
private sector financing). You should identify the entity that will
administer the financing process and describe how coordination and
payment between the program and contractors performing the work will be
accomplished. Describe matching requirements, if any, proposed for
assistance to rental property owners.
(e) Applicants shall incorporate in their application the approach
of a Statewide or jurisdiction-wide strategic plan to eliminate
childhood lead poisoning as a major public health problem by 2010 (7
points). Describe any formalized commitments, or provide documentation
of commitments, with applicable State or local health and child welfare
agencies, community development organizations, and housing agencies
that have teamed with you to identify and address childhood lead
poisoning in your jurisdiction collaboratively, and describe your
methods for coordinating among these agencies. Address issues of
patient confidentiality raised by the Health Insurance Portability and
Accountability Act of 1996 (HIPAA) as it relates to the release of
addresses of units where children have been poisoned by lead-based
paint hazards within your jurisdiction; in addition, provide thorough
details of all security measures to be taken to ensure that the privacy
of patient information obtained for the purposes of public health
services conducted through the lead hazard control program will be
safeguarded. Applicants are encouraged to include an outline of the
steps that they will take to participate in or develop a statewide or
jurisdiction-wide strategic plan. Applicants are encouraged to
collaborate with Centers for Disease Control and Prevention (CDC)
Childhood Lead Poisoning Prevention grantees, who are now required to
develop such plans. At a minimum, the plan must include the following
elements:
(i) Mission Statement
(ii) Purpose and Background on Lead Poisoning Prevention Prevalence
(iii) Goals, Objectives, and Activities; and
(iv) Evaluation Plan
(f) Community-wide Learning Opportunity (3 points). The Lead-Based
Paint Hazard Control Grant provides an opportunity for learning by
community members, including families, workers,

[[Page 13850]]

small businesses and others, to help develop a strategic community
health educational model that identifies lead-related health hazards
and their solutions, and educates community members and affects wider
efforts in the applicant's targeted area. Applicant shall discuss the
opportunity-to-learn approach to educate children, parents, workers,
businesspeople and other community members about lead poisoning
prevention and lead hazard control. The applicant's proposed
educational program shall continue to meet the needs of those children
already living in units with eligible lead hazards.
(g) Consolidated Plan and Analysis of Impediments to Fair Housing
Choice. You also must provide documentation of the priority that the
community's Consolidated Plan and Analysis of Impediments to Fair
Housing Choice has placed on addressing the needs you described. (This
section does not apply to Native American Tribes. However, a Native
American Tribe applicant may use the Indian Housing Plan to document
how the Indian Housing Plan addresses the need for lead hazard control
grant activities.) You should describe how your proposed program will
contribute to satisfying the stated needs in the Consolidated Plan or
Indian Housing Plan, and eliminating impediments identified in the
Analysis of Impediments (AI). Also describe how your proposed program
will further and support the policy priorities of the Department:
including promoting healthy homes and the quality of housing. The
applicant should describe its activities that remove barriers to
affordable housing within their communities or support such efforts at
the state and local level. This priority relates to HUD's Strategic
Goal for Increasing Homeownership Opportunities and Promoting Decent
Affordable Housing. In addition, applicants should describe how your
strategy will provide long-term benefits to families with children
under six years of age, and whether any of the proposed activities will
occur in an Empowerment Zone (EZ), Renewal Community (RC), or
Enterprise Community, designated by USDA in round II (EC-IIs), that are
intended to serve the residents of these areas, and that are certified
to be consistent with the area's strategic plan or RC Tax Incentive
Utilization Plan (TIUP), and how they will benefit the residents of
those zones or communities.
(h) All test results related to lead-based paint or lead-based
paint hazards must be provided to the owner of the unit, together with
a statement describing the owner's legal duty to disclose the results
to tenants (before initial leasing, or before lease renewal with
changes) and buyers (before sale) if the housing was constructed before
1978 (24 CFR Part 35, subpart A). This information provided to owners
may only be used for purposes of remediation of lead-based paint and
other hazards in the unit. Disclosure of other identified housing-
related health or safety hazards to the owner of the unit, for purposes
of remediation, is encouraged but not required. Submission of any
information on the properties to databases (whether web site, computer,
paper, or other format) of addresses of identified, treated or cleared
housing units is subject to the protections of the Privacy Act of 1974,
and shall not include any personal information that could identify any
child affected.
(2) Technical Approach/Performance (15 points).
(a) Describe your process for the conduct of a combined lead-based
paint inspection and risk assessment lead hazard evaluation in units of
eligible privately owned housing to confirm that there are lead-based
paint hazards in the housing units where lead hazard control is
undertaken.
(b) Describe your testing methods, schedule, and costs for
performing blood lead testing in children under six, combined lead-
based paint inspections and risk assessments and clearance examinations
to be used. If you propose to use a more restrictive standard than the
HUD/EPA thresholds (e.g., less than 0.5 percent or 1.0 [mu]g/square
centimeter for lead in paint, or less than 40, 250, 400 [mu]g/square
foot for lead in dust on floors, sills and troughs, respectively); or
400 ppm in bare soil in children's play areas and 1200 ppm for bare
soil in the rest of the yard), identify the standard(s) that will be
used. All testing shall be performed in accordance with applicable
regulations.
(c) Describe the lead hazard control methods and strategies you
will undertake and the number of units you will treat for each method
selected (interim controls or hazard abatement). Research has shown
that interim controls generally yield the best benefit/cost ratio among
technological approaches for eliminating lead hazards. Applicants
should assume that interim controls are the preferred approach for
their strategies and project unit output targets accordingly. If
applicants maintain that approaches other than interim controls are
necessary for their jurisdiction, they should explain why this is the
case. For example, abatement might be justified in an area where
significant amounts of low-income housing stock are highly distressed
or where lead hazard work is being combined with rehabilitation. Where
highly distressed stock is present, applicants should explain why
options for households to move to lead-safe housing are not viable.
(i) Complete abatement of all lead painted surfaces in all units is
generally not acceptable as a strategy. In cases where only a few
surfaces have lead hazards in a specific unit and abatement is cost-
effective, the applicant must provide a detailed rationale for
selecting complete abatement as a strategy.
(ii) Describe the process for developing work specifications and
bids on properties selected for lead hazard control.
(iii) Provide an estimate of the per unit costs (and a basis for
those estimates) for each lead hazard control method proposed and a
schedule for initiating and completing lead hazard control work in the
selected units. Discuss efforts to incorporate cost-effective lead
hazard control methods. Explain your cost estimates, providing detail
on how the estimates were developed, with particular references to cost
effectiveness.
(d) Schedule. Provide a realistic schedule for completing key
activities, by quarter, so that all activities can be completed before
or within the period of performance of the grant. Key production
activities include enrollment of units, paint inspections/risk
assessments, and completion/clearance of units. When developing the
schedule, the applicant shall take into consideration their previous
experience and performance in administering similar lead hazard control
or rehabilitation programs.
(e) Timeframes. Describe the estimated elapsed timeframe for
treating a typical unit that will receive lead hazard control,
including referral/intake, enrollment (qualification of the unit as
eligible), combined lead-based paint inspection/risk assessments,
preparation of specifications or work write-up, selection of the
contractor, lead hazard control intervention work activities, quality
control and monitoring of work activities, and clearance. The timeframe
should include an estimate of the staff and contractor time required to
treat a typical unit that will receive lead hazard control. Describe
the schedule for emergency referrals (e.g. unit occupied by a child
under six years of age with an elevated blood lead level). List the
type of unit (e.g., owner-occupied, rental, or vacant) and the number
of units projected in each of the following

[[Page 13851]]

categories: Lead-based paint inspections/risk assessments; interim
controls; hazard abatement; and clearance examinations.
(f) Workflow and Production Control. Provide guidelines and/or
flowcharts showing agency/team member responsibilities for each step in
the process (from intake to clearance) and describe/show how
coordination and hand-offs will be handled. Discuss how the actual
production status of units, from intake to final clearance, will be
monitored, and how and when production bottlenecks will be identified,
remedied, and monitored.
(g) Describe how you will integrate proposed lead hazard control
activities with rehabilitation activities, including providing the
training needed to create a workforce properly trained in lead-safe
work practices for units assisted or rehabilitated under other HUD
programs, and any collaboration with local housing or health
departments, rehabilitation programs or community development
corporations to stage lead hazard control and rehabilitation in the
same units.
(h) Describe your contracting process, including development of
specifications or adoption of existing specifications for selected lead
hazard control methods. Describe the management processes you will use
to ensure the cost-effectiveness of your lead hazard control methods.
Your application must include a discussion of the contracting process
for the conduct of lead hazard control activities in the selected
units, and requirements for coordination among lead hazard control,
rehabilitation, weatherization, and other contractors.
(i) Describe your plan for occupant protection or the temporary
relocation of the occupants of units selected and undergoing lead
hazard control work. Describe any plan to avoid overnight relocation in
small-scale projects consistent with 24 CFR 35.1345(a)(2) and HUD's
Lead Safe Housing Rule (24 CFR part 35) Interpretive Guidance,
including items J24, R18, and R19. Your work plan should address the
use of safe houses and other temporary housing arrangements, storage of
household goods, stipends, incentives, etc.
b. Economic Opportunity (4 of 40 points).
(1) Describe the ways you will train individuals and contractors in
housing related trades, such as painters, remodelers, renovators,
maintenance personnel, rehabilitation specialists, and others in lead-
safe work practices.
(2) Describe how you will help to integrate lead-safety into other
housing activities, such as meeting the requirements of the HUD Lead-
Safe Housing Regulation in housing units rehabilitated or assisted with
federal funds.
(3) Describe the methods to be used to provide economic
opportunities for residents and businesses throughout the community
within the target area. This discussion should include information on
how you will promote training, employment, business development, and
contract opportunities as part of your lead hazard control program.
Grantees must comply with Section 3 of the Housing and Urban
Development Act of 1968 (12 U.S.C. 1701u) and HUD's implementing rules
at 24 CFR part 135. Describe how you will accomplish the requirement by
(a) providing training and employment opportunities for low and very
low-income persons living within the grantee's jurisdiction, and by (b)
providing business opportunities to businesses owned by low and very
low-income persons living within the grantees jurisdiction. Applicants
that provide training, employment or business opportunities for low-
and very low-income persons will receive one point in this sub factor.
c. Lead Hazard Control Outreach and Community Private Sector
Involvement (4 of 40 points). Applicants are encouraged to solicit
participation of grassroots community-based and private sector
organizations, including faith-based organizations; and other
community-based and private sector organizations; to accomplish
outreach and community involvement activities and to build long-term
capacity to sustain accomplishments in the target area. Applicants that
team with, fund, or subcontract with grassroots community-based
nonprofit organizations, including faith-based organizations, will
receive one point in this-sub factor. Your application must describe:
(1) Proposed methods of community education. These may include
community awareness, education, training, and outreach programs in
support of the work plan and objectives. This description should
include general and/or targeted efforts undertaken to assist your
program in reducing lead exposure. Programs should be culturally
sensitive, targeted, and linguistically appropriate. Upon request, this
would include making materials available in alternative formats to
persons with disabilities (e.g., Braille, audio, large type), and in
other languages common to the community to the extent possible.
(2) Strategy for involving neighborhood or grassroots community
based nonprofit organizations, including faith-based organizations, in
your proposed activities. Your activities may include training
(including training residents to screen houses through visual
assessment and sampling), outreach, community education, marketing,
inspection (including dust lead testing), and the conduct of lead
hazard control activities. HUD will evaluate the proposed level of
substantive involvement of such organizations during the review
process.
(3) Strategies and methodologies that affirmatively further fair
housing and increase access to lead-safe housing for all segments of
the population: homeowners, owners of rental properties, and tenants.
This outreach should address ways to avoid housing discrimination
against families with young children, and ways to ensure that all
families will have adequate, lead-safe housing choices in the future.
These strategies could include your plans to develop and implement a
registry (listing) of lead-safe housing that is available to the
public, or to incorporate the inclusion of the lead-safe status of
properties in another publicly accessible address-based property
information system. The strategy could also include affirmatively
marketing your services to those populations least likely to apply and
who may not be served by any of the organizations working with you on
the grantee team.
d. Data Collection and other Program Support Activities (2 of 40
points).
(1) Identify and discuss the specific methods you will use (in
addition to HUD reporting requirements) to document activities,
progress, program effectiveness, and how changes necessary to improve
performance will be implemented. Describe how you will obtain, document
and report on information collected.
(2) Provide a detailed description of any proposed participation in
research activities, studies, or development of information systems
designed to enhance the delivery, analysis, or conduct of lead hazard
control activities, or that will facilitate the targeting and pooling
of resources to further childhood lead poisoning prevention efforts. If
you are proposing to participate in research activities, describe the
objectives, methodology, and impact at the local level of the proposed
research activities.
4. Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses your ability to obtain other community and
private sector resources that can be combined with HUD's program
resources to achieve program objectives. In evaluating this factor, HUD
will consider the extent to which you have

[[Page 13852]]

established working relationships with other entities to get additional
resources or commitments to increase the effectiveness of the proposed
program activities. Resources may include cash or in-kind contributions
of services, equipment, or supplies allocated to the proposed program.
Resources may be provided by governmental entities, public, or private
organizations, and other entities teaming with you. Leveraging
arrangements with rental property owners may have the benefits of
increasing the efficiency of public lead hazard identification and
control expenditures and creating a financial stake for rental property
owners in the quality of lead hazard control work. Contractual or other
formal relationships with grassroots community-based nonprofit
organizations, including faith-based organizations, are a requirement
for State and local government applicants. Documentation of
relationships with grassroots community-based nonprofit organizations,
including faith-based organizations, must be provided in this
application in the form of either signed agreements or commitment
letters from organization officials who have the authority to commit
the organization. This requirement does not apply to Native American
Tribe applicants. You also may team with other program funding
recipients to coordinate the use of resources in your target area(s).
(1) You should detail any activities to increase the understanding
of lead poisoning prevention in your community. This could include
teaming with childhood lead screening programs, collaboration with
ongoing health, housing or environmental research efforts which could
result in a greater availability of resources, and efforts to build
capacity for lead-safe housing.
(2) Matching funds must be shown to be specifically dedicated to
and integrated into supporting the lead-based paint hazard control
program. Refer to Section III. B. Cost Sharing or Matching Requirements
for additional information. You may not include any federal funds as
part of the 10 percent match, unless those funds are specifically
permitted by statute to be used as matching funds, such as CDBG funds.
Other resources from the private sector or other sources committed to
the program that exceed the required 10 percent match will provide
points for this rating factor. Contributions above the first 10 percent
may include funds from other federally funded programs, and/or state,
local, charity, nonprofit or for-profit entities. The signature of the
authorized official on the Form SF-424 commits matching or other
contributed resources of the applicant organization. A separate letter
of commitment for the match from the applicant organization is not
required; however, the applicant must submit a letter of commitment
from each organization other than itself that is providing a match,
whether cash or in-kind, both for the required minimum and additional
amounts. The letter must describe the contributed resources that you
will use in the program and their designated purpose. Staff in-kind
contributions should be given a monetary value based on the local
market value of the staff skills; you are responsible for tracking the
number of labor hours provided in the match for each labor category. If
you do not provide letters from contributors specifying details and the
amount of the actual contributions, those contributions will not be
counted. Contributions required of rental property owners may be
included as part of your match. You should document and provide the
amount of the match from each resource.
Applicants will not receive full points under this rating factor if
they do not submit evidence of a firm commitment and the appropriate
use of leveraged resources under the grant program. Such evidence must
be provided in the form of letters of firm commitment, memoranda of
understanding, or other signed agreements to participate from those
entities identified as team members in your application. Each letter of
commitment, memorandum of understanding, or agreement to participate
should include the organization's name, the proposed level of
commitment, and the responsibilities as they relate to your proposed
program. The commitment must be signed by an official of the
organization legally able to make commitments on behalf of the
organization. Describe the role of grassroots community-based nonprofit
organizations, including faith-based organizations, in specific program
activities, such as: hazard evaluation and control; monitoring; and
awareness, education, and outreach within the community. Describe how
you will ensure that commitments to sub-grantees specified in your
proposal will be honored and executed, contingent upon an award from
HUD.
5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points)
(A) This factor emphasizes HUD's commitment to ensuring that
applicants achieve the goals outlined in their work plan and other
benchmark standards and assess their performance to ensure performance
goals are met (5 points). Achieving results means you, the applicant,
have clearly identified the benefits, or outcomes of your program.
Outcomes are ultimate goals. Benchmarks or outputs are interim
activities or products that lead to the ultimate achievement of your
goals.
Program evaluation requires that you, the applicant, identify
program outcomes, interim products or benchmarks, and performance
indicators that will allow you to measure your performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Your Evaluation Plan
should identify what you are going to measure, how you are going
measure it and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes. The degree to which benefits are maximized relative to cost
is important. In particular, different technical approaches vary widely
in cost, but also produce different levels of benefits. Evaluation
should explore how well the technical strategy meets the conditions and
needs found in the grantee's jurisdiction.
This rating factor reflects HUD's goal to embrace high standards of
ethics, management, and accountability. Applicants are required to
complete the HUD 96010 Logic Form included in the General Section.
(1) An applicant is to identify and describe specific methods,
measures, and tools that you will use (in addition to HUD reporting
requirements) to measure progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. Describe how
you will obtain, document, and report the information. In evaluating
this factor, HUD will consider how you have described outcome measures
and benefits of your program including:
(a) The degree to which lead hazard control work will be done in
conjunction with other housing-related activities (i.e.,
rehabilitation, weatherization, correction of code violations, and
other similar work), or your plan for the integration and coordination
of lead hazard control activities into those activities in the future.
(b) Plans to develop public/private lending partnerships to finance
lead hazard control as part of acquisition and rehabilitation financing
such as the use of Community Reinvestment Act ``credits'' by lending
institutions or other financing strategies.
(c) Results of any specific plans and objectives established to
implement

[[Page 13853]]

and/or maintain a registry (listing) of lead-safe housing that is
available to the public, or to incorporate the inclusion of the lead-
safe status of properties in another publicly accessible address-based
property information system. Results could include how the information
would be managed and affirmatively marketed to the public so that
families (particularly low-income families with children under six
years of age) can make informed decisions regarding their housing
options. Prior grantee applicants must address any registry (listing)
of lead-safe housing developed during the prior grant period by
specifically discussing the availability, amount of information
contained, and its maintenance.
(d) The extent to which affirmatively furthering fair housing for
all segments of the population is advanced by the proposed activities.
(This section does not apply to Native American Tribes.) Detail how
your proposed work plan will support the community's efforts to
affirmatively further affordable housing and how you will quantify
results of affirmatively furthering fair housing activities. As part of
the background for your fair housing element of your work plan under
this grant, discuss the impact of prior activities that have
contributed to enhanced lead-safe housing opportunities.
(e) The resulting impact of plans to adopt or amend statutes,
regulations, or policies that will more fully integrate lead hazard
control into community policies and priorities.
(f) How your program will be held accountable for meeting program
goals, objectives, and the actions undertaken in implementing the grant
program. Applicants should provide a description of the mechanism to
assess progress and track performance in meeting the goals and
objectives outlined in the work plan. Applicants should provide
assurances that work plans and performance measures developed for the
program will assist intended beneficiaries, and that work will be
conducted in a timely and cost-effective manner.
(B) Results of activities to coordinate and cooperate with other
organizations that will lead to a reduction in lead risks to community
residents (5 points). This could include documenting such activities
as: free training to create a workforce properly trained in lead safe
work practices; lead-safe work practices training for repainting and
remodeling; promotion of essential maintenance practices; and provision
of lead dust testing to low-income, privately-owned homes which may not
receive lead hazard control assistance under this grant program. This
factor should address the quantitative measures of the following:
(1) Community outreach education that focuses on the outcomes of a
workforce properly trained in lead safe work practices.
(2) Effective outreach education aimed at families, health care
members, and other professional colleagues.
(3) Effective outreach education assessing the needs of families
and communities intended to receive lead hazard control assistance
under this grant program
6. Bonus Points (2 Points)
HUD's FY2005 NOFAs provide for the award of two bonus points for
eligible activities/projects that the applicant proposes to locate in
federally designated Empowerment Zones (EZs), Renewal Community (RC),
or Enterprise Community, designated by USDA in round II (EC-IIs).
Applicants may also meet the requirements listed in the General Section
of this NOFA for a possible award of two bonus points.

B. Reviews and Selection Process

1. Rating and Ranking
Please refer to the General Section. Only those applications that
meet the threshold review requirements will be rated and ranked. HUD
intends to fund the highest ranked applications in each category
receiving a minimum score of 75 within the limits of funding.
a. A current grantee eligible to compete as a Competitive
Performance-Based Renewal Grant applicant will be rated and ranked
based on its demonstrated performance in terms of the number of housing
units completed and cleared (as a percentage of units in current grant
agreement), the cumulative Line of Credit Control System (LOCCS)
drawdowns to date, and the applicant's response to Factors Two through
Five. Performance will be evaluated based upon the quarterly progress
data submitted to HUD for the period ending March 31, 2005 and other
data available to HUD.
Current grantees that are eligible to submit a Performance-Based
Renewal application and are successful applicants will have their
current grant agreement modified to allow for an additional 36-months
grant. The submission requirements for the Performance-Based Renewal
grant can be found in Section IV of this NOFA.
b. Remaining Funds. Refer to the General Section of this NOFA for
HUD's procedures if funds remain after all selections have been made
within a category of the Lead Hazard Control Grant Program.
2. Factors for Award Used to Rate and Rank Applications
a. Implementing HUD's Strategic Framework and Demonstrating
Results. HUD is committed to ensuring that programs result in the
achievement of HUD's strategic mission. To support this effort, grant
applications submitted for HUD programs will be rated on how well they
tie proposed outcomes to HUD's policy priorities and Annual Goals and
Objectives, and the quality of proposed Evaluation and Monitoring
Plans.
HUD is encouraging applicants to undertake specific activities that
will assist the Department in implementing its policy priorities. HUD's
Strategic Goals and Policy Priorities are outlined in the General
Section of this NOFA. For Lead Hazard Control Grant Program applicants,
activities that promote economic opportunities for low-income persons
support HUD's policy priority for Improving the Quality of Life in Our
Nation's Communities. An applicant will be awarded one point under
Rating Factor 3: Economic Opportunities for activities that are
undertaken to specifically address this policy priority. Activities
that promote the participation of grassroots community-based nonprofit
organizations, including faith-based organizations, or community and
parent organizations, support HUD's policy priority for providing full
and equal access to grassroots community-based nonprofit organizations,
including faith-based organizations. An applicant will be awarded one
point under Rating Factor 3: Lead Hazard Control Outreach and Community
Private Sector Involvement for activities undertaken that specifically
addresses this policy priority. For initiatives that break down
regulatory barriers that impede the production of affordable housing,
an applicant will be awarded up to two (2) points under Rating Factor 3
for activities that remove barriers to affordable housing within their
communities or support such efforts at the state and local level. This
priority relates to HUD's Strategic Goal for Increasing Homeownership
Opportunities and Promoting Decent Affordable Housing. Refer to the
General Section for additional details pertaining to this policy
priority. Applicants addressing this policy priority are to complete
Form HUD-27300--Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers, and must include required documentation to receive
policy priority points.
b. The maximum number of points to be awarded is 102. This maximum

[[Page 13854]]

includes two bonus points as described in the General Section.
c. The factors for rating and ranking eligible grantees under all
categories, and the maximum points for each factor are stated below:

------------------------------------------------------------------------
Maximum
Rating factor points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational 20
Experience (or, Units Completed/LOCCS Disbursed by deadline
date for Competitive Performance-Based Renewal Applicants)..
2. Needs/Extent of the Problem............................... 20
3. Soundness of Approach..................................... 40
4. Leveraging Resources...................................... 10
5. Achieving Results and Program Evaluation.................. 10
Empowerment Zone and Enterprise Community Bonus Points....... 2
----------
Total.................................................... 102
------------------------------------------------------------------------

VI. Award Administration Information: Refer to the General Section for
Additional Details on Award Administration

A. Award Notices

1. Successful applicants will receive a letter from the Office of
Healthy Homes and Lead Hazard Control Grant Officer indicating that
they have been selected for an award. This letter will provide
additional details regarding the effective start date of the grant and
any additional data and information to be submitted to execute a grant
agreement. This letter is not an authorization to begin work or incur
costs under the grant. A fully executed grant agreement is the
authorizing document. Unsuccessful applicants will also be notified
that their application was not selected for an award and will be
afforded an opportunity to request a debriefing on the unsuccessful
application according to the procedures outlined in the General
Section.
2. Negotiation. Refer to the General Section for additional
details.
3. Adjustments to Funding. Refer to the General Section for
additional details.

B. Administrative and National Policy Requirements

Refer to the General Section for additional details regarding the
Administrative and National Policy Requirements applicable to HUD
Programs.
1. Flood Disaster Protection Act
Under the Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-
4128), you may not use these grant funds for lead-based paint hazard
control of a building or manufactured home that is located in an area
identified by the Federal Emergency Management Agency (FEMA) as having
special flood hazards unless:
a. The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
b. Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
2. National Historic Preservation Act
The National Historic Preservation Act of 1966 (16 U.S.C. 470) and
the regulations at 36 CFR part 800 apply to the lead-based paint hazard
control activities that are undertaken pursuant to this program. HUD
and the Advisory Council for Historic Preservation have developed an
optional Model Agreement for use by grantees and State Historic
Preservation Officers in carrying out activities under this program.
The Model Agreement may be obtained from the HUD Web site at:
www.hud.gov/utilities/intercept.cfm?/offices/lead/grantfrm/pgi/95--
06.pdf
3. Waste Disposal
You must handle waste disposal according to the requirements of the
appropriate local, state, and federal regulatory agencies. You must
handle disposal of wastes from hazard control activities that contain
lead-based paint, but are not classified as hazardous in accordance
with state or local law or the HUD Guidelines for the Evaluation and
Control of Lead-Based Hazards in Housing (HUD Guidelines). The
Guidelines are available from the HUD Web site at: http://www.hud.gov/
offices/ lead/guidelines/hudguidelines/ index.cfm.
4. Worker Protection Procedures
You must observe the procedures for worker protection established
in the HUD Guidelines, as well as the requirements of the Occupational
Health and Safety Administration (OSHA) (29 CFR 1926.62, Lead Exposure
in Construction), or the State or local occupational safety and health
regulations, whichever are most protective. If other applicable
requirements contain more stringent requirements than the HUD
Guidelines, the more rigorous standards shall be followed.
5. Davis-Bacon Act
The Davis-Bacon Act does not apply to this program. However, if you
use grant funds in conjunction with other federal programs in which
Davis-Bacon prevailing wage rates apply, then Davis-Bacon provisions
would apply to the extent required under the other Federal programs.
6. Procurement of Recovered Materials
See the General Section for information concerning this
requirement.

C. Reporting

Successful applicants will be required to submit quarterly, annual,
and final program and financial reports according the requirements of
the Office of Healthy Homes and Lead Hazard Control. Your quarterly,
annual and final report must include a completed Logic Model form HUD-
96010, approved and incorporated into your award agreement, showing
specific outputs and outcome results against those proposed and
accepted as part of your approved grant agreement. For specific
reporting requirements, see policy guidance: www.hud.gov/offices/lead.
Specific guidance and additional details will be provided to successful
applicants.

VII. Agency Contact(s)

For Further Information and Technical Assistance: You may contact
Jonnette Hawkins, Director, Program Management and Assurance Division,
Office of Healthy Homes and Lead Hazard Control, 451 Seventh Street
SW., Washington, DC 20410-3000, telephone (202) 755-1785, extension 126
(this is not a toll-free number) facsimile (202) 755-1000, e-mail:
[email protected] (use underscores). If you are a hearing-
or speech-impaired person, you may reach the above telephone number via
TTY by calling the toll-free Federal Information Relay Service at 1-
800-877-8339.

VIII. Other Information

Other Office of Healthy Homes and Lead Hazard Control Information:
For additional general, technical, and grant program information
pertaining to the Office of Healthy Homes and Lead Hazard Control,
visit: http://www.hud.gov/offices/lead.
BILLING CODE 4210-32-P

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Healthy Homes Technical Studies Program

Overview Information

A. Federal Agency Name. Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control (OHHLHC).
B. Funding Opportunity Title. Healthy Homes Technical Studies
C. Announcement Type. Initial announcement.
D. Funding Opportunity Number. The Funding Opportunity Number is:
FR-4950-N-26. The OMB Paperwork Approval number is: 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s). 14.906,
Healthy Homes Technical Studies Grant Program.
F. Dates. The application submission date is June 8, 2005. See the
General Section of the SuperNOFA Section IV, Application and Submission
Information, regarding application submission procedures and timely
filing requirements.
G. Additional Overview Content Information.
a. Purpose: To fund technical studies to improve existing methods
for detecting and controlling housing-related health and safety
hazards, to develop new methods, and to improve our knowledge of
housing-related health hazards.
b. Available funding: The total amount to be awarded is
approximately $2 million.
c. Anticipated awards: The anticipated amounts and/or numbers of
individual awards will be approximately 2 to approximately 8 awards,
ranging from approximately $200,000 to approximately $1 million, plus
an award to be made to correct a funding error under the fiscal year
2004 Healthy Homes Technical Studies Program NOFA.
d. Type of awards: The type of award instruments that will be used
are grants or cooperative agreements, with substantial involvement of
the government in the case of cooperative agreements (see Section II.C
for a description of substantial involvement).
e. Eligible applicants: Academic, not-for-profit and for-profit
institutions located in the U.S., state and local governments, and
federally recognized Native American tribes are eligible to apply.
f. Cost sharing is not required; however, applicant ``leveraging''
contributions are encouraged (see Section V.A.3.d).
g. There are no limitations on the number of applications that each
applicant may submit.
h. The applications for this NOFA can be found at http://www.grants.gov. The application is an electronic application. You must
register at http://www.grants.gov to be able to submit your
application. The General Section contains information about submission
requirements and procedures. Please carefully review the General
Section before reading the program section so that you understand HUD's
new electronic application process.

Full Text of Announcement

I. Funding Opportunity Description

A. Purpose of the Program

The overall goal of the Healthy Homes Technical Studies program is
to gain knowledge to improve the efficacy and cost-effectiveness of
methods for evaluation and control of multiple housing-related health
and safety hazards.

B. Program Description

HUD is funding studies to improve HUD's knowledge of housing-
related health hazards, and to improve or develop new hazard assessment
and control methods, with a focus on the key residential health and
safety hazards. Key hazards are described in Appendix A of this NOFA
(the appendices to this NOFA are available on HUD's Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm).
The Healthy Homes Initiative (HHI), which includes the Healthy
Homes Technical Studies Program and the Healthy Homes Demonstration
Grant Program (see the separate funding announcement for this program),
departs from the more traditional approach of attempting to correct one
hazard at a time. In April 1999, HUD submitted to Congress a
preliminary plan containing a full description of the HHI. The
preliminary plan (Summary and Full Report) and a description of the HHI
are available on the HUD Web site at http://www.hud.gov/offices/lead/
hhi/index.cfm.
HUD encourages applicants to consider using the ``community based
participatory research'' approach, where applicable, in the design and
implementation of your healthy homes technical studies application (see
e.g., http://www.niehs.nih.gov/translat/cbpr/cbpr.htm).
A description of current and recently completed Healthy Homes
Technical Studies projects and grantee contact information can be found
on the HUD Web site at http://www.hud.gov/offices/lead/hhi/
hhigranteeinfo.cfm.
In addition to deficiencies in basic housing facilities that may
impact health, changes in the U.S. housing stock and more sophisticated
epidemiological methods and biomedical research have led to the
identification of new and often more subtle health hazards in the
residential environment (e.g., asthma triggers). While such hazards
will tend to be found disproportionately in housing that is substandard
(e.g., structural problems, lack of adequate heat, etc.), such housing-
related environmental hazards may also exist in housing that is
otherwise of good quality. Appendix A of this NOFA briefly describes
the key housing-associated health and injury hazards HUD considers
targets for intervention. Appendix B of this NOFA lists the references
that serve as the basis for the information provided in this NOFA (see
http://www.hud.gov/offices/adm/grants/fundsavail.cfm). HUD has also
developed resource papers on a number of topic areas of importance
under the Healthy Homes Initiative, including mold, environmental
aspects of asthma, carbon monoxide, and unintentional injuries. These
papers can be downloaded from the HUD Web site at www.hud.gov/offices/
lead/hhi. HUD is interested in promoting approaches that are cost-
effective and efficient and that result in the reduction of health
threats for the maximum number of residents, and in particular, low-
income children.
1. Goals of the Healthy Homes Initiative
The overall goals and objectives of the HHI are to:
a. Mobilize public and private resources, involving cooperation
among all levels of government, the private sector, grassroots
community-based organizations, including faith-based organizations, and
other non-profit organizations, to develop the most promising, cost-
effective methods for identifying and controlling housing-based
hazards; and
b. Build local capacity to operate sustainable programs that will
continue to prevent and minimize and control housing-based hazards in
low- and very low-income residences when HUD funding is exhausted.
2. Objectives of the Healthy Homes Technical Studies Program
With this NOFA, HUD hopes to advance the recognition and control of
residential health and safety hazards and more closely examine the link
between housing and health. The overall objectives of Healthy Homes
Technical studies projects to be funded

[[Page 13862]]

through this NOFA include, but are not limited to:
a. Development and assessment of low-cost test methods and
protocols for identification and assessment of housing-related hazards;
b. Development and assessment of cost-effective methods for
reducing or eliminating housing-related hazards;
c. Evaluation of the effectiveness of housing interventions and
public education campaigns, and barriers and incentives affecting
future use of the most cost-effective strategies;
d. Investigation of the epidemiology of housing-related hazards and
illness and injuries associated with these hazards, with an emphasis on
children's health;
e. Evaluation of residential health and safety hazard assessment
and control methodologies and approaches (including both existing
methods and the evaluation of improved or novel approaches);
f. Analysis of existing data or generation of new data to improve
knowledge regarding the prevalence and severity of specific hazards in
various classes of housing, with a focus on low-income housing.
Specific examples include:
(1) The prevalence of carbon monoxide and other indoor air quality
hazards;
(2) The prevalence and patterns of moisture problems and biological
contaminants associated with excess moisture (e.g., fungi, bacteria,
dust mites);
(3) The prevalence of specific childhood injury hazards in housing;
and
(4) Improved understanding of the relationship between a
residential exposure and childhood illness or injury;
g. Low-cost analytical techniques and instruments for the rapid,
on- and off-site determination of environmental contaminants of concern
(e.g., bioaerosols, pesticides, allergens). HUD's primary interest is
in the improvement of existing instruments or methods, and not in the
development of new technologies or instruments. Applicants seeking to
develop new technologies/instruments should discuss why, if funded,
their proposed project would be unlikely to experience significant
delays in its completion. The OHHLHC has noted that these types of
studies pose a high risk of experiencing significant delays.
h. Objectives of particular interest to HUD include:
(1) Improving or assessing the efficacy of current methods for
residential Integrated Pest Management (IPM). IPM approaches focus on
the use of economical means for managing pests, which incorporate
information on the life cycles of pests and their interaction with the
environment, while minimizing hazards to people, property, and the
environment. HUD is particularly interested in IPM methods for reducing
cockroach and/or rodent populations in multifamily housing;
(2) Controlling excess moisture by reducing migration through the
building envelope and condensation of water vapor on interior surfaces,
with an emphasis on low cost interventions for low income housing;
(3) Improving indoor air quality, such as through cost-effective
approaches to upgrading residential ventilation or improving control/
management of combustion appliances. Applicants should discuss how
proposed approaches might affect residential energy costs (e.g.,
increasing air exchange rates resulting in an increase in heating
costs);
(4) Dust control measures (e.g., preventing track-in of exterior
dust and soil, improved methods for interior dust cleaning) have been
identified as key areas in the HHI Preliminary Plan;
(5) Evaluating the effectiveness of education and outreach methods
designed to provide at-risk families with the knowledge to adopt self-
protective behaviors with respect to housing-related health hazards.
In proposing to conduct a study on a particular topic, applicants
should consider:
(1) The ``fit'' of the proposed hazard assessment and/or control
methods within the overall goal of addressing ``priority'' health and
safety hazards in a cost-effective manner;
(2) The efficacy of the proposed methods for hazard control and
risk reduction (e.g., how long is effective hazard reduction
maintained;
(3) Consider where and how these methods would be applied and
tested, and/or perform demonstration activities; and
(4) The degree to which the study will help develop practical,
widely applicable methods and protocols or improve our understanding of
a residential health hazard.
Although HUD is soliciting proposals for technical studies on these
broad topics, HUD will also consider funding applications for technical
studies on topics that are relevant under the overall goals and
objectives of this program, as described above. In such instances, it
is especially important that the applicant indicate why the proposed
study is needed and indicate how it is consistent with the overall
goals and objectives of the program. Applications for a study for which
the sole or primary focus is on lead-based paint hazards are ineligible
for funding under this NOFA. Such studies should be submitted for
funding under the ``Lead Technical Studies Program'' NOFA, which is
also administered by the OHHLHC; see www.grants.gov for information on
applying under that program.
Applicants should consider the efficiencies that might be gained by
working cooperatively with some of the recipients of HUD's Healthy
Homes Demonstration and Lead Hazard Control grants, which are widely
distributed throughout the U.S. Information on current grantees is
available at http://www.hud.gov/offices/lead.
You may address one or more of the technical studies topic areas
within your proposal, or submit separate applications for different
topic areas.

C. Authority

These awards are authorized under sections 501 and 502 of the
Housing and Urban Development Act of 1970 (12 U.S.C. 1701z-1 and 1701z-
2); and the Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2005).

II. Award Information

A. Funding Available

Approximately $2 million in fiscal year 2005 funds is available for
grants or cooperative agreements under this Healthy Homes Technical
Studies Program NOFA. Of this amount, HUD will award a grant for
$365,736 in fiscal year 2005 funds to Edenspace Systems Corporation,
15100 Enterprise Court, Suite 100, Dulles, VA 20151-1217, to resolve a
funding error under the fiscal year 2004 Healthy Homes Technical
Studies Program NOFA, in accordance with Sec. VI.A.3 of the fiscal year
2004 General Section. The remaining amount, approximately $1.6 million,
will be awarded on a competitive basis following evaluation of all
eligible proposals according to the rating factors described in Section
V of this NOFA. HUD anticipates awarding approximately two to
approximately eight grants or cooperative agreements, ranging from
approximately $200,000 to approximately $1 million each.
Applications for supplementation of existing projects are eligible
to compete with applications for new awards (i.e., for work outside of
the scope of the original agreement).

B. Anticipated Start Date and Period of Performance for New Grants

The start date for new awards is expected to be October 1, 2005.
The

[[Page 13863]]

period of performance cannot exceed 36 months from the time of award.
The proposed performance period should include adequate time for
project components such as the Institutional Review Board process, the
recruitment of study participants, and the development of new
instrumentation or methods (e.g., analytical methods), all of which
have been found to delay projects in the past. Period of performance
extensions for delays due to exceptional conditions beyond the
grantee's control will be considered for approval by HUD in accordance
with 24 CFR 85.25(e)(2) or 24 CFR 85.30(d)(2), as applicable, and the
OHHLHC Program Guide. If approved, grantees will be eligible to receive
a single extension of up to 12 months in length. Applicants are
encouraged to plan studies with shorter performance periods, however
when developing your schedule you should also consider the possibility
that issues may arise that could cause delays.

C. Type of Award Instrument

All awards in response to this NOFA will be made as grants or
cooperative agreements. Anticipated substantial involvement by HUD on
cooperative agreements may include, but will not be limited to:
1. Review and possibly suggest amendments to the study design,
including: Study objectives; data collection methods; sample handling
and preparation, and, sample and data analysis;
2. Review and provide technical recommendations in response to
quarterly progress reports (e.g., possible amendments to study design
based on preliminary results);
3. Review and provide technical recommendations on the final study
report.

III. Eligibility Information

A. Eligible Applicants

Eligible Applicants. Academic and not-for-profit institutions
located in the U.S., state and local governments, and federally
recognized Native American tribes are eligible under all existing
authorizations. For-profit firms also are eligible; however, they are
not allowed to earn a fee (i.e., no profit can be made from the
project). Applications for supplementation of existing projects are
eligible to compete with applications for new awards. Federal agencies
and federal employees are not eligible to submit applications. The
General Section of the SuperNOFA provides additional eligibility
requirements.

B. Cost Sharing or Matching

Cost sharing or matching is not required. In rating your
application, however, you will receive a higher score under Rating
Factor 5 if you provide evidence of significant cost leveraging.

C. Other

1. Threshold Requirements Applicable to All Applicants Under the
SuperNOFA
To be scored and ranked under the Rating Factors, and thus be
eligible to receive funds from HUD, you must meet all of the threshold
requirements described in the General Section of the SuperNOFA.
Threshold requirements include Eligibility, Compliance with Fair
Housing and Civil Rights Laws, Conducting Business in Accordance with
Core Values and Ethical Standards, Delinquent Federal Debts and Pre-
Award Accounting System Surveys. Information about threshold
requirements is provided in the General Section of the SuperNOFA.
2. Program Requirements
Applicants must agree to the following:
a. Comply with all relevant federal and state regulations regarding
exposure to and proper disposal of hazardous materials;
b. Any blood lead testing and medical referral and follow-up for
children under six years of age will be conducted according to the
recommendations of the Centers for Disease Control and Prevention
(CDC), Preventing Lead Poisoning in Young Children (see Appendix B of
this NOFA at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm);
c. HUD Healthy Homes Technical Studies funds awarded will not
replace existing resources dedicated to any ongoing project;
d. Laboratory analysis covered by the National Lead Laboratory
Accreditation Program (NLLAP) will be conducted by a laboratory
recognized under the program;
e. Standardized Dust Sampling Protocol and Quality Control
Requirements. Grantees collecting samples of settled dust from
participant homes for environmental allergen analyses (e.g., cockroach,
dust mite) will be required to use a standard dust sampling protocol,
unless there is a strong justification to use an alternate protocol
(e.g., the study involves the development of an alternative sampling
method). The HUD protocol will be posted on the OHHLHC Web site at:
http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. Grantees
conducting these analyses will also be required to include quality
control dust samples, provided by OHHLHC at no cost to the grantee,
with the samples that are submitted for laboratory analyses. For the
purpose of budgeting laboratory costs, you should assume that five
percent of your total allergen dust samples will consist of QC samples.
f. Human research subjects will be protected from research risks in
conformance with Federal Policy for the Protection of Human Subjects,
codified by HUD at 24 CFR part 60; and
g. The requirements of OSHA (e.g., 29 CFR part 1910 and/or 1926, as
applicable) or the state or local occupational safety and health
regulations, whichever are most stringent, will be met;
h. If an individual researcher or a research team submits the
application, the institution administering the award will meet the
civil rights threshold in the General Section of this NOFA
i. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). This program is subject to the requirements of Section 3
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u).
Section 3 requires recipients to ensure that, to the greatest extent
feasible, training, employment, and other economic opportunities will
be directed to low- and very low-income persons, particularly those who
are recipients of government assistance for housing, and to business
concerns which provide economic opportunities to low- and very low-
income persons. The regulations may be found at 24 CFR part 135.
j. All test results in pre-1978 housing related to lead-based paint
or lead-based paint hazards must be provided to the owner of the unit,
together with a statement describing the owner's legal duty to disclose
the results to tenants (before initial leasing, or before lease renewal
with changes) and buyers (before sale) if the housing was constructed
before 1978 (24 CFR part 35, subpart A). This information provided to
owners may only be used for purposes of remediation of lead-based paint
and other hazards in the unit. Disclosure of other identified housing-
related health or safety hazards to the owner of the unit, for purposes
of remediation, is encouraged but not required. Submission of any
information on the properties to databases (whether web site, computer,
paper, or other format) of addresses of identified, treated or cleared
housing units is subject to the protections of the Privacy Act of 1974,
and shall not include any

[[Page 13864]]

personal information that could identify any child affected.
3. DUNS Requirement
Refer to the General Section of the SuperNOFA for information
regarding the DUNS requirement. A DUNS number must be provided for the
institution that is submitting an application.

IV. Application and Submission Information

If you are interested in applying for funding under this program,
please review carefully the General Section of the SuperNOFA and the
following additional information.

A. Addresses to Request Application Package

There is no Application Kit. All the information required to submit
an application is contained in this program NOFA and the General
Section of the SuperNOFA. Forms can be downloaded from the web at:
http://www.grants.gov.

B. Content and Form of Application Submission

1. Applicant Data
Your application must contain the items listed in this Section.
These items include the standard forms, certifications, and assurances
listed in the General Section of the SuperNOFA that are applicable to
this funding announcement (collectively referred to as the ``standard
forms''). The standard forms can be found in the General Section of the
SuperNOFA. The required items are:
a. Application Abstract. An abstract describing the project title,
the names and affiliations of all investigators, and a summary of the
objectives, expected results, and study design (two-page maximum) must
be included in the proposal.
b. All forms as required by the General Section of the SuperNOFA. A
Certification of Consistency with the Consolidated Plan is not required
for this application. Also, HUD Form-27061 (Race and Ethnicity Data) is
not required with the application for this program.
c. A project description/narrative statement addressing the rating
factors for award of funding under this program. The narrative
statement must be identified in accordance with each factor for award
(i.e., Rating Factors 1 through 5). The project description must be
included in the responses to the rating factors. The response to the
rating factors should not exceed a total of 25 pages, single-sided (12-
point font with at least \3/4\ inch margins on 8\1/2\'' by 11'' pages).
Any pages in excess of this limit will not be read. The rating for each
Rating Factor will be based on the Rating Factor's numbered portion of
your narrative statement, supplemented by appendices referenced and
discussed in that portion of your narrative statement; material located
outside the Rating Factor's numbered portion of your narrative
statement and its referenced and discussed appendices will not be
rated. Additional materials (e.g., appendices) must be submitted with
your application according to the directions in the General Section of
the SuperNOFA.
d. Evidence of leveraging/partnerships. Submit the following with
your application: letters of firm commitment; memoranda of
understanding; or agreements to participate from those entities
identified as partners in the project efforts. Each letter of
commitment, memorandum of understanding, or agreement to participate
must include the organization's name, proposed level of commitment
(with monetary value) and responsibilities as they relate to specific
activities or tasks of your proposed program. The commitment must also
be signed by an official of the organization legally able to make
commitments on behalf of the organization.
e. In conformance with the Common Rule (Federal Policy for the
Protection of Human Subjects) (required by HUD at 24 CFR part 60), if
your research is subject to these regulations, your organization must
provide an assurance (e.g., a letter signed by an appropriate official)
that the research has been reviewed and approved by an Institutional
Review Board (IRB) before you can initiate activities that require IRB
approval. Before receiving such funds, you must also provide the number
for your organization's assurance (i.e., an ``institutional
assurance'') that has been approved by the Department of Health and
Human Service's Office for Human Research Protections (OHRP). For
additional information on what constitutes human subject research or
how to obtain an institutional assurance, see the OHRP Web site at
http://www.hhs.gov/ohrp.
f. Submit materials that are required in support of your
application (e.g., resumes of the principal investigator and other key
personnel, letters of commitment). Resumes shall not exceed three pages
each, and are limited to information that is relevant in assessing the
qualifications of key personnel to conduct and/or manage the proposed
technical studies. (This information will not be counted towards the
page limit.)
g. Submit any optional materials (e.g., figures, data, letters of
support) in support of your application, following the directions in
the General Section of the SuperNOFA. These additional optional
materials must not exceed 20 pages. Any pages in excess of this limit
will not be read.
h. Submit the required forms and a detailed total budget with
supporting cost justification for all budget categories of the federal
funding request. Use the budget format discussed in Section V(A),
Rating Factor 3(c)(5), below. In completing the budget forms and
justification, address the following elements:
(1) Direct Labor Costs. This should include all full- and part-time
staff required for the planning and implementation phases of the
project. These costs should be based on full time equivalent (FTE) or
hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);
(2) Travel. Budget for three trips to HUD Headquarters in
Washington, DC, planning each trip for two people, with the first trip
occurring shortly after award, for a stay of five or six days,
depending on your location, and the remaining trips having a stay of
one or two days, depending on your location;
(3) Subrecipients. Provide a separate budget proposal for any
subrecipients receiving more than 10 percent of the total federal
budget request;
(4) You should be prepared to provide supporting documentation for
salaries and prices of materials and equipment upon request;
(5) Indirect Cost Rates. Organizations that have a federally
negotiated indirect cost rate should use that rate and the appropriate
base. Other organizations, not having a federally negotiated rate
schedule, must obtain a rate from their cognizant federal agency,
otherwise the organization will be required to obtain a negotiated rate
through HUD; and
(6) Rate Agreements. Submit the negotiated rate agreements for
fringe benefits and indirect costs, if applicable, as an attachment to
the budget sheets.
i. Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted.
You are not required to submit this checklist with your application.

Checklist for Healthy Homes Technical Studies Program Applicants

Item

Applicant Abstract (Limited to 2-pages)

Rating Factor Responses (Total Narrative Response Limited to 25 Pages)

1. Capacity of the Applicant and Relevant Organizational Experience

[[Page 13865]]

2. Need/Extent of the Problem
3. Soundness of Approach
4. Leveraging Resources
5. Achieving Results and Program Evaluation

Required Materials in Response to Rating Factors (Does Not Count
Towards 25-Page Limit)

--Resumes of Key Personnel (limited to 3 pages per resume)
--Organizational Chart
--Letters of Commitment (if applicable)
--Form HUD-96010 Logic Model Form

Optional Material in Support of the Rating Factors (20 Page Limit)

Required Forms and Budget Material

--Form SF 424 (Application for Federal Assistance)
--Form HUD-424-CB Grant Application Detailed Budget
--Form HUD-CBW (Budget Worksheet)
--Form SF 424 Supplement (Survey on Ensuring Equal Opportunity for
Applicants) (to be completed by private nonprofit organizations only)
--Form SF LLL (Disclosure of Lobbying Activities)
--Form HUD 2880 (Applicant/ Recipient Disclosure/Update Report)
--Form 2990 Certification of Consistency with the RC/EZ/EC-II Strategic
Plan (required only for applicants who are seeking these bonus points)
--Form HUD 2994 Client Comments and Suggestions (Optional)
--Facsimile Transmittal (for electronic applications)--Form HUD-96011

C. Submission Dates and Times

Electronic applications must be submitted to and received by
www.grants.gov or before 11:59:59 p.m. eastern time on June 8, 2005.
All narrative files and any scanned documents must be submitted as a
zip file, single attachment to the electronic application. Refer to the
General Section for additional submission requirements including
acceptable submission methods, acceptable proof of submission and
receipt procedures and other information regarding application
submission. Materials associated to your electronic application
submitted by facsimile transmission must also be received by 11:59:59
p.m. eastern time on the application submission date. Make sure you see
the General Section for how to submit third party letters and other
documents as part of your electronic submission utilizing form HUD-
96011, Facsimile Transmittal.
Applicants receiving a waiver to the electronic application
submission requirement, must submit an original and the required number
of copies of your application by the application submission date to the
identified address in Appendix C of the General Section.

D. Intergovernmental Review

Funding received through this NOFA is not subject to Executive
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

The following restrictions apply to the use of funds awarded under
this program:
1. Administrative Costs. There is a 10 percent maximum allowance
for administrative costs. Additional information about allowable
administrative costs is provided in Appendix C of this NOFA that is
available on HUD's Web site at: www.hud.gov/offices/adm/grants/fundsavail.cfm.
2. The purchase of real property is prohibited.
3. The purchase or lease of equipment having a per unit cost in
excess of $5,000, unless prior written approval is obtained from HUD.
4. The use of grant funds for medical treatment costs is
prohibited.
5. For-profit entities are not allowed to earn a fee.
6. You must comply with the Coastal Barrier Resources Act (16
U.S.C. 3501).
7. You may not conduct construction, reconstruction or lead based
paint hazard control activities that fall below the threshold of
building repair or improvement, as defined in Section 3(a)(4) of the
Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128), of a
building or mobile home which is located in an area identified by the
Federal Emergency Management Agency (FEMA) as having special flood
hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.

F. Other Submission Requirements

If you have received a waiver to the electronic application
submission requirement, please see Appendix C of the General Section of
the SuperNOFA for specific procedures concerning the form of
application submission.

V. Application Review Information

A. Criteria

1. Threshold Requirements
Applications that meet all of the threshold requirements will be
eligible to be scored and ranked, based on the total number of points
allocated for each of the rating factors described in Section V.A.3 of
this program NOFA. Your application must receive a total score of at
least 75 points to remain in consideration for funding.
2. Rating and Ranking
Applications will be reviewed by an Application Review Panel (ARP)
which will assign each application a score based on the rating factors
presented below. The ARP chairperson selects and provides at least one
application to panel members to score during a calibration round to
ensure that all panel members are consistent in their application of
the rating factors. When the calibration round is completed, each
application is reviewed and scored by at least two panel members. If
significant scoring discrepancies are identified among the reviewers of
an application, the reviewers discuss their differences and are then
given an opportunity to rescore the application among themselves and,
if needed, with the full ARP. An average score is then computed for
each application. The ARP chair may call upon an advisor (generally a
scientist with another federal agency) to the ARP to review and comment
on a proposal; however, the advisor does not score the application.
Advisory comments that potentially affect the rating of an applicant
are retained as part of the documentation of the review process. At a
final meeting, the ARP identifies the top-ranking applications to be
recommended for funding.
The factors for rating and ranking applicants and maximum points
for each factor are provided below. Each factor is weighted as
indicated by the number of points that are attainable for it. The
maximum score that can be assigned to an application is 102 points.
Applicants should be certain that these factors are adequately
addressed in the project description and accompanying materials. The
five rating factors are listed below. A more detailed description of
the factors follows.
Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (22 points).

[[Page 13866]]

Rating Factor 2: Need/Extent of the Problem (15 points).
Rating Factor 3: Soundness of Approach (45 points).
Rating Factor 4: Leveraging Resources (8 points).
Rating Factor 5: Achieving Results and Program Evaluation (10
points).
RC/EZ/EC-II Bonus Points (2 points).
Total: 102 points.
Applicants are eligible to receive two bonus points for projects
located within federally designated Renewable Communities (RCs),
Empowerment t Zones (EZs), or Enterprise Communities (ECs) designated
by USDA in round II (EC-IIs) (collectively referred to as RC/EZ/EC-
IIs), and which will serve the residents of these communities (see the
General Section of the SuperNOFA).
You will receive one point under Rating Factor 3(c)(2) for each of
the applicable FY2005 policy priorities that are adequately addressed
in your application with the exception of ``Removal of Barriers to
Affordable Housing,'' for which you can receive up to two points (see
the General Section of the SuperNOFA). Policy priorities that are found
in the General Section and applicable to the Healthy Homes Technical
Studies NOFA are: (1) Improving our Nation's Communities (focus on
distressed communities); (2) Providing Full and Equal Access to
Grassroots Faith-based and other Community-based Organizations in HUD
Program Implementation; (3) Participation of Minority-Serving
Institutions in HUD Programs, and (4) Removal of Barriers to Affordable
Housing.
You may address more than one of the technical study topic area
within your proposal or submit separate applications for technical
studies in different topic areas.
3. Rating Factors
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (22 Points). This factor addresses the extent
to which you have the ability and organizational resources necessary to
successfully implement your proposed activities in a timely manner. The
rating of your application will include any sub-grantees, consultants,
sub-recipients, and members of a consortium that are firmly committed
to the project (generally, ``subordinate organizations''). In rating
this factor, HUD will consider the extent to which your application
demonstrates:
(1) The capability and qualifications of the principal investigator
and key personnel (14 points). Qualifications to carry out the proposed
study as evidenced by academic background, relevant publications, and
recent (within the past 10 years) relevant research experience.
Publications and research experience are considered relevant if they
required the acquisition and use of knowledge and skills that can be
applied in the planning and execution of the technical study that is
proposed under this program NOFA; and
(2) Past performance of the study team in managing similar projects
(8 points). Demonstrated ability to successfully manage various aspects
of a complex technical study in such areas as logistics, study
personnel management, data management, quality control, community study
involvement (if applicable), and report writing, as well as overall
success in project completion (i.e., projects completed on time and
within budget). You should also demonstrate that your project would
have adequate administrative support, including clerical and
specialized support in areas such as accounting and equipment
maintenance.
If applicable, describe the past performance of your organization
in implementing a previously awarded Healthy Homes or Lead Hazard
Control grant, or grants that your organization received from other
sources to support research on relevant, related topics. Provide
details about the nature of the project, the funding agency, and your
performance (e.g., timely completion, achievement of desired outcomes).
If your organization has an active OHHLHC grant or cooperative
agreement, provide a description of the progress and outcomes achieved
under that award.
b. Rating Factor 2: Need/Extent of the Problem (15 Points). This
factor addresses the extent to which there is a need for your proposed
technical study. In responding to this factor, you should document in
detail how your project would make a significant contribution towards
achieving some or all of HUD's stated goals and objectives for the
Healthy Homes Technical Studies Program, as described in Section V.A.2
above. You should demonstrate how your proposed study addresses a need
associated with an important housing-related health hazard, with an
emphasis on children's health. Specific topics to be addressed for this
factor include:
(1) Provide a concise review of the health hazard that is addressed
in your study and why you consider it a ``high priority'' hazard. If
available, include documented rates of illness or injury associated
with the hazard, including local, regional, and national data;
(2) Discuss how your proposed project would significantly advance
the current state of knowledge for your focus area, especially with
respect to the development of practical solutions; and,
(3) Discuss how you anticipate your study findings will be used to
improve current methods for assessing or mitigating the hazard that
your study addresses. Indicate why the method/protocol that would be
improved through your study would be widely adopted (e.g., low cost,
easily replicated, lack of other options).
c. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality of your proposed technical study plan. Specific
components include:
(1) Soundness of the study design (20 points). The project
description/study design must be thorough and feasible, and reflect
your knowledge of the relevant scientific literature. You should
clearly describe how your study builds upon the current state of
knowledge for your focus area. If possible your study should be
designed to address testable hypotheses that are clearly stated. Your
study design should be statistically based with adequate power to test
your stated hypotheses. The study design should be presented as a
logical sequence of steps or phases with individual tasks described for
each phase. You should identify any important ``decision points'' in
your study plan and you should discuss plans for data management,
analysis and archiving. It is HUD's experience that studies can be
subjected to considerable delay because of delays in the IRB approval
process or because of unexpected difficulties with recruiting study
participants. If applicable, describe actions that you will take to
minimize the possibility that your study would experience delays in
these areas (e.g., understanding likely IRB requirements in advance,
planning on additional avenues for recruitment).
(2) Policy Priorities (5 points). Indicate if your proposed study
will address any of the FY2005 policy priorities that are applicable to
this program that were described previously in Section V.A.2 of this
program NOFA (see the General Section of the SuperNOFA for additional
details regarding these policy priorities). You will receive one point
for each of the applicable policy priorities that are addressed in your
application, with the exception of ``Removal Of Barriers to Affordable
Housing,'' for which you can receive a maximum of 2 points.
(3) Quality assurance mechanisms (8 points). You must describe the
quality assurance mechanisms that will be

[[Page 13867]]

integrated into your project design to ensure the accuracy and
reliability of the results. Applicants that receive awards will be
required to submit a Quality Assurance Plan to HUD.
(a) Areas to be addressed include, but are not limited to:
acceptance criteria for data quality; procedures for selection of
samples/sample sites; sample handling; measurement and analysis; and
any standard/nonstandard quality assurance/control procedures to be
followed. Documents (e.g., government reports, peer-reviewed academic
literature) that provide the basis for your quality assurance
mechanisms should be cited.
(b) For the collection of data using instruments, such as surveys
and visual assessment tools, describe the procedures that you will
follow to ensure accurate data capture and transfer. Also, indicate
whether research was done (or is planned) to validate the instrument.
(c) If your project involves human subjects in a manner which
requires IRB approval and periodic monitoring, address how you will
obtain such approval and your monitoring plan. Before you can initiate
activities that require IRB approval, you must provide an assurance
that your study has been reviewed and approved by an IRB and evidence
of your organization's ``institutional assurance'' (see Section
IV.B.1.f). Describe how you will provide informed consent (e.g., from
the subjects, their parents or their guardians, as applicable) to help
ensure their understanding of, and consent to, the elements of informed
consent, such as the purposes, benefits and risks of the research.
Describe how this information will be provided and how the consent will
be collected. For example, describe your use of ``plain language''
forms, flyers and verbal scripts, and how you plan to work with
families with limited English proficiency or primary languages other
than English, and with families including persons with disabilities.
(4) Project management plan (8 points). The proposal should include
a management plan that provides a schedule for the completion of major
tasks, with associated benchmarks and major study milestones, and major
deliverables, with an indication that there will be appropriate
resources (e.g., personnel, financial) to successfully meet the
proposed schedule. The major tasks and benchmarks/deliverables
identified in the management plan should be consistent with those
identified in the Logic Model (see description under Rating Factor 5).
The management plan should clearly identify the specific
responsibilities for each member of the project team. You should also
include preparation of a final deliverable in your management plan. HUD
encourages grantees to draft one or more articles for peer-reviewed
academic journals as the major component of a final report. The final
deliverable can be submitted to HUD during the period of performance of
your grant or cooperative agreement or during the 90-day closeout
period (i.e., the 90-day period following award expiration).
(5) Budget Proposal (4 points).
(a) Your budget proposal should thoroughly estimate all applicable
direct and indirect costs, and be presented in a clear and coherent
format in accordance with the requirements listed in the General
Section of this NOFA. HUD is not required to approve or fund all
proposed activities. Your detailed budget should be submitted using
Form HUD-424-CBW. You must thoroughly document and justify all budget
categories and costs (see Form HUD-424-CB for the major budget
categories) and all major tasks, for yourself, sub-recipients,
partners, major subcontractors, joint venture participants, or others
contributing resources to the project. A separate detailed budget
(i.e., Form HUD-424-CBW) is required for subrecipients who will receive
more than 10 percent of the federal budget request.
(b) Your narrative justification associated with these budgeted
costs should be included as an attachment to the Total Budget (Federal
Share and Matching), but does not count in the 25-page limit for this
submission.
(c) The application will not be rated on the proposed cost;
however, cost will be considered in addition to the rated factors to
determine the proposal most advantageous to the federal government.
Cost will be the deciding factor when proposals ranked under the listed
factors are considered acceptable and are substantially equal.
d. Rating Factor 4: Leveraging Resources (8 Points). Your proposal
should demonstrate that the effectiveness of HUD's Healthy Homes
Technical Studies award is being increased by securing additional
public and/or private resources or by structuring the project in a
cost-effective manner, such as integrating the project into an existing
study. Resources may include funding or in-kind contributions (such as
services, facilities, or equipment) allocated to the purpose(s) of your
project. Staff and in-kind contributions should be given a monetary
value.
You should provide evidence of leveraging/partnerships by attaching
to your application the following: Letters of firm commitment;
memoranda of understanding; or agreements to participate from those
entities identified as partners in the project efforts. Each letter of
commitment, memorandum of understanding, or agreement to participate
must include the organization's name, proposed level of commitment
(with monetary value) and responsibilities as they relate to specific
activities or tasks of your proposed program. The commitment must also
be signed by an official of the organization legally able to make
commitments on behalf of the organization.
e. Rating Factor 5: Achieving Results and Program Evaluation (10
Points). This factor emphasizes HUD's commitment to ensuring that
applicants keep promises made in their applications and assess their
performance to ensure performance goals are met. Achieving results
means you have clearly identified the benefits or outcomes of your
program. Outcomes are ultimate goals. Benchmarks or outputs are interim
activities or products that lead to the ultimate achievement of your
goals.
Program evaluation requires that you identify program outcomes,
interim products or benchmarks, and performance indicators that will
allow you to measure your performance. Performance indicators should be
objectively quantifiable and measure actual achievements against
anticipated achievements. Your evaluation plan should identify what you
are going to measure, how you are going to measure it, and the steps
you have in place to make adjustments to your work plan if performance
targets are not met within established timeframes.
In your response to this Rating Factor you are to discuss the
performance goals for your project and identify specific outcome
measures. You are also to describe how the outcome information will be
obtained, documented, and reported. You must complete and return the
Logic Model Form included in the General Section of the SuperNOFA
showing your proposed project long-term, mid-term, short-term and final
results, and how they support HUD's departmental goals and objectives.
Information about developing a Logic Model is available at http://www.hud.gov.
Also, in responding to this factor, you should:
(1) Identify benchmarks that you will use to track the progress of
your study;
(2) Identify milestones that are critical for achieving study
objectives (e.g.,

[[Page 13868]]

recruitment of study participants, developing a new analytical
protocol), potential obstacles in meeting these objectives, and how you
would respond to these obstacles. These milestones should be clearly
indicated in your study timeline.
This rating factor reflects HUD's goal to embrace high standards of
ethics, management and accountability.

B. Review and Selection Process

1. Corrections To Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
2. Rating and Ranking
Awards will be made separately in rank order for Healthy Homes
Technical Studies applications, within the limits of funding
availability for the program.
(a) Partial Funding. In the selection process, HUD reserves the
right to offer partial funding to any or all applicants. If you are
offered a reduced award amount, you will have a maximum of 14 calendar
days to accept such a reduced award. If you fail to respond within the
14-day limit, you shall be considered to have declined the award.
(b) Remaining Funds. See the General Section of this NOFA for HUD's
procedures if funds remain after all selections have been made within
the Healthy Homes Technical Studies Program.

C. Anticipated Announcement and Award Dates

The anticipated date for the announcement of awards under the
Healthy Homes Technical Studies Program is September 30, 2005.

VI. Award Administration Information

A. Award Notices

1. Notice of Award
Applicants who have been selected for award will be notified by
letter from the Grant or Cooperative Agreement Officer. The letter will
state the program for which the application has been selected, the
amount the grantee is eligible to receive, and the name of the
Government Technical Representative (GTR). This letter is not an
authorization to begin work or incur costs under the award. An executed
grant or cooperative agreement is the authorizing document.
HUD may require that all the selected applicants participate in
negotiations to determine the specific terms of the award budget. In
cases where HUD cannot successfully conclude negotiations with a
selected applicant or a selected applicant fails to provide HUD with
requested information, an award will not be made to that applicant. In
this instance, HUD may offer an award, and proceed with negotiations
with the next highest-ranking applicant. If you accept the terms and
conditions of the award, you must return your signed agreement by the
date specified during negotiation.
After receiving the letter, additional instructions on how to have
the grant or cooperative agreement account entered into HUD's Line of
Credit Control System (LOCCS) payment system will be provided. Other
forms and program requirements will also be provided.
In accordance with OMB Circular A-133 (Audits of States, Local
Governments and Non-Profit Organizations), grantees will have to submit
their completed audit-reporting package along with the Data Collection
Form (SF-SAC) to the Single Audit Clearinghouse; the address can be
obtained from their Web site. The SF-SAC can be downloaded at http://
harvester.census.gov/sac/.
2. Debriefing
The General Section of the SuperNOFA provides the procedures for
requesting a debriefing.

B. Administrative and National Policy Requirements

1. Program Performance
Awardees shall take all reasonable steps to accomplish all HUD-
funded activities within the approved period of performance. HUD
reserves the right to terminate the grant or cooperative agreement
prior to the expiration of the period of performance if the awardee
fails to make reasonable progress in implementing the approved program
of activities.
2. Conducting Business in Accordance With HUD Core Values and Ethical
Standards
If awarded assistance under this NOFA, prior to entering into an
agreement with HUD, you will be required to submit a copy of your code
of conduct and describe the methods you will use to ensure that all
officers, employees, and agents of your organization are aware of your
code of conduct. See the General Section of the SuperNOFA for
information about conducting business in accordance with HUD's core
values and ethical standards.
3. Participation in HUD-Sponsored Program Evaluation
As a condition of the receipt of financial assistance under this
NOFA, you will be required to cooperate with all HUD staff or
contractors performing HUD-funded research and evaluation studies
pertaining to the subject of the grant or cooperative agreement.
4. Environmental Requirements
In accordance with 24 CFR 50.19(b)(1), (b)(3) and (b)(5),
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act of 1969 (42
U.S.C. 4321) and are not subject to environmental review under the
related laws and authorities.
5. Removal of Barriers to Affordable Housing
See the General Section of the SuperNOFA.
6. HUD Reform Act of 1989
The provisions of the HUD Reform Act of 1989 that apply to this
NOFA are explained in the General Section of the SuperNOFA.
7. Audit Requirements
Any funding recipient that expends $500,000 or more in federal
financial assistance in a single year must meet the audit requirements
established in 24 CFR parts 84 and 85 in accordance with OMB Circular
A-133.
8. Executive Order 13202
Compliance with HUD regulations at 24 CFR 5.108 that implement
Executive Order 13202, ``Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally-Funded Construction Projects'', is a condition
of receipt of assistance under this NOFA.
9. Procurement of Recovered Materials
See the General Section for information concerning this
requirement.

C. Reporting

Post award reporting requirements include the following:
1. Final Budget and Work Plan
Final budget and work plans are due 60 days after the start date of
the funding award.
2. Quality Assurance Plan (QAP)
Successful applicants will be required to submit a Quality
Assurance Plan to HUD prior to initiating work under the award. This is
a streamlined version of the format used by some other federal
agencies, and is intended to help ensure the accuracy and validity of
the data that you will collect under the agreement. You should plan for
this and include it in your study work plan. (See

[[Page 13869]]

the HUD Office of Healthy Homes and Lead Hazard Control's Internet
site, http://www.hud.gov/offices/lead, for the QAP template).
3. Progress Reporting
Progress reporting is done on a quarterly basis. Project benchmarks
and milestones will be tracked using a benchmark spreadsheet that uses
the benchmarks and milestones identified in the Logic Model form (HUD-
96010) approved and incorporated into your award agreement. For
specific reporting requirements, see policy guidance: www.hud.gov/
offices/lead.
4. Racial and Ethnic Beneficiary Data
Successful applicants that conduct residential intervention studies
(i.e., physical or behavioral interventions) or other research that
involves the occupants of homes (e.g., survey research) must submit
Form-27061, Racial and Ethnic Data Reporting Form, to HUD on an annual
basis. Grantees conducting studies that do not involve people, such as
those confined to the laboratory or certain types of environmental
sampling, will not be required to submit Form-27061 to HUD. Form HUD-
27061 and instructions for its use are found on www.grants.gov.
5. Final Report
The award agreement will specify the requirements for final
reporting (e.g., scientific manuscript, final technical report, and
final project benchmarks and milestones achieved against the proposed
benchmarks and milestones in the Logic Model (HUD-96010) approved and
incorporated into your award agreement.

VII. Agency Contact(s)

For technical help in downloading an application from Grants.gov or
submitting via Grants.gov, call the Grants.gov help desk at 800-518-
GRANTS. For programmatic questions you may contact Dr. Peter Ashley,
Office of Healthy Homes and Lead Hazard Control, at the address above;
telephone (202) 755-1785, extension 115 (this is not a toll-free
number) or via e-mail at [email protected]. For administrative
questions on grants or cooperative agreements, you may contact Ms.
Curtissa L. Coleman, Office of Healthy Homes and Lead Hazard Control,
at the address above; telephone (202) 755-1785, extension 119 (this is
not a toll-free number) or via e-mail at [email protected].
If you are a hearing-or speech-impaired person, you may reach the above
telephone numbers by TTY by calling the toll-free Federal Information
Relay Service at 800-877-8339.

VIII. Other Information

A. Other Office of Healthy Homes and Lead Hazard Control Information

For additional general, technical, and grant program information
pertaining to the Office of Healthy Homes and Lead Hazard Control,
visit: http://www.hud.gov/offices/lead.

B. Appendices

Appendices A through C to this NOFA are available on HUD's Web site
at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 /
Notices

[[Page 13871]]

[GRAPHIC] [TIFF OMITTED] TN21MR05.129

[[Page 13872]]

Lead Technical Studies Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control.
B. Funding Opportunity Title: Lead Technical Studies.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Funding Opportunity Number is:
FR-4950-N-28. The OMB Paperwork Approval number is: 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.902,
Lead Technical Studies Grant Program.
F. Dates: The application submission date is June 8, 2005. See the
General Section IV, Application and Submission Information, regarding
application submission procedures and timely filing requirements.
G. Additional Overview Content Information:
a. The funding opportunity is for technical studies to improve
methods for detecting and controlling residential lead-based paint
health and safety hazards.
b. The total amount to be awarded is approximately $3 million, of
which $1 million is a set-aside for Historically Black Colleges and
Universities (HBCUs).
c. The anticipated amounts and/or numbers of individual awards will
be approximately 6 to 10 awards, ranging from approximately $200,000 to
approximately $750,000.
d. The types of instruments awarded will be grants or cooperative
agreements, with substantial involvement of the government for
cooperative agreements (see Section II.C for a description of
substantial involvement).
e. Academic, not-for-profit and for-profit institutions located in
the U.S., state and local governments, and federally recognized Native
American tribes are eligible to apply. HBCUs are also eligible to apply
under the set-aside.
f. Cost sharing is not required, but is encouraged.
g. There are no limitations on the numbers of applications that
each applicant may submit, however, HBCUs should not submit the same
application under both the set-aside and ``open'' categories, and,
h. The applications for this NOFA can be found at http://www.grants.gov. The application is an electronic application. You must
register at http://www.grants.gov to be able to submit your
application. The General Section contains information submission
requirements and procedures. Please carefully review the General
Section before reading the program section so that you understand HUD's
new electronic application process.

Full Text of Announcement

I. Funding Opportunity Description

Purpose of the Program. The purpose of the Lead Technical Studies
program is to improve methods for detecting and controlling residential
lead-based paint hazards.

A. Program Description

1. General Goals and Objectives
The overall goal of the Lead Technical Studies grant program is to
gain knowledge to improve the efficacy and cost-effectiveness of
methods for evaluation and control of residential lead-based paint
hazards.
Through the Lead Technical Studies Program, HUD is helping to
fulfill the requirements of sections 1051 and 1052 of the Residential
Lead-Based Paint Hazard Reduction Act of 1992 (``Title X'') (42 U.S.C.
4854 and 4854a) which directs HUD to conduct research on topics which
include the development of ``improved methods for evaluating [and]
reducing lead-based paint hazards in housing,'' among others.
Brief descriptions of active and previously funded lead technical
studies projects can be found on HUD's Web site at http://www.hud.gov/
offices/lead/techstudies/index.cfm. Where it is appropriate, as an
applicant, you are strongly encouraged to ensure that your proposed
study builds upon HUD-sponsored work that has been previously
completed, in addition to other relevant research (i.e., that contained
in government reports and in the published literature).
HUD encourages applicants to consider using the ``community based
participatory research'' approach, where applicable, in the design and
implementation of lead technical studies (see e.g., http://
www.niehs.nih.gov/translat/cbpr/cbpr.htm).
2. Background
HUD has been actively engaged in a number of activities relating to
lead-based paint hazard control as a result of the Lead-Based Paint
Poisoning Prevention Act of 1971, as amended, 42 U.S.C. 4801-4856.
Sections 1051 and 1052 of the Residential Lead-Based Paint Hazard
Reduction Act of 1992 (Title X) (42 U.S.C. 4854 and 4854a) state that
the Secretary of HUD, in cooperation with other federal agencies, shall
conduct technical studies on specific topics related to the evaluation
and mitigation of residential lead hazards. Section 1053 of Title X
authorized HUD to spend funds to conduct these studies, under the Lead
Hazard Control Grant Program's funding authorization in section
1011(o). The HUD-sponsored technical studies program also responds to
recommendations by the Task Force on Lead-Based Paint Hazard Reduction
and Financing, which was established pursuant to section 1015 of Title
X. (42 U.S.C. 4852a). The Task Force presented its final report to HUD
and the Environmental Protection Agency (EPA) in July 1995. The Task
Force Report, entitled ``Putting the Pieces Together: Controlling Lead
Hazards in the Nation's Housing'' (see Appendix A of this program NOFA,
which is available on HUD's Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm), recommended that research be conducted on a
number of key topics to address significant gaps in our knowledge of
lead exposure and hazard control.
The findings of technical studies will be used in part to update
HUD's Guidelines for the Evaluation and Control of Lead-Based Paint
Hazards in Housing (Guidelines), which were published in June 1995 and
partly amended in September 1997 (Chapter 7, Lead-Based Paint
Inspection). For availability of the Guidelines, see ``Guidelines'' in
Appendix A.

B. Eligible Activities

HUD is especially interested in the following lead technical
studies topics:
1. Development of alternative or improved cleaning methods. Current
methods for cleaning lead-contaminated dust from hard surfaces consist
of a combination of HEPA vacuuming and wet cleaning. Research sponsored
by both the U.S. EPA and HUD has shown that trisodium phosphate (TSP)
is not more effective than other detergents in cleaning lead
contaminated dust (USEPA 1998, Rich et al. 2002). Additional HUD-
sponsored research showed that use of household vacuums without HEPA
filtration for cleaning as an interim control measure (i.e., not
following lead abatement or other interim control activities) did not
produce detectable airborne lead emissions (Public Health Institute/
California Dept. of Health Services, unpublished data), and actually
performed better than the HEPA vacuum that was tested in cleaning lead-
contaminated dust from smooth surfaces. The same study also found that
wet washing was considerably more

[[Page 13873]]

effective than vacuuming in removing dust-lead from smooth floors.
There are other cleaning techniques that might be effective in
cleaning hard surfaces, but which have not been studied. The other
cleaning techniques include the use of disposable cloths or towelettes
(either used directly or at the end of a wand) or dry cleaning methods
using disposable wipes that collect dust electrostatically. Important
considerations include both efficacy in the removal of lead-
contaminated dust and cost.
Additional ideas would be welcome, along with a clear description
of approaches to evaluate the effectiveness of the cleaning techniques.
2. Reducing exterior soil and dust-lead hazards. Studies have shown
that lead in exterior dust and soil can be an important source of lead
exposure to young children, both through direct contact and indirectly
when tracked or blown into the home. HUD has funded several studies
that have assessed approaches to reducing the risk posed by this large
environmental lead reservoir. Examples of these studies have focused on
the following topics: Reducing the bioavailability (as determined using
in vitro testing) of lead in soil through the addition of composted
biosolids; reducing soil hazards in urban yards through targeted
landscaping (e.g., raised beds, improving ground cover); reducing
exterior dust-lead levels through exterior building treatments and
street and sidewalk cleaning; and, reducing surface soil-lead hazards
by overlaying clean soil with grass cover.
Additional study is needed to assess the long-term effectiveness of
interim controls to reduce soil and exterior dust-lead hazards.
Research is also needed to develop interim controls and strategies for
exterior dust and soil that are reasonable in cost, feasible to
implement, and which do not require frequent maintenance to maintain
their effectiveness.
3. Potential exposure and contamination from floor sanding of lead-
containing floor varnish. A HUD-funded pilot study by the Wisconsin
Division of Public Health, ``Potential Lead Exposures from Sanding
Floors Containing Leaded Varnish,'' found that although no floor
varnish was identified as lead-based paint using X-ray fluorescence
(XRF), 52% of varnish samples exceeded the definition of lead-based
paint based on laboratory analysis. Also, more than 70% of the settled
dust samples (not dust wipe samples) exceeded the floor dust clearance
level of 40 [mu]g/ft² after floor sanding. Use of low-cost
dust controls significantly reduced the amount of lead-contaminated
dust on the floors. Hand-scraping of varnished stairs was also shown to
be a high risk operation for occupational (personal) lead exposure.
HUD is interested in expanding this study to include a larger
number of homes and floor refinishing contractors, and to include
additional regions of the country. HUD is also interested in the ease
of achieving clearance (using dust wipes) after floor sanding of
varnishes that contain lead followed by cleaning, and in the
development of procedures for minimizing the spread of lead-
contaminated dust during sanding (i.e., considering the large amount of
dust produced during sanding).
4. Approaches to streamlining performance of interim controls,
abatement, and clearance in multi-family housing where repeat
operations occur. The performance of abatement or interim control of
lead-based paint hazards in multi-family housing may result in
repetitive operations (for example repetitive treatments in common
areas such as hallways and stairwells) that hinder the movement,
access, and exit of residents. For some of these areas, such as a
hallway on each floor, or a stairwell or entranceways to buildings,
repetitive operations such as interim controls may require relocation
of residents until work can be completed, clean-up accomplished, and
clearance attained.
There may be ways to show, with statistical significance, and
through the use of existing or newly collected data that repeat
operations may be defined with sufficient specificity to allow
accelerated clean-up and clearance. HUD is interested in studies to
determine whether repeat operations in multi-family housing can be
sufficiently safe to allow return of residents to their units based on
considered professional judgment and data collected from similar
operations. This approach may be analogous to the approach taken to
prove a negative exposure assessment for OSHA exposure determinations.
5. Effectiveness of Ongoing Maintenance Program Activities in
Controlling Lead-Based Paint Hazards. While a variety of lead abatement
and interim control techniques have been evaluated for their
effectiveness in controlling lead-based paint hazards, there are few
studies directly assessing the effectiveness of ongoing lead-based
paint maintenance programs. HUD is interested in evaluating the
effectiveness and feasibility of ongoing lead-based paint maintenance
programs, identifying program components for which particular
implementation difficulties exist, and evaluating proposed measures for
overcoming those difficulties. Such an evaluation of program components
could address whether and how technically-acceptable and cost-effective
work practices are selected and implemented, how effectively
supervisors monitor work activities to ensure that lead-based paint
hazards are controlled and that dust and debris are contained and
cleaned up during and after work, and how well clearance procedures
(including necessary re-cleaning) are integrated into the maintenance
program, among other factors.
6. Use of Available Databases to Evaluate the Efficacy of Lead
Hazard Control Activities.
Public databases can be used to help target and assess the
effectiveness of lead hazard control activities. Examples of this
include the use of census data to identify neighborhoods that are at
high risk for lead poisoning (e.g., age and value of housing used in
combination with indicators of socioeconomic status) and the use of
blood-lead screening data to target dwellings that have been associated
with repeated identification of resident children with elevated blood-
lead levels. Geographic Information Systems (GIS) have also been
successfully used as a tool to help target high risk housing. At a
broader level, serial blood-lead screening data could be used to assess
the effectiveness of lead hazard control activities or laws that
require lead hazard control treatments in high risk housing (e.g., by
comparing community screening results before and after laws were
enacted while accounting for the overall downward trend in blood lead
levels). HUD is interested in studies that assess effective and
creative uses of public databases to improve the efficacy of lead
hazard control programs (e.g., targeting neighborhoods), assess the
effectiveness of enforcement and lead hazard control activities and
regulations, and other uses of these data that further the goal of
improving methods for the identification and control of residential
lead-based paint hazards.
7. Other Focus Areas that are Consistent with the Overall Goals of
HUD's Lead Technical Studies Program. Additional ideas will be
considered with an open mind if proposed with novel techniques and
applications. HUD will also consider funding applications for technical
studies on topics which are relevant under the overall goals and
objectives of the lead technical studies program, as described above.
In such instances, the applicant should describe how the proposed
activity addresses these overall goals and objectives.

[[Page 13874]]

C. Authority

These grants are authorized under sections 1011(g)(1), 1011(o),
1051-1053 of the Residential Lead Based Paint Hazard Reduction Act of
1992 (Title X of the Housing and Community Development Act of 1992, 42
U.S.C. 4851 et seq.); and the Consolidated Appropriations Act, 2005,
(Pub. L. 108-477; approved December 8, 2004).

II. Award Information

A. Funding Available

Approximately $3 million in Fiscal Year 2005 funds is available for
Lead Technical Studies. Of this amount, $1 million is set-aside for
Historically Black Colleges and Universities (HBCUs). Cooperative
agreements and/or grants will be awarded on a competitive basis
following evaluation of all proposals according to the rating factors
described in at Section V.A.3. HUD anticipates that approximately six
to ten awards will be made, ranging from approximately $200,000 to
approximately $750,000 each. In FY 2004, HUD awarded 4 grants averaging
approximately $430,000.
Applications for additional work related to existing HUD-funded
technical studies (i.e., for work outside of the scope of the original
agreement) are eligible to compete with applications for new awards.
These applications will be evaluated in the same manner as new
applicants.

B. Anticipated Start Date and Period of Performance for New Grants

The start date for new awards is expected to be October 1, 2005.
The period of performance cannot exceed 36 months from the time of
award. The proposed performance period should include adequate time for
project components such as the Institutional Review Board process, the
recruitment of study participants, and the development of new
instrumentation or methods (e.g., analytical methods), all of which
have been found to delay projects in the past. Period of performance
extensions for delays due to exceptional conditions beyond the
grantee's control will be considered for approval by HUD in accordance
with 24 CFR 85.25 and the OHHLHC Program Guide. If approved, grantees
will be eligible to receive a single extension of up to 12 months in
length. Applicants are encouraged to plan studies with shorter
performance periods than 36 months; when developing your schedule,
however, you should consider the possibility that issues may arise that
could cause delays .

C. Type of Award Instrument

Awards in response to this NOFA will be made as grants or
cooperative agreements. Anticipated substantial involvement for
cooperative agreements may include, but will not be limited to:
1. Review and possibly suggest amendments to the study design,
including: study objectives; field sampling plan; data collection;
sample handling and preparation; and sample and data analysis.
2. Review and provide technical recommendations in response to
quarterly progress reports (e.g., amendments to study design based on
preliminary results).
3. Review and provide technical recommendations on the final study
report.

III. Eligibility Information

A. Eligible Applicants

Academic and not-for-profit institutions located in the U.S., state
and local governments, and federally recognized Native American tribes
are eligible under all existing authorizations. For-profit firms also
are eligible; however, they are not allowed to earn a fee (i.e., no
profit can be made from the project). HBCUs, that is, educational
institutions that satisfy the requirements of 34 CFR 608.2, are also
eligible to apply under the set-aside. Applications for supplementation
of existing projects are eligible to compete with applications for new
awards. Federal agencies and federal employees are not eligible to
submit applications. The General Section identifies threshold
requirements that must be met for an organization to receive an award.

B. Cost Sharing or Matching

Cost sharing or matching is not required. In rating your
application, however, you will receive a higher score under Rating
Factor 4 if you provide evidence of significant cost sharing.

C. Other

1. Threshold Requirements Applicable to All Applicants Under the
SuperNOFA
As an applicant, you must meet all of the threshold requirements
described in the General Section. Threshold requirements include
Eligibility, Compliance with Fair Housing and Civil Rights Laws,
Conducting Business in Accordance with Core Values and Ethical
Standards, Delinquent Federal Debts and Pre-Award Accounting System
Surveys. Applicants that meet all of the threshold requirements will be
eligible to receive funds from HUD.
2. Program Requirements
a. Program Performance. Grantees shall take all reasonable steps to
accomplish all activities within the approved period of performance.
HUD reserves the right to terminate the grant prior to the expiration
of the period of performance if the grantee fails to make reasonable
progress in implementing the approved program of activities or fails to
comply with the terms of the grant agreement.
b. You must comply with all relevant federal and state regulations
regarding exposure to and proper disposal of hazardous materials;
c. Any blood lead testing, blood lead level test results, and
medical referral and follow-up for children under six years of age will
be conducted according to the recommendations of the Centers for
Disease Control and Prevention (CDC), Preventing Lead Poisoning in
Young Children (see Appendix A of this NOFA, available at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm);
d. HUD technical studies grant funds will not replace existing
resources dedicated to any ongoing project;
e. Laboratory analysis covered by the National Lead Laboratory
Accreditation Program (NLLAP) will be conducted by a laboratory
recognized under the program;
f. Human research subjects will be protected from research risks in
conformance with Federal Policy for the Protection of Human Subjects,
required by HUD at 24 CFR 60.101;
g. The requirements of the Occupational Safety and Health
Administration (OSHA) (e.g., 29 CFR part 1910 and/or 1926, as
applicable) or the state or local occupational safety and health
regulations, whichever are most stringent, will be met;
h. If an individual researcher or a research team submits the
application, the institution administering the grant must meet the
civil rights threshold in the General Section.
i. Privacy and Disclosure. All test results in pre-1978 housing
related to lead-based paint or lead-based paint hazards must be
provided to the owner of the unit, together with a statement describing
the owner's legal duty to disclose the results to tenants (before
initial leasing, or before lease renewal with changes) and buyers
(before sale) if the housing was constructed before 1978 (24 CFR part
35, subpart A). This information provided to owners may only be used
for purposes of remediation of lead-based paint and other hazards in
the unit. Disclosure of other identified housing-related health

[[Page 13875]]

or safety hazards to the owner of the unit, for purposes of
remediation, is encouraged but not required. Submission of any
information on the properties to databases (whether Web site, computer,
paper, or other format) of addresses of identified, treated or cleared
housing units is subject to the protections of the Privacy Act of 1974,
and shall not include any personal information that could identify any
child affected.
3. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. A DUNS number must be provided for the
institution that is submitting an application.

IV. Application and Submission Information

If you are interested in applying for funding under this program,
please review carefully the General Section and the following
additional information.

A. Addresses To Request Application Package

There is no Application Kit. All the information required to submit
an application is contained in the program section of this NOFA and the
General Section. Applications can be downloaded from the Web at: http://www.grants.gov. If you have difficulty accessing the information you
may call the Grants.gov helpline toll-free at (800) 518-GRANTS or e-
mailing [email protected]. Helpline customer representatives will
assist you in accessing the information.

B. Content and Form of Application Submission

1. Applicant Data.
Your application must contain the items listed in this section.
These items include the standard forms listed in the General Section
that are applicable to this funding announcement (collectively referred
to as the ``standard forms''). The required items are:
a. Application Abstract. An abstract with the project title, the
names and affiliations of all investigators, and a summary of the
objectives, expected results, and study design (two-page maximum) must
be included in the proposal. Applicants applying under the HBCU set-
aside should indicate this by inserting ``(HBCU Set-aside)'' under the
project title.
b. All forms as required by the General Section. A Certification of
Consistency with the Consolidated Plan is not required for this
application.
c. Applications that are submitted for funding under the HBCU set-
aside should indicate this in box 11 (Descriptive Title of
Applicant's Project) of form SF-424 (Application for Federal
Assistance) by inserting ``HBCU Set-aside'' in parentheses under the
project title.
d. A project description/narrative statement addressing the rating
factors for award for this NOFA. The narrative statement must be
identified in accordance with each factor for award (Rating Factors 1
through 5). Number the pages of your narrative statement and include a
header and a footer that provides the name of the applicant and the
name of the HUD program to which you are applying. The project
description must be included in the responses to the rating factors.
The response to the rating factors should not exceed a total of 25
pages, single-sided, (10- to 12-point font with at least \3/4\ inch
margins on 8\1/2\'' by 11'' pages) for each technical study topic area.
Any pages in excess of this limit will not be read. The rating for each
rating factor will be based on the portion of your narrative statement
that you submit in response to that particular factor, supplemented by
any appendices that are referenced in your response. Supporting
materials that are not referenced or discussed in your responses to the
individual rating factors will not be rated. Additional materials
(e.g., appendices) must be submitted with your application according
the directions in the General Section.
e. You should provide evidence of leveraging/partnerships by
submitting the following with your application: letters of firm
commitment; memoranda of understanding; or agreements to participate by
those entities identified as partners in the project efforts. Each
letter of commitment, memorandum of understanding, or agreement to
participate must include the organization's name, proposed level of
commitment (with monetary value) and responsibilities as they relate to
specific activities or tasks of your proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
f. In conformance with the Common Rule (Federal Policy for the
Protection of Human Subjects, codified by HUD at 24 CFR part 60.101),
if your research involves human subjects, your organization must
provide an assurance (e.g., a letter signed by an appropriate official)
that the research has been reviewed and approved by an Institutional
Review Board (IRB) before you can initiate activities that require IRB
approval. Before initiating such activities you must also provide the
number for your organization's assurance (i.e., an ``institutional
assurance'') that has been approved by the Department of Health and
Human Service's Office of Human Research Protections (OHRP). For
additional information on what constitutes human subject research or
how to obtain an institutional assurance see the OHRP web site at
http://ohrp. osophs.dhhs.gov/.
g. With your application submission, include the resumes of the
principal investigator and other key personnel and other materials that
are needed in your response to the rating factors (e.g., organizational
chart, letters of commitment). Resumes shall not exceed three pages
each, and are limited to information that is relevant in assessing the
qualifications of key personnel to conduct and/or manage the proposed
technical studies. This information will not be counted towards the
page limit.
h. Submit other relevant information provided in support of your
application following the directions in the General Section. These
additional optional materials must not exceed 20 pages. Any pages in
excess of this limit will not be read.
i. Include a detailed total budget with supporting cost
justification for all budget categories of the federal grant request.
Use the budget format discussed in Rating Factor 3, Section V.A.3.c,
below. In completing the budget forms and justification, you should
address the following elements:
(1) Direct Labor costs should include all full- and part-time staff
required for the planning and implementation phases of the project.
These costs should be based on full time equivalent (FTE) or hours per
year (hours/year) (i.e., one FTE equals 2,080 hours/year);
(2) You should budget for three trips to HUD Headquarters in
Washington, DC, planning each trip for two people, with the first trip
occurring shortly after grant award for a stay of two or three days,
depending on your location, and the remaining trips having a stay of
one or two days, depending on your location;
(3) A separate budget proposal should be provided for any
subrecipients receiving more than 10 percent of the total federal
budget request;
(4) You should be prepared to provide supporting documentation for
salaries and prices of materials and equipment upon request;
(5) Organizations that have a federally negotiated indirect cost
rate should use that rate and the appropriate base. Other
organizations, not having a federally negotiated rate schedule, must
obtain a

[[Page 13876]]

rate from their cognizant federal agency, otherwise the organization
will be required to obtain a negotiated rate through HUD; and
(6) You should submit the negotiated rate agreements for fringe
benefits and indirect costs, if applicable, as an attachment to the
budget sheets.
j. Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted.
You are not required to submit this checklist with your application.

Checklist for Lead Technical Studies Program Applicants

Item

Applicant Abstract (limited to a 2-pages)

Rating Factor Responses (Total Narrative Response Limited to 25 Pages)

1. Capacity of the Applicant and Relevant Organizational Experience
2. Need/Extent of the Problem
3. Soundness of Approach
4. Leveraging Resources
5. Achieving Results and Program Evaluation

Required Materials in Response to Rating Factors (Does Not Count
Towards 25-Page Limit)

--Resumes of Key Personnel (limited to 3 pages per resume)
--Organizational Chart
--Letters of Commitment (if applicable)
--Form HUD-96010 Logic Model Form

Optional Material in Support of the Rating Factors (20 page limit)

Required Forms and Budget Material

--Form SF 424 (Application for Federal Assistance)
--Form HUD-424-CB Grant Application Detailed Budget
--Form HUD-CBW (Budget Worksheet)
--Form SF 424 Supplement (Survey on Ensuring Equal Opportunity for
Applicants) (to be completed by private nonprofit organizations only)
--Form SF LLL (Disclosure of Lobbying Activities)
--Form HUD 2880 (Applicant/Recipient Disclosure/Update Report)
--Form 2990 Certification of Consistency with the RC/EZ/EC-II Strategic
Plan (required only for applicants who are seeking these bonus points)
--Form HUD 2994 Client Comments and Suggestions (Optional)
--Facsimile Transmittal (for electronic applications)--Form HUD-96011

C. Submission Dates and Times

Electronic applications must be submitted and received by
Grants.gov on or before June 8, 2005. All narrative files and any
scanned documents must be submitted as a zip file, single attachment to
the electronic application. Refer to the General Section for specific
application submission instructions including acceptable submission
dates, times, methods, acceptable proof of application submission and
receipt procedures, and other information regarding application
submission. Materials associated to your electronic application
submitted by facsimile transmission must also be received by 11:59:59
p.m. Eastern time on the application submission date. Make sure you see
the General Section for how to submit third party letters and other
documents as part of your electronic submission utilizing form HUD-
96011, Facsimile Transmittal.
Applicants receiving a waiver to the electronic submission process
must submit the required number of copies of the application by the
application submission date to the identified address in Appendix C of
the General Section.

D. Intergovernmental Review

Funding received through this NOFA is not subject to Executive
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

1. Administrative Costs. There is a 10 percent maximum allowance
for administrative costs. Additional information about allowable
administrative costs is provided in Appendix B of this NOFA, which is
available at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
2. Purchase of Real Property is not an allowable cost under this
program.
3. Purchase or lease of equipment having a per unit cost in excess
of $5,000 is not an allowable cost, unless prior written approval is
obtained from HUD.
4. Medical treatment costs are not allowable under this program .
5. For profit institutions are not allowed to earn a fee.
6. You must comply with the Coastal Barrier Resources Act (16
U.S.C. 3501).
7. You may not conduct construction, reconstruction or lead based
paint hazard control activities that fall below the threshold of
building repair or improvement, as defined in Section 3(a)(4) of the
Flood Disaster Protection Act of 1973 (42 U.S.C. 4001-4128), of a
building or mobile home which is located in an area identified by the
Federal Emergency Management Agency (FEMA) as having special flood
hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.

F. Other Submission Requirements

See the General Section for specific procedures concerning the form
of application submission.

V. Application Review Information

A. Criteria

1. Threshold Requirements. Applications that meet all of the
threshold requirements will be eligible to be scored and ranked, based
on the total number of points allocated for each of the rating factors
described in Section V.A.3 of this program NOFA. Your application must
receive a total score of at least 75 points to remain in consideration
for funding.
2. Rating and Ranking. Applications will be reviewed by an
Application Review Panel (ARP) which will assign each application a
score based on the rating factors presented below. The ARP chairperson
selects and provides at least one application to panel members to score
during a calibration round to ensure that all panel members are
consistent in their application of the rating factors. When the
calibration round is completed, each application is reviewed and scored
by at least two panel members. If significant scoring discrepancies are
identified among the reviewers of an application, the reviewers discuss
their differences and are then given an opportunity to rescore the
application among themselves and, if needed, with the full ARP. An
average score is then computed for each application. The ARP chair may
call upon an advisor (generally a scientist with another federal
agency) to the ARP to review and comment on a proposal; however, the
advisor does not score the application. At a final meeting, the ARP
identifies the top-ranking applications to be recommended for funding.
3. Award Factors. The factors for rating and ranking applicants,
and maximum points for each factor, are provided below. Each factor is
weighted

[[Page 13877]]

as indicated by the number of points that are attainable for it. The
maximum score that can be assigned to an application is 102 points.
Applicants should be certain that these factors are adequately
addressed in the project description and accompanying materials. The
five rating factors are listed below (a more detailed description
follows).

Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (22 points).
Rating Factor 2: Need/Extent of the Problem (15 points).
Rating Factor 3: Soundness of Approach (45 points).
Rating Factor 4: Leveraging Resources (8 points).
Rating Factor 5: Achieving Results and Program Evaluation (10 points).
RC/EZ/EC-II Bonus Points (2 points).
Total: 102 points.

Applicants are eligible to receive up to two bonus points for
projects located within federally designated Renewable Communities
(RCs), Empowerment Zones (EZs), or Enterprise Communities (ECs)
designated by USDA in round II (EC-IIs) (collectively referred to as
RC/EZ/EC-IIs), and which will serve the residents of these communities
(see the General Section). In order to be eligible for these bonus
points, applicants must submit a completed HUD form 2990.
You will receive one point under Rating Factor 3(2) for each of the
applicable FY 2005 policy priorities that are found in the General
Section and applicable to the Lead Technical Studies NOFA that are
adequately addressed in your application, with the exception of
``Removal of Barriers to Affordable Housing,'' for which you can
receive up to two points (see the General Section). Policy priorities
that are applicable to the Lead Technical Studies Program NOFA are: (1)
Improving our Nation's Communities (focus on distressed communities);
(2) Providing Full and Equal Access to Grass-Roots Faith-based and
other Community-based Organizations in HUD Program Implementation; (3)
Participation of Minority-Serving Institutions in HUD Programs, and (4)
Removal of Barriers to Affordable Housing.
You may address more than one of the technical study topic areas
within your proposal or submit separate applications for different
topic areas.
The following is a description of the five award factors and their
associated subfactors. a. Rating Factor 1: Capacity of the Applicant
and Relevant Organizational Experience (22 Points). This factor
addresses the extent to which you have the ability and organizational
resources necessary to successfully implement your proposed activities
in a timely manner. The rating of you, the ``applicant,'' will include
any sub-grantees, consultants, sub-recipients, and members of consortia
that are firmly committed to the project (generally, ``subordinate
organizations''). In rating this factor, HUD will consider the extent
to which your application demonstrates:
(1) The capability and qualifications of the principal investigator
and key personnel (14 points). HUD will assess your qualifications to
carry out the proposed study as evidenced by academic background,
relevant publications, and recent (within the past 10 years) relevant
research experience. Publications and research experience are
considered relevant if they required the acquisition and use of
knowledge and skills that can be applied in the planning and execution
of the technical study that is proposed under this NOFA; and
(2) Past performance of the study team in managing similar projects
(8 points). Demonstrated ability to successfully manage various aspects
of a complex technical study in such areas as logistics, study
personnel management, data management, quality control, community study
involvement (if applicable), and report writing, as well as overall
success in project completion (i.e., projects completed on time and
within budget). You should also demonstrate that your project would
have adequate administrative support, including clerical and
specialized support in areas such as accounting and equipment
maintenance.
If applicable, provide the past performance of the organization
(applicant or partners) in another Healthy Homes or Lead Hazard Control
grant, another grant related to environmental health and safety issues,
or other experience in a similar program. Provide details about the
nature of the project, the funding agency, and your performance.
If your organization is an existing Lead Technical Studies grantee,
provide a description of the progress and outcomes achieved in that
grant. If you received previous Lead Technical Studies funding, this
experience will be evaluated in terms of cumulative progress and
achievements under the previous grant.
b. Rating Factor 2: Need/Extent of the Problem (15 Points). This
factor addresses the extent to which there is a need for your proposed
technical study. In responding to this factor, you should document in
detail how your project would make a significant contribution towards
achieving some or all of HUD's stated goals and objectives for one or
more of the topic areas described in Section I.B. You should
demonstrate how your proposed study addresses a need with respect to
the development of improved methods for the assessment and control of
residential lead-based paint hazards. Specific topics to be addressed
for this factor include:
(1) Provide a concise review of the research need that is addressed
in your study and why it is high priority with respect to improving
methods for lead hazard detection and control;
(2) Discuss how your proposed project would significantly advance
the current state of knowledge for your focus area, especially with
respect to the development of practical solutions; and,
(3) Discuss how you anticipate your study findings will be used to
improve current methods for assessing or mitigating the lead hazard
that your study addresses. Indicate why the method/protocol that would
be improved through your study would likely be widely adopted (e.g.,
low cost, easily replicated, lack of other options).
c. Rating Factor 3: Soundness of Approach (45 Points). This factor
addresses the quality of your proposed technical study plan. Specific
components include:
(1) Soundness of the study design (20 points). The project
description/study design must be thorough and feasible, and reflect
your knowledge of the relevant scientific literature. You should
clearly describe how your study builds upon the current state of
knowledge for your focus area. If possible, your study should be
designed to address testable hypotheses that are clearly stated. Your
study design should be statistically based with adequate power to test
your stated hypotheses. The study design should be presented as a
logical sequence of steps or phases with individual tasks described for
each phase. You should identify any important ``decision points'' in
your study plan and you should discuss plans for data management,
analysis and archiving. It is HUD's experience that studies can be
subjected to considerable delay because of delays in the IRB approval
process or because of unexpected difficulties with recruiting study
participants. If applicable, describe actions that you will take to
minimize the possibility that your study would experience delays in
these areas (e.g., understanding likely IRB requirements in advance,
planning on additional avenues for recruitment).

[[Page 13878]]

(2) Policy Priorities (5 points). Indicate if your proposed study
will address any of the FY 2005 policy priorities that are applicable
to this program as identified in Section V.A.3 (see the General Section
for additional details regarding these policy priorities). You will
receive one point for each of the applicable policy priorities that are
addressed in your application, with the exception of ``Removal Of
Barriers to Affordable Housing,'' for which you can receive a maximum
of 2 points.
(3) Quality assurance mechanisms (8 points). You must describe the
quality assurance mechanisms that will be integrated into your project
design to ensure the validity and quality of the results.
(a) Areas to be addressed include acceptance criteria for data
quality, procedures for selection of samples/sample sites, sample
handling, measurement and analysis, pre-testing and validation of
questionnaires or surveys, measures to ensure accuracy during data
management, and any standard/nonstandard quality assurance/control
procedures to be followed. Documents (e.g., government reports, peer-
reviewed academic literature) that provide the basis for your quality
assurance mechanisms should be cited.
(b) If your project involves human subjects in a manner which
requires IRB approval and periodic monitoring, address how you will
obtain such approval. Before you can receive funds from HUD for
activities that require IRB approval, you must provide an assurance
that your study has been reviewed and approved by an IRB and evidence
of your organization's ``institutional assurance.'' Describe how you
will provide informed consent (e.g., from the subjects, their parents
or their guardians, as applicable) to help ensure their understanding
of, and consent to, the elements of informed consent, such as the
purposes, benefits and risks of the research. Describe how this
information will be provided and how the consent will be collected. For
example, describe your use of ``plain language'' forms, flyers and
verbal scripts, and how you plan to work with families with limited
English proficiency or primary languages other than English, and with
families including persons with disabilities.
(4) Project management plan (8 points). The proposal should include
a management plan that provides a schedule for the completion of major
tasks, with associated benchmarks and major study milestones, and major
deliverables, with an indication that there will be adequate resources
(e.g., personnel, financial) to successfully meet the proposed
schedule. The major tasks and benchmarks/deliverables identified in the
management plan should be consistent with those identified in the Logic
Model (see description under Rating Factor 5). You should include
preparation of one or more articles for peer-reviewed academic journals
and submission of the draft(s) to the journal(s) after HUD acceptance
during the period of performance of your grant.
(5) Budget Proposal (4 points).
(a) Your budget proposal should thoroughly estimate all applicable
direct and indirect costs, and be presented in a clear and coherent
format in accordance with the requirements listed in the General
Section. HUD is not required to approve or fund all proposed
activities. You must thoroughly document and justify all budget
categories and costs (Form HUD-424-CBW) and all major tasks, for
yourself, sub-recipients, major subcontractors, joint venture
participants, or others contributing resources to the project. A
separate budget must be provided for partners who are proposed to
receive more than 10 percent of the federal budget request.
(b) Your narrative justification associated with these budgeted
costs should be submitted as part of the Total Budget (Federal Share
and Matching), but is not included in the 25-page limit for this
submission.
(c) The application will not be rated on the proposed cost;
however, cost will be considered in addition to the rated factors to
determine the proposal most advantageous to the Federal Government.
Cost will be the deciding factor when proposals ranked under the listed
factors are considered acceptable and are substantially equal.
d. Rating Factor 4: Leveraging Resources (8 Points) Your proposal
should demonstrate that the effectiveness of HUD's Lead Technical
Studies grant funds is being increased by securing other public and/or
private resources or by structuring the project in a cost-effective
manner, such as integrating the project into an existing study.
Resources may include funding or in-kind contributions (such as
services, facilities or equipment) allocated to the purpose(s) of your
project. Staff and in-kind contributions should be assigned a monetary
value.
You should provide evidence of leveraging/partnerships by
submitting the following: letters of firm commitment; memoranda of
understanding; or agreements to participate from those entities
identified as partners in the project efforts. Each letter of
commitment, memorandum of understanding, or agreement to participate
must include the organization's name, proposed level of commitment
(with monetary value) and responsibilities as they relate to specific
activities or tasks of your proposed program. The commitment must also
be signed by an official of the organization legally able to make
commitments on behalf of the organization.
e. Rating Factor 5: Achieving Results and Program Evaluation (10
Points). This factor emphasizes HUD's commitment to ensuring that
applicants keep promises made in their applications and assess their
performance to ensure performance goals are met. Achieving results
means you, the applicant, have clearly identified the benefits or
outcomes of your program. Outcomes are ultimate goals. Benchmarks or
outputs are interim activities or products that lead to the ultimate
achievement of your goals.
Program evaluation requires that you, the applicant, identify
program outcomes, interim products or benchmarks, and performance
indicators that will allow you to measure your performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Your evaluation plan
should identify what you are going to measure, how you are going to
measure it, and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes.
This rating factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. In evaluating this factor, HUD
will consider how you have described outcome measures and benefits of
your program.
In your response to this Rating Factor you are to discuss the
performance goals for your project and identify specific outcome
measures. You are also to describe how the outcome information will be
obtained, documented, and reported. You must complete and return the
Logic Model Form included in the General Section showing your proposed
project long-term, mid-term, short-term and final results. Information
about developing a Logic Model is available at http://www.hud.gov.
Also, in responding to this factor, you should:
(1) Identify benchmarks that you will use to track the progress of
your study;
(2) Identify important study milestones (e.g., the end of specific
phases in a multiphased study), which

[[Page 13879]]

should also be clearly indicated in your study timeline;
(3) Identify milestones that are critical for achieving study
objectives (e.g., recruitment of study participants, developing a new
analytical protocol), potential obstacles in meeting these objectives,
and how you would respond to these obstacles;
(4) Identify how your program will be held accountable for meeting
program goals, objectives, and the actions undertaken in implementing
the grant program.

B. Review and Selection Process

1. Corrections To Deficient Applications. The General Section
provides the procedures for correcting deficient applications.
2. Rating and Ranking. Awards will be made in rank order for Lead
Technical Studies applications, within the limits of funding
availability for the program.
(a) Partial Funding. In the selection process, HUD reserves the
right to offer partial funding to any or all applicants. If you are
offered a reduced grant amount, you will have a maximum of 14 calendar
days to accept such a reduced award. If you fail to respond within the
14-day limit, you shall be considered to have declined the award.
(b) Remaining Funds. See the General Section for HUD's procedures
if funds remain after all selections have been made within a category
of the Lead Technical Studies Program.

C. Anticipated Announcement and Award Dates

The anticipated date for the announcement of awards under the Lead
Technical Studies Program is September 30, 2005.

VI. Award Administration Information

A. Award Notices

1. Notice of Award
Applicants who have been selected for award will be notified by
letter from the Grant Officer. The letter will state the program for
which the application has been selected, the amount the applicant is
eligible to receive, and the name of the Government Technical
Representative (GTR).
HUD may require that all the selected applicants participate in
negotiations to determine the specific terms of the grant agreement and
budget. In cases where HUD cannot successfully conclude negotiations
with a selected applicant or a selected applicant fails to provide HUD
with requested information, an award will not be made to that
applicant. In this instance, HUD may offer an award, and proceed with
negotiations with the next highest-ranking applicant. If you accept the
terms and conditions of the grant, you must return your signed grant
agreement by the date specified during negotiation.
After receiving the letter, additional instructions on how to have
the grant account entered into HUD's Line of Credit Control System
(LOCCS) payment system will be provided. Other forms and program
requirements will also be provided.
In accordance with OMB Circular A-133 (Audits of States, Local
Governments and Non-Profit Organizations), grantees expending $500,000
in Federal funds within a program or fiscal year must submit their
completed audit-reporting package along with the Data Collection Form
(SF-SAC) to the Single Audit Clearinghouse, the address can be obtained
from their web site. The SF-SAC can be downloaded at http://
harvester.census.gov/sac/.
2. Debriefing
The General Section provides the procedures that applicants should
follow for requesting a debriefing.

B. Administrative and National Policy Requirements

1. Environmental Requirements
In accordance with 24 CFR 50.19(b)(1), (b)(3) and (b)(5),
activities assisted under this program are categorically excluded from
the requirements of the National Environmental Policy Act of 1969 (42
U.S.C. 4321) and are not subject to environmental review under the
related laws and authorities.
2. Conducting Business in Accordance with HUD Core Values and Ethical
Standards
If awarded assistance under this NOFA, prior to entering into a
grant agreement with HUD, you will be required to submit a copy of your
code of conduct and describe the methods you will use to ensure that
all officers, employees, and agents of your organization are aware of
your code of conduct. See the General Section for information about
conducting business in accordance with HUD's core values and ethical
standards.
3. Participation in HUD-Sponsored Program Evaluation
See the General Section.
4. Removal of Barriers to Affordable Housing
See the General Section.
5. HUD Reform Act of 1989
The provisions of the HUD Reform Act of 1989 that apply to this
NOFA are explained in the General Section.
6. Audit Requirements
Any grant recipient that expends $500,000 or more in federal
financial assistance in a single year must meet the audit requirements
established in 24 CFR parts 84 and 85 in accordance with OMB Circular
A-133.
7. Procurement of Recovered Materials
See the General Section for information concerning this
requirement.

C. Reporting

1. Post Award Reporting Requirements
Final budget and work plans are due 60 days after the start date.
2. Quality Assurance Plan (QAP)
Successful applicants will be required to submit a Quality
Assurance Plan to HUD prior to initiating work under the grant. This is
a streamlined version of the format used by some other Federal
agencies, and is intended to help ensure the accuracy and validity of
the data that you will collect under the grant. You should plan for
this and include it in your study work plan. (See the HUD Office of
Healthy Homes and Lead Hazard Control's Internet site, http://http://
www.hud.gov/offices/lead, for the QAP template for this program.)
3. Progress Reporting
Progress reporting is required on a quarterly basis. Project
benchmarks and milestones will be tracked using a benchmark spreadsheet
that uses the benchmarks and milestones identified in the Logic Model
form (HUD-96010). For specific reporting requirements, see policy
guidance at: http://www.hud.gov/offices/lead.
4. Racial and Ethnic Beneficiary Data
HUD does not require grantees to collect racial and ethnic
beneficiary data for this program. If, however, racial and ethnic data
are collected and reported as part of a study funded under this program
NOFA, you must use the Office of Management and Budget's Standards for
the Collection of Racial and Ethnic Data as presented on Form HUD-
27061, Racial and Ethnic Data Reporting Form (and instructions for its
use), found on http://www.grants.gov.
5. Final Report
The grant agreement will specify the requirements for final
reporting (e.g., scientific manuscript, report).

[[Page 13880]]

VII. Agency Contact(s)

For technical help in downloading an application from Grants.gov or
submitting via Grants.gov, call the Grants.gov help desk at 800-518-
GRANTS. For programmatic questions, you may contact Dr. Peter Ashley,
Office of Healthy Homes and Lead Hazard Control, at (202) 755-1785,
extension 115 (this is not a toll-free number) or via e-mail at Peter--
[email protected]. For grants administrative questions, you may
contact Ms. Curtissa L. Coleman, Office of Healthy Homes and Lead
Hazard Control, at the address above; telephone (202) 755-1785,
extension 119 (this is not a toll-free number) or via e-mail at
[email protected]. If you are a hearing- or speech-impaired
person, you may reach the above telephone numbers through TTY by
calling the toll-free Federal Information Relay Service at 1-800-877-
8339.

VIII. Other Information

A. Other Office of Healthy Homes and Lead Hazard Control Information

For additional general, technical, and grant program information
pertaining to the Office of Healthy Homes and Lead Hazard Control,
visit: http://www.hud.gov/offices/lead.

B. Appendices

Appendices A and B to this NOFA are available from HUD's Web site
at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

[[Page 13881]]

[GRAPHIC] [TIFF OMITTED] TN21MR05.130

[[Page 13882]]

Lead Outreach Grant Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control.
B. Funding Opportunity Title: Lead Outreach Grant Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register Number is: FR-
4950-N-27. The OMB Approval Number is 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.904,
Lead Outreach Grant Program.
F. Dates: The application submission date is June 14, 2005. See the
General Section, Section IV, Application and Submission Information,
regarding application submission procedures and timely filing
requirements.
G. Additional Overview Content Information:
1. Purpose. This funding opportunity is for non-profit grassroots
community-based organizations, including faith-based organizations;
other non-profit organizations; states; Tribes; and units of general
local government to:
a. develop and distribute outreach and educations materials;
b. encourage occupants to identify potential paint hazards and
report them to property owners; and
c. increase enrollment of low-income housing units in lead hazard
control treatment programs.
2. Available Funds. Approximately $2 million is available under
this program.
3. Number of Awards. Between 4 and approximately 10 grants will be
awarded, with each grant ranging between approximately $200,000 and a
maximum of $500,000.
4. Type of Awards. The awards will be made as grants.
5. Eligible Applicants. Grassroots community-based organizations,
including faith-based organizations; other nonprofit organizations;
states; Tribes; and units of general local government are eligible to
apply for funding. Teaming arrangements are encouraged, including
teaming with educational institutions and other entities such as groups
of parents of lead-poisoned children, although the application must be
made by a single entity.
6. Matching Funds. No match or cost sharing is required. However,
leveraging is encouraged. See Section V, Rating Factor 4.
7. Limitations on Applications. Only one application per applicant
will be permitted for this lead outreach grant program.

Full Text of Announcement

I. Funding Opportunity Description

A. Purpose of the Program

The purpose of this lead outreach grant program is to:
1. Increase enrollment of low-income housing units in lead hazard
control treatment programs;
2. Develop and distribute outreach and educational materials to
raise public awareness of childhood lead poisoning, its prevention, and
proper lead hazard identification and control methods for at-risk
communities, at-risk populations of children and workers in the housing
maintenance or rehabilitation fields; and
3. Encourage occupants to identify potential lead-based paint
hazards and report them to property owners, managers, and/or public
health or housing officials, as appropriate.

B. Background

Childhood lead poisoning is the primary childhood environmental
health problem in the United States today. The Centers for Disease
Control and Prevention (CDC) has found that there are approximately
434,000 children under age 6 that have elevated blood lead levels, and
those who are non-Hispanic blacks or Hispanics are more likely to have
elevated blood lead levels than are non-Hispanic whites. The February
2000 report, ``Eliminating Childhood Lead Poisoning: A Federal Strategy
Targeting Lead Paint Hazards,'' sets forth action to be taken to
prevent such poisoning. In addition to contributing to the elimination
of lead hazards in housing occupied by low-income families with
children, the federal government's public education and outreach
activities should measurably increase the public's awareness of lead
hazards and how to address them.
In keeping with the mandate of section 1011(g)(1) of Title X, the
Residential Lead-Base Paint Hazard Reduction Act of 1992, Public Law
102-550, 106 Stat. 3672, October 28, 1992, for HUD to ``develop the
capacity of eligible applicants * * * to carry out activities under''
lead hazard control grant programs, HUD has conducted outreach and
public education initiatives through the Lead Hazard Control Grant
program, the National Lead Information Center, and other training,
education and outreach initiatives.
Lead Hazard Control grants are awarded to perform lead hazard
reduction in low-income privately owned pre-1978 housing. Lead outreach
activities encourage low-income occupants and owners to participate in
HUD-funded lead hazard control programs. HUD's supplement to the
Current Population Survey has determined that only a fraction of
citizens are educated about how lead-based paint hazards are more
common in older housing and threaten young children. This low level of
awareness means that few construction and maintenance business owners
are aware of the extent of lead-based paint hazards. Some general
information on the background of lead and lead-based paint hazards can
be found in Appendix A Background on Lead, posted at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

C. Authority

The authority for this program is section 1011(e)(8) and (g)(1) of
the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X
of the Housing and Community Development Act of 1992), and the
Consolidated Appropriations Act, 2005 (Pub. L. 108-477; approved
December 8, 2004).

II. Award Information

A. Available Funding

Approximately $2 million in fiscal year 2005 funds from the lead
technical assistance set aside under the lead hazard reduction
appropriation will be available for the Lead Outreach Program. Grants
will be awarded on a competitive basis according to the Rating Factors
described in Section V of this program section.

B. Anticipated Awards

Between four and approximately ten grants will be awarded, with
each grant ranging between approximately $200,000 and a maximum of
$500,000.

C. Award Instrument

1. Grants. Awards will be made as grants.
2. Start Date. The anticipated start dates for new awards is
October 1, 2005.

D. Period of Performance

The period of performance cannot exceed 24 months from the date of
the award. A period of performance extension for delays due to
exceptional conditions beyond the grantee's control will be considered
for approval by HUD in accordance with 24 CFR 85.30(d)(2) or 24 CFR
84.25(e)(2), as applicable, and the Office of Healthy Homes and Lead
Hazard Control (OHHLHC) Program Guide. Only one extension will be
provided for a period not to exceed 12 months.

[[Page 13883]]

III. Eligibility Information

A. Eligible Applicants

Grassroots non-profit community-based organizations, including
faith-based organizations; other non-profit organizations; states;
Tribes; and units of general local government are eligible applicants.
Teaming arrangements are encouraged, including teaming with educational
institutions and other entities such as groups of parents of lead-
poisoned children, although the application must be made by a single
entity. Nonprofit organizations, grassroots community-based nonprofit
organizations, including faith-based organizations; educational
institutions; Fair Housing Organizations; and advocacy groups for
children's health, minority and ethnic groups and persons with
disabilities can also be sub-grantees or sub-contractors. We encourage
both public and nonprofit groups to apply.

B. Cost Sharing or Matching Requirements

None required. In rating your application, however, you will
receive a higher score under Rating Factor 4 if you provide evidence of
significant cost sharing or leveraging.

C. Other

1. Eligible Activities
Eligible activities under this NOFA are:
a. Activities to publicize or conduct events which highlight lead
hazards in the home environment and available lead hazard reduction
programs;
b. Development and distribution of materials, including pamphlets,
newsletters, flyers, etc., to be distributed in stores, schools,
churches, community centers, or other neighborhood locations.
References to outreach materials may be found in Appendix B, Lead
Outreach Materials, posted at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
c. Conducting presentations or speaking engagements to inform the
public and owners of housing of lead hazards in the home and programs
that can assist in the abatement and control of the identified hazards;
d. Entering into working arrangements with local non profit
organizations, including grassroots community-based organizations,
including faith-based organizations; chambers of commerce; public and
private social service agencies; and others to disseminate information
to populations identified as being at-risk.
e. Establishing teams with non-profit organizations and
associations, such as grassroots organizations, including faith-based,
advocacy, and community-based non-profit organizations, or
corporations, retailers, construction organizations, and unions for the
purpose of coordinating or conducting joint outreach activities;
f. Preparing publications, including graphics, public service
announcements, posters and entries for newspapers and magazines with
local and/or regional distribution.
g. Training local residents and businesses on identifying potential
lead-based paint hazards, and lead-safe maintenance and renovation work
practices, etc.;
h. Making materials available in alternative formats for persons
with disabilities (e.g., Braille, audio, large type) upon request, and
providing materials in languages other than English that are common in
the community, consistent with HUD's published Limited English
Proficiency (LEP) Recipient Guidance, 68 FR 70968.
i. Program Administration in accordance with the guidelines
established under funding restrictions.
j. Program evaluation and assessment activities to improve the
effectiveness of present and future outreach efforts and to measure
whether efforts have successfully been targeted to at risk populations.
2. Threshold Requirements Applicable to all Applicants Under the
SuperNOFA. As an applicant, you must meet all of the threshold
requirements described in the General Section.
3. Program Requirements
a. Outreach activities must: (1) Increase lead awareness;
(2) Encourage owners and low-income occupants to enroll their
housing units in lead hazard control programs; and
(3) Encourage owners and low-income occupants to identify potential
lead-based paint hazards and report them to property owners and
managers, public health, and/or housing officials as appropriate.
b. All activities under this program must be targeted to at-risk
populations or areas, and implement an outreach program to meet those
populations' information needs.
c. Media Products in Languages other than English. Applicants are
encouraged to utilize minority media in an effort to achieve diversity
in outreach and educational efforts to minority target populations.
Applications that include development and distribution of media
products in languages other than English must include a discussion of
the applicant's (or subcontractor's) expertise in those languages and
in meeting the informational needs of non-English-speaking, underserved
populations.

IV. Application and Submission Information

If you are interested in applying for funding under this program,
please carefully read the General Section and the following additional
information.

A. Addresses To Request Application Package

1. There Is No Application Kit
All the information required to submit an application is contained
in the program section of this NOFA and the General Section.
Applications can be downloaded from the Web at: http://www.grants.gov.
2. Satellite Broadcast
HUD expects to hold an information broadcast via satellite for
potential applicants to learn more about the program and the
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD Web site at: http://www.hud.gov.

B. Content and Form of Application Submission

1. Address for Submitting Applications
You, the applicant, must submit a complete application via
Grants.gov. For additional information see the General Section.
2. Application Information
a. Application Format. Your application narrative response must be
limited to a maximum of 25 pages (excluding additional materials and
worksheets) equivalent to one-side only on 8\1/2\ x 11 inch paper using
a standard 12-point font with not less than \3/4\ inch margins on all
sides. Additional materials should be referenced and discussed in the
narrative response and should directly apply to the rating factor to
receive points. The rating for each Rating Factor will be based on the
Rating Factor's numbered portion of your narrative statement,
supplemented by materials referenced and discussed in that portion of
your narrative statement.
b. Applicant Data. Your application must contain all of the
required information as noted in this NOFA Section and the General
Section. These items include the standard forms listed in the General
Section that are applicable to this funding (collectively referred to
as the ``standard forms''). The standard forms can be found in the
application package on Grants.gov and

[[Page 13884]]

are referenced in the General Section. The application items are as
follows:
(1) Application Abstract (limited to two-pages). An abstract that
summarizes your proposed project, including the objectives and expected
results, the dollar amount requested, and identifying the name, address
and key contacts for you and your team members in the application. The
abstract will be used for Congressional Release and Public Announcement
if you are selected to receive an award.
(2) A narrative statement addressing the rating factors for award.
The narrative statement must be numbered in accordance with each factor
for award (Rating Factors 1 through 5). The response to the rating
factors must not exceed an equivalent of 25 pages. Any pages in excess
of this limit will not be read. (The 25-page limit does not include the
two-page abstract.) Key points to consider in preparing your
application are provided in the General Section.
(3) Applicant should provide the resumes and position descriptions
of your project director, project manager and up to three additional
key personnel (in accordance with Rating Factor 1). These should not
exceed three pages each. This information will not be counted towards
the page limit.
(4) Any attachments, additional materials, references, or other
relevant information that directly support the narrative statement may
be included, but must not exceed 20 pages for your entire application.
Any pages in excess of this limit will not be read.
(5) Provide a detailed budget with supporting cost justification
for all budget categories of your funding request, in accordance with
Rating Factor 3. This information will not be counted towards the page
limits. A detailed budget must also be provided for any subcontractors,
subgrantees, or subrecipients receiving greater than 10 percent of the
federal budget request. Use the budget format discussed in Rating
Factor 3 Section V(A)3.c(2)(b), below. In completing the budget forms
and justification, you should address the following elements:
(a) Direct Labor. Direct Labor costs should include all full- and
part-time staff required for the planning and implementation phases of
the project. These costs should be based on full time equivalent (FTE )
or hours per year (hours/year) (i.e., one FTE equals 2,080 hours/year);
(b) Travel to HUD Meetings. You should budget for three trips to
HUD Headquarters in Washington, DC, planning each trip for two people,
assuming the first trip occurring shortly after grant award for a stay
of five or six days, depending on your location, and the remaining
trips having a stay of one or two days, depending on your location;
(c) Sub-grantee and Subrecipient Budgets. A separate budget
proposal should be provided for any subrecipients receiving more than
10 percent of the total federal budget request;
(d) Supporting Documentation for Salaries and Costs of Materials.
You should be prepared to provide supporting documentation for salaries
and prices of materials and equipment upon request;
(e) Federally Negotiated Indirect Cost Rate. Organizations that
have a federally negotiated indirect cost rate should use that rate and
the appropriate base. Other organizations not having a federally
negotiated rate schedule must obtain a rate from their cognizant
federal agency. If HUD is the cognizant agency, HUD will establish the
rates. If awarded a grant, you will be asked to submit your negotiated
rate agreements for fringe benefits and indirect costs.
(6) Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted.
The checklist is not required to be submitted with the application.
(See below.)
(7) Any information or materials that are not listed above will not
be reviewed.

Checklist for Lead Outreach Grant Program Applicants

Applicant Abstract (limited to 2 pages)

Rating Factor Responses (Total narrative response limited to 25 pages.)

1. Capacity of the Applicant and Relevant Organizational Experience
2. Need/Extent of the Problem
3. Soundness of Approach
4. Leveraging Resources
5. Achieving Results and Program Evaluation

Required Materials in Response to Rating Factors (does not count
towards 25-page limit)

[sbull] Resumes of Key Personnel (limited to 3 pages per resume)
[sbull] Organizational Chart
[sbull] Letters of Commitment (if applicable)
[sbull] Form HUD-96010 Logic Model Form

Optional Material in Support of the Rating Factors (20 page limit)

Required Forms and Budget Material

[sbull] Form SF 424 (Application for Federal Assistance)
[sbull] Form HUD-424-CB Grant Application Detailed Budget
[sbull] Form HUD-CBW (Budget Worksheet)
[sbull] Form SF 424 Supplement (Survey on Ensuring Equal
Opportunity for Applicants) (to be completed by private nonprofit
organizations only)
[sbull] Form SF LLL (if applicable) (Disclosure of Lobbying
Activities)
[sbull] Form HUD 2880 (Applicant/Recipient Disclosure/Update
Report)
[sbull] Form 2990 Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (required only for applicants who are seeking these
bonus points)
[sbull] Form HUD 2994 Client Comments and Suggestions (Optional)
[sbull] Form HUD 27300 Removal of Regulatory Barriers (if
applicable)
[sbull] HUD's Waiver from submitting electronically (if applicable)
[sbull] Form HUD 2993 Acknowledgment of receipt if making paper
submittal (only if HUD waiver is granted)
[sbull] Form HUD-96011 Facsimile Transmittal (for electronic
applications)

C. Submission Dates and Times

Electronic applications must be submitted to and received by
www.grants.gov no later than 11:59:59 p.m. eastern time on the
application submission date. All narrative files and any scanned
documents must be submitted as a zip file, single attachment to the
electronic application. Please refer to the General Section for
additional submission requirements including acceptable submission
methods, acceptable proof of submission and receipt procedures, and
other information regarding application submission. Materials
associated to your electronic application submitted by facsimile
transmission must also be received by 11:59:59 p.m. eastern time on the
application submission date. Make sure you see the General Section for
how to submit third party letters and other documents as part of your
electronic submission utilizing form HUD-96011, Facsimile Transmittal.
If you have received a waiver to the electronic application
submission requirement, you must submit an original and three copies of
your application on or before June 14, 2005 following the instructions
in the General Section.

D. Intergovernmental Review

Not applicable to this program. See 24 CFR Part 52.

E. Funding Restrictions.

1. HUD will not fund the following ineligible activities:

[[Page 13885]]

a. Purchase of real property.
b. Purchase or lease of equipment having a per-unit cost in excess
of $5,000, unless prior written approval is obtained from HUD.
c. Hazard abatement, hazard reduction, rehabilitation, remodeling,
repair, or other construction work.
2. Administrative Costs. No more than 10 percent of the funds can
be used for administrative costs. Administrative costs that may be
applicable to the program included in this NOFA are discussed below:
a. Purpose. The intent of this HUD grant program is to allow the
grantee to be reimbursed for the reasonable direct and indirect costs,
subject to a top limit, for overall management of the grant. In some
instances the grantee principally serves as a conduit to pass funding
to sub-grantees, which are to be responsible for conducting the lead
outreach work. HUD has established a top limit of 10 percent of the
total grant sum for the grantee to perform the function of overall
management of the grant program, including passing on funding to sub-
grantees. The cost of that function, for the purpose of this grant, is
defined as the ``administrative cost'' of the grant, and is limited to
ten percent of the total grant amount. The balance of ninety percent or
more of the total grant sum is reserved for sub-grantees or other
direct-performers of lead outreach work.
b. Administrative Costs: What They Are Not. For the purposes of
this HUD grant program for lead outreach, the term ``administrative
costs'' should not be confused with the terms ``general and
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair
share of an organization's costs that cannot be attributed to a
particular project or department (such as the chief executive's salary
or the costs of the organization's headquarters building) to all
projects and operating departments (such as the community relations
program office or education program office, or, for governmental
grantees, such offices as the Fire Department, the Police Department,
the Community Development Department, the Health Department or this
program). Such allocated costs are added to those projects' or
departments' direct costs to determine their total costs to the
organization.
c. Administrative Costs: What They Are. For the purposes of this
HUD grant program, ``Administrative Costs'' are the grantee's allowable
direct costs for the overall management of the grant program plus the
allocable indirect costs. The allowable limit of such costs that can be
reimbursed under this program is 10 percent of the total grant sum.
Should the grantee's actual costs for overall management of the grant
program exceed 10 percent of the total grant sum, those excess costs
shall be paid for by the grantee. However, excess costs paid for by the
grantee may be shown as part of the requirement for cost-sharing funds
to support the grant.
d. Administrative Costs: Definition
(1) General. Administrative costs are the allowable, reasonable,
and allocable direct and indirect costs related to the overall
management of the HUD grant for lead outreach activities. Those costs
shall be segregated in a separate cost center within the grantee's
accounting system, and they are eligible costs for reimbursement as
part of the grant, subject to the 10 percent limit. Such administrative
costs do not include any of the staff and overhead costs directly
arising from specific sub-grantee program activities eligible under
Section III(C) of this NOFA, because those costs are eligible for
reimbursement under a separate cost center as a direct part of project
activities.
The grantee may elect to serve solely as a conduit to sub-grantees,
who will in turn perform the direct program activities eligible under
Section III(C) of this NOFA, or the grantee may elect to perform all or
a part of the direct program activities in other parts of its own
organization, which shall have their own segregated, cost centers for
those direct program activities. In either case, not more than 10
percent of the total HUD grant sum may be devoted to administrative
costs, and not less than 90 percent of the total grant sum shall be
devoted to direct program activities. The grantee shall take care not
to mix or attribute administrative costs to the direct project cost
centers.
(2) Specific. Reasonable costs for the grantee's overall grant
management, coordination, monitoring, and evaluation are eligible
administrative costs. Subject to the 10 percent limit, such costs
include, but are not limited to, necessary expenditures for the
following goods, activities and services:
(a) Salaries, wages, and related costs of the grantee's staff, the
staff of affiliated public agencies, or other staff engaged in
grantee's overall grant management activities. In charging costs to
this category the recipient may either include the entire salary,
wages, and related costs allocable to the program for each person whose
primary responsibilities (more than 65 percent of their time) with
regard to the grant program involve direct overall grant management
assignments, or the pro rata share of the salary, wages, and related
costs of each person whose job includes any overall grant management
assignments. The grantee may use only one of these two methods during
this program. Overall grant management includes the following types of
activities:
(i) Preparing grantee program budgets and schedules, and amendments
thereto;
(ii) Developing systems for the selection and award of funding to
sub-grantees and other subrecipients;
(iii) Developing suitable agreements for use with sub-grantees and
other subrecipients to carry out grant activities;
(iv) Developing systems for assuring compliance with program
requirements;
(v) Monitoring sub-grantee and subrecipient activities for progress
and compliance with program requirements;
(vi) Preparing presentations, reports, and other documents related
to the program for submission to HUD;
(vii) Evaluating program results against stated objectives;
(viii) Providing local officials and citizens with information
about the overall grant program (however, a more general education
program, helping the public understand the nature of lead hazards, lead
hazard reduction, blood-lead screening, and the health consequences of
lead poisoning is a direct project support activity);
(ix) Coordinating the resolution of overall grant audit and
monitoring findings; and
(x) Managing or supervising persons whose responsibilities with
regard to the program include such assignments as those described in
paragraphs (i) through (ix) above.
(b) Travel costs incurred for official business in carrying out the
overall grant management;
(c) Administrative services performed under third party contracts
or agreements, for services directly allocable to grant management such
as: legal services, accounting services, and audit services;
(d) Other costs for goods and services required for and directly
related to the overall management of the grant program; and including
such goods and services as telephone, postage, rental of equipment,
renter's insurance for the program management space, utilities, office
supplies, and rental and maintenance (but not purchase) of office space
for the program.
(e) The fair and allocable share of grantee's general costs that
are not directly attributable to specific projects

[[Page 13886]]

or operating departments such as salaries, office expenses and other
related costs for a private-sector grantee's parent organization, or,
for a governmental grantee, local officials (e.g., mayor and city
council members, etc.), and expenses for a grantee's legal or
accounting department which are not charged back to particular projects
or other operating departments. If a grantee has an established burden
rate, it should be used; if not, the grantee shall be assigned a
negotiated provisional burden rate, subject to final audit.

F. Other Submission Requirements

1. Submission Dates and Times
a. If you seek a waiver from submitting electronically, see the
General Section.
b. Applicants who have received a waiver from submitting
electronically must submit their paper copy applications for delivery
following the instructions in the General Section, no later than
11:59:59 PM on the application submission date. Paper copy applications
submitted without being granted a waiver will not receive funding
consideration. Please read the General Section carefully as
instructions have significantly changed for FY2005 application
submissions.
2. Electronic Application Assistance
For technical assistance in downloading the electronic application
or for other questions regarding the electronic application, please
contact the Grants.gov help desk at (800) 518-GRANTS. The Grants.gov
help desk can also be contacted by email at Grants.gov">Support@Grants.gov. You can
also get assistance on general questions from the NOFA Information
Center at (800) HUD-8929. If you are hearing impaired, you may reach
the numbers above at (800) HUD-2209 (TTY) or the Federal Information
Relay Service at (800) 877-8339 (these are toll-free numbers).

V. Application Review Information

A. Criteria

1. Applications will be reviewed by an Application Review Panel
(ARP) which will assign each application a score based on the rating
factors presented below.
2. Factors for Award Used to Evaluate and Rate Applications
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points to be
awarded is 102, including the potential for two RC/EZ/EC-II bonus
points, as described in the General Section.
3. Award Factors
Each factor is weighted as indicated by the number of points that
are attainable for it. Applicants should be certain that these factors
are adequately addressed in the project description and accompanying
materials. The five rating factors are listed below.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 points).
Rating Factor 2: Need/Extent of the Problem (15 points).
Rating Factor 3: Soundness of Approach (40 points).
Rating Factor 4: Leveraging Resources (10 points).
Rating Factor 5: Achieving Results and Program Evaluation (15 points).
RC/EZ/EC-II Bonus Points (2 points, see below).
Total: 102 points.
HUD FY 2005 NOFAs provide for the award of two bonus points for
eligible activities/projects that the applicant proposes to locate in
federally designated Empowerment Zones (EZs), Renewal Communities
(RCs), or Enterprise Communities, designated by USDA in round II (EC-
IIs), that are intended to serve the residents of these areas, and that
are certified to be consistent with the area's strategic plan or RC Tax
Incentive Utilization Plan (TIUP). (For ease of reference in this
Notice, all of the federally designated areas are collectively referred
to as ``RC/EZ/EC-IIs'' and residents of any of these federally
designated areas as ``RC/EZ/EC-II residents.'') This Notice contains a
certification that must be completed for the applicant to be considered
for RC/EZ/EC-II bonus points. A list of RC/EZ/EC-IIs can be obtained
from HUD's web page at http://www.hud.gov/cr. Applicants can determine
if their program/project activities are located in one of these
designated areas by using the locator on HUD's web site at http://
www.hud.gov/crlocator. Please see the General Section.
You will receive points under Rating Factor 3(1) for each of the
applicable FY2005 policy priorities that are adequately addressed in
your application, up to a maximum of four points (see the General
Section). Policy priorities that are applicable to the Lead Outreach
grant NOFA and eligible for one point each are: (1) Improving our
Nation's Communities (focus on distressed communities); and (2)
Providing full and equal access to grass-roots faith-based and other
community-based organizations in HUD program implementation. Removal of
regulatory barriers to affordable housing is eligible for up to 2
points provided the required documentation, as specified in form HUD
27300 (Removal of Regulatory Barriers), is part of the application
submission to HUD. Applicants may also provide a web site URL for a web
site where the required documentation is readily accessible for use.
You are encouraged to plan projects that can be completed over a
short time period (e.g., 18 to 24 months from the date of award) so
useful information generated from the outreach activities can be
available for policy or program decisions and disseminated to the
public as quickly as possible. The grant performance period is limited
to 24 months.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points). This factor addresses your
organizational capacity necessary to successfully implement your
proposed activities in a timely manner. The rating of you or your staff
includes any grassroots nonprofit organizations, including faith-based
nonprofit organizations and other community-based non-profit
organizations, sub-contractors, consultants, subrecipients, and members
of consortia that are firmly committed to your project. For all of the
descriptions of personnel and organizational qualifications and
experience in this factor, more points will be given for more recent
relevant experience of high quality with this type of work, as
documented below. Applicants who are funding or sub-contracting with
grassroots nonprofit organizations, including faith-based nonprofit
organizations, and other community-based nonprofit organizations, in
conducting their outreach programs should include the qualifications
and experience of these organizations in responding to this rating
factor. In rating this factor HUD will consider:
(1) Your recent, relevant and successful demonstrated experience in
undertaking eligible program activities. You must describe the
knowledge and experience of the proposed overall project director and
day-to-day project manager in planning and managing large and complex
interdisciplinary outreach programs, especially those involving
housing, public health, or environmental programs. In your narrative
response for this factor, you should include information on your
project staff, their experience, percentage commitment to the project,
and position titles. You must provide resumes (or position descriptions
and copies of job announcements including salary range, for vacant
positions) of up to three pages each for the project

[[Page 13887]]

director, project manager, and up to three key personnel, and a clearly
delineated organizational chart for the Lead Outreach project in your
application. Indicate the name and the position of key personnel, the
percentage of time that proposed staff will devote to your project and
any salary costs to be paid by funds from this program. Include
descriptions of the experience and qualifications of subcontractors and
consultants. You may find it useful to include a table indicating the
name, position and percentage contribution of staff members, specifying
organizational affiliation.
(2) Your qualifications to carry out the proposed activities as
evidenced by experience, training, and/or relevant publications of
project staff, and whether you have sufficient personnel, or will be
able to quickly retain qualified experts or professionals to begin your
proposed project immediately, and to perform your proposed activities
in a timely and effective fashion. Describe how principal components of
your organization will participate in, or support, your project. You
should thoroughly describe capacity, as demonstrated by experience in
initiating, implementing and evaluating related health education,
outreach and recruitment projects.
(3) Your past performance in previous projects with an emphasis on
health education, outreach and recruitment. Provide details about the
nature of the project, the funding agency, and your performance,
relative to performance measures or the achievement of desired health
outcomes. If a subgrantee or subcontractor is an existing HUD lead
outreach grantee, provide a description of the progress and outcomes
achieved in that grant.
HUD's evaluation process will consider an applicant's past
performance in effectively organizing and managing their grant
operations, in meeting performance and work plan benchmarks and goals,
and in managing funds, including their ability to account for funds
appropriately, timely use of funds received either from HUD or other
federal, state, Tribal, or local programs, and meeting performance
milestones. This includes whether the applicant has requested no-cost
time extensions for previous Office of Healthy Homes and Lead Hazard
Control awards. HUD may use other information relating to these items
from sources at hand, public sources such as newspapers, Inspector
General or Government Accounting Office Reports or Findings, hotline
complaints, or other sources of information that have been proven to
have merit.
(4) Statement Regarding Other Grants and Applications. You need to
disclose all grants that you are currently receiving from OHHLHC, and a
list of the applications you have submitted or plan to submit for
FY2005 for other OHHLHC grants. This information will be used during
evaluation of your application in regard to evaluating your capacity to
conduct the activities under this grant program concurrently with
activities under other OHHLHC grants.
b. Rating Factor 2: Need/Extent of the Problem (15 Points) This
factor addresses the extent to which there is a need for your proposed
project activities to address documented problems, target area(s) and
target populations. Applications that demonstrate a greater need for
lead outreach beyond existing levels as a mechanism for increasing
enrollment in lead hazard treatment programs, or more thoroughly
document this need will earn higher numbers of points.
(1) Your application should document a critical level of need for
your proposed outreach activities in the area(s) where activities will
be carried out. You should pay specific attention to documenting the
need for outreach to increase enrollment of low- income housing units
with children under six in lead hazard treatment programs as it applies
to your target area(s) and target populations, rather than a larger
geographic area or general population. Examples of information that
might be used to demonstrate need, include:
(2) Economic or sociological information relevant to your target
area(s). If this information is applied locally, the neighborhoods or
type of neighborhoods to be targeted should be characterized with
regard to populations and age of housing that the outreach activities
are attempting to reach. Information on the number and percentage of
very-low (income less than 50 percent of the area median) and low-
(income less than 80 percent of the area median) income families, as
determined by HUD is available at the HUDuser web site,
www.huduser.org, with adjustments for smaller and larger families
(Very-Low and Low-Income Population).
(3) Data documenting targeted populations that are traditionally
underserved or have special needs. For a maximum score in this Rating
Factor, data provided should specifically represent the target area. If
the data presented in your response do not specifically represent your
target area, you should discuss why the target areas are being
proposed. If your application addresses needs that are in the
Consolidated Plan or Analysis of Impediments (AI) to Fair Housing
Choice (see the General Section), court orders or consent decrees,
settlements, conciliation agreements, or voluntary compliance
agreements, you will receive more points than applicants that do not
relate their project to an identified need.
(4) Information from the local (or state or Tribe, if applicable)
health department, if available, on actual (not estimated) rates of
elevated blood lead levels among children residing in your target
area(s).
(5) Readily available information on the presence of existing
outreach and educational resources in your target area(s).
c. Rating Factor 3: Soundness of Approach (40 Points) This factor
addresses the quality and cost-effectiveness of your proposed work
plan. You should present information on your proposed approach for
increasing the public's awareness and knowledge about lead poisoning
and lead-based paint hazards, for encouraging owners and low-income
family occupants to identify potential lead-based paint hazards, and
enrolling their housing units in lead hazard control treatment
programs. Applications containing approaches with clear activities and
sub-activities that will result in increasing the enrollment in lead
hazard treatment programs, that include a range of approaches that
address the needs of populations with limited English proficiency,
persons with disabilities, persons with low literacy, etc., that
demonstrate a logical progression of implementation steps, that include
more appropriate mechanisms for reaching audiences, and that provide
better documentation of the methodology of the proposed approach will
receive higher numbers of points. Applicants shall identify their
approaches to overcoming recruitment difficulties, including over-
recruiting efforts, incentives to increase enrollment, and any other
options. Applicants will receive higher rating points for approaches
that include higher percentages of funding or sub-contracting for
substantive work by grassroots organizations, including faith-based and
other community-based non-profit organizations, Fair Housing
Organizations and advocates for various minority and ethnic groups and
for persons with disabilities.
You should describe how proposed activities would help HUD achieve
its goals for this program area. You should demonstrate your knowledge
of the

[[Page 13888]]

outreach methodology relevant to your approach. You should develop a
work plan that includes specific, measurable and time-phased objectives
for each major program activity, accompanied by a complementary
schedule indicating proposed date(s) of completion.
There must be a direct relationship between the proposed
activities, community needs, the purpose of the project, and the number
of low-income housing units enrolled in lead hazard treatment programs.
Your response to this factor should include the following elements:
(1) Approach for Developing the Project. (30 points) Describe your
overall approach for your proposed project. The description must
include a discussion of specific planned project activities:
(a) Provide the estimated total number of low-income housing units
that you expect to be enrolled in lead hazard treatment programs.
Describe in detail how you will identify and track participants
receiving outreach under your project, especially participants in high-
risk groups and communities, vulnerable populations and persons
traditionally underserved. (6 points)
(b) Describe your process for developing outreach materials, or
using existing materials. (3 points)
(c) Describe your management processes to be used to ensure the
cost-effectiveness of expenditures of funds. (2 points)
(d) Describe any measurement tools you would employ to evaluate the
effectiveness of your outreach and educational activities for occupants
of housing units enrolled in lead hazard treatment programs before and
after treatment. (2 points)
(e) Describe the methods of community education you would use
including community awareness, education, training, and outreach
programs in support of your work plan and objectives that are
culturally sensitive, targeted, and linguistically appropriate. (3
points)
(f) Proposed involvement of grassroots organizations, including
faith-based and other community-based non-profit organizations in the
proposed activities. HUD strongly encourages you to substantively use
grassroots organizations, including faith-based, and other community-
based non-profit organizations. (10 points)
(g) Indicate if, and describe how, you will address any of HUD's
departmental policy priorities. (See the General Section for a fuller
explanation of HUD's policy priorities.) Policy priorities that are
potentially applicable to this NOFA include: (i) Improving our Nation's
Communities, (ii) Providing Full and Equal Access to Faith-based and
other Community-based Organizations in HUD Program Implementation, and
(iii) Removal of Regulatory Barriers to Affordable Housing. You will
receive one point for each of the first two applicable policy
priorities that are adequately addressed in your application, and up to
two points for Removal of Regulatory Barriers to Affordable Housing. If
your application addresses all three policy priorities, you could get
up to four points. (4 points)
(2) Approach for Implementing the Project. (10 points) Describe
your project goals, objectives and the strategy you will use in
executing the project. You should provide information on the general
approach and overall plan employed.
(a) Baseline Plan for Project Management. (5 points) Include a
management plan that:
(i) Lists the outreach project objectives, major tasks and
activities. All specific activities necessary to complete the proposed
project must be included in the task listing.
(ii) Incorporates appropriate performance goals with projected
outputs and outcomes of the outreach program's activities.
(iii) Identifies major milestones and provides a schedule for the
assignment, tracking and completion of major tasks and activities, and
a timeframe for delivery, including reports and other proposed
deliverables of the outreach activity.
(iv) Designates resources and identifies responsible entities for
performing work.
(b) Budget Justification. (5 points) Your proposed budget will be
evaluated for the extent to which it is reasonable, clearly justified,
and consistent with the outreach project management plan and intended
use of program funds. HUD is not required to approve or fund all
proposed activities. You must thoroughly document and justify all
budget categories and costs (Form HUD-424-CB) and all major tasks, for
yourself, subrecipients (grassroots organizations, including faith-
based, and other community-based non-profit organizations), partners,
major subcontractors, joint venture participants, or others
contributing resources to the project, especially those proposed to
receive greater than 10 percent of the federal budget request. Describe
clearly and in detail your budgeted costs for each required program
element (major task) included in your overall plan.
d. Rating Factor 4: Leveraging Resources (10 Points). This factor
addresses your ability to secure other community and/or private sector
resources (such as financing, supplies, or services) that can be
combined with HUD's resources to achieve project purposes. These
community resources may be contributions from organizations such as the
applicant, subrecipients, partners, or other organizations not directly
involved in the project.
(1) In evaluating this factor, HUD will consider the extent to
which you have developed partnerships to secure additional resources to
increase the effectiveness of your proposed project. Describe how other
organizations will participate in or support your project. Resources
may include funding or in-kind contributions (such as labor, fringe
benefits, services, supplies, or equipment) budgeted for your proposed
project. Resources may be provided by state, Tribal, and local
governmental entities, public or private organizations, or other
partners.
(2) Each source of contributions (financial or in-kind) must be
supported by a letter of commitment from the contributing entity,
whether the applicant, a partner organization, or a public or private
source. The letter must describe the contributed resources that will be
used in your project and the dollar value of that contribution. Staff
in-kind contributions should be given a market-based monetary value. If
you fail to provide letters of commitment with specific details
including the amount of the actual contributions, you will not get
points for this factor. Each letter of commitment, memorandum of
understanding, or agreement to participate shall include the
organization's name and the proposed level of commitment and
responsibilities as they relate to the proposed project. The commitment
must be signed by an official legally able to make commitments on
behalf of the organization. See the General Section for instructions on
how to submit third party documents using the electronic submission
process. Letters of support (letters that indicate support but do not
specify a monetary commitment to the project) will not be considered in
the scoring of this Rating Factor.
Include information to address the following elements:
(a) The extent to which you have coordinated your activities with
other known organizations that are not directly participating in your
proposed work activities, but with which you share common goals and
objectives.
e. Rating Factor 5: Achieving Results and Program Evaluation (15
points).

[[Page 13889]]

This factor emphasizes HUD's commitment to ensuring that applicants
keep promises made in their application and assessing their performance
to ensure performance goals are met. Achieving results means the
applicant has clearly identified the benefits, or outcomes of your
program. Outcomes are ultimate goals; for this lead outreach grant
program, the major outcome is increasing the number of low-income
housing units that house young children enrolled in lead hazard
treatment programs as a result of the grant activity. Benchmarks or
outputs are interim activities or products that lead to the ultimate
achievement of your goals.
Program evaluation requires that the applicant identifies program
outcomes, interim products or benchmarks, and performance indicators
that will allow you to measure your performance. Performance indicators
should be objectively quantifiable and measure actual achievements
against anticipated achievements. Your Evaluation Plan should identify
what you are going to measure, how you are going to measure it, and the
steps you have in place to make adjustments to your work plan if
performance targets are not met within established timeframes.
This rating factor reflects HUD's goal to embrace high standards of
ethics, management, and accountability. In evaluating this factor, HUD
will consider how you have described outcome measures and benefits of
your program.
In your response to this Rating Factor you are to discuss the
performance goals for your project and identify specific outcome
measures. You are also to describe how the outcome information will be
obtained, documented, and reported. You must complete and return the
Logic Model Form, HUD 90610, included in the General Section, showing
your proposed project long-term, mid-term, short-term, and final
results, and how they support HUD's departmental goals and objectives.
Information about developing a Logic Model is available at:
www.hud.gov.
In evaluating this factor, HUD will consider how you have related
your needs statement and your proposed activities, with clearly defined
objectives, outputs and outcomes.
f. Bonus Points for Federally Designated Zones and Communities. (2
points) This Section of the NOFA provides for the award of two bonus
points for eligible activities/projects that the applicant proposes to
be located in federally designated Empowerment Zones (EZs), Renewal
Communities (RCs), or Enterprise Communities, designated by USDA in
round II (EC-IIs). A list of RCs, EZs, and EC-IIs is available from
HUD's Web site at: http://www.hud.gov. See also the General Section.

B. Reviews and Selection Process

1. Rating and Ranking
Awards will be made in rank order for Lead Outreach applications.
2. Partial Funding
In the selection process, HUD reserves the right to offer partial
funding to any or all applicants. If you are offered a reduced grant
amount, you will have a maximum of 14 calendar days to accept such a
reduced award. If you fail to respond within the 14-day limit, you
shall be considered to have declined the award. Please see the General
Section for a discussion of adjustments to funding that may be made by
HUD during the selection process.
3. Remaining Funds
See the General Section for HUD's procedures if funds remain after
all selections have been made.
4. Minimum Points for Award
Your application must receive a total score of at least 75 points
to be considered for funding. Applications will not be rated or ranked
if they do not meet the threshold requirements of the General Section.

C. Anticipated Announcement and Award Dates

HUD anticipates announcing awards under this program on or about
September 30, 2005.

VI. Award Administration Information

A. Award Notices

1. Notice of Award
Applicants who have been selected for award will be notified by
letter from the Grant Officer. The letter will state the program for
which the application has been selected, the amount the grantee is
eligible to receive, and the name of the Government Technical
Representative (GTR). This letter is not an authorization to begin work
or incur costs under the grant.
2. Negotiations
HUD may require that selected applicants participate in
negotiations to determine the specific terms of the grant agreement and
budget. In cases where HUD cannot successfully conclude negotiations
with a selected applicant or a selected applicant fails to provide HUD
with requested information, an award will not be made to that
applicant. In this instance, HUD may offer an award, and proceed with
negotiations with the next highest-ranking applicant. If you accept the
terms and conditions of the grant, you must return your signed grant
agreement by the date specified during negotiation.
3. LOCCS Payment System
After receiving the letter, additional instructions on how to have
the grant account entered into HUD's Line of Credit Control System
(LOCCS) payment system will be provided. Other forms and program
requirements will also be provided.
4. Start of Work
All awardees are expected to commence activity immediately upon
completion of budget and work plan negotiations, and execution of the
grant agreement.
5. Applicant Debriefing
See the General Section for information regarding applicant
debriefing.

B. Administrative and National Policy Requirements

1. Environmental Review
In accordance with 24 CFR 50.19(b)(2), (b)(3), and (b)(9) of the
HUD regulations, activities assisted under this program are
categorically excluded from the requirements of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321) and are not subject
to environmental review under the related laws and authorities.
2. HUD Reform Act of 1989
Applicants must comply with the requirements for funding
competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531
et seq.) as defined in the General Section.
3. Audit Requirements
Any grant recipient that expends $500,000 or more in federal
financial assistance in a single year must meet the audit requirements
established in 24 CFR parts 84 and 85 in accordance with OMB Circular
A-133. In accordance with OMB Circular A-133 (Audits of States, Local
Governments and Non-Profit Organizations), grantees will have to submit
their completed audit-reporting package along with the Data Collection
Form (SF-SAC) to the Single Audit Clearinghouse, at the address
obtained from their Web site. The SF-SAC can be downloaded at: http://
harvester.census.gov/sac/.

[[Page 13890]]

4. Corrections to Deficient Applications
See the General Section for information about corrections to
deficient applications.
5. Timely Hiring of Staff
HUD reserves the right to terminate grant awards made to applicants
that fail to timely hire (within 90 days of award) staff to fill key
positions identified in the applicant's proposal as vacant.
6. Procurement of Recovered Materials
See the General Section for information concerning this
requirement.
7. Privacy and Disclosure
All test results in pre-1978 housing related to lead-based paint or
lead-based paint hazards must be provided to the owner of the unit,
together with a statement describing the owner's legal duty to disclose
the results to tenants (before initial leasing, or before lease renewal
with changes) and buyers (before sale) if the housing was constructed
before 1978 (24 CFR Part 35, subpart A). This information provided to
owners may only be used for purposes of remediation of lead-based paint
and other hazards in the unit. Disclosure of other identified housing-
related health or safety hazards to the owner of the unit, for purposes
of remediation, is encouraged but not required. Submission of any
information on the properties to databases (whether web site, computer,
paper, or other format) of addresses of identified, treated or cleared
housing units is subject to the protections of the Privacy Act of 1974,
and shall not include any personal information that could identify any
child affected.
8. Conducting Business in Accordance with HUD Core Values and Ethical
Standards
Refer to the General Section for information about conducting
business in accordance with HUD's core values and ethical standards.

C. Reporting

The following items are Post Award Reporting Requirements.
1. Final Budget and Work Plan
Final budget and work plans are due 60 days after the effective
date of the grant (start date).
2. Progress Reporting
Progress reporting is done on a quarterly basis. Project benchmarks
and milestones will be tracked using a benchmark spreadsheet that uses
the benchmarks and milestones identified in the Logic Model form (HUD-
96010) approved and incorporated into your award agreement. For
specific reporting requirements, see policy guidance at: http://
www.hud.gov/offices/lead.
3. Final Report
An overall final grant report, due at the completion of the grant,
will detail activities (e.g., the number of low-income housing units
enrolled in lead hazard treatment programs as a result of activities
performed under this grant, number and type of materials produced,
activities conducted, evaluation of the various outreach and
educational methods used, findings, and recommended future actions at
the conclusion of grant activities). The final report shall include
final project benchmarks and milestones achieved against the proposed
benchmarks and milestones in the Logic Model (HUD-96010) approved and
incorporated into your award agreement.

VII. Agency Contacts

For programmatic questions, you may contact Jonnette Hawkins,
Office of Healthy Homes and Lead Hazard Control; telephone (202) 755-
1785, extension 126 (this is not a toll-free number) or via e-mail at
[email protected]. For grants administrative questions, you
may contact Ms. Curtissa L. Coleman, Office of Healthy Homes and Lead
Hazard Control; telephone (202) 755-1785, extension 119 (this is not a
toll-free number) or via e-mail at [email protected]. If
neither of these individuals is available, you may contact the Office's
general Lead Regulations hotline, at (202) 755-1785, extension 104, for
which your call will be forwarded in one business day for subsequent
response by the appropriate staff. If you are a hearing- or speech-
impaired person, you may reach the above telephone numbers through TTY
by calling the toll-free Federal Information Relay Service at 800-877-
8339.

VIII. Other Information

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Lead Hazard Reduction Demonstration Grant Program

Overview Information:
A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control.
B. Funding Opportunity Title: Lead Hazard Reduction Demonstration
Grant Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The funding opportunity number for
this program is FR-4950-N-30; The OMB Approval Number for this program
is 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.905;
Lead Hazard Reduction Demonstration Grant Program.
F. Dates: The application submission date is June 14, 2005. For
2005, HUD is accepting electronic applications utilizing Grants.gov.
See the General Section for specific instructions for application
submissions procedures and timely filing.
G. Additional Overview Content Information:
1. Purpose of the Program. The purpose of the Lead Hazard Reduction
Demonstration Grant Program is to assist areas with the highest lead
paint abatement needs in undertaking programs for abatement,
inspections, risk assessments, temporary relocations, and interim
control of lead-based paint hazards in eligible privately owned, single
family housing units, and multifamily buildings that are occupied by
low-income families.
2. Available Funds. Approximately $49.4 million.
3. Eligible Applicants. To be eligible to apply for funding under
this program, the applicant must be a city, county, or similar unit of
local government. States and Indian Tribes may apply on behalf of units
of local government within their jurisdiction, if the local government
designates the state or the Indian Tribe as their applicant. Multiple
units of a local government (or multiple local governments) may apply
as part of a consortium; however, you must identify a lead applicant
that will be responsible for ensuring compliance with all requirements
specified in this NOFA. State government and Native American tribal
applicants must have an EPA approved State Program for certification of
lead-based paint contractors, inspectors, and risk assessors in
accordance with 40 CFR 745 in effect on the application deadline date
to be eligible to apply for Lead Hazard Reduction Demonstration Grant
funds.
4. Match. A statutory minimum of 25 percent match is required.
Full Text of Announcement:

I. Funding Opportunity Description

A. Program Description. The Lead Hazard Reduction Demonstration
Grant Program is authorized by Section 1011 of the Residential Lead-
Based Paint Hazard Reduction Act of 1992 (Title X of the Housing and
Community Development Act of 1992, Public Law 102-550). HUD's authority
for making funding available under this NOFA is the Consolidated
Appropriations Act, 2005 (Pub. L. 108-477; approved December 8, 2004).
The Lead Hazard Reduction Demonstration Grant Program assists States,
Native American Tribes and local governments in undertaking programs
for the identification and control of lead-based paint hazards in
eligible privately owned rental and owner-occupied housing units. Refer
to Section IV.E.3 of this NOFA for instructions on downloading the
table, ``Eligibility of HUD Assisted Housing'' that lists the HUD-
associated housing programs that meet the definition of eligible
housing under this program.
1. Because lead-based paint is a national problem, these funds will
be awarded to programs which:
a. Maximize the combination of children protected from lead
poisoning and housing units where lead-hazards are controlled;
b. Target lead hazard control efforts at housing in which children
are at greatest risk of lead poisoning;
c. Stimulate cost-effective approaches that can be replicated;
d. Emphasize lower cost methods of hazard control;
e. Build local capacity to safely and effectively address lead
hazards during lead hazard control, renovation, remodeling, and
maintenance activities; and
f. Affirmatively further fair housing and environmental justice.
2. The objectives of this program include:
a. Implementation of a national strategy, as defined in Title X of
the Housing and Community Development Act of 1992 (42 U.S.C. 4851 et
seq.) (Title X), to build the community's capacity necessary to
eliminate lead-based paint hazards in housing, as widely and quickly as
possible by establishing a workable framework for lead-based paint
hazard identification and control;
b. Mobilization of public and private resources, involving
cooperation among all levels of government, the private sector,
including grassroots community-based nonprofit organizations, including
faith-based organizations or other community-based organizations
including fair housing organizations and advocates for Fair Housing Act
protected classes to develop cost-effective methods for identifying and
controlling lead-based paint hazards;
c. Development of comprehensive community approaches which result
in integration of all community resources (governmental, grassroots
community-based nonprofit organizations, including faith-based
organizations or other community-based organizations, and private
businesses) to address lead hazards in housing;
d. Integration of lead-safe work practices into housing
maintenance, repair, weatherization, rehabilitation, and other programs
that will continue after the grant period ends;
e. Establishment of a public registry (listing) of lead-safe
housing or inclusion of the lead-safe status of properties in another
publicly accessible address-based property information system and
affirmatively marketed to families with young children; and
f. To the greatest extent feasible, promotion of job training,
employment, and other economic opportunities for low-income and
minority residents and businesses that are owned by and/or employ
minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR
33881, June 30, 1994).
3. Changes in FY 2005 Competitive NOFA:
a. Applicants must have at least 7,000 pre-1940 occupied rental
housing units in order to apply under this NOFA. The threshold
requirement was increased from 3200 under the FY2003 Lead Hazard
Reduction Demonstration Grant Program NOFA and reflects the intent of
Congress to provide funds to areas with the greatest need.
b. Engineering and architectural activities that are required for,
and in direct support of, lead hazard control work are direct costs
that can be reimbursed from the 90 percent of the funds available that
are to be used exclusively for lead-based paint abatement, interim
controls, combined lead-based paint inspection and risk assessment,
clearance testing, and relocation. These activities were eligible
support costs that could be reimbursed through matching, leveraged or
other available funds in FY 2004.
c. The purchase or lease of a maximum of two X-ray fluorescence
analyzers for use by this program, if not already available, can be
reimbursed from the 90 percent of the funds available that are to be
used exclusively for lead-based paint abatement, interim

[[Page 13898]]

controls, combined lead-based paint inspection and risk assessment,
clearance testing, and relocation. These activities were eligible
support costs that could be reimbursed through matching, leveraged or
other available funds in FY 2004.
d. For 2005, HUD is accepting electronic applications utilizing
Grants.gov. See the General Section for specific instructions for
application submissions procedures and timely filing. Applicants are to
complete and submit the Rating Factor Tables included in Section IV of
this NOFA.

II. Award Information

Funding Available. Approximately $49.4 million in Fiscal Year 2005
funds is available. The minimum award amount shall be $2 million per
grant. The maximum award amount shall be $4 million per grant.
Approximately 13 to approximately 25 grants will be awarded. The period
of performance is 36 months. Period of performance extensions for
delays due to exceptional conditions beyond the grantee's control will
be considered for approval by HUD in accordance with 24 CFR 85.30(d)(2)
and the Office of Healthy Homes and Lead Hazard Control (OHHLHC)
Program Guide. Such extensions, when granted, are one time only, and
for no longer than a period of one year. Applicants are encouraged to
plan studies with shorter performance periods than 36 months. When
developing your schedule you should consider the possibility that
issues may arise that could cause delays.

III. Eligibility Information

See the General Section for additional eligibility requirements
applicable to HUD Programs.

A. Eligible Applicants

1. To be eligible to apply for funding under this program, the
applicant must be a city, county, or similar unit of local government.
States and Indian Tribes may apply on behalf of units of local
government within their jurisdiction, if the local government
designates the state or the Indian Tribe as their applicant. Multiple
units of a local government (or multiple local governments) may apply
as part of a consortium; however, you must identify a lead applicant
that will be responsible for ensuring compliance with all requirements
specified in this NOFA. State government and Native American tribal
applicants must have an EPA approved State Program for certification of
lead-based paint contractors, inspectors, and risk assessors in
accordance with 40 CFR 745 in effect on the application deadline date
to be eligible to apply for Lead Hazard Reduction Demonstration Grant
funds.
2. Eligible applicants may submit only one application. In the
event that multiple applications are submitted, this will be considered
a technical deficiency and the application review process will be
delayed until you notify HUD in writing which application should be
reviewed. Your other applications will be returned without being rated
or ranked.
If you or any member of your consortium also applied for funding
under the fiscal year 2005 Lead Hazard Control Grant Program Notice of
Funding Availability or received funds under the fiscal year 2004 Lead
Hazard Reduction Demonstration NOFA, you must discuss how both programs
will operate concurrently and how program activities will be combined
to achieve maximum benefits. If you achieve a score of 75 or higher in
this competition and in the FY 2005 Lead Hazard Control Grant Program
competition and fall within the fundable range in both competitions,
prior to selection, HUD will evaluate your responses to Rating Factor
1--Capacity of the Applicant and Relevant Organization Experience and
Rating Factor 3--Soundness of Approach (Work Plan/Budget), and
determine whether you have the ability and capacity to successfully
implement both grant programs concurrently. If you cannot demonstrate
to HUD that you have the capacity to successfully implement both grant
programs, HUD reserves the right to fund only one application.
The applications for this NOFA can be found at http://www.grants.gov. The application is an electronics application. You must
register at http://www.grants.gov to be able to submit your
application. The General Section contains information submission
requirements and procedures. Please carefully review the General
Section before reading the program section so that you understand HUD's
new electronic application process.

B. Cost Sharing or Matching

Matching Contribution. You must provide a matching contribution of
at least 25% of the requested grant sum. This may be in the form of
cash, including private sector funding, or in-kind (non-cash)
contributions or a combination of these sources. With the exception of
Community Development Block Grant (CDBG) funds, Federal Revenue Sharing
programs, or other programs which by statute allow their funds to be
considered local funds and therefore eligible to be used as matching
funds, Federal funds may not be used to satisfy the statutorily
required 25 percent matching requirement. Federal funds may be used,
however, for contributions above the statutory requirement. The
signature of the authorized official on the Form SF-424 commits
matching or other contributed resources of the applicant organization.
A separate letter of commitment for the match from the applicant
organization is not required; however, the applicant must submit a
letter of commitment from each organization other than itself that is
providing a match, whether cash or in-kind. The letter must describe
the contributed resources that you will use in the program and their
designated purpose.

C. Other

1. Threshold Requirements. As an eligible applicant, you must also
meet all of the threshold requirements in Section III. C of the General
Section as well as the specific threshold requirements listed in this
subsection. Applications will not be funded if they do not meet the
threshold requirements.
a. Applicants must provide a minimum of 25% of the grant funds
requested as a matching contribution.
b. Applicants must have at least 7,000 pre-1940 occupied rental
housing units in order to apply under this NOFA. Failure to provide the
number of pre-1940 occupied rental units in the Factor 2 Table will
result in the application not being rated or ranked.
c. Provide the actual number of children with documented elevated
blood lead levels residing within the applicant's jurisdiction(s) for
the most recent complete calendar year and identify the source of the
data. Failure to provide these data will result in the application not
being rated or ranked.
d. State government and Native American tribal applicants must have
an EPA approved State Program for certification of lead-based paint
contractors, inspectors, and risk assessors in accordance with 40 CFR
745 in effect on the application deadline date to be eligible to apply
for Lead Hazard Reduction Demonstration Grant funds. The approval date
in the Federal Register notice published by the EPA will be used in
determining the Training and Certification status of the applicant
state or Indian (Native American) Tribal government. If you do not have
an EPA authorized program, the application will not be rated and
ranked.
2. Program Requirements.
a. Environmental Requirements. Recipients of lead-based paint
hazard reduction demonstration grants must comply with 24 CFR part 58,

[[Page 13899]]

``Environmental Review Procedures for Entities Assuming HUD
Environmental Responsibilities.'' Recipients and other participants in
the project are prohibited from committing or expending HUD and non-HUD
funds on the project until HUD approves the recipient's Request for the
Release of Funds (form HUD 7015.15) or the recipient has determined
that the activity is either Categorically Excluded, not subject to the
related Federal laws and authorities pursuant to 24 CFR 58.35(b) or
exempt pursuant to 24 CFR 58.34. For part 58 procedures, see http://
www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For
assistance, contact Karen Choi, the Office of Healthy Homes and Lead
Hazard Control Environmental Officer at (213) 534-2458 (this is not a
toll free-number) or the HUD Environmental Review Officer in the HUD
Field Office serving your area. If you are a hearing-or speech-impaired
person, you may reach the telephone number via TTY by calling the toll-
free Federal Information Relay Service at 1-800-877-8339. Recipients of
a grant under this funded program will be given additional guidance in
these responsibilities.
b. Executive Order 13202. Compliance with HUD regulations at 24 CFR
5.108 that implement Executive Order 13202, ``Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally-Funded Construction
Projects,'' is a condition of receipt of assistance under this NOFA.
c. Lead Hazard Control work must be conducted in compliance with
HUD's Lead-Safe Housing Regulation, 24 CFR part 35.
d. Prohibited Practices. You must not engage in the following
prohibited practices:
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(3) Uncontained hydro blasting or high-pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
(5) Heat guns operating above 1,100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride or other
volatile hazardous chemicals in a poorly ventilated space; and
(7) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two square feet in any one interior room or space, or totaling no
more than 20 square feet on exterior surfaces.
e. Written Policies and Procedures. You must have clearly
established written policies and procedures for eligibility, program
marketing, unit selection, expediting work on homes occupied by
children with elevated blood lead levels, and all phases of lead hazard
control, including risk assessment, inspection, development of
specifications, pre-hazard control blood lead testing, financing,
relocation, and clearance testing. Grantees, subcontractors, sub-
grantees, sub-recipients, and their contractors must adhere to these
policies and procedures.
f. Continued Availability of Lead-Safe Housing to Low-Income
Families. Units in which lead hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income families for at least three years as required by Title X
(Section 1011). You must maintain a publicly available registry
(listing) of units in which lead hazards have been controlled and
ensure that these units are affirmatively marketed to agencies and
families as suitable housing for families with children under six years
of age. The grantee must also notify the owner of the information that
is collected so that the owner will comply with disclosure requirements
under 24 CFR part 35, subpart A.
g. Testing. In developing your application budget, include costs
for lead paint inspection, risk assessment, and clearance testing for
each dwelling that will receive lead hazard control, as follows:
(1) General. All testing and sampling shall conform to the current
HUD Guidelines and Federal, state, or tribal regulations developed as
part of the appropriate contractor certification program whichever is
more stringent. It is particularly important to provide this full cycle
of testing for lead hazard control, including interim controls. Testing
must be conducted according to the HUD Guidelines, located at http://
www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, and the
EPA lead hazard standards rule at 40 CFR part 745. All test results
must be provided to the owner in a timely fashion, together with a
notice describing the owner's legal duty to disclose the results to
tenants and buyers under 24 CFR part 35, subpart A.
(a) Lead-Based Paint and Lead-Based Paint Hazard Identification. A
combined lead-based paint inspection and risk assessment is required.
You should ensure that lead paint inspection and risk assessment
reports are conducted in accordance with established protocols and
sufficient to support hazard control decisions.
(b) Clearance Testing. Clearance testing shall be completed in
accordance with Chapter 15 of the HUD Guidelines and the EPA lead
hazards standards rule at 40 CFR part 745 for abatement projects and
the Lead-Safe Housing Regulation (24 CFR part 35) for lead hazard
control activities or other abatement. In the case of multifamily
housing for which random sampling of units for clearance is done after
lead hazard control work, all units represented by the randomly
selected units successfully cleared shall be credited toward the number
of units controlled under this grant. The clearance standards shall be
the more restrictive of those set by the local jurisdiction or by EPA
or HUD.
(c) Blood lead testing. Before lead hazard control work begins,
each occupant who is under six years of age should be tested for lead
poisoning within the six months preceding the housing intervention. Any
child with an elevated blood lead level must be referred for
appropriate medical follow-up. The standards for such testing are
described in the Centers for Disease Control and Prevention (CDC)
publications Preventing Lead Poisoning in Young Children (1991), and
Screening Young Children for Lead Poisoning: Guidance for State and
Local Public Health Officials (1997).
h. Cooperation with Related Research and Evaluation. (1) You shall
cooperate fully with any research or evaluation sponsored by HUD, CDC,
EPA or other government agency associated with this grant program,
including preservation of project data and records and compiling
requested information in formats provided by the researchers,
evaluators, or HUD. This may also include the compiling of certain
relevant local demographic, dwelling unit, and participant data not
contemplated in your original proposal. Participant data shall be
subject to Privacy Act protection.
(2) If your program includes conducting research involving human
subjects in a manner which requires Institutional Review Board (IRB)
approval and periodic monitoring, address how you will obtain such
approval and your monitoring plan (before you can receive funds from
HUD for activities that require IRB approval, you must provide an
assurance that your study has been reviewed and approved by an IRB and
evidence of your organization's institutional assurance). Describe how
you will provide informed consent (e.g., from the subjects, their
parents, or their guardians, as applicable) to help ensure their
understanding of, and consent to,

[[Page 13900]]

the elements of informed consent, such as the purposes, benefits, and
risks of the research. Describe how this information will be provided
and how the consent will be collected. For example, describe your use
of `plain language' forms, flyers, and verbal scripts, and how you plan
to work with families with limited English proficiency or primary
languages other than English, and with families which include persons
with disabilities.
i. Data collection. You will be required to collect and maintain
the data necessary to document the various lead hazard control methods
used and the cost of these methods.
j. Section 3 Employment Opportunities. Please refer to Section
III.C. of the General Section. The requirements of Section 3 of the
Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) are
applicable to this program. In your application you should demonstrate
how you will ensure that, to the greatest extent feasible, training,
employment, and other economic opportunities will be directed to low-
and very-low income persons, particularly those who are recipients of
government assistance for housing, and business concerns that provide
economic opportunities to low- and very low-income persons. If you are
funded, you will be required to submit Form HUD-60002 annually.
k. Replacing Existing Resources. Funds received under this grant
program shall not be used to replace existing community resources
dedicated to any ongoing project.
l. Conducting Business in Accordance with HUD Core Values and
Ethical Standards Refer to the General Section for information about
conducting business in accordance with HUD's core values and ethical
standards.
m. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.
3. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. You will need to obtain a DUNS number
to receive an award from HUD.

V. Application and Submission Information

A. Web Address To Access an Application Package

Copies of this published NOFA and application forms for this
program may be downloaded from the Grants.gov Web site at http://www.grants.gov. If you have difficulty accessing the information you
may call the Grants.gov help line toll-free at (800) 518-GRANTS or e-
mailing [email protected]. Help line customer representatives will
assist you in accessing the information. For further general
information, you can contact the NOFA Information Center at (800) HUD-
8929. If you are hearing impaired, you may reach the numbers above
through (800) HUD-2209 (TTY) (these are toll-free numbers).

B. Content and Form of Application Submission

1. The application must be submitted no later than June 14, 2005.
See the General Section for specific instructions for application
submissions procedures and timely filing.
a. Applicant Information.
(1) Application Format. The application narrative response to the
Rating Factors from new and eligible prior grantees is limited to a
maximum of 15 pages (excluding attachments and worksheets) of size 8\1/
2\'' x 11'' using a 12-point font with not less than \3/4\'' margins on
all sides. Attachments should be referenced and discussed in the
narrative response. Materials provided in the attachments should
directly apply to the specific rating factor narrative. Information
that is not referenced or does not directly apply to a specific
narrative response will not be rated or ranked by reviewer.
(The forms required for application submission and instructions can
be found in the application at http://www.grants.gov. and in the
General Section.)
(2) Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted.
You are not required to submit this checklist with your application.

Checklist and Submission Table of Contents

Lead Hazard Reduction Demonstration Grant Program

Threshold Requirements

Copy of Lead-Based Paint Element in Consolidated Plan.
25 Percent Matching Contribution, including any documentation
required.
[sbull] Optional material in support of the Rating Factors (20 page
limit).
(3) The following are instructions on the items to be submitted as
part of the application. See the General Section for instructions for
submitting third party documents and electronic files:
(a) Abstract Summary. An abstract describing the goals and
objectives of your proposed program (2-page limit, single-spaced, 12-
point standard font, \3/4\-inch margins) must be included in the
proposal. The abstract should include the title of your proposed
project, the name, mailing address and telephone number of the
principal contact person for the primary entity and the same
information for sub-contractors, partners, etc.
(b) Budget. A detailed budget (total budget is the Federal share
and matching contribution (Form HUD

[[Page 13901]]

424CBW) with supporting narrative and cost justifications for all
budget categories of your grant request. You must provide a separate
estimate for the overall grant management element (Administrative
Costs), which is more fully defined in Section IV.E.2. of this NOFA.
The budget shall include not more than 10% for administrative costs and
not less than 90% for direct project elements. Applicants are to
identify the direct lead hazard control costs that meet this
requirement. A detailed budget must also be provided for any
subcontractors, subgrantees, or subrecipients receiving greater than 10
percent of the Federal budget request. In the event of a discrepancy
between grant amounts requested in various sections of the application,
the amount you indicate on the SF-424 will govern as the correct value.
(c) Matching Contribution. An itemized breakout (using the HUD 424
CBW) of your required matching contribution, including:
(i) Values placed on donated in-kind services;
(ii) Letters or other evidence of commitment from donors; and
(iii) The amounts and sources of contributed resources.
(d) Application Forms. See unit IV.B.1.a.(2), above, for the list
of application forms.
(e) Grant Partners. Contracts, Memoranda of Understanding or
Agreement, letters of commitment or other documentation describing the
proposed roles of agencies, local broad-based task forces,
participating grassroots community-based nonprofit organizations,
including faith-based organizations and other community or
neighborhood-based groups or organizations, local businesses, and
others working with the program.
(f) Consolidated Plan Element. (This Consolidated Plan requirement
does not apply to Native American Tribes.) If your jurisdiction has a
current HUD-approved Consolidated Plan, you must submit, as an
attachment (or a currently validated Web site (URL) reference,
instead), a copy of the lead-based paint element included in the
approved Consolidated Plan. You should include the discussion of any
lead-based paint issues in your jurisdiction's Analysis of Impediments
(AI) to fair housing, particularly as it addresses your target areas.
If you (the applicant agency) also submitted an application as an
eligible applicant for the fiscal year 2005 Lead Hazard Control Grant
Program NOFA you may refer to this Consolidated Plan and AI material in
your other application for proof of documentation, and you are not
required to resubmit this material for this NOFA. If your jurisdiction
does not have a currently approved Consolidated Plan, but it is
otherwise eligible for this grant program, you must include your
jurisdiction's abbreviated Consolidated Plan, which includes a lead-
based paint hazard control strategy developed in accordance with 24 CFR
91.235.
(g) Rating Factor Response. You should include a narrative
statement addressing the rating factors for award. Number the pages of
your narrative statement and include a header and a footer that
provides the name of the applicant and the name of the program to which
you are applying. Narrative statements provided as part of the
application should be individually labeled to identify the rating
factor to which the narrative is responding (e.g. Factor 1, Capacity,
etc.). The overall response to the rating factors must not exceed a
total of 15 pages including all rating factors (single-sided, single-
spaced, 12 point standard font, \3/4\-inch margins). Any pages in
excess of this limit will not be read.
(h) Objectives and Milestones Specific and measurable performance
objectives and milestones to be developed in support of the work plan
narrative include:
(1) The overall objectives for lead hazard control activities
including the total number of lead hazard evaluations, units projected
to be completed and cleared, and the expenditure of Federal grant funds
(HUD Agreement HUD-1044). Quarterly performance milestones are to be
developed to achieve the overall objectives for these activities.
(2) Performance benchmarks for the 36-month grants in this program
that have been developed shall be used. The benchmark worksheet
included in this NOFA can be downloaded from the HUD Web site at:
http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Development of
your work plan must include and reflect these benchmark standards.
b. Your application must contain all of the required information
noted in this Program Section and the General Section. The forms
required for application submission and instructions can be found in
the application at http://www.grants.gov.

C. Submission Dates and Times

1. Application Due Dates: Applications submitted through http://www.grants.gov must be received by Grants.gov no later than 11:59:59
p.m. eastern time on June 14, 2005. All narrative files and any scanned
documents must be submitted as a zip file, single attachment to the
electronic application. Refer to the General Section for additional
submission requirements including acceptable submission dates, times,
methods, acceptable proof of application submission and receipt
procedures, and other information regarding application submission.
Materials associated to your electronic application submitted by
facsimile transmission must also be received by 11:59:59 p.m. on the
application submission date. Make sure you see the General Section for
how to submit third party letters and other documents as part of your
electronic submission utilizing form HUD-96011, Facsimile Transmittal.
Applicants receiving a wavier of the electronic submission requirement
must submit their application to the United States Postal Service for
delivery no later than 11:59:59 p.m. eastern time on the application
due date.

D. Intergovernmental Review

Not required.

E. Funding Restrictions

1. Eligible Activities. HUD is interested in promoting lead hazard
control approaches that result in the reduction of elevated blood lead
levels in children for the maximum number of low-income families with
children under six years of age, for the longest period of time, and
that demonstrate techniques which are cost-effective, efficient, and
replicable elsewhere. Copies of HUD's Lead-Safe Housing Regulation, and
the companion publication ``Interpretive Guidance: The HUD Regulation
on Controlling Lead-Based Paint Hazards in Housing Receiving Federal
Assistance and Federally Owned Housing Being Sold,'' are available from
the National Lead Information Clearinghouse at 1-800-424-LEAD (this is
a toll-free number). If you are a hearing- or speech-impaired person,
you may reach the telephone number via TTY by calling the toll-free
Federal Information Relay Service at 1-800-877-8339. Copies are also
available from the Office of Healthy Homes and Lead Hazard Control Web
site at: http://www.hud.gov/offices/lead.
a. Not less than 90 percent of the funds made available shall be
used exclusively for abatement and/or interim controls (with clearance
testing), inspections, risk assessments, and temporary relocations.
These include Direct Project Elements (1)-(5) listed below and
undertaken directly or through sub-recipients:
(1) Performing dust testing, combined lead-based paint inspections
and risk assessments, and engineering and

[[Page 13902]]

architectural activities that are required for, and in direct support
of, interim control and lead hazard abatement work of eligible housing
units constructed prior to 1978 to determine the presence of lead-based
paint and/or lead hazards from paint, dust, or soil through the use of
acceptable testing procedures. The purchase or lease of a maximum of
two X-ray fluorescence analyzers used by the grant program, if not
already available, are eligible costs. All test results must be
provided to the owner of the unit, together with a notice describing
the owner's legal duty to disclose the results to tenants and buyers.
(2) Conducting lead hazard control activities that may include any
combination of the following:
(a) Interim controls of lead-based paint hazards including lead-
contaminated soil in housing that must include specialized cleaning
techniques to address lead dust, according to the HUD Guidelines,
located at http://www.hud.gov/offices/lead/guidelines/hudguidelines/
index.cfm.
(b) Abatement. The complete abatement of all lead-based paint
hazards in a unit or structure is acceptable if it is cost-effective.
Abatement of lead-contaminated soil should be limited to areas with
bare soil in the immediate vicinity of the structure, i.e. drip line or
foundation of the unit being treated, and children's play areas. All
lead hazards identified in a housing unit enrolled in this grant
program must be controlled or eliminated by any combination of these
strategies.
(3) Carrying out temporary relocation of families and individuals
to decent, safe and sanitary housing during the period in which hazard
control is conducted and until the time the affected unit receives
clearance for re-occupancy. If families or individuals are temporarily
relocated in a project which utilizes Community Development Block Grant
funds, the guidance and requirements of 24 CFR 570.606(b)(2)(i)(D)(1)-
(3) must be met. HUD recommends you review these regulations when
preparing your proposal.
(4) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
These grant funds may be used for lead hazard control work done in
conjunction with other housing rehabilitation programs. HUD encourages
integration of this grant program with housing rehabilitation,
maintenance, weatherization, and other energy conservation activities.
(5) Conducting clearance dust-wipe testing and laboratory analysis
(the laboratory must be recognized by the National Lead Laboratory
Accreditation Program (NLLAP) as being capable of performing lead
analyses of samples of paint, dust-wipes, and/or soil).
2. Ineligible Activities. You may not use grant funds for:
(1) Purchase of real property.
(2) Purchase or lease of equipment having a per unit cost in excess
of $5,000, except for the purchase of X-ray fluorescence analyzers.
(3) Chelation or other medical treatment costs related to children
with elevated blood lead levels. Non-federal funds used to cover these
costs may be counted as part of the required matching contribution.
(4) Lead hazard control activities in publicly owned housing, or
project-based Section 8 housing (this housing stock is not eligible
under Section 1011 of the Lead-Based Paint Hazard Reduction Act).
(5) Activities that do not comply with the Coastal Barrier
Resources Act (16 U.S.C. 3501).
(6) Hazard control of a building or manufactured home that is
located in an area identified by the Federal Emergency Management
Agency (FEMA) under the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001-4128), as having special flood hazards unless:
(a) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(b) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.
d. Program Specific Requirements.
(1) Work Activities. All lead hazard control activities must be
conducted in compliance with the applicable requirements of HUD's Lead-
Safe Housing Regulation, 24 CFR part 35, and as clarified in HUD's
Interpretive Guidance about the rule located at http://www.hud.gov/
offices/lead/guidelines/leadsaferule/index.cfm. Activities must also
comply with any additional requirements in effect under a state or
Tribal Lead-Based Paint Training and Certification Program that has
been authorized by the EPA pursuant to 40 CFR 745.320.
(2) Direct Lead Hazard Identification and Control Activities. Not
less than 90 percent of the funds made available shall be used
exclusively for abatement, inspections, risk assessments, temporary
relocations, and interim control of lead-based hazards.
(3) By September 30, 2006, applicants that received a Lead Hazard
Reduction Demonstration grant under the FY 2005 competition are to
participate in an established statewide or jurisdiction-wide strategic
plan to eliminate childhood lead poisoning as a major public health
problem by 2010, or are to assist in the development of such a plan
(further guidance will be provided to grantees on developing the
elimination plan). New applicants are encouraged to include an outline
of the steps that they will take to participate in or develop a
statewide or jurisdiction-wide strategic plan. Applicants are
encouraged to collaborate with Centers for Disease Control and
Prevention (CDC) Childhood Lead Poisoning Prevention grantees, which
are now required to develop such plans. At a minimum, the plan must
include the following elements:

(a) Mission Statement;
(b) Purpose and Background on Lead Poisoning Prevalence;
(c) Goals, Objectives, and Activities; and
(d) Evaluation Plan.

2. Administrative Costs. There is a 10 percent maximum for
administrative costs as specified in Section 1011(j) of the Residential
Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing
and Community Development Act of 1992, Public Law 102-550). Additional
information about allowable administrative costs is provided below.
a. Purpose. The intent of this HUD grant program is to allow the
Grantee to be reimbursed for the reasonable direct and indirect costs,
for the overall management of the grant. In most instances the grantee,
whether a State or a local government, principally serves as a conduit
to pass funding to sub-grantees, which are to be responsible for
conducting lead-hazard reduction work. Congress set a maximum of ten
percent of the total grant sum for the grantee to perform the function
of overall management of the grant program, including passing on
funding to sub-grantees. The cost of that function, for the purpose of
this grant, is defined as the ``administrative cost'' of the grant, and
is limited to ten percent of the total grant amount. The balance of
ninety percent or more of the total grant sum

[[Page 13903]]

is reserved for sub-grantees or other direct-performers of lead-hazard
identification and reduction work including relocation. For purposes of
the Lead-Based Paint Hazard Reduction Demonstration Grant Program, lead
hazard identification and reduction includes lead paint inspection/risk
assessments, interim controls, abatement of lead hazards, clearance
testing, and relocation.
b. Administrative Costs: What They Are Not. For the purposes of
this HUD grant program for States and local governments to provide
support for the evaluation and reduction of lead-hazards in low- and
moderate-income, private target housing, the term ``administrative
costs'' should not be confused with the terms ``general and
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair
share of an organization's costs that cannot be attributed to a
particular project or department (such as the chief executive's salary
or the costs of the organization's headquarters building) to all
projects and operating departments (such as the Fire Department, the
Police Department, the Community Development Department, the Health
Department or this program). Such allocated costs are added to those
projects' or departments' direct costs to determine their total costs
to the organization.
c. Administrative Costs: What They Are. For the purposes of this
HUD grant program, ``Administrative Costs'' are the grantee's allowable
direct costs for the overall management of the grant program plus the
allocable indirect costs. The allowable limit of such costs that can be
reimbursed under this program is ten (10) percent of the total grant
sum. Should the grantee's actual costs for overall management of the
grant program exceed ten percent of the total grant sum, those excess
costs shall be paid for by the grantee. However, excess costs paid for
by the grantee may be shown as part of the requirement for cost-sharing
funds to support the grant.
d. Administrative Costs Definition:
(1) General. Administrative costs are the allowable, reasonable,
and allocable direct and indirect costs related to the overall
management of the HUD grant for lead-hazard reduction activities. Those
costs shall be segregated in a separate cost center within the
grantee's accounting system, and they are eligible costs for
reimbursement as part of the grant, subject to the ten percent limit.
Such administrative costs do not include any of the staff and overhead
costs directly arising from specific sub-grantee program activities
eligible under this NOFA, because those costs are eligible for
reimbursement under a separate cost center as a direct part of project
activities.
The grantee may elect to serve solely as a conduit to sub-grantees,
who will in turn perform the direct program activities eligible under
this NOFA, or the grantee may elect to perform all or a part of the
direct program activities in other parts of its own organization, which
shall have their own segregated, cost centers for those direct program
activities. In either case, not more than 10 percent of the total HUD
grant sum may be devoted to administrative costs, and not less than 90%
of the total grant sum shall be devoted to direct program activities.
The grantee shall take care not to mix or attribute administrative
costs to the direct project cost centers.
(2) Specific. Reasonable costs for the grantee's overall grant
management, coordination, monitoring, and evaluation are eligible
administrative costs. Subject to the ten percent limit, such costs
include, but are not limited to, necessary expenditures for the
following goods, activities and services:
(a) Salaries, wages, and related costs of the grantee's staff, the
staff of affiliated public agencies, or other staff engaged in
grantee's overall grant management activities. In charging costs to
this category the recipient may either include the entire salary,
wages, and related costs allocable to the program for each person whose
primary responsibilities (more than 65% of their time) with regard to
the grant program involve direct overall grant management assignments,
or the pro rata share of the salary, wages, and related costs of each
person whose job includes any overall grant management assignments. The
grantee may use only one of these two methods during this program.
Overall grant management includes the following types of activities:
(i) Preparing grantee program budgets and schedules, and amendments
thereto;
(ii) Developing systems for the selection and award of funding to
sub-grantees and other sub-recipients;
(iii) Developing suitable agreements for use with sub-grantees and
other sub-recipients to carry out grant activities;
(iv) Developing systems for assuring compliance with program
requirements;
(v) Monitoring sub-grantee and sub-recipient activities for
progress and compliance with program requirements;
(vi) Preparing presentations, reports, and other documents related
to the program for submission to HUD;
(vii) Evaluating program results against stated objectives;
(viii) Providing local officials and citizens with information
about the overall grant program; however, a more general education
program, helping the public understand the nature of lead hazards, lead
hazard reduction, blood-lead screening, and the health consequences of
lead poisoning is a direct project support activity);
(ix) Coordinating the resolution of overall grant audit and
monitoring findings; and
(x) Managing or supervising persons whose responsibilities with
regard to the program include such assignments as those described in
paragraphs (a) through (i).
(b) Travel costs incurred for official business in carrying out the
overall grant management;
(c) Administrative services performed under third party contracts
or agreements, for services directly allocable to grant management such
as: legal services, accounting services, and audit services;
(d) Other costs for goods and services required for and directly
related to the overall management of the grant program; and including
such goods and services as telephone, postage, rental of equipment,
renter's insurance for the program management space, utilities, office
supplies, and rental and maintenance (but not purchase) of office space
for the program.
(e) The fair and allocable share of grantee's general costs that
are not directly attributable to specific projects or operating
departments such as salaries, office expenses and other related costs
for local officials (e.g., mayor and city council members, etc.), and
expenses for a city's legal or accounting department which are not
charged back to particular projects or other operating departments. If
a grantee has an established burden rate, it should be used; if not,
the grantee shall be assigned a negotiated provisional burden rate,
subject to final audit.
3. Eligibility of HUD-Assisted Housing. The table, ``Eligibility of
HUD-Assisted Housing,'' available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, lists the ``eligible'' housing units that may
participate under the Lead Hazard Reduction Demonstration Grant Program

F. Other Submission Requirements: Other Submission Requirements

Beginning in FY 2005, HUD requires applicants to submit
applications electronically through Grants.gov. Applicants interested
in applying for funding must submit their application

[[Page 13904]]

electronically via the Web site http://www.grants.gov unless you
request and are granted a waiver to the electronic submission
requirements. This site has easy to follow step-by-step instructions
that will enable you to apply for HUD assistance. The http://www.grants.gov Web site includes a simple, unified application process
to enable applicants to apply for grants online. See section IV.F of
the General Section for additional information on the electronic
process and how to request a waiver from the requirement.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points)
This factor addresses your organizational capacity necessary to
successfully implement the proposed activities in a timely manner. The
rating of the ``applicant'' or the ``applicant's staff'' for technical
merit or threshold compliance, unless otherwise specified, includes any
grassroots community-based nonprofit organizations, including faith-
based organizations sub-contractors, consultants, sub-recipients, and
members of consortia that are firmly committed to your project. In
rating this factor, HUD will consider:
a. The applicant's recent, relevant and successful demonstrated
experience (including working with governmental, parent groups, and
grassroots community-based nonprofit organizations, including faith-
based organizations and other community-based partners) to undertake
eligible program activities. Applicants are to identify the
organizations or entities that will assist the applicant in
implementing the program. The applicant must describe the knowledge and
experience of the current or proposed overall project director and day-
to-day program manager in planning and managing large and complex
interdisciplinary programs, especially involving housing
rehabilitation, public health, or environmental programs. The applicant
must demonstrate that it has sufficient personnel or will be able to
retain qualified experts or professionals, and be prepared to perform
lead hazard evaluation, lead hazard control intervention work, and
other proposed activities within 120 days of the effective date of the
grant award. HUD reserves the right to terminate the grant if
sufficient personnel or qualified experts are not retained within these
120 days. In the narrative response for this factor, you should include
information on your program staff, their experience, their commitment
to the program, salary information, and position titles. Resumes (for
up to three key personnel) or position descriptions for those key
personnel to be hired, and a clearly identified organizational chart
for the lead hazard control grant program effort (and for the overall
organization) must be included in an appendix. Indicate the percentage
of time that key personnel will devote to your project (see Factor 1
Table--Key Personnel and Partners). The applicant's day-to-day program
manager must be experienced in the management of housing rehabilitation
or lead hazard control, childhood lead poisoning prevention, or similar
work involving project management. Ideally, the program manager should
be available at the inception of the program in order to implement this
comprehensive program within the 120-day period after the effective
date of the grant award. The applicant should provide a description of
any previous experience in enrolling units and in completing lead
hazard control work, housing rehabilitation or other work in a timely
and effective manner. Describe how any other principal components of
your agency, other public entities, or other organizations will
participate in implementing or otherwise supporting or participating in
the grant program. You may demonstrate capacity by thoroughly
describing your prior experience in initiating and implementing lead
hazard control efforts and/or related environmental, health, or housing
projects. You should indicate how this prior experience will be used in
carrying out your proposed comprehensive Lead Hazard Reduction
Demonstration Grant Program.
b. The applicant should discuss their plans to participate in or
develop a statewide or jurisdiction-wide strategic plan to eliminate
childhood lead poisoning as a major public health problem by 2010.
c. If the applicant received any previous HUD Lead-Based Paint
Hazard Control Grant funding, this past experience will be evaluated in
terms of cumulative progress and achievements under the previous
grant(s). Where the applicant has received multiple HUD Lead Hazard
Control Grants, performance under the most recent grant award will be
primarily evaluated. If you are a current or prior grantee, you must
provide the detail necessary to assure HUD that you will implement the
proposed work immediately and perform it concurrently with existing
lead hazard control grant work. The applicant must provide a
description of its progress and performance implementing the most
recent grant award including the total number enrolled, assessed, and
completed and cleared as a result of program efforts. The applicant
must also describe outcomes, capacity building efforts and impediments
experienced during a previous Lead Hazard Control Grant program. Other
work plan activities and tasks associated with implementing HUD's Lead-
Safe Housing Regulation, integrating lead-safe work practices into the
private market, and promoting effective education, outreach, and other
training activities should be described. The applicant should also
describe specific instances where the program has contributed positive
impacts in the community, and indicate what activities were undertaken
to develop, enhance or expand the local infrastructure through
collaboration.
HUD's evaluation process will consider an applicant's past
performance record as reported to HUD in effectively organizing and
managing their grant operations, in meeting performance and work plan
benchmarks and goals, and in managing funds, including their ability to
account for funds appropriately, the timely use of funds received
either from HUD or other Federal, state or local programs, and meeting
performance milestones. HUD may also use other information relating to
these items from sources at hand, including public sources such as
newspapers, Inspector General or Government Accounting Office Reports
or Findings, hotline complaints, or other sources of information that
have been proven to have merit. Applicants are to complete the Factor 1
Table to support the narrative information submitted.
2. Rating Factor 2: Need/Extent of the Problem (15 points)
This factor addresses the extent to which there is a need for the
proposed program to address a documented problem related to lead-based
paint and lead-based paint hazards in your identified target area(s).
An applicant will be scored in this rating factor based on their
documented need as evidenced by thorough, credible, and appropriate
data and information. The evaluation will be based only on the
applicant's documentation of the data requested. The data submitted in
response to this rating factor will be verified using data available
from the Census, HUDuser, other data available to HUD and/or in
cooperation with the Centers for Disease Control and Prevention. The
applicant is to complete the Factor 2 Table--Need/Extent of the Problem
in Section IV of this NOFA.

[[Page 13905]]

A maximum of 15 Points will be awarded in this rating factor based
on the information documenting the number of children under age 6 years
with an elevated blood lead level (EBL, that is a level of 10 [mu]g/dL
or more) and the number of pre-1940 occupied rental housing units in
the applicant's jurisdiction.
a. Documented Number of Children with an Elevated Blood Lead Level
(EBL) (10 Points). Provide the actual number of children under age 6
with an elevated blood lead level residing within the applicant's
jurisdiction(s) for the most recent complete calendar year and identify
the source of the data. Data prior to calendar year 2001 will not be
accepted. States must report the number in the city, county, or other
area where funds will actually be used. Consortia of local governments
must report the number in the cities or counties making up the
consortium. For the purposes of this application, a ``documented case''
of childhood lead poisoning is a child under six years of age with a
blood lead level test result equal to or greater than 10 micrograms of
lead per deciliter of blood, which was performed by a medical health
care provider. The actual number of children with an elevated blood
lead level (not an estimate) in the applicant's jurisdiction must be
reported to HUD in order to be eligible for this grant program. Do not
send the children's names or addresses or other identifiers. Failure to
provide this number in the application means that the application will
not be rated or ranked.
(1) Applicants are to complete the Factor 2 Table to document the
number of children with an elevated blood lead level. Points will be
awarded based on the documented number of children with an elevated
blood lead level according to the table, ``Points Awarded for Number of
Children Under Age 6 Years with an Elevated Blood Lead Level in Target
Area,'' that can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The table shows the number of points awarded
based on the number of children with an elevated blood lead level in
the grant target area(s).
b. Housing market data relevant to the applicant's jurisdiction
Housing Age (5 Points). Housing Age for the following sub-categories:
pre-1940, 1940-1949, 1950-1959, 1960-1969, 1970-1979, and 1980 or
newer, are to be provided using the Factor 2 Rating Factor Table
provided in Section IV.B.c.
(1) Points will be awarded for the number of pre 1940 occupied
rental units in the applicant's jurisdiction according to the table,
``Points Awarded for Number of Pre-1940 Occupied Rental Housing Units
in Target Area,'' that can be downloaded from http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The table shows the number of points
awarded based on the number of pre-1940 occupied rental housing units
in the grant target area(s).
3. Rating: Soundness of Approach/Work Plan/Budget (45 points).
This factor addresses the quality and cost-effectiveness of your
proposed work plan. Applicants should develop a work plan that includes
specific, measurable, and time-phased objectives for each major program
activity. The applicant's work plan should reflect benchmark standards
for production, expenditures, and other activities that have been
developed by the Office of Healthy Homes and Lead Hazard Control. These
benchmark standards, as well as policy guidance on developing work
plans have been included in the Section IV of this NOFA and are
available at the HUD Web site at: http://www.hud.gov/offices/lead/lhc/
pgi/index.cfm. This policy guidance provides a sample format and
outline for developing a Lead Hazard Reduction Demonstration Grant
Program Work Plan.
a. An applicant is to identify and describe specific methods,
measures, and tools that you will use (in addition to HUD reporting
requirements) to measure progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. Describe how
you will obtain, document, and report the information. In evaluating
this, HUD will consider how you have described outcome measures and
benefits of your program including:
b. How your program will be held accountable for meeting program
goals, objectives, and the actions undertaken in implementing the grant
program. Applicants should provide a description of the mechanism to
assess progress and track performance in meeting the goals and
objectives outlined in the work plan.
c. Applicants should describe the proposed activities and provide
HUD with measurable outcome results to be achieved with the requested
funds. Measurable outcome results should be stated in terms relevant to
the purpose of the program funds as a direct result of the work
performed within the performance period of the grant (e.g., estimated
number of units to be made lead-safe, estimated number of children
living in units made lead-safe, and the basis for these estimates).
Each proposed activity must be eligible as described in the NOFA and
meet statutory requirements for assistance to low- and very low-income
persons.
(1) Lead Hazard Control Work Plan Strategy (20 points). Describe
your work plan goals and specific time-phased strategy to complete work
under the grant within the 36-month period of performance for your lead
hazard control grant program. You should provide information on:
(a) Implementing a Lead Hazard Control Program. Describe how you
will implement the strategy for your proposed lead hazard control
program. The description must include information on:
(i) How the project will be organized, managed, and staffed. You
must also identify the specific steps that will be taken to train and
ensure the availability of enough lead-based paint contractors and
workers to conduct lead hazard control interventions, and to perform
other program activities. In addition, a detailed description of the
selection process for sub-grantees, subcontractors or sub-recipients,
and how assistance and funding will flow from the grantee to those who
will actually perform the work under the grant.
(ii) The overall number of eligible privately owned housing units
scheduled for lead hazard control intervention work and the strategy
for their identification, selection, prioritization, and enrollment in
the selected target area(s). Discuss the eligibility criteria for unit
selection and how the program will identify units that meet these
criteria. Explain how you would target resources to maximize the return
on investment from grant funding. As funding is a constraint for this
program, it is imperative to maximize the impact of grant dollars.
Include in this discussion your proposed technical approach and how
this choice addresses local conditions and needs as well as attempting
to maximize the number of children protected from lead hazards. As
there are a variety of reduction techniques that grantees can apply to
lead hazards, it is important too that HUD be able to assess the
effectiveness of a grantee's choice of a technical strategy. Explain
how referrals of eligible units will be obtained from childhood lead
poisoning prevention programs, other health care or housing agencies,
or health providers that serve children. Also discuss how referrals are
made from the Section 8/Housing Choice Voucher programs and other
agencies that provide housing assistance to low-income households with
children including CDBG, HOME Investment Partnerships Program-funded
housing programs, or other

[[Page 13906]]

sources. (Include as attachments any referral agreements, commitment
letters or other documents from other entities that describe their
participation recruiting eligible units in your program.
(iii) The degree to which the work plan focuses on eligible
privately owned housing units occupied by low-income families with
children under six years of age. Describe your planned approaches to
control lead hazards in vacant and/or occupied units before children
are poisoned and your plans to ensure that the program will continue to
affirmatively market and match these units made lead-safe with low-
income families with children under six years of age in the future.
Discuss strategies to control lead hazards in units where children have
already been identified with an elevated blood lead level (EBL),
including your process for referring and tracking children with EBLs,
and your capacity to rapidly complete lead hazard control work in their
units. Provide estimates of the number of low-income children you will
assist through this program.
(iv) Discuss the lead hazard control financing strategy, including
eligibility requirements, terms, conditions, dollar limits, and amounts
available for lead hazard control work. Applicants must also describe
how the program will recapture grant funds in the event that a
recipient of grant funds fails to comply with any terms and conditions
of the financing arrangement (e.g. affordability, sale of property,
etc.). You must discuss the way assistance from the grant funds will be
administered to or on behalf of property owners (e.g. use of grants,
deferred loans and/or forgivable loans and the basis and schedule for
forgiveness, and the role of other resources, such as private sector
financing). You should identify the entity that will administer the
financing process and describe how coordination and payment between the
program and contractors performing the work will be accomplished.
Describe matching requirements, if any, proposed for assistance to
rental property owners.
(v) Describe how your proposed program will satisfy the stated
needs in the Consolidated Plan or Indian Housing Plan and eliminate
impediments identified in the Analysis of Impediments (AI). Also
describe how your proposed program will further and support the policy
priorities of the Department: including promoting healthy homes and the
quality of housing. Applicants should describe activities undertaken
that remove barriers to affordable housing within their communities or
support such efforts at the State and local level.
(vi) Describe how, by September 30, 2006 you will participate in an
established statewide or jurisdiction-wide strategic plan to eliminate
childhood lead poisoning as a major public health problem by 2010, or
will assist in the development of such a plan in states or localities
which do not have such a strategic plan (7 points). (Further guidance
will be provided to grantees on developing a strategic plan.)
Applicants shall demonstrate the nature of their collaboration with
Centers for Disease Control and Prevention (CDC) funded Childhood Lead
Poisoning Prevention grantees, which are now required to develop such
plans, and the local CDC subgrantee(s) where they exist for the grant's
proposed target area(s). A list of CDC childhood lead poisoning
prevention programs can be downloaded from http://www.cdc.gov/nceh/
lead/grants/contacts/keyContacts.htm. The CDC strategic elimination
plans for state and local childhood lead poisoning prevention programs
can be downloaded from http://www.cdc.gov/nceh/lead/
Strategic%20Elim%20Plans/strategicplans.htm.
(vii) Community-wide Learning Opportunity (3 points). The Lead-
Based Paint Hazard Control Grant provides an opportunity for learning
by community members, including families, workers, small businesses and
others, to help develop a strategic community health educational model
that identifies lead-related health hazards and their solutions, and
educates community members and affects wider efforts in the applicant's
targeted area. Applicant shall discuss the opportunity-to-learn
approach to educate children, parents, workers, businesspeople and
other community members about lead poisoning prevention and lead hazard
control. The applicant's proposed educational program shall continue to
meet the needs of those children already living in units with eligible
lead hazards.
(viii) Coordination Among Critical Agencies. Submit documentation
of the existence and nature of formal cooperation regarding childhood
lead poisoning prevention programs among health agencies, housing
agencies, community development agencies, and code enforcement agencies
(or equivalent) for their target area(s) local jurisdiction(s), and,
for state or tribal applicants, for their state or tribal health
agencies, housing agencies, development agencies. and code enforcement
agencies (or equivalent). Documentation shall include memoranda of
agreement, memoranda of understanding, operating plans, or similar
materials that describe the coordinated childhood lead poisoning
prevention effort. Where local or state governments have combined two
or more of these functions into a larger organization, the
documentation may be from either the individual component entities or
the larger organization. As part of this documentation, describe how
the health department and the housing and/or development agency will
consider enrolling housing units (or multifamily buildings) in which
one or more children under age 6 years have elevated blood lead levels,
with priority to housing where repeated and/or severe cases of
childhood lead poisoning have occurred. (Because of the presence of a
variety of priorities, it is not a requirement that units with lead-
poisoned children be enrolled, but the process for giving such units
high priority should be described and implemented.)
2. Technical Approach/Performance (20 pts.). Describe your process
for the conduct of lead hazard evaluation (risk assessments and/or
inspections) in units of eligible privately owned housing to confirm
that there are lead-based paint hazards in the housing units where lead
hazard control is undertaken.
(1) Describe your testing methods, schedule, and costs for risk
assessments, paint inspections, and clearance examinations to be used.
If you propose to use a more restrictive standard than the HUD/EPA
thresholds (e.g., less than 0.5 percent or 1.0 mg/ square centimeter
for lead in paint, or less than 40, 250, 400 [mu]g/square foot for lead
in dust on floors, sills and troughs, respectively); or 400 parts per
million (ppm) in bare soil in children's play areas and 1200 ppm for
bare soil in the rest of the yard), identify the standard(s) that will
be used. All testing shall be performed in accordance with applicable
regulations.
(2) Describe the lead hazard control methods and strategies you
will undertake and the number of units you will treat. In cases where
only a few surfaces have lead hazards in a specific unit and complete
abatement of all lead paint is cost-effective, the applicant must
provide a detailed rationale for selecting complete abatement as a
strategy. Provide an estimate of the per unit costs (and a basis for
those estimates) and a schedule for initiating and completing lead
hazard control work in the selected units. Discuss efforts to
incorporate cost-effective lead hazard control methods. Explain your
cost estimates, providing detail on how the estimates were developed,
with particular references to cost

[[Page 13907]]

effectiveness. Research has shown that interim controls generally yield
the best benefit/cost ratio among technological approaches for
eliminating lead hazards. Applicants should assume that interim
controls are the preferred approach for their strategies and project
unit output targets accordingly. If applicants maintain that approaches
other than interim controls are necessary for their jurisdiction, they
should explain why this is the case. For example, abatement might be
justified in an area where significant amounts of low-income housing
stock are highly distressed or where lead hazard work is being combined
with rehabilitation. Where highly distressed stock is present,
applicants should explain why options for households to move to lead-
safe housing are not viable.
(3) Schedule. Provide a realistic schedule for completing key
activities, by quarter, so that all activities can be completed within
the period of performance of the grant. Key production activities
include enrollment of units, paint inspections/risk assessments, and
completion/clearance of units. When developing the application, the
applicant shall take into consideration previous experience and
performance in administering similar kinds of lead hazard control or
rehabilitation programs.
(4) Time frames. Describe the estimated elapsed time frame for
treating a typical unit that will receive lead hazard control,
including referral/intake, enrollment (qualification of the unit as
eligible), combined paint inspection/risk assessments, preparation of
specifications or work write-up, selection of the contractor, lead
hazard control intervention work activities, quality control and
monitoring of work activities, and clearance. The time frame should
include an estimate of the staff and contractor time required to treat
a typical unit that will receive lead hazard control. Describe the
schedule for emergency referrals (e.g., unit occupied by a child under
six years of age with an elevated blood lead level). List the number of
units projected in each of the following categories: Lead-based paint
inspections/risk assessments, hazard control, and clearance
inspections.
(5) Workflow and Production Control. Provide guidelines and/or
flowcharts showing agency/partner responsibilities for each step in the
process (from intake to clearance) and describe/show how coordination
and hand-offs will be handled. Discuss how the actual production status
of units, from intake to final clearance, will be monitored, and how
and when production bottlenecks will be identified, remedied, and
monitored.
(6) Describe your contracting process, including development of
specifications or adoption of existing specifications for selected lead
hazard control methods. Describe the management processes you will use
to ensure the cost-effectiveness of your lead hazard control methods.
Your application must include a discussion of the contracting process
for the conduct of lead hazard control activities in the selected
units, and requirements for coordination among lead hazard control,
rehabilitation, weatherization, and other contractors.
(7) Describe your plan for occupant protection or the temporary
relocation of the occupants of units selected for lead hazard control
work. Describe any plan to avoid overnight relocation in small-scale
projects consistent with 24 CFR part 35.1345 (a)(2) and HUD's
Interpretive Guidance of 24 CFR part 35, including J24, R18, and R19
(see http://www.hud.gov/offices/lead/guidelines/leadsaferule/
index.cfm). Your work plan should address the use of safe houses and
other temporary housing arrangements, storage of household goods,
stipends, incentives, etc. If families or individuals are temporarily
relocated in a project which utilizes Community Development Block Grant
funds, the guidance and requirements of 24 CFR 570.606(b)(2)(i)(D)(1)-
(3) must be met. HUD recommends you review these regulations when
preparing your proposal.
(8) Describe your strategy for involving neighborhood or including
grassroots community-based non-profit organizations, including faith-
based organizations or other community-based organizations in your
proposed activities. Priority activities should include increasing the
enrollment of eligible privately owned housing units to receive lead
treatments, but may also include inspection (including dust lead
testing) and the conduct of lead hazard control activities. HUD will
evaluate the proposed level of substantive involvement of such
organizations during the review process.
(9) Identify and discuss the specific methods you will use (in
addition to HUD reporting requirements) to document activities,
progress, program effectiveness, and how changes necessary to improve
performance will be implemented. Describe how you will obtain,
document, and report on information collected.
(10) If you are a current or prior grantee or you have also applied
to the fiscal year 2005 Lead Hazard Control Grant Program Notice of
Funding Availability, you must describe the actions you will take to
ensure that your proposed lead hazard control work will occur
concurrently with other ongoing HUD lead hazard control grant work.
Your application must provide the detail necessary to assure HUD that
you will implement the proposed work immediately and perform it
concurrently with other ongoing lead hazard control grant work.
3. Budget (5 points)
Describe your budget within the 36-month (or less) period of
performance for your lead hazard control grant program. You should
provide information on:
(1) Allocation of Funds. You should describe your detailed total
budget (total budget is the federal share and matching contribution)
with supporting narrative and cost justifications for all budget
categories of your grant request. The budget shall include not more
than 10 percent for administrative costs and not less than 90 percent
for direct project elements. The applicant is to provide adequate
details on the 90 percent of the Federal funds that are required for
abatement, combined lead-based paint inspections and risk assessments,
temporary relocations, and interim control of lead-based paint hazards.
In addition, the applicant is to provide details on the activities that
will be conducted with the remaining 10 percent of Federal funds.
4. Rating Factor 4: Leveraging Resources (10 points)
This factor addresses your ability to obtain other community and
private sector resources that can be combined with HUD's program
resources to achieve program objectives. In evaluating this factor, HUD
will consider the extent to which you have established working
partnerships with other entities to get additional resources or
commitments to increase the effectiveness of the proposed program
activities. Resources may include cash or in-kind contributions of
services, equipment, or supplies allocated to the proposed program.
Resources may be provided by governmental entities, public or private
organizations, and other entities partnering with you. Leveraging
arrangements with rental property owners may have the benefits of
increasing the efficiency of public lead hazard identification and
control expenditures and creating a financial stake for rental property
owners in the quality of lead hazard control work. Contractual or other
formal relationships with grassroots community-based nonprofit
organizations, including faith-based

[[Page 13908]]

organizations and other community-based organizations are a requirement
for State and local government applicants. Documentation of
relationships with grassroots community-based nonprofit organizations,
including faith-based organizations, and community-based organizations
must be provided in this application either in the form of signed
agreements or commitment letters. This requirement does not apply to
Native American Tribe applicants. You also may partner with other
program funding recipients to coordinate the use of resources in your
target area(s).
(1) You should detail any activities to increase the understanding
of lead poisoning prevention in your community. This could include
partnerships with childhood lead screening programs, collaboration with
ongoing health, housing or environmental research efforts which could
result in a greater availability of resources, and efforts to build
capacity for lead-safe housing.
(2) Matching funds must be shown to be specifically dedicated to
and integrated into supporting the lead-based paint hazard control
program. Refer to Section III. B. entitled, Cost Sharing or Matching
Requirements for additional information. You may not include any
federal funds as part of the 25 percent match, unless those funds are
specifically permitted by statute to be used as matching funds, such as
CDBG or Federal Revenue Sharing funds. Other resources from the private
sector or other sources committed to the program that exceed the
required 25 percent match will provide points for this rating factor.
Contributions above the first 25 percent may include funds from other
federally funded programs, and/or state, local, charity, and nonprofit
or for-profit entities.
Applicants will not receive full points under this rating factor if
they do not submit evidence of a firm commitment and the appropriate
use of leveraged resources under the grant program. Such evidence must
be provided in the form of letters of firm commitment, memoranda of
understanding, or other signed agreements to participate from those
entities identified as partners in your application. Each letter of
commitment, memorandum of understanding, or agreement to participate
should include the organization's name, the proposed level of
commitment and the responsibilities as they relate to your proposed
program. The commitment must be signed by an official of the
organization legally able to make commitments on behalf of the
organization. Describe the role of nonprofit grassroots community-based
organizations including faith-based organizations. and other community-
based organizations in specific program activities, such as: hazard
evaluation and control; monitoring; and awareness, education, and
outreach within the community. Describe how you will ensure that
commitments to sub-grantees specified in your proposal will be honored
and executed, contingent upon an award from HUD.
The signature of the authorized official on the Form SF-424 commits
matching or other contributed resources of the applicant organization.
A separate letter from the applicant organization is not required;
however, the applicant must submit a letter of commitment from each
organization other than itself that is providing a match, whether cash
or in-kind. Staff in-kind contributions should be given a monetary
value based on the local market value of the staff skills; you are
responsible for tracking the number of labor hours provided in the
match for each labor category. If you do not provide letters from
contributors specifying details and the amount of the actual
contributions, those contributions will not be counted. Contributions
required of rental property owners may be included as part of your
match. You should document and provide the amount of the match from
each resource.
5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points)
(A) This factor emphasizes HUD's commitment to ensuring that
applicants achieve the goals outlined in their work plan and other
benchmark standards and assess their performance to ensure performance
goals are met (5 points). Achieving results means you, the applicant,
have clearly identified the benefits, or outcomes of your program.
Outcomes are ultimate goals. Benchmarks or outputs are interim
activities or products that lead to the ultimate achievement of your
goals.
Program evaluation requires that you, the applicant, identify
program outcomes, interim products or benchmarks, and performance
indicators that will allow you to measure your performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Your Evaluation Plan
should identify what you are going to measure, how you are going
measure it and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes. The degree to which benefits are maximized relative to cost
is important. In particular, different technical approaches vary widely
in cost, but also produce different levels of benefits. Evaluation
should explore how well the technical strategy meets the conditions and
needs found in the grantee's jurisdiction.
This rating factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. Applicants are required to
complete the HUD 96010 Logic Form included in the General Section.
(1) An applicant is to identify and describe specific methods,
measures, and tools that you will use (in addition to HUD reporting
requirements) to measure progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. Describe how
you will obtain, document and report the information. In evaluating
this factor, HUD will consider how you have described outcome measures
and benefits of your program including:
(a) The degree to which lead hazard control work will be done in
conjunction with other housing-related activities (i.e.,
rehabilitation, weatherization, correction of code violations, and
other similar work), or your plan for the integration and coordination
of lead hazard control activities into those activities in the future.
(b) Plans to develop public/private lending partnerships to finance
lead hazard control as part of acquisition and rehabilitation financing
such as the use of Community Reinvestment Act ``credits'' by lending
institutions or other financing strategies.
(c) Results of any specific plans and objectives established to
implement and/or maintain a registry (listing) of lead-safe housing
that is available to the public, or to incorporate the inclusion of the
lead-safe status of properties in another publicly accessible address-
based property information system. Results could include how the
information would be managed and affirmatively marketed to the public
so that families (particularly low-income families with children under
six years of age) can make informed decisions regarding their housing
options. Prior grantee applicants must address any registry (listing)
of lead-safe housing developed during the prior grant period by
specifically discussing the availability, amount of information
contained, and its maintenance.
(d) The extent to which affirmatively furthering fair housing for
all segments of the population is advanced by the proposed activities.
(This section does not apply to Native American Tribes.)

[[Page 13909]]

Detail how your proposed work plan will support the community's efforts
to affirmatively further affordable housing and how you will quantify
results of affirmatively furthering fair housing activities. As part of
the background for your fair housing element of your work plan under
this grant, discuss the impact of prior activities that have
contributed to enhanced lead-safe housing opportunities.
(e) The resulting impact of plans to adopt or amend statutes,
regulations, or policies that will more fully integrate lead hazard
control into community policies and priorities.
(f) Results of activities to coordinate and cooperate with other
organizations that will lead to a reduction in lead risks to community
residents (5 points). This could include documenting such activities
as: Free training to create a workforce properly trained in lead safe
work practices; lead-safe repainting and remodeling; promotion of
essential maintenance practices; and provision of lead dust testing to
low-income, privately-owned homes which may not receive lead hazard
control assistance under this grant program. This factor should address
the quantitative measures of the following:
(1) Community outreach education that focuses on the outcomes of a
workforce properly trained in lead safe work practices.
(2) Effective outreach education aimed at families, health care
members and other professional colleagues.
(3) Effective outreach education assessing the needs of families
and communities intended to receive lead hazard control assistance
under this grant program.
(g) How your program will be held accountable for meeting program
goals, objectives, and the actions undertaken in implementing the grant
program. Applicants should provide a description of the mechanism to
assess progress and track performance in meeting the goals and
objectives outlined in the work plan. Applicants should provide
assurances that work plans and performance measures developed for the
program will assist intended beneficiaries, and that work will be
conducted in a timely and cost-effective manner.

B. Reviews and Selection Process

1. Rating and Ranking. Please refer to the General Section of this
SuperNOFA for details. Only those applications that meet the threshold
review requirements will be rated and ranked. HUD intends to fund the
highest ranked applications receiving a minimum score of 75 within the
limits of funding.
a. Remaining Funds. Refer to the General Section of this SuperNOFA
for HUD's procedures if funds remain after all selections have been
made within a category of the NOFA.
2. Factors for Award Used to Rate and Rank Applications. The
factors for rating and ranking applicants, and maximum points for each
factor, are stated below.
a. Implementing HUD's Strategic Framework and Demonstrating
Results. HUD is committed to ensuring that programs result in the
achievement of HUD's strategic mission. To support this effort, grant
applications submitted for HUD programs will be rated on how well they
tie proposed outcomes to HUD's policy priorities and Annual Goals and
Objectives, and the quality of proposed Evaluation and Monitoring
Plans.
HUD is encouraging applicants to undertake specific activities that
will assist the Department in implementing its policy priorities that
are found in the General Section and applicable to the Lead Hazard
Reduction Demonstration NOFA. Activities that promote the participation
of including grassroots community-based nonprofit organizations
including faith-based organizations and community organizations support
HUD's policy priority for: Providing Full and Equal Access to
grassroots community-based nonprofit organizations, including faith-
based organizations. An applicant will be awarded one point under
Rating Factor 3 d.(8) for activities undertaken that specifically
address this policy priority. For initiatives that break down
regulatory barriers that impede the production of affordable housing,
an applicant will be awarded up to two points under Rating Factor
3c(1)(a)(v) for activities that remove barriers to affordable housing
within their communities or support such efforts at the state and local
level. This priority relates to HUD's Strategic Goal for Increasing
Homeownership Opportunities and Promoting Decent Affordable Housing.
Applicants addressing this policy priority are to complete Form HUD-
27300--Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers, and are to include any documentation required. Note that
currently validated Web site (URL) references to any such documents may
be provided in place of providing copies of them in the application).
Refer to the General Section for additional details pertaining to this
policy priority.
b. Bonus Points (2 Points).
HUD's FY2005 NOFAs provide for the award of two bonus points for
eligible activities/projects that the applicant proposes to locate in
federally designated Empowerment Zones (EZs), Enterprise Communities
(ECs), or Renewal Communities (RCs) designated by USDA in round II (EC-
IIs) (collectively referred to as RC/EZ/EC-IIs), and which will serve
the residents of these communities. In order to be eligible for the
bonus points, applicants must submit a completed Form HUD 2990.
The maximum number of points to be awarded is 102. A minimum score
of 75 is required for fundable applications.

------------------------------------------------------------------------
Maximum
Rating factor points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational 20
Experience..................................................
2. Demonstrated Need/Extent of the Problem................... 15
3. Soundness of Approach/Work Plan (20 Points); Technical 45
Approach (20 Points); Budget (5 Points).....................
4. Leveraging Resources...................................... 10
5. Achieving Results and Program Evaluation.................. 10
Bonus Points--RC/EZ/EC-IIs................................... 2
----------
Total.................................................... 102
------------------------------------------------------------------------

VI. Award Administration Information

Refer to the General Section for additional details on award
administration.

A. Award Notices

[[Page 13910]]

data and information to be submitted to execute a grant agreement. This
letter is not an authorization to begin work or incur costs under the
grant. A fully executed grant agreement is the authorizing document.
Unsuccessful applicants will also be notified that their application
was not selected for an award and will be afforded an opportunity to
request a debriefing on the unsuccessful application according to the
procedures outlined in the SuperNOFA.
2. Negotiation. Refer to the General Section for additional
details.
3. Adjustments to Funding.
Refer to the General Section for additional details.
4. Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of their respective programs.

B. Administrative and National Policy Requirements

Refer to the General Section for additional details regarding the
Administrative and National Policy Requirements applicable to HUD
Programs.
1. Administrative Requirements.
a. Lead-Based Paint Hazard Reduction Act (Title X of the Housing
and Community Development Act of 1992). Section 1011 of Title X Section
217 of Public Law 104-134 (the Omnibus Consolidated Rescissions and
Appropriations Act of 1996, 110 Stat. 1321, approved April 26, 1996)
amended Section 1011(a) of the Residential Lead-Based Paint Hazard
Reduction Act of 1992 (Title X) to read as follows:
Sec. 1011. Grants for Lead-Based Paint Hazard Reduction in Target
Housing
(1) General Authority. The Secretary is authorized to provide
grants to eligible applicants to evaluate and reduce lead-based paint
hazards in housing that is not federally assisted housing, federally
owned housing, or public housing, in accordance with the provisions of
this section. Grants shall only be made under this section to provide
assistance for housing which meets the following criteria--
(a) for grants made to assist rental housing, at least 50 percent
of the units must be occupied by or made available to families with
incomes at or below 50 percent of the area median income level and the
remaining units shall be occupied or made available to families with
incomes at or below 80 percent of the area median income level, and in
all cases the landlord shall give priority in renting units assisted
under this section, for not less than 3 years following the completion
of lead abatement activities, to families with a child under the age of
six years, except that buildings with five or more units may have 20
percent of the units occupied by families with incomes above 80 percent
of area median income level;
(b) for grants made to assist housing owned by owner-occupants, all
units assisted with grants under this section shall be the principal
residence of families with income at or below 80 percent of the area
median income level, and not less than 90 percent of the units assisted
with grants under this section shall be occupied by a child under the
age of six years or shall be units where a child under the age of six
years spends a significant amount of time visiting;
For the purposes of complying with Section 1011(1)(b) above, a unit
occupied by a pregnant woman meets the Congressional intent of
promoting primary prevention and maybe assisted under this program.
b. Certified and Trained Service Providers. Funded activities must
be conducted by persons qualified for the activities according to 24
CFR part 35 (possessing certification as abatement contractors, risk
assessors, inspectors, abatement workers, or sampling technicians, or
others having been trained in a HUD-approved course in lead-safe work
practices).
c. National Historic Preservation Act. The National Historic
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR
part 800 apply to the lead-based paint hazard control activities that
are undertaken pursuant to this program. HUD and the Advisory Council
for Historic Preservation have developed an optional Model Agreement
for use by grantees and State Historic Preservation Officers in
carrying out activities under this program. The Model Agreement may be
obtained from the HUD Web site, http://www.hud.gov, or the Office of
Healthy Homes and Lead Hazard Control Web site, http://www.hud.gov/
offices/lead/grantfrm/pgi/95--06.pdf
d. Waste Disposal. You must handle waste disposal according to the
requirements of the appropriate local, state, and federal regulatory
agencies. You must handle disposal of wastes from hazard control
activities that contain lead-based paint, but are not classified as
hazardous in accordance with state or local law or the HUD Guidelines
for the Evaluation and Control of Lead-Based Hazards in Housing (HUD
Guidelines). The Guidelines are available from the HUD Web site at:
http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.
e. Worker Protection Procedures. You must observe the procedures
for worker protection established in the HUD Guidelines, as well as the
requirements of the Occupational Safety and Health Administration
(OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or applicable
state or local occupational safety and health regulations, whichever
are most protective. If other applicable requirements contain more
stringent requirements than the HUD Guidelines, the more rigorous
standards shall be followed.
f. Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if you use grant funds in conjunction with other
Federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other Federal programs.
g. Work Plan. The work plan shall consist of the goals and specific
time-phased objectives established for each of the major activities and
tasks required to implement the program. These major activities and
tasks are outlined in the Quarterly Progress Reporting System (Form-
HUD-96006) and include: (1) Program Management and Capacity Building
including data collection and program evaluation; (2) Community
Education, Outreach and Training; and (3) Lead Hazard Activities
including testing, interventions conducted, and relocation.
(1) The work plan narrative shall include:
(a) The management plan that describes how the project will be
managed, and the timeline for staffing the program, establishing a
lead-based paint contractor pool, and obtaining HUD approval for the
Release of Funds Request (Form HUD 7015.15);
(b) A detailed description of how assistance and funding will flow
from the grantee to the actual performers of the hazard reduction work;
(c) The selection process for sub-grantees, sub-contractors and/or
sub-recipients;
(d) The identification, selection, and prioritization process for
the particular properties where lead hazard control interventions are
to be conducted;
(e) A description of the financing mechanism used to support lead
hazard control work in units (name of administering agency),
eligibility requirements, type of financing (grant, forgivable or
deferred loans, private sector financing, etc), any owner

[[Page 13911]]

contribution requirement, and the terms, conditions and amounts of
assistance available (include affordability terms and forgiveness and
recapture of funds provisions);
(f) The inspection/risk assessment testing procedures using EPA
standards to identify lead hazards and to conduct clearance testing.
(Dust wipe samples, soil samples and any paint samples to be analyzed
by a laboratory must be analyzed by a laboratory recognized by the EPA
National Lead Laboratory Accreditation Program (NLLAP));
(g) The process for developing work specifications and bids on
properties selected for lead hazard control;
(h) The levels of intervention and clearance procedures to be
conducted for units enrolled;
(i) The number of rental-occupied, vacant, and owner-occupied units
proposed for each intervention level;
(j) The relocation plan that will be carried out for residents
required to be out of their homes during hazard control activities;
(k) The evaluation process used to measure program performance.
h. Privacy and Disclosure. All test results in pre-1978 housing
related to lead-based paint or lead-based paint hazards must be
provided to the owner of the unit, together with a statement describing
the owner's legal duty to disclose the results to tenants (before
initial leasing, or before lease renewal with changes) and buyers
(before sale) if the housing was constructed before 1978 (24 CFR part
35, subpart A). This information provided to owners may only be used
for purposes of remediation of lead-based paint and other hazards in
the unit. Disclosure of other identified housing-related health or
safety hazards to the owner of the unit, for purposes of remediation,
is encouraged but not required. Submission of any information on the
properties to databases (whether Web site, computer, paper, or other
format) of addresses of identified, treated or cleared housing units is
subject to the protections of the Privacy Act of 1974, and shall not
include any personal information that could identify any child
affected.
i. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.

C. Reporting

Successful applicants will be required to submit quarterly, annual,
and final program and financial reports according the requirements of
the Office of Healthy Homes and Lead Hazard Control. Project benchmarks
and milestones will be tracked using a benchmark spreadsheet that uses
the benchmarks and milestones identified in the Logic Model form (Form
HUD-96010; available in the General Section) approved and incorporated
into your award agreement. For specific reporting requirements, see
policy guidance: http://www.hud.gov/offices/lead. Specific guidance and
additional details will be provided to successful applicants.

VII. Agency Contact(s)

For Further Information and Technical Assistance: You may contact
Jonnette Hawkins, Director, Program Management and Assurance Division,
Office of Healthy Homes and Lead Hazard Control, 451 Seventh Street
SW., Washington, DC 20410-3000, or by telephone: (202) 755-1785,
extension 126 (this is not a toll-free number), fax: (202) 755-1000; or
e-mail: [email protected] (use underscores). If you are a
hearing-or speech-impaired person, you may reach the above telephone
number via TTY by calling the toll-free Federal Information Relay
Service at 1-800-877-8339.

VIII. Other Information

For technical assistance in downloading the electronic application
or for other questions regaining the electronic application, including
registration with Grants.gov, please contact the Grants.gov Support
Desk at 800-518-GRANTS. Also refer to the General Section.
Other Office of Healthy Homes and Lead Hazard Control Information:
For additional general, technical, and grant program information
pertaining to the Office of Healthy Homes and Lead Hazard Control,
visit: http://www.hud.gov/offices/lead.
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[[Page 13920]]

Healthy Homes Demonstration Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control.
B. Funding Opportunity Title: Healthy Homes Demonstration Program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is: FR-
4950-N-29. The OMB Paperwork approval number is 2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.901
Healthy Homes Demonstration Program.
F. Dates: Your application submission date is June 15, 2005. See
the General Section, Section IV, Application and Submission
Information, regarding application submission procedures and timely
filing requirements.
G. Additional Overview Content Information:
1. Purpose of the Program. The purpose of the Healthy Homes
Demonstration Program is to develop, demonstrate, and promote cost-
effective, preventive measures to correct multiple safety and health
hazards in the home environment that produce serious diseases and
injuries in children of low-income families. Through the Healthy Homes
Demonstration program, HUD will initiate projects to promote
implementation of available risk reduction techniques for the control
of key hazards described in Appendix B. Appendices B, C and D to this
Healthy Homes Demonstration Program NOFA can be found on HUD's Web site
at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Appendix A,
which contains required forms, is attached to this NOFA.
2. Available Funds. HUD anticipates that approximately $5 million
in fiscal year 2005 funds will be available.
3. Number of Awards. Approximately four to six cooperative
agreements or grants will be awarded, ranging from approximately
$250,000 to $1,000,000. The average award in 2004 was $958,625.
4. Eligible Applicants. Not-for-profit institutions and for-profit
firms, located in the U.S. are eligible to apply. State and local
governments, and federally recognized Indian Tribes are eligible to
apply. For-profit firms are not allowed to propose a fee or profit in
their cost proposal (i.e., no profit can be made from the project).
5. Type of award. Cooperative Agreement or Grant.
6. Match. None required, but strongly encouraged.
7. Limitations. There are no limitations on the number of
applications that each applicant can submit.
8. Information on application. The applications for this NOFA can
be found at http://www.grants.gov. The application is an electronic
application. You must register at http://www.grants.gov to be able to
submit your application. The General Section contains information about
submission requirements and procedures. Please carefully review the
General Section before reading the program section so that you
understand HUD's new electronic application process. Information and
procedures for completing an application are provided below.

Full Text of Announcement

I. Funding Opportunity Description

A. Background

The Healthy Homes Demonstration Program is a part of HUD's Healthy
Homes Initiative (HHI). In April 1999, HUD submitted to Congress a
preliminary plan containing a full description of the HHI. This
description (Summary and Full Report) is available on the HUD Web site
at: http://www.hud.gov; this site also contains additional information
on the HHI and a link to its Web site.
The HHI builds upon HUD's existing housing-related health and
safety issues, including lead hazard control, building structural
safety, electrical safety, and fire protection to address multiple
childhood diseases and injuries, such as asthma, mold-induced illness,
carbon monoxide poisoning, and other conditions related to housing in a
coordinated fashion. The HHI departs from the more traditional approach
of attempting to correct one hazard at a time (e.g., asbestos, radon).
A coordinated effort is feasible because a limited number of building
deficiencies contribute to multiple hazards. Substantial savings are
possible using this approach, because separate visits to a home by an
inspector, public health nurse, or outreach worker can add significant
costs to efforts to eliminate hazards.
In addition to deficiencies in basic housing facilities that may
impact health, changes in the U.S. housing stock and more sophisticated
epidemiological methods and biomedical research have led to the
identification of new and often more subtle health hazards in the
residential environment. While such health hazards will tend to be
found disproportionately in housing that is substandard (e.g.,
structural problems, lack of adequate heat, etc.), such housing-related
environmental health hazards may also exist in housing that is
otherwise of good quality. Appendix B of this NOFA briefly describes
the housing-associated health and injury hazards HUD considers key
targets for intervention. Appendix C lists some of the references that
serve as the basis for the information provided in the Healthy Homes
Demonstration Program NOFA (appendices B-D to this NOFA are available
at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm).

B. Healthy Homes Initiative Goals

1. Mobilize public and private resources, involving cooperation
among all levels of government, the private sector, and grassroots
community-based nonprofit organizations, including faith-based
organizations to develop the most promising, cost-effective methods for
identifying and controlling housing-based health hazards;
2. Build local capacity to operate sustainable programs that will
prevent and control housing-based health hazards in low- and very low-
income residences when HUD funding is exhausted; and
3. Affirmatively further fair housing and environmental justice.
HUD is interested in promoting approaches that are cost-effective
and efficient and that result in the reduction of health threats for
the maximum number of residents and, in particular, for children in
low-income families. In addition, HUD encourages applicants to
undertake specific activities that will assist the Department in
implementing its Policy Priorities. HUD's fiscal year 2005 Policy
Priorities are discussed in the General Section.

C. Healthy Homes Demonstration Objectives

HUD will support projects that implement housing assessment,
maintenance, renovation and construction techniques to identify and
correct housing-related illness and injury risk factors, disseminate
healthy homes information and replicate successful interventions. The
objectives of the Healthy Homes Demonstration Program include:
1. Identification of target areas and homes where assessment and
interventions will occur;
2. Identification and evaluation of effective methods of health
hazard abatement and risk reduction;
3. Development of appropriately scaled, flexible, cost-effective
and efficient assessment and intervention strategies that take into
account the

[[Page 13921]]

range of unhealthy conditions likely to be encountered in housing, and
that maximize the number of housing units that receive interventions;
4. Development of methodologies for evaluating intervention
effectiveness;
5. Development of local capacity in target areas and training
programs for target groups to operate sustainable programs to prevent
and control housing-based health hazards, especially in low- and very
low-income residences;
6. Development of cost-effective protocols for identifying homes
that are candidates for interventions, identifying health hazards in
these homes, and screening out homes where structural or other factors
(e.g., cost) make interventions impractical;
7. Development and delivery of public outreach programs that
provide information about effective methods for preventing housing-
related childhood diseases and injuries and for promoting the use of
these interventions;
8. Targeting, through education and outreach, specific high-risk
communities and other identified audiences such as homeowners,
landlords, health care deliverers, pregnant women, children,
residential construction contractors, maintenance personnel, housing
inspectors, real estate professionals, home buyers, and low-income
minority families;
9. Implementation of media strategies to use print, radio and
television to increase public awareness of housing-related health
hazards that threaten children, including the use of minority media,
grassroots community based nonprofit organizations, including faith-
based organizations that work with persons with disabilities (including
providing materials in alternative formats), advocates for racial and
ethnic minorities (including providing materials in other languages for
populations with Limited English Proficiency (LEP));
10. Dissemination of tools currently used by the applicant and/or
tools available from other sources and, as needed, tools to be
developed, to inform parents and caregivers about housing-related
health hazards and enable them to take prompt corrective action; and
11. Development of training programs for Healthy Homes activities
to emphasize assessment and intervention methods applicable to public
and private housing in target areas.
Specific project activities applicable to these objectives can be
found under Rating Factor 3.1.b.

D. Authority

The authority for this program is sections 501 and 502 of the
Housing and Urban Development Act of 1970 and the Consolidated
Appropriations Act, 2005 (Pub. L. 108-477; approved December 8, 2004).

II. Award Information

A. Funding Available

Approximately $5 million in fiscal year 2005 funds are available
for the Healthy Homes Demonstration Program cooperative agreements or
grants. Cooperative agreements or grants will be awarded on a
competitive basis. HUD anticipates that approximately four to six
cooperative agreements or grants will be awarded, ranging from
approximately $250,000 to approximately $1,000,000. In fiscal year
2004, the average award was $958,625. The rating factors and selection
process are discussed in Section V.
Abstracts of currently funded grants are available on the Healthy
Homes Web site at: http://www.hud.gov/healthyhomes. Applicants may wish
to review these for program content and may also contact Project
Directors of currently funded projects for additional information.

B. Anticipated Start Date and Period of Performance for New Grants

The start date for new Cooperative Agreements or Grants is expected
to be October 1, 2005, with a period of performance not to exceed 36
months. The proposed performance period should include adequate time
for project components such as the Institutional Review Board process,
the recruitment of study participants, and the development of new
methods (e.g., survey forms, data base, etc), all of which have been
found to delay projects in the past. Period of performance extensions
for delays due to exceptional conditions beyond the grantee's control
will be considered for approval by HUD in accordance with 24 CFR
84.25(e)(2) or 85.30(d)(2), as applicable, and the Office of Healthy
Homes and Lead Hazard Control (OHHLHC) Program Guide. Such extensions,
when granted, are one time only, and for no longer than a period of one
year. Applicants are encouraged to plan studies with shorter
performance periods than 36 months. When developing your schedule you
should consider the possibility that issues may arise that could cause
delays.

C. Type of Award Instrument

Awards in response to this NOFA will be made as cooperative
agreements or grants. HUD will require quarterly reporting and will
work closely with awardees to monitor projects.

III. Eligibility Information

A. Eligible Applicants

Not-for-profit institutions and for-profit firms, located in the
U.S. are eligible to apply. State and local governments, and federally
recognized Indian Tribes are eligible to apply. For-profit firms are
not allowed to propose a fee or profit in their cost proposal (i.e., no
profit can be made from the project).

B. Cost Sharing or Matching

Cost sharing or matching is not required. In rating your
application, however, HUD will award a higher score under Rating Factor
4 (see Section V.A.2.d) if you provide evidence of significant cost
sharing.

C. Other

1. Threshold Requirements Applicable to all Applicants Under the
SuperNOFA.
As an applicant, you must meet all the threshold requirements
described in the General Section. These requirements include the
requirement to affirmatively further fair housing (AFFH). Applications
that do not address the threshold items will not be funded. Cooperative
agreements or grants will be awarded on a competitive basis following
evaluation of all proposals according to the rating factors described
in this NOFA. A minimum score of 75 out of a possible 102, which
includes up to 2 bonus points for activities proposed to be located in
RC/EZ/EC-II communities (see Section V.A.1, below), is required for
award consideration.
2. Eligible Activities.
The following activities and support tasks are eligible under the
Healthy Homes Demonstration Program.
a. Performing evaluations of housing to determine the presence of
housing-based health hazards (e.g., moisture intrusion, mold growth,
pests and allergens, unvented appliances, exposed steam pipes or
radiators, deteriorated lead-based paint) through the use of accepted
assessment procedures.
b. Conducting housing interventions to remediate existing housing-
based health hazards and address conditions that could result in their
recurrence. Refer to the HUD Guidelines for the Evaluation and Control
of Lead-Based Paint Hazards in Housing (Guidelines) for information
about conducting such remediation for lead-based paint hazards. The
Guidelines and/or applicable regulations may be downloaded from HUD's
Web site at http://www.hud.gov.

[[Page 13922]]

c. Undertaking housing rehabilitation activities that are
specifically required to carry out effective control of housing-based
health hazards, and without which the intervention could not be
completed and maintained. Funds under this program may also be used to
control lead-based paint hazards; however, such controls may not be a
principal focus of the cooperative agreement or grant. Lead hazard
control activities are carried out under HUD's Lead-Based Paint Hazard
Control Grant Program.
d. Carrying out temporary relocation of families and individuals,
when necessary, during the period in which the intervention is
conducted and until the time the affected unit receives clearance for
re-occupancy. See Section VI.B.5 for discussion of regulations that
apply when relocating families.
e. Conducting medical examinations, when such examinations of young
children for conditions caused or exacerbated by exposure to
residential hazards are demonstrated to be critical to the outcome of
your project, and alternative sources to cover these costs are not
available. If you budget for such costs, you must provide documentation
to the effect that other resources, such as Medicaid, SCIP or
neighborhood clinics are not available to conduct these examinations.
See Section III C.3.b for information on Institutional Review Board
approval and HIPAA authorization where applicable.
f. Environmental sampling and medical testing recommended by a
physician or applicable occupational or public health agency to protect
the health of the intervention workers, supervisors, and contractors,
unless reimbursable from another source.
g. Conducting testing, analysis, and mitigation for lead, mold,
carbon monoxide and/or other housing-related health hazards as
appropriate, with respect to generally accepted standards or criteria,
or if standards are unavailable, other appropriate levels justified in
conjunction with the project. A laboratory recognized by the
Environmental Protection Agency's (EPA's) National Lead Laboratory
Accreditation Program (NLLAP) must analyze clearance dust samples
related to lead-based paint. It is recommended that samples to be
analyzed for fungi be submitted to a laboratory accredited in the
Environmental Microbiological Laboratory Accreditation Program (EMLAP),
administered by the American Industrial Hygiene Association (AIHA).
h. Carrying out architectural, engineering and work specification
development and other construction management services to control and
remediate existing housing-based health hazards.
i. Providing training on Healthy Homes practices to homeowners,
renters, painters, remodelers, and housing maintenance staff working in
low- or very low- income housing.
j. Providing cleaning supplies for hazard intervention and hazard
control to grassroots community-based nonprofit organizations,
including faith-based organizations, for use by homeowners and tenants
in low-income housing, or to such homeowners and tenants directly. (See
the General Section for more information about grassroots community-
based nonprofit organizations, including faith-based organizations.)
k. Providing modest incentives (financial or other, i.e. coupons
for a video rental, coupons for groceries; stipends for completion of
surveys, child care, cleaning kits, etc.) subject to approval by HUD,
to encourage recruitment and retention in the interventions,
participation in educational and training activities and other program-
related functions.
l. Conducting general or targeted community education programs on
environmental health and safety hazards. This activity would include,
but not be restricted to, training on Healthy Homes maintenance and
renovation practices. It would also include making materials available
in alternative formats for persons with disabilities (e.g., Braille,
audio, large type) upon request, and providing materials in languages
other than English that are common in the community, consistent with
HUD's published ``Limited English Proficiency (LEP) Recipient
Guidance''.
m. Securing liability insurance for housing-related health hazard
evaluation and control activities to be performed. This is not
considered an administrative cost.
n. Supporting data collection, analysis, and evaluation of project
activities. (As a condition of the receipt of financial assistance
under this NOFA, all successful applicants will be required to
cooperate with all HUD staff and contractors performing HUD funded
research and evaluation studies.)
3. Program Requirements.
a. Work Activities. All lead hazard control activities must be
conducted in compliance with the applicable requirements of HUD's Lead-
Safe Housing Rule, 24 CFR part 35, especially Sec. 35.1325 for
abatement and Sec. 35.1330 for interim controls and as clarified in
HUD's Interpretive Guidance about this rule. Grantees must also comply
with any additional requirements in effect under a state or Native
American Tribal Lead-Based Paint Training and Certification Program
that has been authorized by the EPA pursuant to 40 CFR 745.320.
b. Institutional Review Board (IRB) Approval. In conformance with
the Common Rule (Federal Policy for the Protection of Human Subjects,
codified by HUD at 24 CFR 60.101), if your grant activities include
research involving human subjects, your organization must provide an
assurance (e.g., a letter signed by an appropriate official) that the
research has been reviewed and approved by an IRB before you can
initiate activities that require IRB approval. You must also provide
the number for your organization's assurance (i.e., an ``institutional
assurance'') that has been approved by the Department of Health and
Human Service's Office of Human Research Protections (OHRP). For
additional information on what constitutes human subject research or
how to obtain an institutional assurance see the OHRP Web site at:
http://www.hhs.gov/ohrp.
c. HIPAA Authorization. The Privacy Rule of the Health Insurance
Portability and Accountability Act of 1996 requires covered entities
that transmit health information electronically (health care providers,
health plans, etc.) to protect that information. This may be
accomplished by obtaining authorization from the patient or parent,
obtaining a waiver of authorization from an IRB or HIPAA Privacy Board
or de-identifying data. You should identify whether your proposal will
fall under the HIPAA Privacy Rule and if so how you plan to address
these requirements. Additional information on HIPAA and the Privacy
Rule can be found at http://www.hhs.gov/ocr/hipaa.
d. Program Performance. Awardees shall take all reasonable steps to
accomplish all healthy homes activities within the approved period of
performance. HUD will closely monitor the awardee's performance with
particular attention to completion of specified activities,
deliverables and milestones, and number of units proposed to be
assessed or to receive interventions within the approved period of
performance. HUD reserves the right to terminate the cooperative
agreement or grant prior to the expiration of the period of performance
if the awardee fails to meet 25 percent of the milestones, including
all deliverables, as scheduled in their work plan. Any previous
requests for no cost extensions will be taken into account when
evaluating the capacity of the

[[Page 13923]]

applicant to do the work under Rating Factor 1.
e. Certified and Trained Providers. Lead hazard control activities
must be conducted by persons qualified for these activities according
to 24 CFR Part 35 (possessing certification as abatement contractors,
risk assessors, inspectors, abatement workers, or sampling technicians,
or others having been trained in a HUD-approved course in lead-safe
work practices).
f. Clearance Testing for Lead Hazard Control Activities. Clearance
dust testing must be conducted according to the EPA Lead Hazards
Standards Rule (40 CFR part 745) for abatement projects and the Lead-
Safe Housing Rule (24 CFR part 35) for lead hazard control activities
other than abatement. These are available at: http://www.epa.gov/lead
and http://www.hud.gov, respectively.
g. All test results related to lead-based paint or lead-based paint
hazards must be provided to the owner of the unit, together with a
statement describing the owner's legal duty to disclose the results to
tenants (before initial leasing, or before lease renewal with changes)
and buyers (before sale) if the housing was constructed before 1978 (24
CFR Part 35, subpart A). This information provided to owners may only
be used for purposes of remediation of lead-based paint and other
hazards in the unit. Disclosure of other identified housing-related
health or safety hazards to the owner of the unit, for purposes of
remediation, is encouraged but not required. Submission of any
information on the properties to databases (whether Web site, computer,
paper, or other format) of addresses of identified, treated or cleared
housing units is subject to the protections of the Privacy Act of 1974,
and shall not include any personal information that could identify any
child affected.
h. All pest control activities shall incorporate the principles and
methods of integrated pest management (IPM). In technical terms, IPM is
the coordinated use of pest and environmental information with
available pest control methods to prevent unacceptable levels of pest
damage by the most economical means and with the least possible hazard
to people, property, and the environment. The IPM approach emphasizes a
targeted use of pesticides that limits the possibility of human
exposure (e.g., as opposed to wide-spread applications) and includes
interventions based on the behavior of the target pest (e.g.,
preventing access to food or water). One source for information on IPM
is Environmental Health Watch; you can download information from its
Web site: http://www.ehw.org/Asthma/ASTH--Cockroach--Control.htm.
i. Awardees collecting samples of settled dust from participant
homes for environmental allergen analyses (e.g., cockroach, dust mite)
will be required to use a standard dust sampling protocol, unless there
is a strong justification to use an alternate protocol. The HUD
protocol is posted on the OHHLHC Web site at: http://www.hud.gov/
offices/lead/hhi/hhiresources.cfm. Awardees conducting these analyses
will also be required to include quality control dust samples, provided
by OHHLHC at no cost, with the samples that are submitted for
laboratory analyses. For the purpose of budgeting laboratory costs,
assume that 5% of your total allergen dust samples would consist of QC
samples.
j. You must follow procedures for hazardous waste disposal as
required by the Occupational Health and Safety Administration (OSHA)
(e.g., 29 CFR part 1910 and/or 1926, as applicable), the EPA (e.g., 40
CFR parts 61, 260-282, 300-374, and/or 700-799, as applicable), the
Department of Transportation (e.g., 49 CFR parts 171-177), and/or
appropriate state or local regulatory agencies and applicable EPA, HUD,
state, and local regulatory agency guidance. You must handle disposal
of wastes from hazard control activities that contain lead-based paint,
but are not classified as hazardous in accordance with state or local
law or the Guidelines for the Evaluation and Control of Lead-Based
Hazards in Housing (HUD Guidelines). The Guidelines may be downloaded
from the HUD Web site at: http://www.hud.gov.
k. Worker Protection Procedures. You must comply with the
procedures for worker protection established in the HUD Guidelines as
well as the requirements of OHSA, e.g., 29 CFR part 1910 and/or 1926,
as applicable, or the state or local occupational safety and health
regulations, whichever are more stringent.
l. Written Policies and Procedures. You must have written policies
and procedures for all phases of interventions, including evaluation,
development of specifications, financing, occupant relocation,
independent project inspection, and clearance testing (e.g., for mold,
lead, carbon monoxide or other hazards, as applicable). You and all
your subcontractors, sub-recipients, and their contractors must comply
with these policies and procedures.
m. Data Collection and Provision. You must collect, maintain, and
provide to HUD the data necessary to document the various approaches
used to evaluate and control housing-based health hazards, including
evaluation and control methods, building conditions, medical and
familial information (with confidentiality of individually-identifiable
information ensured) in order to determine the effectiveness and
relative cost of these methods.
n. Section 3 Employment Opportunities. Recipients of assistance in
the Healthy Homes Demonstration Program must comply with Section 3 of
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u
(Economic Opportunities for Low- and Very Low-Income Persons in
Connection with Assisted Projects) and the HUD regulations at 24 CFR
part 135, including the reporting requirements of subpart E. See
Sec.V.c, Rating Factor 3.3, for recommendations for implementing
Section 3 Employment Opportunities.
o. Certifications and Assurances. By signing the SF-424 you are
agreeing to the certifications and assurances listed in the General
Section and this NOFA. A Certification of Consistency with the
Consolidated Plan is not required for the Healthy Homes Demonstration
NOFA.
p. Conducting Business in Accordance with HUD Core Values and
Ethical Standards. If awarded assistance under the Healthy Homes
Demonstration NOFA, you will be required, prior to entering into a
cooperative agreement or grant with HUD, to submit a copy of your code
of conduct and describe the methods you will use to ensure that all
officers, employees, and agents of your organization are aware of your
code of conduct. If you previously submitted your Code of Conduct to
HUD and it appears in the listing on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, you do not have to
resubmit the information unless there has been a change in the legal
name, address or authorizing official for your organization. See the
General Section for information about conducting business in accordance
with HUD's core values and ethical standards.
4. DUNS Requirement.
Refer to the General Section for information regarding the DUNS
requirement.

IV. Application and Submission Information

If you are interested in applying for funding under this program,
please review carefully all sections in this Notice of Funding
Availability.

[[Page 13924]]

A. Web Address To Access an Application Package

B. Content and Form of Application Submission

The following provides instructions on the items to be submitted as
part of the application. See the General Section for instructions for
submitting third party documents and electronic files.
1. An abstract describing the goals and objectives of your proposed
program (2-page limit, single-spaced, 12-point standard font, \3/4\-
inch margins) must be included in the proposal. The abstract should
include the title of your proposed project, the name, mailing address
and telephone number of the principal contact person for the primary
entity and the same information for sub-contractors, partners, etc.
2. A narrative statement addressing the rating factors for award.
Number the pages of your narrative statement and include a header and a
footer that provides the name of the applicant and the name of the
program to which you are applying. Narrative statements provided as
part of the application should be individually labeled to identify the
rating factor to which the narrative is responding (e.g. Factor 1,
Capacity, etc.). The overall response to the rating factors must not
exceed a total of 25 pages including all rating factors (single-sided,
single-spaced, 12 point standard font, \3/4\-inch margins). Any pages
in excess of this limit will not be read.
3. The score for each rating factor will be based on the rating
factor's numbered portion of your narrative statement, supplemented by
materials referenced and discussed in that portion of your narrative
statement; supplemental material that is not referenced and discussed
within the narrative statements will not be rated.
4. The position descriptions and resumes, if available, of your
project director and project manager and up to three additional key
personnel (in accordance with Rating Factor 1), not to exceed 3 pages
each (single-spaced, 12-point font with \3/4\-inch margins). This
information will not be counted toward the page limit.
5. Any attachments, materials, references, or other relevant
information that directly support the narrative must not exceed 20
pages for your entire application. Any pages in excess of this limit
will not be read. See the General Section for instructions for
submitting third party documents or material not readily available in
electronic format.
6. A detailed budget with supporting justification for all budget
categories of your funding request, in accordance with Rating Factor 3,
(2)(b). This information will not be counted towards the page limits.
In completing the budget forms and justification, you should address
the following elements:
a. Direct Labor costs should include all full- and part-time staff
required for the planning and implementation phases of the project.
These costs should be based on full time equivalent (FTE) or hours per
year (hours/year) (i.e., one FTE equals 2,080 hours/year).
b. You should budget for three trips to HUD Headquarters in
Washington, DC, planning each trip for two people, assuming that the
first trip will occur shortly after funding, for a stay of five or six
days, depending on your location, and the remaining trips will have a
stay of one or two days, depending on your location.
c. A separate budget proposal should be provided for any sub-
recipients receiving more than 10 percent of the total Federal budget
request.
d. You should be prepared to provide supporting documentation for
salaries and prices of materials and equipment upon request.
e. Organizations that have a federally negotiated indirect cost
rate should use that rate and the appropriate base. Other organizations
should submit their proposal with their suggested indirect rate. If
they are funded and HUD is the cognizant agency, it will set a rate;
otherwise HUD will request the cognizant federal agency to set the
rate.
f. You should submit a copy of the negotiated rate agreements for
fringe benefits and indirect costs, if applicable, as an attachment to
the budget sheets.
7. Applicants are encouraged to use the following checklist to
ensure that all required materials have been prepared and submitted.
You are not required to submit this checklist with your application.

Checklist for Healthy Homes Demonstration Program Applicants

[sbull] Applicant Abstract (limited to 2 pages).
[sbull] Rating Factor Responses (Total narrative response limited
to 25 pages).

1. Capacity of the Applicant and Relevant Organizational Experience--
Form HUD 96012.
2. Need/Extent of the Problem-Form HUD-96013.
3. Soundness of Approach--Form HUD-96014.
4. Leveraging Resources--Form HUD-96015.
5. Achieving Results and Program Evaluation--Form HUD-96010 Logic
Model.

[sbull] Required materials in response to rating factors (does not
count towards 25-page limit).

Form SF 424 Application for Federal Assistance.
Form HUD-424-CB Grant Application Detailed Budget.
Form HUD-CBW Budget Worksheet.
Form SF-424 Supplement Survey on Ensuring Equal Opportunity for
Applicants (to be completed by private nonprofit organizations only).
Form SF-LLL Disclosure of Lobbying Activities.
Form HUD-2880 Applicant/Recipient Disclosure/Update Report.
Form HUD-2990 Certification of Consistency with the RC/EZ/EC-II
Strategic Plan (if applicable).
Form HUD-96011, Facsimile Transmittal to be used for faxing third party
letters and other documents for your electronic application in
accordance with the instructions in the General Section.
HUD's Waiver from submitting electronically (if applicable).
Form HUD-2993 Acknowledgment of Application Receipt (only if waiver
from electronic submission has been obtained).
Resumes of Key Personnel (limited to 3 pages per resume).
Organizational Chart.
Letters of Commitment (if applicable).
Form HUD-2994 Client Comments and Suggestions (Optional).

[sbull] Optional material in support of the Rating Factors (20 page
limit).

C. Submission Dates and Times

Electronic applications must be submitted and received by
Grants.gov on or before 11:59:59 p.m. eastern time on June 15, 2005.
All narrative files and any scanned documents must be submitted as a
zip file, single attachment to the electronic application. Refer to the
General Section for additional submission requirements including
acceptable submission dates, times, methods, acceptable proof of
application submission and receipt procedures, and other information
regarding application submission. Materials associated to your
electronic application submitted by facsimile transmission must also be
received by 11:59:59 p.m. eastern time on the application submission
date.

[[Page 13925]]

Applicants receiving a waiver to the electronic submission process
must submit the required number of copies of the application by the
application submission date to the identified address in Appendix C of
the General Section.

D. Intergovernmental Review

Not required for this submission.

E. Funding Restrictions

1. Administrative Costs. There is a 10 % maximum allowance for
administrative costs. Additional information about allowable
administrative costs is provided in Appendix D of this NOFA at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
2. Purchase of Real Property is not permitted.
3. Purchase or lease of equipment having a per unit cost in excess
of $5,000 is not permitted, unless prior written approval is obtained
from HUD.
4. Medical costs, except as specified above in Section III.C.2, are
not permitted.
5. For-profit organizations cannot receive a fee or profit.
6. You must comply with the Coastal Barrier Resources Act (16
U.S.C. 3501).
7. Hazard control of a building or manufactured home that is
located in an area identified by the Federal Emergency Management
Agency (FEMA) under the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001-4128), as having special flood hazards unless:
(a) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(b) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.

F. Other Submission Requirements

Beginning in FY 2005, HUD requires applicants to submit
applications electronically through http://www.grants.gov. Applicants
interested in applying for funding must submit their application
electronically via the Web site http://www.grants.gov unless you
request and are granted a waiver to the electronic submission
requirements. This site has easy to follow step-by-step instructions
that will enable you to apply for HUD assistance. The http://www.grants.gov feature includes a simple, unified application process
to enable applicants to apply for grants online. Refer to the General
Section for other application submission requirements including
instructions on how to request a waiver to the electronic application
submission requirement.

V. Application Review Information

A. Criteria

1. Rating and Ranking. Applications will be reviewed by an
Application Review Panel (ARP) which will assign each application a
numerical score based on the rating factors presented below. The ARP
chairperson initially selects and provides at least one application to
panel members to score during a calibration round to ensure that all
panel members are consistent in their interpretation of the rating
factors. When the calibration round is completed, each application is
reviewed and scored by at least two panel members who will assign a
score based on the rating factors presented in section V.A.2 below.
Each factor is weighted as indicated by the number of points that are
attainable for it. An average score is then computed for each
application. The ARP chair may call upon an advisor to the ARP to
review and comment on a proposal; however, the advisor does not score
the application. Nonetheless, advisor comments will be documented and
retained as a part of the record. The ARP holds a final meeting to
identify the top-ranking applications to be recommended for funding.
Awards will be made separately in rank order within the limits of
funding availability. The maximum score that can be assigned to an
application is 102 points. Applicants should be certain that these
factors are adequately addressed in the project description and
accompanying materials.
a. Five rating factors:

Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 points);
Rating Factor 2: Need/Extent of the Problem (15 points);
Rating Factor 3: Soundness of Approach (40 points);
Rating Factor 4: Leveraging Resources (10 points);
Rating Factor 5: Achieving Results and Program Evaluation (15 points);
RC/EZ/EC-II Bonus Points (2 points);
TOTAL: 102 points.
Applicants are eligible to receive up to two bonus points for
projects located within federally designated Renewable Communities
(RCs), Empowerment Zones (EZs), or Enterprise Communities (ECs)
designated by USDA in round II (EC-IIs) (collectively referred to as
RC/EZ/EC-IIs), and which will serve the residents of these communities
(see the General Section). In order to be eligible for the bonus
points, applicants must submit a completed Form HUD-2990.
2. Rating Factors. The factors for rating and ranking applicants,
and maximum points for each factor, are provided below.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Experience (20 Points).
This factor addresses your organizational capacity necessary to
successfully implement your proposed activities in a timely manner. The
rating of you or your staff includes any grassroots community-based
nonprofit organizations, including faith-based organizations, sub-
contractors, consultants, sub-recipients, and members of consortia that
are firmly committed to your project. HUD strongly encourages the
formation and development of consortia in implementing your project
goals. Applicants that either are or propose to partner, fund, or sub-
contract with grassroots community-based nonprofit organizations,
including faith-based organizations, in conducting their work programs
will receive higher rating points as specified in the General Section.
In rating this factor, HUD will consider the four items listed below.
(1) Capacity and Qualifications of Principal Investigator and Key
Personnel. Describe your recent, relevant, and successful demonstrated
experience in undertaking eligible program activities. You must
describe the knowledge and experience of the proposed overall project
director and day-to-day project manager in planning and managing large
and complex interdisciplinary programs, especially those involving
housing, public health, or environmental programs. In your narrative
response for this factor, you should include information on your
project staff, their experience with housing and health programs,
percentage commitment to the project, and position titles. Resumes of
up to three pages each and position descriptions for up to three key
personnel in addition to the project director and project manager, and
a clearly delineated organizational chart for the Healthy Homes project
you propose, must be included in your application submission. Position
descriptions and copies of job announcements (including salary range)

[[Page 13926]]

should be included for any key positions that are currently vacant or
contingent upon an award. Indicate the name of the position, the
percentage of time that proposed staff will devote to your project and
any salary costs to be paid by funds from this program. Successful
applicants must hire all key staff positions identified in the proposal
as vacant or required in the award agreement within 120 days of award.
Include descriptions of the experience and qualifications of
subcontractors and consultants. You may find it useful to include a
table indicating the name, position and percentage contribution of
staff members, specifying organizational affiliation. This table may be
incorporated into the text of your proposal or included with the
supporting materials.
(2) Qualifications of Applicant and Partner Organizations. Discuss
your qualifications to carry out the proposed activities as evidenced
by experience, academic background, training, and/or relevant
publications of project staff. Document whether you have sufficient
personnel, or will be able to quickly retain qualified experts or
professionals to begin your proposed project immediately, and to
perform your proposed activities in a timely and effective fashion.
Describe how principal components of your organization will participate
in, or support, your project and how you propose to coordinate with
your partners. You should thoroughly describe capacity, as demonstrated
by experience in initiating and implementing related environmental,
health, or housing projects.
(3) Past Performance of the Organization. This section refers to
applicants who have any prior experience in another Healthy Homes or
Lead Hazard Control grant, another grant related to environmental
health and safety issues, or other experience in a similar program.
Provide details about the nature of the project, the funding agency,
and your performance, relative to performance measures and the
achievement of desired housing- and health-related outcomes.
(4) Performance as a Healthy Homes Grantee. If your organization is
an existing Healthy Homes grantee, provide a description of the
progress and outcomes achieved in that grant. Current grantees that are
on or ahead of target, may earn one point based on their demonstrated
ability to date. If you received previous Healthy Homes Demonstration
funding, you will be evaluated in terms of cumulative progress and
achievements under the previous grant.
You must complete and submit the Factor 1, Table 1, Capacity of the
Applicant and Relevant Organizational Experience, posted at http://www.hud.gov/offices/adm/grants/fundsavail.cfm, to support narrative
information submitted. Include this table in supporting materials for
your application. It will not be counted towards your page limit.
b. Rating Factor 2: Need/Extent of the Problem (15 Points).
This factor addresses the extent to which there is a need for your
proposed project activities to address documented problems related to
healthy homes issues and housing-related hazards in your target area(s)
and target group(s).
(1) Specifically identify a target area for your proposed
activities. Document a critical level of need for your proposed
activities in this target area. You should pay specific attention to
documenting the need as it applies to your target area(s), and provide
statistics for this area, if available, rather than general statistics
or information pertinent to a larger geographic area. As noted above,
if your target area comprises a Renewal Community, Enterprise Community
or Empowerment Zone, indicate the location of this area in the
narrative for this rating factor and submit Form HUD-2990, found in the
General Section. (2) bonus points are awarded if your target area is
located in a Renewal Zone/Empowerment Zone/Enterprise Community-II)
(2) Your documentation should summarize available data linking
housing-based health hazards to disease or injuries to children in your
target area(s), if available. Examples of data that might be used to
demonstrate need include:
(a) Economic and demographic data relevant to your target area(s),
including poverty and unemployment rates;
(b) Rates of childhood illnesses (e.g., asthma, elevated blood lead
levels) or injuries (e.g., falls, burns) among children residing in
your target areas that could be caused or exacerbated by exposure to
conditions in the home environment; and
(3) For the areas targeted for your project activities, provide
data available in your jurisdiction's currently approved Consolidated
Plan and the Analysis of Impediments to Fair Housing Choice (AI) or
Indian Housing Plan or derived from current census data or from other
sources. Provide and reference data that address the following:
(a) The age and condition of housing;
(b) The number and percentage of low- and very low-income families
with incomes less than 50 percent and 80 percent of the median income,
respectively, as determined by HUD, for the area. Statistics that
describe low- and very-low income families are available at: http://
www.census.gov/housing/saipe/estmod00/est00ALL.dat. Additional census
statistics are available at: http://www.census.gov/hhes/www/
income00.html, http://www.census.gov/hhes/income/income00/
statemhi.html, and http://www.huduser.org/datasets/il/fmr00/index.html.
Applicants should also consult local data sources, such as city
government Web sites, for target area data.
(c) To the extent that statistics and other data contained in your
community's Consolidated Plan or AI support the extent of the problem,
you should include references to the Consolidated Plan or AI in your
response; and
(d) Data documenting targeted groups that are traditionally
underserved or have special needs. For a maximum score in this rating
factor, data provided should specifically represent the target area. If
the data presented in your response do not specifically represent your
target area, you should discuss why the target areas are being
proposed.
c. Rating Factor 3: Soundness of Approach (40 Points).
This factor addresses the quality and cost-effectiveness of your
proposed work plan. You should present detailed information on the
proposed approach for addressing housing-based health hazards and
describe how proposed activities would help HUD achieve its goals for
this program area. For you to receive maximum points for this factor,
there must be a direct relationship between the proposed activities,
documented and demonstrated community needs, and the purpose of the
project. Your application will be evaluated according to the
comprehensiveness of addressing activities that are applicable to your
project. The response to this factor should include details about your
technical approach and project activities. HUD is looking for a clear
statement of activities, timeline for completing the work and expected
deliverables.
(1) Approach for Implementing the Project (25 points).
(a) Technical Approach. Describe your overall technical approach
for strategizing and implementing your proposed project. Your narrative
response to this sub-factor will be used to assess how well your
proposed project will be executed. In this factor, describe the
methods, schedule, milestones, and quality assurance

[[Page 13927]]

activities that will be carried out to identify and control housing-
based health hazards and to achieve the desired project outcomes.
Include summary information about the estimated numbers of clients to
be contacted, clients enrolled, units to be assessed, units to receive
interventions, individuals to be trained and individuals to be reached
through education/outreach activities.
(b) Project Activities. Your project description must include a
discussion of specific planned project activities that address one or
more of the following activities.
(i) Describe in detail how you will identify, select, prioritize,
and enroll units of housing in which you will undertake housing-based
health hazard interventions, targeting low-income families with young
children under six to the extent feasible, and how you will integrate
safe work practices into housing maintenance, repair, and improvements.
Describe impediments that you anticipate for recruitment, measures you
will perform to sustain recruitment, including incentives, and the
staff responsible for both monitoring recruitment status and
implementing the measures identified to sustain recruitment. Discuss
possible recruitment problems, probability of dropouts and plans to
over-recruit to compensate for dropouts. If you anticipate the Health
Insurance Portability and Accountability Act (HIPAA) to impact on your
recruitment, discuss strategies to address these issues.
(ii) Describe any assessment tools you would employ to establish
baseline data. These tools include questionnaires, visual assessment
protocols and environmental sampling and analysis. Include a
description of the process you intend to follow for obtaining IRB
approval, if necessary. In particular, describe how you will provide
informed consent (e.g., from the subjects, and their parents and
guardians, as applicable) to help ensure their understanding of, and
consent to, the elements of informed consent, such as the purposes,
benefits and risks of the research activities. Describe how this
information will be provided and how the consent will be collected. For
example, describe the use of ``plain language`` forms, flyers, and
verbal scripts, and discuss your plans to work with persons with
limited English proficiency and their families, and with families
including persons with disabilities.
(iii) Describe your process for evaluating units of housing in
which you will undertake housing-based health hazard interventions.
Provide the estimated total number of owner-occupied and/or rental
units in which you will perform assessments and conduct interventions.
(iv) Describe any specialized testing, if applicable, or visual
assessment that you will conduct during assessment of units and provide
a reference to source(s) of the protocol(s). Provide a description of
protocols or include protocols with the supporting materials for your
application.
(v) Discuss efforts to incorporate cost-effective methods to
address multiple environmental health and safety hazards, and describe
the specific interventions you will employ to control housing-based
health hazards before children are affected; and/or to control these
hazards in units where children have already been treated for illnesses
or injuries associated with housing-based health hazards (e.g., burns,
lead poisoning, asthma). Provide an estimate of the cost of each
intervention (material costs and labor costs associated with
installation) and an estimate of costs projected per unit. Describe
your management processes to be used to ensure the cost-effectiveness
of the housing interventions.
(vi) Describe the process to be followed for referring children for
medical case management when needed, and indicate organizations that
will be involved in this process.
(vii) Describe your process for the development of work
specifications for the selected interventions.
(viii) Discuss your process to select and obtain contractors for
conducting interventions in selected units and provide details about
the competitive bidding process, if applicable.
(ix) Describe your plan for the relocation of occupants of units
selected for intervention, if temporary relocation is necessary.
Describe criteria that will determine the need for relocation and
identify staff that will make relocation decisions. Address the use of
safe houses and other housing arrangements, storage of household goods,
stipends, incentives, etc., and the source of funding for relocation.
(x) Describe your plan for ensuring right of return and/or first
referral for occupants of units selected for intervention who have had
to move for intervention to occur.
(xi) Describe how you will affirmatively further fair housing,
which would include, but not be limited to: Affirmative marketing of
the program to those least likely to apply based on race, color, sex,
familial status, national origin, religion, disability, especially when
persons in these demographic groups are generally not served by the
grassroots community-based nonprofit organizations, including faith-
based organizations or other partner organizations; providing materials
in alternative formats for persons with disabilities; providing
materials in languages other than English for individuals with limited
English proficiency and their families; assuring long-term residency by
families currently living in the community; and assuring that priority
for treated units go to those who need the features (treatment) of the
unit.
(xii) Describe the financing strategy, including eligibility
requirements, terms, conditions, and amounts available, to be employed
for conducting housing interventions. You must discuss the way funds
will be administered (e.g., use of grants, deferred loans, forgivable
loans, other resources, private sector financing, etc.) as well as the
agency that will administer the process.
(xiii) Describe your proposed methods for community and/or targeted
education and training. These should include community awareness,
education, training, and outreach programs that support your work plan
and are culturally sensitive and targeted appropriately. Provide
information about specific educational/outreach activities with
quantitative data (number of individuals to be reached, etc.) and a
description of the intended audience. Describe proposed activities to
deliver culturally appropriate educational materials and methods to the
target population and communities. Describe efforts to understand and
incorporate culturally sensitive approaches to assessment and
interventions.
(xiv) Provide detailed information about training staff or other
organizations to provide the knowledge and skills required to address
Healthy Homes issues that are essential for successfully implementing
your project (e.g., education, assessments and interventions). Include
an outline of training curricula, a description of qualifications of
trainers, and selection of individuals or groups who will receive the
training. Discuss if Healthy Homes training programs will be expanded
to include public housing agencies or Tribally Designated Housing
Entities and other potential collaborators, such as grassroots
community-based nonprofit organizations, including faith-based
organizations, and if so, your plan for doing this.
(xv) Describe your proposed involvement of grassroots community-

[[Page 13928]]

based nonprofit organizations, including faith-based organizations, in
the proposed activities including the development of consortia. These
activities may include outreach, community education, marketing,
inspection, and housing evaluations and interventions.
(xvi) Describe your proposed methods to reach high-risk groups and
communities, vulnerable populations and persons traditionally
underserved. Discuss how you will verify that participants reside in
your target area, identified by socio-economic statistics, i.e. low or
very low-income levels. Discuss your efforts to include families with
children under six in your targeted interventions.
(xvii) Indicate if, and describe how, you will address any of HUD's
departmental policy priorities (see General Section for a fuller
explanation of HUD's policy priorities). You will receive points under
Rating Factor 3 for each of the applicable FY 2005 policy priorities
that are adequately addressed in your application to a maximum of six
points (see the General Section). Policy priorities that are applicable
to the Healthy Homes Demonstration NOFA are: (1) Improving our Nation's
Communities (focus on distressed communities); (2) Providing Full and
Equal Access to Grassroots Community-based Nonprofit Organizations,
including Faith-based Organizations in HUD Program Implementation; (3)
Participation of Minority-Serving Institutions in HUD Programs; (4)
Removal of Regulatory Barriers to Affordable Housing and (5) Promoting
Energy Efficiency and Energy Star. (For information on Energy Star
Programs and Appliances, see http://oaspub.epa.gov/webi/meta--first--
new2.try--these--first. HUD expects the applicant to implement Energy
Star building techniques and utilize Energy Star appliances whenever
activities of the grant afford the opportunity.
Each policy priority is worth one point, except for policy priority
(4), Removal of Regulatory Barriers to Affordable Housing, which is
worth up to 2 points, provided the applicant responds to this policy
priority as described in this NOFA and submits the required
documentation as described in Form HUD 27300. Applicants may also
provide a URL Web site address where the documentation can be readily
found. Applicants that include work activities that specifically
address one or more applicable policy priorities will receive higher
rating scores than applicants that do not address these HUD priorities,
up to a maximum of 6 points.
(2) Approach for Managing the Project. (12 points). Describe your
project goals and objectives and the strategy you will use in managing
and executing the project. You should provide information on the
general approach and overall plan employed.
(a) Project Management Plan (10 points). Include a management plan
that:
(i) Incorporates appropriate performance goals;
(ii) Lists the project objectives, major tasks and activities. All
specific activities necessary to complete the proposed project must be
included in the task.
(iii) Provides a schedule for the assignment, tracking and
completion of major tasks and activities, and a timeframe for delivery;
(iv) Ensures that quality assurance activities and corrective
actions are managed;
(v) Designates resources and identifies responsible entities
(project staff/ partner organizations);
(vi) Describes the strategy and methods for coordination and
communication between partners; and
(vii) Describes the management processes to manage costs and ensure
that cost-effective housing interventions will be implemented.
(b) Budget Justification (2 points). Your proposed budget will be
evaluated for the extent to which it is reasonable, clearly justified,
and consistent with the project management plan and intended use of
program funds. HUD is not required to approve or fund all proposed
activities. Your detailed budget should be submitted using Form ``HUD-
CBW''. An electronic copy of this and other budgetary forms are
available at: http://www.grants.gov. You must thoroughly document and
justify all budget categories and costs (form HUD-424-CB) and all major
tasks for yourself, sub-recipients, partners, major subcontractors,
joint venture participants, or others contributing resources to the
project. Include a 2-page narrative that describes clearly and in
detail your budgeted costs for each required program element (major
task) included in your overall plan. (You may include this narrative
along with the budget forms; it will not count toward the 25-page limit
of the narrative.) Include a separate, detailed budget for any sub-
grantee who receives 10% or more of the grant funding. HUD-424-CB and
HUD 424 CBW are available at http://www.grants.gov in the electronic
submission process.
(3) Economic Opportunity (3 points). To the greatest extent
feasible, your project should promote job training, employment, and
other economic opportunities for low-income and minority residents and
businesses which are owned by, and/or employ, low-income and minority
residents as defined in 24 CFR 135.5. You should:
(a) Describe how you or your partners will comply with Section 3 of
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and
HUD's implementing rules at 24 CFR part 135. Describe how you will
accomplish this requirement by:
(i) providing training and employment opportunities for low- and
very low-income persons living within the awardee's jurisdiction, and
by
(ii) providing business opportunities to businesses owned by low-
and very low-income persons living within the targeted jurisdiction;
information about Section 3 requirements is available by searching
HUD's Web site, http://www.hud.gov;
(b) Describe how your proposed project will provide opportunities
for self-sufficiency, particularly for persons enrolled in welfare-to-
work programs, or providing educational and job training opportunities;
and
(c) Describe the extent to which your proposed activities will
occur within a federally designated Renewable Community (RC),
Empowerment Zone (EZ), or Enterprise Community designated by USDA in
round II (EC-II) as defined in the General Section.
d. Rating Factor 4: Leveraging Resources (10 Points).
This factor addresses your ability to secure other community
resources (e.g., financing, supplies, or services) that can be combined
with HUD's resources to achieve project purposes. These community
resources may be contributions from organizations such as the
applicant, partners, or other organizations not directly involved in
the project.
(1) In evaluating this factor, HUD will consider the extent to
which you have developed partnerships or consortia to secure additional
resources to increase the effectiveness of your proposed project.
Describe how other organizations will participate in or support your
project. Resources may include funding or in-kind contributions (e.g.,
labor, fringe benefits, services, supplies, or equipment) budgeted for
your proposed project. Resources may be provided by state and local
governmental entities, public or private organizations, or other
partners.
(2) The signature of the authorized official on the Form SF-424
commits matching or other contributed resources of the applicant
organization. A separate letter of commitment for the match from

[[Page 13929]]

the applicant organization is not required; however, the applicant must
submit a letter of commitment from each organization other than itself
that is providing a match, whether cash or in-kind. The letter must
describe the contributed resource(s) that will be used in your project
and the dollar value of each contribution. Staff and in-kind
contributions should be given a market-based monetary value. If you
fail to provide letters of commitment, from other organizations, with
specific details, including the amount of the actual contributions, you
will not get points for this factor. Each letter of commitment,
memorandum of understanding, or agreement to participate shall include
the organization's name and the proposed level of commitment and
responsibilities as they relate to the proposed project. The commitment
must be signed by an official legally able to make commitments on
behalf of the organization. See the General Section for instructions on
how to submit third party documents using the electronic submission
process. Letters of support (letters that indicate support, but do not
specify a monetary commitment to the project) will not be considered in
the scoring of Rating Factor 4. Include information to address the
following elements.
(a) The extent to which you have coordinated your activities with
other known organizations that are not directly participating in your
proposed work activities, but with which you share common goals and
objectives.
(i) Describe your plan for integrating and coordinating housing-
based health hazard interventions with other housing-related activities
(e.g., rehabilitation, weatherization, correction of code violations,
and other similar work).
(ii) Describe your plans to generate and use public subsidies or
other resources, such as loan funds, to finance future interventions to
prevent and control housing-based health hazards, particularly in
families with children under six years of age living in low- and very
low-income housing.
(b) The extent to which your project exhibits the potential to be
financially self-sustaining by decreasing dependence on federal funding
and relying more on state, local and private funding to continue
healthy homes activities after the funding period is completed.
Applicants are to complete the Factor 4 table, Leveraging Resources
that is posted at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
e. Rating Factor 5: Achieving Results and Program Evaluation (15
points).
This rating factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. HUD is committed to ensuring
that applicants keep promises made in their applications and assess
their performance to ensure that performance goals are met. Achieving
results means you have clearly identified the benefits or outcomes of
your program. Outcomes are ultimate goals. Benchmarks or outputs are
interim activities or products that lead to the ultimate achievement of
your goals.
Program evaluation requires that you identify program outcomes,
interim benchmarks, and performance indicators that will allow you to
measure your performance. Performance indicators should be objectively
quantifiable and measure actual achievements against anticipated
achievements. Your Evaluation Plan should identify what you are going
to measure, how you are going to measure it, and the steps you have in
place to make adjustments to your work plan if performance targets are
not met within established time frames.
In your response to this rating factor, you are to discuss the
performance goals for your project, and identify specific outcome
measures. Identify and discuss the specific methods you will use to
measure progress towards your goals, track and report results of
assessments and interventions, and evaluate the effectiveness of
interventions; identify important project milestones (e.g., the end of
specific phases in a multi-phased project) and deliverables specific to
your project timeline; and identify milestones that are critical to
achieving project objectives (e.g., developing questionnaires or
protocols, hiring staff, recruitment of participants, and IRB approval
and/or HIPAA Authorization, if applicable); identify benchmarks such as
number of units that received intervention, percent of interventions
that occurred in high-risk communities, etc., that you will use to
track the progress of your project.
You should also identify how your project will be held accountable
for meeting project goals, objectives, and the actions undertaken in
implementing the program. You should provide assurances that work plans
and performance measures developed for your project will be achieved in
a timely and cost-effective manner.
You must complete and return the Form HUD-96010, Logic Model,
showing your proposed project long-term, mid-term, short-term, and
final results, and how they support HUD's departmental goals and
objectives. The Logic Model and instructions for completing the form
are located in the General Section. Information about developing a
Logic Model is available at: http://www.grants.gov.
In evaluating Rating Factor 5, HUD will consider how you have
described the benefits and outcome measures of your program. HUD will
also consider the proposed objectives and performance objectives
relative to cost and achieving the purpose of the program, as well as
the evaluation plan, to ensure the project is on schedule and within
budget.

B. Reviews and Selection Process

Information on the review and selection process is provided in the
General Section. The General Section also provides the procedures for
correcting deficient applications.

C. Anticipated Announcement and Award Dates

The anticipated award date for this NOFA is September 30, 2005.

VI. Award Administration Information

A. Award Notices

1. Applicants Selected for Award. Successful applicants will
receive a letter from the Office of Healthy Homes and Lead Hazard
Control Grant Officer. The letter will provide additional details
regarding the effective start date of the cooperative agreement or
grant and any additional data and information to be submitted to
execute a cooperative agreement or grant. This letter is not an
authorization to begin work or incur costs under the cooperative
agreement or grant.
HUD may require that all the awardees participate in negotiations
to determine the specific terms of the cooperative agreement or grant
and budget. In cases where HUD cannot successfully conclude
negotiations with a selected applicant or a selected applicant fails to
provide HUD with requested information, an award will not be made to
that applicant. In this instance, HUD may offer an award, and proceed
with negotiations with the next highest-ranking applicant. If you
accept the terms and conditions of the cooperative agreement or grant,
you must return your signed cooperative agreement or grant by the date
specified during negotiation.
After receiving the letter, additional instructions on how to have
the cooperative agreement or grant account entered into HUD's Line of
Credit Control System (LOCCS) payment system will be provided. Other
forms

[[Page 13930]]

and program requirements will also be provided.
In accordance with OMB Circular A-133 (Audits of States, Local
Governments and Nonprofit Organizations), awardees will have to submit
their completed audit-reporting package along with the Data Collection
Form (SF-SAC) to the Single Audit Clearinghouse. The address can be
obtained from their web site. The SF-SAC can be downloaded at: http://
harvester.census.gov/sac/.
2. Debriefing. The General Section provides the procedures for
unsuccessful applicants to request a debriefing.

B. Administrative and National Policy Requirements

Refer to the General Section for additional details regarding the
Administrative and National Policy Requirements applicable to HUD
Programs.
1. Environmental Requirements. Under the Consolidated
Appropriations Act, 2005, the provisions of section 305(c) of the
Multifamily Housing Property Disposition Reform Act of 1994,
implemented by HUD regulations at 24 CFR part 58, ``Environmental
Review Procedures for Entities Assuming HUD Environmental
Responsibilities,'' are applicable to properties assisted with Healthy
Homes Demonstration Grant funds. In accordance with part 58, applicants
under this NOFA that are States, units of general local governments or
Indian Tribes must act as the responsible entity and assume the
environmental review responsibilities for activities funded under this
NOFA. Other applicants must arrange for the unit of general local
government or Indian Tribe to act as the responsible entity. Under 24
CFR 58.11, if a non-recipient responsible entity objects to performing
the environmental review, or if a recipient that is not a responsible
entity objects to the local or tribal government performing the
environmental review, HUD may designate another responsible entity to
perform the review or may perform the environmental review itself under
the provisions of 24 CFR part 50. Healthy Homes Demonstration grant
applicants and other participants in activities under this NOFA may not
undertake, or commit or expend Federal or non-Federal funds (including
HUD-leveraged or match funds) for, housing interventions, related
rehabilitation or other physical activities until the responsible
entity completes an environmental review and the applicant submits and
obtains HUD approval of a request for release of funds and the
responsible entity's environmental certification in accordance with
part 58 (or until HUD has completed an environmental review under part
50). The results of environmental reviews on individual projects may
require that proposed activities be modified or proposed sites
rejected. For assistance, contact Karen Choi, the Office of Healthy
Homes and Lead Hazard Control Environmental Officer at (213) 534-2458
(this is not a toll-free number) or the HUD Environmental Review
Officer in the HUD Field Office serving your area. If you are a
hearing-or speech-impaired person, you may reach the telephone number
via TTY by calling the toll-free Federal Information Relay Service at
1-800-877-8339. Recipients of a cooperative agreement under this NOFA
will be given guidance in these responsibilities.
2. Executive Order 13202. Compliance with HUD regulations at 24 CFR
5.108 that implement Executive Order 13202, ``Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally-Funded Construction Projects''
is a condition of receipt of assistance under a HUD Program NOFA.
3. Procurement of Recovered Materials. See the General Section for
information concerning this requirement.
4. Relocation. Any person (including individuals, partnerships,
corporations, or associations) who moves from real property or moves
personal property from real property directly (1) because of a written
notice to acquire real property, in whole or in part, or (2) because of
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity, is covered by federal relocation statutes and
regulations. Specifically, this type of move is covered by the
acquisition policies and procedures and the relocation requirements of
the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (URA), as amended, and the implementing government
wide regulation at 49 CFR part 24. The relocation requirements of the
URA and the government wide regulations cover any person who moves
permanently from real property or moves personal property from real
property directly because of acquisition, rehabilitation or demolition
for an activity undertaken with HUD assistance. While the Healthy Homes
Demonstration Grant Program is not HUD assistance, the grantee must
relocate families to decent, safe and sanitary housing, and should use
the URA as guidance for doing so. If families or individuals are
temporarily relocated in a project which utilizes Community Development
Block Grant funds, the guidance and requirements of 24 CFR
570.606(b)(2)(i)(D)(1)-(3) must be met. HUD recommends you review these
regulations when preparing your proposal. (They can be downloaded from
the Government Printing Office Web site at http://www.gpoaccess.gov/
cfr/ by entering ``24CFR570.606'' in quotes without any spaces in the
Quick Search box.) See Section III.C of the General Section for
additional information about relocation.
5. Davis-Bacon Act. The Davis-Bacon Act does not apply to this
program. However, if program funds are used in conjunction with other
federal programs in which Davis-Bacon prevailing wage rates apply, then
Davis-Bacon provisions would apply to the extent required under the
other federal programs.
6. Audit Requirements. Any grant recipient that spends $500,000 or
more in federal financial assistance in a single year must meet the
audit requirements established in 24 CFR part 84 or 85, as applicable,
in accordance with OMB Circular A-133.

C. Reporting

Successful applicants will be required to submit quarterly and
final program and financial reports according the requirements of the
Office of Healthy Homes and Lead Hazard Control. Specific guidance and
additional details will be provided to successful applicants. The
following items are a part of OHHLHC reporting requirements.
1. Final Work Plan and Budget are due prior to the effective start
of the cooperative agreement or grant.
2. Quality Assurance Plan (QAP). Successful Healthy Homes
Demonstration applicants that will be collecting housing, demographic
or environmental data in a formalized manner for use in assessing
effectiveness of the approaches being demonstrated under the
cooperative agreement or grant will be required to submit a Quality
Assurance Plan (QAP) to HUD prior to initiating work under the
cooperative agreement or grant. This is a streamlined version of the
format used by some other Federal agencies, and is intended to help
ensure the accuracy and validity of the data that you will collect
under the cooperative agreement or grant. (See the HUD Office of
Healthy Homes and Lead Hazard Control's Internet site, http://
www.hud.gov/offices/lead, for the QAP template). Your proposed project
activities should include developing

[[Page 13931]]

this QAP. The QAP will be submitted to HUD as a part of your work plan.
3. Progress reports are due on a quarterly basis. Project
benchmarks and milestones will be tracked using a benchmark spreadsheet
that uses the benchmarks and milestones identified in the Logic Model
form (HUD-96010) approved and incorporated into your award agreement.
For specific reporting requirements, see policy guidance: http://
www.hud.gov/offices/lead.
4. A final report is due at the end of the project period, which
includes final project benchmarks and milestones achieved against the
proposed benchmarks and milestones in the Logic Model (HUD-96010)
approved and incorporated into your award agreement. Specific
information on all reporting requirements will be provided to
successful applicants.
5. Racial and Ethnic Beneficiary Data. HUD does not require Healthy
Homes Demonstration Grantees to report ethnic and racial beneficiary
data as part of their initial application package. However, such data
must be reported on an annual basis, at a minimum, during the
implementation of your grant. You must use the Office of Management and
Budget's Standards for the Collection of Racial and Ethnic Data to
report these data, using Form HUD-27061, Racial and Ethnic Data
Reporting Form, found on http://www.grants.gov, along with instructions
for its use.

VII. Agency Contacts

For questions related to the application process, you may contact
the Grants.gov helpline at 800-518-GRANTS. For programmatic questions,
you may contact by writing: Emily Williams, Director; Healthy Homes
Division; Department of Housing and Urban Development; Office of
Healthy Homes and Lead Hazard Control; 451 Seventh Street, SW., Room
P3206; Washington, DC 20410-3000; or by telephone by calling (336) 547-
4002, extension 2067 (this is not a toll-free number); or via e-mail
at: [email protected]. For administrative questions, you may
contact Curtissa L. Coleman, Grants Officer, at the address above or by
telephone at: (202) 755-1785, extension 119 (this is not a toll-free
number) or via e-mail at: [email protected]. If you are
hearing or speech-impaired, you may reach the above telephone numbers
via TTY by calling the toll-free Federal Information Relay Service at
800-877-8339.

VIII. Other Information

A. HUD Reform Act

The provisions of the HUD Reform Act of 1989 that apply to this
NOFA are discussed in the General Section. Refer to the General Section
for details regarding other information on submitting a complete
application that meets HUD requirements. For additional general,
technical, and program information pertaining to the Office of Healthy
Homes and Lead Hazard Control, visit: http://www.hud.gov/healthyhomes.

B. Appendices

Appendix A, which contains forms that are required to be completed
and submitted as part of your response to the rating factors that are
discussed in Section V, and Appendices B through D to this Healthy
Homes Demonstration Program NOFA, can be found and downloaded from
HUD's Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
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Operation Lead Elimination Action Program (LEAP)

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Healthy Homes and Lead Hazard Control.
B. Funding Opportunity Title: Operation Lead Elimination Action
Program (LEAP).
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: FR-4950-N-31, OMB Approval Number
2539-0015.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.903,
Operation Lead Elimination Action Program.
F. Dates: For 2005, HUD is accepting electronic applications
utilizing Grants.gov. The application submission date is June 9, 2005.
See the General Section for specific instructions for application
submissions procedures and timely filing.
G. Additional Overview Content Information:
1. Purpose of the Program. The purpose of the Operation Lead
Elimination Action Program (LEAP) is to provide grants to private
sector and nonprofit organizations to leverage funds for addressing
lead hazards in privately owned housing units and eliminating lead
poisoning as a major public health threat to young children.
2. Available Funds. Approximately $8 million in fiscal year (FY)
2005 funds.
3. Eligible Applicants. To be eligible to apply for funding under
this program, the applicant must be a tax-exempt nonprofit (501(c)(3)),
or other non-profit or for-profit entity or firm. For-profit
institutions are not allowed to earn a fee. Colleges and Universities
are also eligible to apply. National and local parent groups are
encouraged to apply. States and units of general local government and
their departments are not eligible.

Full Text of Announcement

I. Funding Opportunity Description

Program Description. Operation LEAP funds are for grants to private
sector and non-profit organizations for activities that leverage
additional funding for addressing lead hazards in eligible privately
owned housing units and eliminating lead poisoning as a major public
health threat to young children. HUD's authority for making funding
available under this NOFA is the Consolidated Appropriations Act, 2005
(Pub. L. 108-447; approved December 8, 2004). Leveraged funds must be
spent exclusively on addressing lead hazards in eligible privately
owned housing units. Applicants are encouraged to employ creativity and
initiative in mobilizing resources expeditiously for lead hazard
control prevention efforts. Based upon the responses provided to the
rating factors criteria described below, grants will be awarded to
those entities that submit a detailed plan and strategy that
demonstrates adequate capacity to implement the program and
demonstrates the ability to generate and use private sector resources
for lead hazard control prevention efforts.
LEAP funds may also be used to eliminate lead-based paint hazards
in low-income privately owned housing as well as implementing other
lead hazard control strategies as defined by Title X of the Housing and
Community Development Act of 1992 (42 U.S.C. 4851 et seq.). However,
these activities are only eligible if they are tied directly to a
leveraging strategy. For example, LEAP funds could be used to fund the
replacement of windows that are determined to be a lead-based paint
hazard, while leveraged funds from owners could be used to do paint
stabilization elsewhere in the unit (or in other units) where lead-
based paint hazards are present.

II. Award Information

Funding Available: Approximately $8 million in fiscal year (FY)
2005 funds. The maximum award shall be $2 million per grant. HUD
anticipates that approximately 4 to 6 grants will be awarded. The
period of performance is 36 months. The first 18 months shall be used
for obtaining the leveraged private sector resources. A period of
performance extension for delays due to exceptional conditions beyond
the grantee's control will be considered for approval by HUD in
accordance with 24 CFR 84.25(e)(2) and the Office of Healthy Homes and
Lead Hazard Control Program Guide. Only one extension will be provided
for a period not to exceed 12 months.

III. Eligibility Information

See the General Section for additional eligibility requirements
applicable to HUD Programs.

A. Eligible Applicants

To be eligible to apply for funding under this program, the
applicant must be a tax-exempt nonprofit (501(c)(3)), or other non-
profit or for-profit entity or firm. For-profit institutions are not
allowed to earn a fee. Colleges and Universities are also eligible.
National and local parent groups are encouraged to apply. States and
units of general local government and their departments are not
eligible. Applicants who received awards under the fiscal year 2004
Notice of Funding Availability published in the Federal Register on May
14, 2004 are eligible to apply under this NOFA.

B. Cost Sharing or Matching

There is no match requirement for this grant.

C. Other

To be eligible for funding under this NOFA, the applicant must meet
all federal statutory and regulatory requirements applicable to this
program including 24 CFR part 84 and applicable OMB circulars (i.e.,
cost principal, uniform administrative requirements, audits). In
addition, you will be required to comply with all state and local
statutes, regulations or other applicable requirements.
1. Threshold Requirements. As an applicant, you and any sub-
recipient must meet all of the threshold requirements in Section III.C
of the General Section. Applications that do not address the threshold
items will not be funded.
2. Eligible Activities. Activities conducted for the purpose of
developing and implementing local or regional strategies designed to
leverage or mobilize resources from the private sector are eligible
activities. These activities may include, but are not necessarily
limited to:
a. Providing technical lead safety training to workers or
supervisors regarding lead safe work practices;
b. Conducting outreach and related activities that are directly
tied to a leveraging strategy, and that will result in increased lead
hazard control activities in low-income privately owned or owner
occupied housing with lead-based paint hazards.
c. Lead hazard control activities tied directly to a leveraging
strategy and conducted in low- and very low-income eligible privately-
owned rental and occupied housing units, including:
(1) Performing dust, paint or soil testing, hazard screens,
inspections, and risk assessments of eligible housing constructed
before 1978 to determine the presence of lead-based paint and/or lead
hazards from paint, dust, or soil;
(2) Conducting lead hazard control, which may include interim
control of lead based paint hazards in housing (which may include
specialized cleaning techniques to address lead dust); or abatement of
lead-based paint hazards, including soil and dust, by means of removal,
enclosure, encapsulation, or replacement methods, where necessary.
Unless there are only

[[Page 13938]]

a few surfaces coated with lead paint, complete abatement of all lead-
based paint or lead-contaminated soil is not usually acceptable as a
cost-effective strategy unless justification is provided and
subsequently approved by HUD. Abatement of lead-contaminated soil
should be limited to areas with bare soil in the immediate vicinity of
the structure, i.e., drip line or foundation of the structure being
treated, and children's play areas. All hazard control activities must
comply with 24 CFR part 35, subpart R, the HUD Guidelines for the
Evaluation and Control of Lead-Based Paint Hazards in Housing and all
applicable Federal, state and local regulations; in the case of a
conflict between any of the above, the more stringent shall apply;
(3) Carrying out temporary relocation of families and individuals
during the period in which lead hazard control is conducted and until
the time the affected unit receives clearance for re-occupancy;
(4) Performing blood lead testing and air sampling to protect the
health of the hazard control workers, supervisors, and contractors; and
(5) Undertaking minimal housing rehabilitation activities that are
specifically required to carry out effective hazard control, and
without which the hazard control could not be completed and maintained.
Operation LEAP grant funds and leveraged funds may be used for lead
hazard control work done in conjunction with other housing
rehabilitation programs. HUD strongly encourages integration of this
grant program with housing rehabilitation, weatherization, and other
energy conservation activities.
(6) Conducting clearance dust-wipe testing and associated
laboratory analysis.
(7) Purchasing or leasing no more than two (2) X-ray fluorescence
analyzers for use by the Program, if not already available.
d. Eligible costs that include providing all necessary
administrative and indirect support, including rent, equipment,
materials, travel expenses and logistics, and subcontractor/consultant
costs necessary to carryout grant activities.
3. Program Requirements. In general, applicants conducting lead
hazard control activities must ensure that work is conducted in
compliance with the applicable requirements of HUD's Lead-Safe Housing
Regulation, 24 CFR part 35, and as clarified in HUD's Interpretive
Guidance about the rule located at http://www.hud.gov/offices/lead/
guidelines/leadsaferule/index.cfm.
a. Eligible Housing Units. LEAP funds may be used to support lead
hazard control work in eligible low- and very low-income privately
owned rental and occupied housing units. Refer to Section III.C.5 below
about downloading a list (Eligibility of HUD-Assisted Housing) of the
HUD-associated housing programs that meet the definition of eligible
housing under this program.
b. Continued Availability of Lead-Safe Housing to Low-Income
Families. Units in which lead hazards have been controlled under this
program shall be occupied by and/or continue to be available to low-
income families for at least three years as required by Title X
(Section 1011). Affirmative marketing to families (particularly low-
income families with children under six years of age) is encouraged, as
described under Rating Factor 5. The grantee must also notify the owner
of information on lead hazard evaluation and control generated during
grant activities in the housing, so that the housing owner will comply
with disclosure requirements under 24 CFR part 35, subpart A.
c. Testing. For applicants conducting lead hazard control
activities, all testing and sampling shall conform to the current HUD
Guidelines and federal, state, or tribal regulations developed as part
of the appropriate contractor certification program whichever is more
stringent. Testing must be conducted according to the HUD Guidelines,
located at http://www.hud.gov/offices/lead/guidelines/hudguidelines/
index.cfm, and the EPA lead hazard standards rule at 40 CFR part 745.
All units undergoing lead hazard control must have clearance testing
performed.
(1) Lead-Based Paint and Lead-Based Paint Hazard Identification.
For applicants conducting lead hazard control activities, an inspection
or risk assessment is required. You should ensure that lead paint
inspection and risk assessment reports are conducted in accordance with
established protocols and sufficient to support hazard control
decisions.
(2) Clearance Testing. For applicants conducting lead hazard
control activities, clearance testing shall be completed in accordance
with Chapter 15 of the HUD Guidelines and the EPA lead hazards
standards rule at 40 CFR part 745 for abatement projects and the Lead-
Safe Housing Rule (24 CFR part 35) for lead hazard control activities
or other abatement. The clearance standards shall be the more
restrictive of those set by the local jurisdiction or by EPA or HUD.
(3) Blood Lead Testing: HUD recommends testing each occupant who is
under six years of age for lead poisoning prior to proceeding with the
housing intervention. Any child with an elevated blood lead level
should be referred for appropriate medical follow-up. The standards for
such testing are described in the Centers for Disease Control and
Prevention (CDC) publications Preventing Lead Poisoning in Young
Children (1991), and Screening Young Children for Lead Poisoning:
Guidance for State and Local Public Health Officials (1997).
d. Written Policies and Procedures. For applicants conducting lead
hazard control activities, you must have clearly established written
policies and procedures for eligibility, program marketing, unit
selection, expediting work on homes occupied by children with elevated
blood lead levels, and all phases of lead hazard control, including
risk assessment, inspection, development of specifications, pre-hazard
control blood lead testing, financing, relocation, and clearance
testing. Grantees, subcontractors, sub-grantees, sub-recipients, and
their contractors must adhere to these policies and procedures.
e. Prohibited Practices. For applicants conducting lead hazard
control activities, you must not engage in the following prohibited
practices:
(1) Open flame burning or torching;
(2) Machine sanding or grinding without a high-efficiency
particulate air (HEPA) exhaust control;
(3) Uncontained hydro blasting or high-pressure wash;
(4) Abrasive blasting or sandblasting without HEPA exhaust control;
(5) Heat guns operating above 1,100 degrees Fahrenheit;
(6) Chemical paint strippers containing methylene chloride or other
volatile hazardous chemicals in a poorly ventilated space; and
(7) Dry scraping or dry sanding, except scraping in conjunction
with heat guns or around electrical outlets or when treating no more
than two square feet in any one interior room or space, or totaling no
more than 20 square feet on exterior surfaces.
f. Research. In conformance with the Common Rule (Federal Policy
for the Protection of Human Subjects, codified by HUD at 24 CFR part
60), for applicants conducting blood lead testing as part of a research
effort, your organization must provide an assurance (e.g., a letter
signed by an appropriate official) that the research has been reviewed
and approved by an Institutional Review Board (IRB) before you can
receive funds from HUD for activities that require IRB approval. Before
receiving such funds, you must also provide the number for your

[[Page 13939]]

organization's assurance (i.e., an ``institutional assurance'') that
has been approved by the Department of Health and Human Service's
Office of Human Research Protections (OHRP). For additional information
on what constitutes human subject research or how to obtain an
institutional assurance see the OHRP Web site at http://
ohrp.osophs.dhhs.gov/.
g. Conducting Business in Accordance with HUD Core Values and
Ethical Standards. Refer to the General Section for information about
conducting business in accordance with HUD's core values and ethical
standards.
h. Applicants must also comply with HUD's Section 3 requirements as
stated at 24 CFR 135.3(a)(2)(i).
4. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. You will need to obtain a DUNS number
to receive an award from HUD.
5. Eligibility of HUD-Assisted Housing. The chart ``Eligibility of
HUD-Assisted Housing'' available at http://www.hud.gov, lists the
``eligible'' housing units that may participate under LEAP when lead
hazard control is tied directly to a leveraging strategy.

IV. Application and Submission Information

A. Addresses To Request Application Package

1. Application Submission. See the General Section for specific
procedures for application submission and timely receipt procedures. Be
advised there is no Application Kit for the Operation Lead Elimination
Action Program. All the information required to submit an application
is available in the application and instructions at http://www.grants.gov.
a. Guidebook and Further Information. Copies of the General Section
and this Program Section are also available from the NOFA Information
Center at 800-HUD-8929 or 800-HUD-2209 (TTY). When requesting
information, please refer to the name of the program you are interested
in. Be sure to provide your name, address (including zip code), and
telephone number (including area code).

B. Content and Form of Application Submission

1. Applicants should follow the submission requirements for the
Operation Lead Elimination Action Program (LEAP). Applicants should
follow the submission requirements described below.
a. Application Information.
(1) Application Format. The application narrative response to the
Rating Factors are limited to a maximum of the equivalent of 15 pages.
Your word processing response must be prepared as a single-sided
document, using 8\1/2\'' x 11'' paper, using a 12-point font with not
less than \3/4\'' margins on all sides. Additional materials should be
referenced and discussed in the narrative response. These additional
materials should directly apply to the rating factor narrative.
(2) Application Checklist (voluntary). Your application must
contain all of the required information noted in this Program Section
and the General Section. See the General Section for specific
procedures for application submission and timely receipt procedures.
The ``Checklist and Submission Table of Contents'' below includes a
listing of the required items needed for submitting a complete
application and receiving consideration for funding. You are to
assemble the application to include the items shown in the Checklist
and Submission Table of Contents. For paper copy applications,
inclusion of this Checklist and Submission Table of Contents with your
proposal is recommended but not required.

Checklist and Submission Table of Contents Lead Elimination Action
Program (LEAP)

[sbull] Applicant Abstract (limited to a maximum of 2 pages).
[sbull] Rating Factor Response (limited to a maximum of 15 pages).
1. Capacity of the Applicant and Relevant Organizational
Experience--Form HUD-96012.
2. Need/Extent of the Problem--Form HUD-96013.
3. Soundness of Approach--Form HUD-96014; and Work Plan development
Worksheet--36 Month Period of Performance--Form HUD-96008;.
4. Leveraging Resources.
5. Achieving Results and Program Evaluation--Form HUD-96010 Logic
Model.
6. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990) if applicable;.
[sbull] Application Forms.
SF-424.
SF-424 Supplement.
Facsimile Transmittal (HUD-96011).
Form HUD-424CB.
Form HUD-424CBW--Total Budget (Federal Share and Matching) with
Supporting Narrative and Cost Justification.
Form HUD-2880 Disclosure and Update Report.
Form HUD-27300--Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers (include any documentation required).
Form SF-LLL Disclosure of Lobbying Activities Required (if
applicable).
HUD's Waiver from submitting electronically (if applicable).
Form HUD-2993 Acknowledgment of Application Receipt (only if wavier
from electronic submission has been obtained).
Form HUD-2994 Client Comments and Suggestions (completion of this
form is optional).
[sbull] Other Rating Factor Related Materials.
The following are instructions on the items to be submitted as part
of the application. See the General Section for instructions for
submitting third party documents and electronic files.
(a) Abstract Summary. Provide an abstract summary describing the
goals and objectives of the proposed program (two-page maximum);
including.
(i) the total amount of the Federal request and the amount of the
matching contribution for the entire period of performance;
(ii) the specific activities that will be conducted;
(iii) the organization(s) that will participate in the program; and
(iv) your prior activities, experience and achievements in related
work.
(b) Forms. See the General Section for specific instructions for
application submissions procedures and timely receipt. You can download
Form HUD-96008, Work Plan Development Worksheet with Minimum Benchmark
Standards for 36 Months, from http://www.hud.gov.
(c) Budget. A total budget summary (total budget is the Federal
share and leveraged contribution) with supporting narrative and cost
justifications for all budget categories of your grant request. A
maximum of ten percent of the Federal share can be for administrative
costs. Provide a detailed budget with supporting cost justification for
all budget categories of your funding request, in accordance with
Rating Factor 3. This information will not be counted towards the page
limits. A detailed budget must also be provided for any subcontractors,
subgrantees, or subrecipients receiving greater than 10 percent of the
Federal budget request. An itemized breakout (using the Form HUD-
424CBW) of leveraged contributions that are directly received by the
project or sub recipients should be documented including:
(i) Values placed on donated in-kind services;
(ii) Letters or other evidence of commitment from donors; and
(iii) The amounts and sources of contributed resources.

[[Page 13940]]

(d) Teaming. Contracts, Memoranda of Understanding or Agreement,
letters of commitment or other documentation must describe the proposed
roles of agencies, local broad-based task forces, participating faith-
based or other community- or neighborhood-based groups or
organizations, local businesses, and others working with the program.
For-profit entities and/or firms must clearly demonstrate and document
how activities, including the lead-based paint hazard identification
and control measures to be undertaken by the applicant, will be
coordinated with local organizations, state(s) or units of general
local government to carry out lead hazard control and other program
activities.
b. Other leveraged resources not received directly by the project
and sub recipients but used to support program activities should be
included in the narrative response to Rating Factor 3, but not on Form
HUD-424-CBW. Applicants should describe their methodology for tracking
leveraged resources not directly received by the project or sub
recipients.
c. Rating Factor Responses--Proposed Activities. All applications
must respond to the rating factors for award, and numbered in
accordance with each factor for award (Rating Factors 1 through 4).

C. Submission Dates and Times

Application submission. The submission date is June 9, 2005.
Electronic applications must be submitted and received by grants.gov on
or before 11:59:59 p.m. eastern time on the submission date. All
narrative files and any scanned documents must be submitted as a zip
file, single attachment to the electronic application. Refer to the
General Section for additional submission requirements including
acceptable submission methods, acceptable proof of delivery and other
information to assist the applicant. Materials associated to your
electronic application submitted by facsimile transmission must also be
received by 11:59:59 p.m. eastern time on the application submission
date.
Applicants receiving a waiver to the electronic submission process
must submit the required number of copies of the application by the
application submission date to the identified address in Appendix C of
the General Section.

D. Intergovernmental Review

Not applicable.

E. Funding Restrictions

1. Ineligible Activities. You may not use grant funds for any of
the following:
a. Purchase of real property;
b. Chelation or other medical treatment costs related to children
with elevated blood lead levels; and
c. Lead hazard abatement activities in public housing, or project-
based Section 8 housing.
d. Activities that do not comply with the Coastal Barrier Resources
Act (16 U.S.C. 3501).
e. Lead-based paint hazard control of a building or manufactured
home that is located in an area identified by the Federal Emergency
Management Agency (FEMA) under the Flood Disaster Protection Act of
1973 (42 U.S.C. 4001-4128), as having special flood hazards unless:
(1) The community in which the area is situated is participating in
the National Flood Insurance Program in accordance with the applicable
regulations (44 CFR parts 59-79), or less than a year has passed since
FEMA notification regarding these hazards; and
(2) Where the community is participating in the National Flood
Insurance Program, flood insurance on the property is obtained in
accordance with section 102(a) of the Flood Disaster Protection Act (42
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance
is obtained and maintained for the appropriate amount and term.

F. Other Submission Requirements

Refer to the General Section for other application submission
requirements.

V. Application Review Information

A. Criteria

The factors for award used to evaluate and rate applications
include:
Rating Factor 1: Organizational Capacity--Form HUD 96012.
Rating Factor 2: Need/Extent of the Problem--Form HUD 96013.
Rating Factor 3: Approach--Soundness of Approach--Form HUD 96014;
and Work Plan Development Worksheet with Minimum Benchmark Standards
for 36 Months--Form HUD-96008.
Rating Factor 4: Leveraging Resources.
Rating Factor 5: Achieving Results and Program Evaluation--Logic
Model--Form HUD-96010.
RC/EZ/EC-II--Bonus Points (2 Points).
Applicants are encouraged to employ creativity and initiative in
mobilizing resources expeditiously for lead hazard control prevention
efforts. Based upon the responses provided to the rating factors
described below, grants will be awarded to those entities who submit a
detailed strategy that demonstrates adequate capacity to carry out the
proposed use of funds and who demonstrate the ability to generate and
use private sector resources for lead hazard control prevention
efforts. The factors for rating and ranking applicants, and maximum
points for each factor, are delineated below. The maximum number of
points to be awarded is 102, which includes up to 2 bonus points for
activities proposed to be located in RC/EZ/EC-II communities (See
Section V.A.6. below).

1. Rating Factor 1: Organizational Capacity (20 points)

This factor addresses the applicant's organizational capacity to
successfully implement the proposed activities in a timely manner.
a. Staff Experience (10 points).
Describe the knowledge and experience of the staff responsible for
the following functions: Executive Direction; Finance, Marketing; and
Program Coordination. The applicant must have sufficient qualified
personnel or be able to quickly retain qualified experts or
professionals in financial/grant management, marketing, and/or lead-
based paint programs that will allow you to immediately begin your
proposed work program and to perform your proposed activities within
the 36 month period of performance (Form HUD-96008). The applicant's
narrative should include information about your organizational and
staff capacity in raising and/or leveraging funds, and in recent
success in garnering private sector support (e.g., within the past five
years). Include a discussion of staff knowledge and expertise in
raising and/or leveraging funds, possessing the prerequisite
organizational skills, and lead poisoning prevention activities.
The discussion on capacity should include the depth, experience,
the commitment of time to the program, salary information, and position
titles of the program staff.
Resumes or detailed job announcements for the above key positions
must be included in your application. Indicate the percentage of time
key personnel will devote to the proposed project. An applicant may
demonstrate capacity by thoroughly describing prior experience in this
type of activity and/or how the applicant will develop the necessary
capacity to carry out proposed activities.
b. Grants Management (4 points).
Describe your agency's or organization's ability to manage grants

[[Page 13941]]

and leveraged program funds and activities.
c. Team Expertise (4 points).
Describe project knowledge and experience by participants and team
members regarding lead poisoning as a public health threat to children,
and/or lead-based paint issues and hazard control. Use of staff with
more recent, relevant, and demonstrated successful experience will
result in a higher rating.
d. Removal of Barriers to Affordable Housing (2 points).
A new applicant will be awarded up to two points under Rating
Factor 1 for activities that remove barriers to affordable housing
within their communities; support state and local efforts to streamline
processes and procedures; and eliminate redundant requirements,
statutes, regulations, and codes which impede the availability of
affordable housing. This priority relates to HUD's Strategic Goals for
Increasing Homeownership Opportunities and Promoting Decent Affordable
Housing. For more details refer to section V.B.1.

2. Rating Factor 2: Need/Extent of the Problem (10 points)

This factor addresses the extent to which there is a need for the
proposed program to address a documented problem related to lead-based
paint and lead-based paint hazards in your identified target area(s).
An applicant will be scored in this rating factor based on their
documented need as evidenced by thorough, credible, and appropriate
data and information. The evaluation will be based only on the
applicant's documentation of the data submitted. The data submitted in
response to this rating factor will be verified using data available
from the Census, HUDuser, other data available to HUD and/or in
cooperation with the Centers for Disease Control and Prevention. The
applicant is to complete the Factor 2 Table--Need/Extent of the Problem
in Section IV of this NOFA.
A maximum of 10 Points will be awarded in this rating factor based
on the information documenting the number of children with an elevated
blood lead level, the number of pre-1978 housing units, and the number
and percentage of families with incomes at or below 80% of the Area
Median Income as determined by HUD within your target areas.
a. Documented Number of Children with an Elevated Blood Lead (EBL)
(3 Points Maximum).
Provide the actual number of children documented as having an
elevated blood lead (EBL) residing within the target area for the most
recent complete calendar year and identify the source of the data. Data
prior to calendar year 2001 will not be accepted. For the purposes of
this application, the ``documented number of children'' with an EBL is
based on the CDC level of concern. A child under six years of age with
a blood lead level test result equal to or greater than 10 micrograms
of lead per deciliter of blood, which was performed by a medical health
care provider is considered to have an EBL. The actual number of
children with an EBL (not an estimate) must be reported to HUD in order
to receive points for this sub-factor. Do not send the children's names
or addresses or other identifiers. Failure to provide this number in
the application means that no points will be awarded for this sub-
factor. For you to receive maximum points for this rating factor there
must be a direct relationship between your proposed lead hazard control
activities and the documented community needs. Since an objective of
the program is to prevent at-risk children from being poisoned,
specific attention must be paid to documenting the identified need as
it applies to any selected targeted area(s).
Applicants are to use the Factor 2 Table to document the target
area(s) need:
Points will be awarded based on the documented number of children
with an elevated blood lead level according to the table, ``Points
Awarded for Number of Children Under Age 6 Years with an Elevated Blood
Lead Level in Target Area,'' that can be downloaded from http://www.hud.gov. The table shows the number of points awarded based on the
number of children with an elevated blood lead level in the grant
target area(s).
b. Housing market data relevant to the specified target area(s).
Housing Age for the following sub-categories: Pre-1940, 1940-1949,
1950-1959, 1960-1969, 1970-1979 and 1980 or newer (Census information
includes 1970-1979 category). (3 Points Maximum). Points will be
awarded for the number of pre 1940 occupied rental units in the
applicant's jurisdiction according to the table, ``Points Awarded for
Number of Pre-1940 Occupied Rental Housing Units in Target Area,'' that
can be downloaded from http://www.hud.gov. The table shows the number
of points awarded based on the number of pre-1940 occupied rental
housing units in the grant target area(s).
c. The number and percentage of very-low (income less than 50
percent of the area median) and low- (income less than 80 percent of
the area median) income families, as determined by HUD (http://
www.huduser.org), with adjustments for smaller and larger families
(Very-Low and Low-Income Population) (4 Points Maximum). Points will be
awarded for the number of very low and low-income percentages of
families in the target area according to the table, ``Points Awarded
for Number of Very Low and Low-Income Percentages of Families in Target
Area,'' that can be downloaded from http://www.hud.gov. The table shows
the number of points awarded based on the number of very low and low-
income percentages of families in target area(s).
3. Rating Factor 3: Approach (40 points).
This factor addresses the approach and strategy that the applicant
intends to follow in meeting the goals and objectives of the program.
This strategy should address the following:
a. Selection Process for Team Organization (5 points).
Describe the selection process for those organizations that are to
conduct or coordinate work activities for lead hazard control,
outreach, evaluation, etc and discuss how you intend to involve faith-
based or other community-based organizations in your proposed
activities.
b. Strategy and Approach (35 points).
(1) Leveraging Strategy. Describe the proposed strategy for
leveraging private sector resources including:
(a) Target audiences/constituencies;
(b) Use of contractors/subgrantees/team organizations and their
method of selection;
(c) Methods of outreach/promotion;
(d) Types of leveraging to be employed;
(e) Proposed use and distribution of funds/resources leveraged;
(f) Overall project management and coordination; and
(g) Proposed schedule of activities within the 36-month period of
performance.
(2) Work Plan Strategy. A successful applicant's award is
contingent upon budget negotiation and approval of a work plan. The
work plan strategy narrative shall include:
(a) The management plan that describes how the project will be
managed, and the timeline for staffing the program. Applicants should
develop a work plan that includes specific, measurable and time-phased
objectives for each major program activity. The applicant's work plan
should reflect the benchmark standards with quarterly milestones for
proposed program activities and expenditures, and should provide HUD
with measurable outcome results to be achieved with the requested
funds. Measurable outcome results should be stated in terms

[[Page 13942]]

relevant to the purpose of the program funds as a direct result of the
work performed within the performance period of the grant.
(b) A detailed description of how assistance and funding will flow
from the grantee to the actual performers of the work;
(c) The selection process for sub-grantees, sub-contractors and/or
sub-recipients (if any);
(d) The evaluation process used to measure program performance;
(e) The overall objectives for activities. Quarterly performance
milestones are to be developed to achieve the overall objectives for
these activities;
(f) Development of your work plan should include and reflect the
benchmark standards referred to in Section III.C.5, above. The
benchmark categories should be modified to reflect the activities
proposed in your application and subsequent work plan. The LOCCS and
Leveraged Funds categories are standard and may not be changed;
(3) Strategies/Approaches. The applicant is encouraged to employ
creativity and initiative in achieving the objectives of the program.
Some examples of possible strategies/approaches include the following:
(a) Enlisting the support and resource commitment of financial
institutions, foundations, private industry, the general public,
property owners, and others to make residential housing lead-safe and
eliminate lead poisoning as a public health threat to children;
(b) Soliciting the support of national building materials
providers, building component manufacturers, and housing-related
national retail outlets to donate money and/or materials to lead hazard
control programs in housing and health departments, landlords and
owner-occupants to eliminate lead-based paint hazards in privately
owned low-income dwellings: For example, a window, wallboard, or paint
manufacturer/retailer could donate or coordinate the donation and
distribution of windows or paint to lead-based paint hazard control
and/or lead hazard control elements of rehabilitation projects
throughout the country. This strategy could also include the
distribution of discount coupons for purchases of paint or other
materials from national suppliers for lead-based paint hazard control
projects;
(c) Forming teams with banks or other mortgage or financial
institutions willing to provide no or low-interest home improvement
loans to finance lead hazard control activities and abatement measures
among low-income recipients who would not otherwise be served. By
participating, banks could fulfill a major element of their
responsibilities under the Community Reinvestment Act;
(d) Forming teams to facilitate the coordination and distribution
of donated building materials, such as windows, trim molding, or paint,
etc. to local projects involved in lead hazard control programs;
(e) Identifying and facilitating the availability and use of
temporary relocation facilities for families who need to move out of
their dwellings while lead hazard control work is being undertaken. For
example, hotel chains, colleges, and other lead-safe sites could be
contacted to make housing available for the temporary relocation of
families during lead hazard control;
(f) Working with landlords, tenant groups and others to form
consortia or otherwise engage landlords and owner-occupants to enroll
their eligible housing units in local lead hazard control or
rehabilitation programs. The applicant should obtain commitments from
landlords to provide matching resources for work to be done on their
units. For example, the lead hazard control program could offer
landlords grant funds for replacement windows if the landlords
contribute the cost of additional repairs (such as basic system
upgrades, or other rehabilitation work including painting and
maintenance) that is associated with lead hazard control. To encourage
such commitments, efforts should be made to educate landlords about the
primary benefits (effect on children's health) and supplementary
benefits that can result from lead hazard reduction work such as
improving an apartment's physical condition and marketability;
(g) Expanding dust testing and clearance testing, especially in
high-risk communities;
(h) Promoting homebuilder, remodeler, or contractor associations to
coordinate efforts to reduce lead hazards by contributing technical
assistance, training, presentations and materials and/or labor to lead
hazard control efforts;
(i) Encouraging landscaping firms, nurseries, and landscape
architects to contribute lead-safe soil, mulch, and other forms of
vegetation cover and shrubbery designed to mitigate lead contamination
of soil around the exterior/perimeter and play areas of affected
housing units;
(j) Working with health, housing, and community development
organizations or other entities to conduct lead poisoning prevention
activities, including efforts to plan, participate in, and/or
facilitate or participate in strategic planning to eliminate lead
poisoning as a public health threat to young children by 2010. As part
of this effort, the applicant should describe the process for
considering enrolling housing units (or multifamily buildings) in which
one or more children under age 6 years have elevated blood lead levels,
with priority to housing where repeated and/or severe cases of
childhood lead poisoning have occurred. (Because of the presence of a
variety of priorities, it is not a requirement that units with lead-
poisoned children be enrolled, but the process for giving such units
high priority should be described and implemented.);
(k) Working with grassroots nonprofit community organizations,
including faith-based or other community-based organizations, that are
committed to improving the quality of life of young children in high
risk housing; and
(l) Providing training for significant numbers of trades people to
implement lead-safe work practices, such as window replacement and
weatherization work.
The applicant is to complete the Factor 3 Table--Soundness of
Approach, and the Work Plan Development Worksheet with Minimum
Benchmark Standards for 36 Months--Form HUD-96008.

4. Rating Factor 4: Leveraging Resources (20 points).

This factor addresses the applicant's ability to obtain and use
private sector resources or leverage private sector activities that can
be combined with HUD and other program resources to achieve program
objectives. Private funds/resources do not include any public sector
funds, e.g., funds provided by states and units of general local
government including Community Development Block Grant (CDBG)/Home
Investment Partnership (HOME) funds. Applicants are encouraged to use
such funds as part of the program but these funds are not considered
under this rating factor. Describe the types of private sector
commitments, if any, currently available to devote to Operation LEAP
grant program activities, and the anticipated future amounts to be
generated. Based upon the estimated amount of funding anticipated for
leveraging over the life of the award, identify the general geographic
locations of the units that will be treated by this increased funding
or leveraged resources. Also provide an estimate of the number of
eligible housing units that can be expected to be treated and the
number of low and very

[[Page 13943]]

low-income families that will benefit under LEAP. Generated resources
may include cash or in-kind contributions of personnel, services,
equipment, or supplies. In evaluating this factor, HUD will consider
the extent to which the applicant has established working teams,
memoranda of understanding and/or firm agreements with other identified
entities for the commitment of additional resources. Resources may be
provided by any private source, including contributions of investor-
owners. However, the donations of resources, goods and services
considered as leveraged resources should be based on market values and
documented. Applicants that do not have such teams at the time of
application will be required to establish teams immediately following
notification of grant award. Only contributions that have a stated
monetary value with supporting documentation from the contributing
organization/entity, signed by an official authorized to make such
commitment will be counted as leveraged funds. Applications with firmly
established commitments will be rated more highly than applications
with just expressions of interest. The most advantageous agreements
will be those not solely dependent on LEAP funding, including those
that create long-term commitments for leveraged funds beyond the period
of the LEAP grant. Therefore it is preferable that LEAP funds act as
``seed'' funds so any future funding streams can be used to stimulate
additional leveraging agreements and not simply support prior
agreements. In evaluating this factor, HUD will examine the extent to
which agreements provide for sustained contributions from non-public
sources and allow for non-LEAP funds to support such leveraging in the
future. Applicants that have targeted specific high-risk neighborhoods
or geographic locations for leveraging/fundraising and hazard control
activities will receive a higher number of rating points. Describe what
the organization has done in the recent past (e.g., within the past
five years) that gives evidence of its ability and experience to
leverage substantial private sector resources. Describe specific
activities, the amount of funds or resources leveraged, and what the
leveraged funds will be used to support. If an applicant has experience
in generating funds or resources for purposes similar to addressing
lead paint abatement or control measures, the applicant should describe
those activities and the results achieved.

5. Rating Factor 5: Achieving Results and Program Evaluation. (10
Points).

This factor emphasizes HUD's commitment to ensuring that applicants
achieve the goals outlined in their work plan and other benchmark
standards and assess their performance to ensure performance goals are
met. Achieving results means you, the applicant, have clearly
identified the benefits, or outcomes of your program. Outcomes are
ultimate goals. Benchmarks or outputs are interim activities or
products that lead to the ultimate achievement of your goals.
Program evaluation requires that you, the applicant, identify
program outcomes, interim products or benchmarks, and performance
indicators that will allow you to measure your performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Your Evaluation Plan
should identify what you are going to measure, how you are going to
measure it and the steps you have in place to make adjustments to your
work plan if performance targets are not met within established
timeframes.
Applicants are required to complete the HUD Logic Form to
supplement the narrative response to this rating factor.
a. An applicant is to identify and describe specific methods,
measures, and tools that you will use (in addition to HUD reporting
requirements) to measure progress, evaluate program effectiveness, and
identify program changes necessary to improve performance. Describe how
you will obtain, document and report the information. In evaluating
this factor, HUD will consider how you have described outcome measures
and benefits of your program including:
(1) Ability to generate substantial private sector resources. The
main objective of Operation LEAP is to leverage private sector
resources to eliminate lead poisoning as a major public health threat
to young children. The key terms here are ``leverage private sector
resources.'' HUD is looking for those applicants that demonstrate the
most realistic and successful fund raising and/or leveraging skills to
mobilize substantial private sector resources for addressing lead
hazards in housing.
(2) Ability to demonstrate or develop a national and/or regional
(multi-state) strategy for leveraging resources from the private sector
is essential. Those resources should be realistic and achievable and
made part of the work plan and benchmark activities of this proposal.
The proposed budget should demonstrate how these leveraged funds will
be used to address lead hazards in housing and make residential housing
lead-safe and eliminate lead poisoning as a public health threat to
children.
(3) Results of any specific plans and objectives to implement and/
or maintain a registry (listing) of lead-safe housing available to the
public, or to incorporate the inclusion of the lead-safe status of
properties in another publicly accessible address-based property
information system. Results could include how the information would be
managed and affirmatively marketed to the public so that families
(particularly low-income families with children under six years of age)
can make informed decisions regarding their housing options.
(4) The extent to which affirmatively furthering fair housing for
all segments of the population is advanced by the proposed activities.
Detail how the proposed work plan will support the community's efforts
to affirmatively further affordable housing and discuss the impact of
prior activities that have contributed to enhanced lead-safe housing
opportunities.
(5) How your program will be held accountable for meeting program
goals, objectives, and the actions undertaken in implementing the grant
program. Applicants should provide a description of the mechanism to
assess progress and track performance in meeting the goals and
objectives outlined in the work plan. Applicants should provide
assurances that work plans and performance measures developed for the
program will assist intended beneficiaries, and that work will be
conducted in a timely and cost-effective manner.
6. Bonus Points for Federally Designated Zones and Communities. In
addition, applicants should describe whether any of the proposed
activities will occur in an Empowerment Zone (EZ), Renewal Community
(RC), or Enterprise Community, designated by USDA in round II (EC-IIs),
that are intended to serve the residents of these areas, and that are
certified to be consistent with the area's strategic plan or RC Tax
Incentive Utilization Plan (TIUP), and how they will benefit the
residents of those zones or communities.

B. Reviews and Selection Process

1. HUD's Strategic Goals. HUD is encouraging applicants to
undertake specific activities that will assist the Department in
implementing its policy priorities. HUD's Strategic Goals and Policy
Priorities applicable to the

[[Page 13944]]

Operation LEAP NOFA are outlined in the General Section. Applicants
will be awarded up to two points under Rating Factor 1 for activities
that remove barriers to affordable housing within their communities,
support state and local efforts to streamline processes and procedures,
eliminate redundant requirements, statutes, regulations, and codes
which impede the availability of affordable housing. This priority
relates to HUD's Strategic Goal for Increasing Homeownership
Opportunities and Promoting Decent Affordable Housing. Refer to the
General Section for additional details pertaining to this policy
priority. Applicants addressing this policy priority are to complete
Form HUD-27300--Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers, and are to include any documentation required.
2. Rating and Ranking. Please refer to the General Section for
details. Only those applications that meet the threshold review
requirements will be rated and ranked according to their response to
the Rating Factor Criteria included in this NOFA. The maximum number of
points to be awarded is 102. A minimum score of 75 is required for
fundable applications.

------------------------------------------------------------------------
Maximum
Rating factor points
------------------------------------------------------------------------
Rating Factor 1: Organizational Capacity..................... 20
Rating Factor 2: Need/Extent of the Problem.................. 10
Rating Factor 3: Approach.................................... 40
Rating Factor 4: Leveraging Resources........................ 20
Rating Factor 5: Achieving Results and Program Evaluation-- 10
Form HUD-96010 Logic Model..................................
RC/EZ/EC-II--Bonus Points.................................... 2
Total.................................................... 102
------------------------------------------------------------------------

VI. Award Administration Information

A. Award Notices

B. Administrative and National Policy Requirements

1. Environmental Requirements. Under the Consolidated
Appropriations Act, 2005, the provisions of section 305(c) of the
Multifamily Housing Property Disposition Reform Act of 1994,
implemented by HUD regulations at 24 CFR part 58, ``Environmental
Review Procedures for Entities Assuming HUD Environmental
Responsibilities,'' are applicable to properties assisted with
Operation LEAP funds. Under part 58, a responsible entity, usually the
unit of general local government, must assume the environmental review
responsibilities for activities funded under this NOFA. Under 24 CFR
58.11, if a responsible entity or the recipient objects to the
responsible entity performing the environmental review, HUD may
designate another responsible entity to perform the review or may
perform the environmental review itself under the provisions of 24 CFR
part 50. Applicants and other participants in activities under this
NOFA may not undertake, or commit or expend Federal or non-Federal
funds (including HUD-leveraged or match funds) for, lead hazard
control, related rehabilitation or other physical activities until the
responsible entity completes an environmental review and the applicant
submits and obtains HUD approval of a request for release of funds and
the responsible entity's environmental certification in accordance with
part 58 (or until HUD has completed an environmental review under part
50). The results of the environmental reviews may require that proposed
activities be modified or proposed sites rejected. For assistance,
contact Karen Choi, the Office of Healthy Homes and Lead Hazard Control
Environmental Officer at (213) 534-2458 (this is not a toll-free
number) or the HUD Environmental Review Officer in the HUD Field Office
serving your area. If you are a hearing- or speech-impaired person, you
may reach the telephone number via TTY by calling the toll-free Federal
Information Relay Service at 1-800-877-8339. Recipients of a grant
under this funded program will be given additional guidance in these
responsibilities.
2. HUD Reform Act. Applicants must comply with the requirements for
funding competitions established by the HUD Reform Act of 1989 (42
U.S.C. 3531 et seq.) as defined in the General Section.
3. Executive Order 13202. Compliance with HUD regulations at 24 CFR
5.108 that implement Executive Order 13202, ``Preservation of Open
Competition and Government Neutrality Towards Government Contractors'
Labor Relations on Federal and Federally-Funded Construction
Projects,'' is a condition of receipt of assistance under this NOFA.
4. Other Requirements. Please review the General Section for
information on Statutory and Regulatory Requirements, Affirmatively
Furthering Fair Housing, ensuring the Participation of Small
Businesses, Small Disadvantaged Businesses, and Women-Owned Businesses,
OMB Circulars and Government-wide Regulations Applicable to Financial
Assistance Programs, Conflicts of Interest, Prohibition Against
Lobbying Activities, Accessible Technology, Improving Access to
Services for Persons with Limited English Proficiency, Compliance with
Fair Housing and Civil Rights Laws, and Executive Orders pertaining to
this NOFA.
a. Participation in HUD Sponsored Program Evaluation. As a
condition of the receipt of financial assistance under this NOFA all
successful applicants will be required to cooperate with all HUD staff
or contractors performing HUD funded research and evaluation studies.
5. Privacy and Disclosure. All test results in pre-1978 housing
related to lead-based paint or lead-based paint hazards must be
provided to the owner of the unit, together with a statement describing
the owner's legal duty to disclose the results to tenants (before
initial leasing, or before lease renewal with changes) and buyers
(before sale) if the housing was constructed before 1978 (24 CFR part
35, subpart A). This information provided to owners may only be used
for purposes of remediation of lead-based paint and other hazards in
the unit. Disclosure of other identified housing-related health or
safety hazards to the owner of the unit, for purposes of remediation,
is encouraged but not required. Submission of any information on the
properties to databases (whether Web site, computer, paper, or other
format) of addresses of identified, treated or cleared housing units is
subject to the protections of the Privacy Act of 1974, and shall not
include any personal information that could identify any child
affected.

[[Page 13945]]

C. Reporting

Successful applicants will be required to submit quarterly, annual,
and final program and financial reports according the requirements of
the Office of Healthy Homes and Lead Hazard Control. Specific guidance
and additional details will be provided to successful applicants. All
applicants must also report progress against the proposed benchmarks
and milestones in the Logic Model (form HUD-96010) approved and
incorporated into your award agreement part of each required report for
the grant program.

VII. Agency Contact(s)

For Further Information and Technical Assistance. You may contact
Jonnette G. Hawkins, Director, Program Management and Assurance
Division, Office of Healthy Homes and Lead Hazard Control, 451 Seventh
Street SW., Washington, DC 20410-3000 or by telephone, fax, or e-mail:
[email protected] (use underscores), Telephone: (202) 755-
1785, extension 126 (this is not a toll-free number), facsimile (FAX):
(202) 755-1000. If you are a hearing-or speech-impaired person, you may
reach the above telephone number via TTY by calling the toll-free
Federal Information Relay Service at 1-800-877-8339.

VIII. Other Information

Refer to the General Section for details regarding other
information on submitting application that meets HUD requirements.
BILLING CODE 4210-32-P

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[[Page 13951]]

Brownfields Economic Development Initiative (BEDI)

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Brownfields Economic Development
Initiative.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
4950-N-02. The OMB approval number is 2506-0153.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s):
Brownfields Economic Development Initiative (BEDI), 14.246.
F. Dates: The application submission date is June 17, 2005.
Applications submitted through http://www.grants.gov must be received
by grants.gov no later than 11:59:59 eastern time on the application
submission date. Applicants receiving a waiver of the electronic
submission requirement must submit their application to the United
States Postal Service for delivery no later than 11:59:59 eastern time
on the application submission date.
G. Optional, Additional Overview Content Information: BEDI funds
are used to enhance the security of a loan guaranteed by HUD under
Section 108 of the Housing and Community Development Act of 1974, as
amended, for the same brownfields economic development project, or to
improve the viability of a brownfields economic development project
financed with the Section 108-guaranteed loan, in order to stimulate
economic development by local governments and private sector parties at
brownfields sites and to return those sites to productive, economic
reuse. All BEDI grants must be used in conjunction with a new Section
108-guaranteed loan commitment.
HUD encourages brownfields economic development projects that
propose the redevelopment of a brownfield site through new investments
by identified private sector parties in addition to BEDI/Section 108
financing and that will directly result in new business or job
creation, increases in the local tax base or other near-term,
measurable economic benefits.
Those interested in applying for funding under this program should
review carefully the General Section and the following additional
information.

Full Text of Announcement

I. Funding Opportunity Description

A. Authority

BEDI is authorized pursuant to Section 108(q), Title I, Housing and
Community Development Act of 1974, as amended, (42 U.S.C. 5301); 24 CFR
part 570.

B. Program Description

BEDI is designed to help local governments redevelop brownfields,
defined in this NOFA as abandoned, idled, or underutilized real
property, including industrial and commercial facilities, where
expansion or redevelopment is complicated by the presence or potential
presence of environmental contamination. A BEDI grant award will be
conditioned upon, and must be used in conjunction with, a new (i.e.,
not previously approved) Section 108-guaranteed loan commitment. Both
Section 108 loan guarantee proceeds and BEDI grant funds are initially
made available by HUD to units of general local government eligible for
assistance under HUD's Community Development Block Grant (CDBG) program
(specifically, the Entitlement and State programs, certain
jurisdictions in the state of Hawaii under the Small Cities program,
and for the first time in Fiscal Year 2005, the insular areas of Guam,
American Samoa, the Northern Mariana Islands, and the Virgin Islands).
A local government may re-loan the Section 108 loan proceeds and
provide BEDI funds to a business or other public entity eligible to
carry out a specific approved brownfields economic development project,
or the public entity may carry out the eligible project itself, as
provided in the approved application. In either case, BEDI grant funds
and the Section 108 proceeds must be used to support the same eligible
BEDI project.
Under this program, CDBG entitlement and nonentitlement grantees
(and states for state-assisted nonentitlement jurisdictions) pledge
their continuing CDBG allocations as security for the Section 108 loans
guaranteed by HUD. BEDI grant funds are intended to reduce grantees'
potential loss of future CDBG allocations by:
1. Strengthening the economic feasibility of a project financed
with Section 108 funds (and thereby increasing the probability that the
project will generate enough cash to repay the guaranteed loan);
2. Directly enhancing the security of the Section 108-guaranteed
loan; or
3. Employing a combination of these or other risk mitigation
techniques.
BEDI funds must be used as the stimulus for local governments and/
or private sector parties to commence redevelopment or continue phased
redevelopment efforts of brownfields sites where contamination is
present or potentially present and a redevelopment plan exists. HUD
desires to see BEDI and Section 108 funds used to finance projects and
activities that involve investment in the brownfields site by an
identified private sector party that will provide near-term results and
measurable economic benefits, such as job creation and increases in the
local tax base.

C. Program Definitions

Unless otherwise defined herein, terms defined in this NOFA shall
have the same respective meanings as provided for in 24 CFR part 570.
Act means Title I Housing and Community Development Act of 1974 (42
U.S.C. 5301 et seq.).
Application means a single set of documents, including a request
for Section 108 loan guarantee assistance, submitted by an eligible
applicant for BEDI grant funds, in accordance with the provisions of
this NOFA to finance a brownfields economic development project.
Section IV.B.1(c) of this NOFA provides additional information on the
nature and forms of Section 108 loan guarantee requests that must be
submitted to HUD along with each BEDI application.
Brownfields means abandoned, idled, or under-used real property
(including industrial and commercial facilities) where expansion or
redevelopment is complicated by the presence or potential presence of
contamination.
Brownfields Economic Development Initiative (BEDI) funds means the
appropriated funds made available for the competition under this NOFA
from any available appropriation.
Brownfields Economic Development Initiative (BEDI) project or
brownfields economic development project means a single activity, or a
group of activities constituting a planned, continuous, single
undertaking, that is eligible under Section 108(q) of the Act and under
24 CFR 570.703 and projected to create or retain businesses or jobs,
provide area or housing benefit to low- and moderate-income persons,
redevelop blighted areas or sites, or otherwise lead to measurable
economic benefits from redevelopment of one or more brownfields sites
within five years.
CDBG funds means those funds collectively so defined at 24 CFR
570.3, including grant funds received pursuant to Section 108(q) and
this NOFA.

[[Page 13952]]

Economic Development Initiative (EDI) grant means the provision of
economic development grant assistance under Section 108(q) of the Act,
as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub. L. 103-233, approved April 11,
1994).
EPA means the U.S. Environmental Protection Agency.
Firm Commitment means either a written agreement or letter of
understanding by which an applicant or a third party:
(1) Agrees to perform an activity or provide resources as specified
in the application, and demonstrates their relationship to the proposed
BEDI/Section 108 project;
(2) Specifies the dollar value of the commitment and demonstrates
that it has the financial and organizational capacity to deliver the
resources necessary to successfully complete the activity; and
(3) Irrevocably commits the resources to the activity either
through cash or in-kind services or contributions; if any portion is to
be financed through a grant or loan from another public or private
organization, that institution's grant or loan commitment must be
firmly committed as well.
Any such agreement or letter of understanding shall be understood
as being contingent upon receipt of the BEDI grant. Funds expended
prior to the submission of the BEDI application will not be considered
as firmly committed funds for purposes of this NOFA.
Additional information related to firm commitments of other
resources is provided in Section V.A.1 of this NOFA, Rating Factor 4
(Leveraging of Other Financial Resources). See Section IV.F. of the
General Section for instructions on how third party documents are to be
submitted electronically.
Showcase Community means an applicant chosen by the Federal
government's Brownfields National Partnership for inclusion in the
Federal government's Brownfields Showcase Communities program. A list
of the federally designated Brownfield Showcase Communities is provided
in Appendix C in Section VIII of this NOFA and is also available from
the NOFA Information Center or through the HUD Web site, http://www.hud.gov.
Strategic Plan means a strategy or course of action developed and
agreed to by the nominating local government(s) and state(s) and
submitted in partial fulfillment of the application requirements for an
Empowerment Zone, Enterprise Community, or a Renewal Community,
designated pursuant to 24 CFR parts 597, 598 or 599.

D. Program Background

HUD has multiple programs that are intended to stimulate economic
and community development and promote economic revitalization of
distressed areas, and which can be effectively employed to address and
remedy brownfields conditions. Primary among HUD's resources are the
Community Development Block Grant (CDBG) program and the Section 108
loan guarantee program.
1. CDBG. The CDBG program provides grant funds by formula to local
governments (either directly or through states) to carry out community
and economic development activities ($4.1 billion appropriated in
FY2005). The Section 108 loan guarantee program provides CDBG-eligible
communities with a source of financing for economic development, public
facilities, and other eligible large-scale physical development
projects. HUD is authorized pursuant to Section 108 to guarantee notes
issued by CDBG entitlement communities and non-entitlement units of
general local government eligible to receive funds under the CDBG
States' program, as well as certain non-entitlement units of general
local government in the state of Hawaii funded under 24 CFR part 570,
subpart F. The Section 108 program is subject to the regulations
applicable to the CDBG program at 24 CFR part 570 as described in 24
CFR part 570, subpart M. BEDI grants must support Section 108 loan
guarantees as generally described in this NOFA.
2. Section 108 Loan Guarantees. For FY2005, the loan guarantee
authority for the Section 108 program is estimated at $481 million
including $258 million in loan guarantee authority for FY2005 and loan
guarantee authority that is still available under the FY2004
appropriation. The full faith and credit of the United States is
pledged to the payment of all guarantees made under Section 108. Under
this program, communities (states and insular areas, as applicable) are
required to pledge their continuing CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security and included in
the applicable ``Contract for Loan Guarantee Assistance''). This means
that a community can ordinarily continue to spend its existing
allocation for other CDBG purposes, unless needed for loan repayment.
3. Additional Security for Section 108 Loan Guarantees. Applicants
should be aware of the need to provide additional security for the
Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3). Although a
public entity (and the corresponding state for a state-assisted
nonentitlement entity) is required by the Act to pledge its current and
future CDBG allocations as security for the Section 108 loan guarantee,
it will usually be required to furnish additional collateral. In most
cases, the additional collateral consists (in whole or in part) of the
asset financed with the Section 108 loan funds (e.g., a loan made to a
business as part of an economic development project and the related
mortgage from the business). Applications proposing uses for BEDI
funding that directly enhance the value of the assets securing the
Section 108 loan will help ensure that the project-based asset(s) will
satisfy the additional collateral requirements.
4. Integration of Other Government Economic Development and
Brownfields Programs. HUD encourages local governments which are
assisted by (a) other Federal or state economic development programs,
(b) other Federal brownfields programs (e.g., the federal Brownfields
Showcase Community program, EPA's Assessment, Revolving Loan Fund
Cleanup or Grant programs), or (c) state-supported brownfields
programs, to integrate efforts arising from those programs in
developing projects for assistance under HUD's BEDI and Section 108
programs. Applicants should elaborate upon these ties in their response
to the rating factors, where appropriate, in Section V.A.1 of this NOFA
(e.g., ``Capacity of the Applicant,'' ``Soundness of Approach,'' or
``Leveraging Resources,''--Rating Factors 1, 3, and 4, respectively.)

II. Award Information

A. Available Funds

HUD has available approximately $24,458,130 for grant awards under
this BEDI NOFA, consisting of $23,808,000 through appropriations under
the FY2005 Consolidated Appropriations Act (Pub. L. 108-447, approved
December 8, 2004); $500,000 of unobligated appropriated funds from the
FY2001 HUD Appropriations Act under the ``Brownfields Redevelopment''
heading (Pub. L. 106-377, approved October 27, 2000); and $150,130 of
unobligated appropriated funds under the ``Brownfields Redevelopment''
heading in the Consolidated Appropriations Act, 2004 (Pub. L. 108-199,
approved January 23,

[[Page 13953]]

2004, referred to as the FY2004 Appropriations Act). These funds are
authorized by Section 108(q) of the Act (as described above). If any
additional funds become available for the BEDI program during FY2005,
including through the deobligation and recapture of previous BEDI
awards, HUD may either fund additional applicants in accordance with
this NOFA, or may add these funds to funds available for future
competitions pursuant to Section 108(q) of the Act.

B. Maximum Award

The maximum amount of a BEDI award under this competition is $2
million per project. An application in excess of $2 million will be
reduced to the extent HUD determines that such a reduction is
appropriate and the project remains feasible.

C. Limitations on Grant Amounts

1. Ratio of Section 108-Guaranteed Loan to BEDI Grant. HUD expects
to approve BEDI grant amounts for approvable applications with a range
of ratios of BEDI grant funds awarded to new Section 108-guaranteed
loan commitments for the same project, but the minimum ratio must be
$1.00 of Section 108-guaranteed loan commitments for every $1.00 of
BEDI grant funds in order to receive consideration for funding. Section
V.A.1, Rating Factor 4 (Leveraging of Resources), provides additional
information on the required ratio of BEDI to Section 108 funds.
2. Reduction or Deobligation of BEDI Grant Award.
a. After selection, but prior to grant award, if HUD determines
that an application can be funded at a lesser BEDI grant amount than
requested and still be feasible and consistent with the proposed plan
and the purposes of the Act, it reserves the right to reduce the amount
of the BEDI award and/or increase the required Section 108 loan
guarantee commitment.
b. In the event a BEDI grant is awarded and has been reduced below
the original request (e.g., the application contained some activities
that were ineligible, exceeded the $2 million cap, or there were
insufficient funds to fund the last competitive application at the full
amount requested), the applicant will be required to modify the project
plans and application to conform to the terms of HUD approval before
HUD will execute a grant agreement.
c. HUD also may proportionately reduce or deobligate the BEDI award
if a grantee does not submit an approvable Section 108 loan guarantee
application, issue Section 108-guaranteed obligations, and receive loan
guarantee proceeds on a timely basis (including any extension
authorized by HUD) in the amount required by the BEDI/108 leveraging
ratio, which will be approved by HUD as a special condition of the BEDI
grant award (see Section IV.B.1(c)(2) of this NOFA).
3. Increased Request for Section 108 Loan Guarantee Assistance. In
the case of a requested increase in guarantee assistance for a project
with a previously approved Section 108 loan guarantee commitment (as
further discussed in Section IV.B.1(c)(4) below), the BEDI assistance
approved will be based only on the additional amount of Section 108
loan guarantee assistance requested.

III. Eligibility Information

A. Eligible Applicants

Any public entity eligible to apply for Section 108 loan guarantee
assistance in accordance with 24 CFR 570.702, including Guam, the
Northern Marianas, American Samoa, and the Virgin Islands for FY 2005,
may apply for BEDI grant assistance under Section 108(q). Eligible
applicants are CDBG entitlement units of general local government and
non-entitlement units of general local government eligible to receive
loan guarantees under 24 CFR part 570, subpart M. Urban Counties, as
defined at 24 CFR 570.3 and 570.307, are eligible applicants for BEDI
funds; units of general local government that participate in an Urban
County program are not independently eligible applicants. For non-
entitlement applicants other than those subject to 24 CFR part 570,
subpart F (which applies only to the state of Hawaii), applicants are
required to provide evidence in the BEDI application from an authorized
official of the state agency responsible for administering the State
CDBG program stating that it supports the related Section 108 loan with
a pledge of its CDBG allocations pursuant to the requirements of 24 CFR
570.705(b)(2). Such evidence must be provided by form HUD-40122, titled
``Section 108 Loan Guarantee: State Certifications Related to
Nonentitlement Public Entities.'' This form is included in Section VIII
of this NOFA, or may be downloaded as part of the application package
from the Internet at http://www.grants.gov. Non-entitlement public
entities in 49 states and Puerto Rico are eligible to participate in
the Section 108 and BEDI programs, with assistance of the state's or
commonwealth's pledge of CDBG allocations. The nonentitlement entities
in Hawaii are able to make their own repayment pledge since they now
receive a fixed amount of annual CDBG funding.
For application submission requirements, see Section IV.B. of this
NOFA regarding mandatory submission requirements. See also Sections
III.C.1 and IV.E. of this NOFA, respectively, regarding eligible and
ineligible uses of grant funding.

B. Cost Sharing or Matching

As described further in Section V.A.1 of this NOFA, under Rating
Factor 4 (Leveraging of Resources), applications which evidence a
greater level of other funds firmly committed to the BEDI project will
receive more points under Rating Factor 4, to the extent consistent
with the points available under Rating Factor 4. In addition, a BEDI
grant must be used with at least an equal amount of Section 108 loan
guarantee proceeds for the same brownfields economic development
project.

C. Program Threshold Requirements

1. Eligible Activities and National Objectives.
a. As described further in Section V.A.1 of this NOFA, under Rating
Factor 3 (Soundness of Approach), to be rated and ranked or considered
for funding by HUD, applications for BEDI grant funds and Section 108
loan guarantee funds must demonstrate that funds will be used for
activities listed at 24 CFR 570.703 and carried out as part of a BEDI
project as defined in this NOFA and meet the CDBG requirements at 24
CFR Sections 570.200, 570.208 and 570.209, as applicable. All
applicants must clearly identify in their narrative response to Rating
Factor 3 (Soundness of Approach) in Section V.A.1 of this NOFA each of
the eligible activities that will be carried out under 24 CFR 570.703.
With respect to BEDI projects that include a housing component,
applicants are cautioned that the eligible activities at 24 CFR 570.703
do not allow BEDI and Section 108 funds to be used to finance the costs
of the construction of housing, unless such construction is undertaken
by a Community Based Development Organization (CBDO) as part of a
community economic development project, in accordance with 24 CFR
570.703(i)(2) and 24 CFR 570.204(a)(2). Provisions of 24 CFR 570.703(j)
that authorized the use of BEDI or Section 108 funds for housing
construction have expired and are no longer applicable, as the statute
referenced therein is no longer in effect. For projects that include
the construction of housing, BEDI and Section 108 funds may be used to
finance activities necessary to

[[Page 13954]]

construct such housing, such as acquisition and related demolition and
clearance on the acquired site, site improvements, public facilities
and other eligible activities subject to each of the eligible activity
provisions at 24 CFR 570.703; and
b. As described in Section V.A.1 of this NOFA, in the response to
Rating Factor 3 (Soundness of Approach), to be rated and ranked or
considered by HUD, applicants must demonstrate that each activity
assisted with Section 108 loan guarantee or BEDI funds will meet a
national objective of the CDBG program as described in 24 CFR 570.208.
All applicants must clearly identify in their narrative response to
Rating Factor 3 (Soundness of Approach) in Section V.A.1 of this NOFA,
the CDBG national objective to be achieved by the proposed project and
provide the appropriate CDBG national objective regulatory citation
found at 24 CFR 570.208. Applicants must also address, when applicable,
how the proposed activities will comply with the public benefit
standards of the CDBG program as reflected in the regulation at 24 CFR
570.209.
c. A grantee's aggregate use of its CDBG funds, including any
Section 108 loan guarantee proceeds and Section 108(q) (BEDI) funds
provided pursuant to this NOFA, must comply with the CDBG primary
objective requirements as described in Section 101(c) of the Act and 24
CFR 570.200(a)(3) for entitlement grantees, or 24 CFR 570.484 in the
case of a recipient under a state's program, requiring that, over the
period of time specified in the applicant's (or State's) CDBG
certification, not less than 70 percent of the aggregate expenditures
of CDBG funds be expended for activities benefiting low- and moderate-
income persons under the criteria of 24 CFR 570.208(a) or 570.208(d)(5)
or (6).
d. HUD may deny funding consideration to all applicants that fail
to submit a full and complete Section 108 loan application pursuant to
24 CFR 570.704(b) in connection with a prior award of BEDI or
competitive EDI grants on or before the application submission deadline
under this NOFA.
2. Brownfields Redevelopment. As described further in Section V.A.1
of this NOFA, in order to be rated and ranked or considered by HUD, in
the narrative response to Rating Factor 3 (Soundness of Approach) in
Section V.A.1 of this NOFA, applicants must: (1) Describe the nature
and extent of the brownfields problem(s) actually or potentially
affecting the site and/or structure(s) already on the site and; (2) how
the proposed activities will contribute to redevelopment of the site
and/or structures.
3. General Section Threshold Requirements.
a. Applications that fail to meet the threshold requirements found
in Section III.C. of the General Section will not be eligible for an
award under this program. Applicants for BEDI grant funds must comply
with the statutory, regulatory, threshold, and public policy
requirements listed in the General Section, except as otherwise
specifically provided in this NOFA. In particular, applicants should
carefully review those provisions that could result in the failure to
receive funding, including the DUNS Number Requirement at Section
III.C. of the General Section, Compliance with Fair Housing and Civil
Rights Laws (Section III.C.), provisions relating to Delinquent Federal
Debts (Section III.C.), and the Name Check Review (Section III.C.).
b. The Dun and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section for information regarding the
DUNS requirement. You will need to obtain a DUNS number to receive an
award from HUD. You will also need a DUNS number to complete your
Grants.gov registration, and Grants.gov registration is required for
electronic submission. See the General Section also for a discussion of
the Grants.gov registration process.
c. The maximum number of points to be awarded under this NOFA is
104. To be eligible for funding, a BEDI application must obtain a total
score of at least 75 points. All applications meeting program and
General Section threshold requirements will be rated under the
selection criteria provided in Section V.A.1 below.
4. Other Program Requirements.
a. BEDI Funding Request. A single BEDI application must contain a
request for funds for a single BEDI/108 project. The application must
propose activities expected to result in redevelopment of one or more
brownfields sites. An applicant may submit an additional application
for each additional unrelated BEDI/108 project, but in no event will
HUD rate and rank more than one BEDI project per application.
b. Related Section 108 Loan Guarantee Request. Each BEDI
application must be accompanied by a request for a new Section 108 loan
guarantee assistance as described in Section IV.B.1(c) of this NOFA.
The request for Section 108 Loan Guarantee assistance must provide for
a minimum ratio of $1.00 of requested Section 108 loan guarantee
commitments for every $1.00 of BEDI grant funds requested, or a higher
ratio, as needed for the project.
c. CDBG National Objectives and Eligible Activities. Each BEDI
application must include citations to the specific regulatory
subsections supporting eligibility of activities and compliance with
National Objectives (See Section III.C.1 of this NOFA).
d. Nonentitlement Applications. Applications submitted by
nonentitlement public entities (except for those in Hawaii and the
insular areas which now receive fixed amounts of CDBG funds annually)
must provide for the state or commonwealth's certification agreeing to
pledge its CDBG allocations to receive funding consideration, as
evidenced by form HUD-40122, available in Section VIII, Appendix B, of
this NOFA. See the General Section instructions for submission of third
party documents.
e. Narrative Response to Rating Factors. Each BEDI application must
provide narrative statements in response to each of the rating factors
below in Section V.A.1 of this NOFA.
f. Time Frame for Submission of Section 108 Applications. All
applications for Section 108 Loan Guarantee Assistance required for
approved BEDI projects must be submitted within 60 days of written
notice of BEDI selection, as provided for in Section IV.B.1(c)(2) of
this NOFA.
g. HUD Environmental Requirements. Beginning with the submission of
a BEDI application through and after HUD's award of BEDI grant funds,
pursuant to 24 CFR 570.604, each project or activity assisted under
this program is subject to the provisions of 24 CFR part 58. This
includes limitations on the commitment of HUD and non-HUD funds by the
BEDI grantee and Section 108 public entity, as well as other
participants in the development process, prior to the completion of
environmental review, notification, and release of funds. Neither grant
nor loan funds can be disbursed by HUD until a request for release of
funds is submitted and the requirements of 24 CFR part 58 have been
met. All public entities, including non-entitlement public entities,
shall submit the request for release of funds and related
certification, required pursuant to 24 CFR part 58, to the appropriate
HUD field office for each project to be assisted.
h. Compliance with Environmental and Other Laws. An award of BEDI
funding does not, in any way, relieve the applicant or third party
users of BEDI funds from compliance with all applicable federal, state,
and local laws and regulations, particularly those

[[Page 13955]]

addressing the environment. Applicants are further advised that HUD may
require evidence that any project involving remediation has been or
will be carried out in accordance with applicable law, including
voluntary clean up programs.
i. CDBG Program Regulations. In addition to 24 CFR 570.701
(Definitions), 570.702 (Eligible applicants), and 570.703 (Eligible
activities), the CDBG regulatory requirements cited in 24 CFR 570.707,
including subparts J (Grant Administration), K (Other Program
Requirements), and O (Performance Reviews), also govern the use of BEDI
funds, as applicable.
j. Obligation to Affirmatively Further Fair Housing. All BEDI
grantees are obliged to affirmatively further fair housing, even when
the proposed activities do not appear to be directly related to
housing. Therefore, applicants that propose to use BEDI funds must
include in their applications an explanation of how they propose to
further fair housing opportunities for persons on the basis of race,
color, national origin, sex, religion, familial status, or disability.
Applicants should respond to this requirement in Section V.A.1 of this
NOFA, under Rating Factor 3, subfactor (1)(b). Affirmative activities
include, but are not limited to: initial and periodic assessments of
the extent to which affordable and accessible housing opportunities are
provided or denied to persons by race, color, national origin, sex,
religion, familial status, or disability; outreach to persons in
underserved population groups or advocacy organizations representing
such persons; affirmative fair marketing of job or housing
opportunities; furthering housing choice; addressing environmental
justice concerns; or ensuring that employment, housing and other
benefits of the BEDI grant are made available to those individuals and
families living at or near the brownfields site prior to its
redevelopment.
k. Policy Priorities. Applicants are reminded of the Department's
Policy Priorities for FY2005 found in Section V.B. of the General
Section, several of which apply to this NOFA, as described in Section
V.A.1 of this NOFA below, under Rating Factor 5 (Achieving Results and
Program Evaluation).
l. Ineligible Sites. Applicants must propose sites that currently
meet the definition of brownfields in this program section. Applicants
may not propose projects on sites which are: (i) Listed or proposed to
be listed on EPA's National Priority List (NPL); (ii) subject to
unilateral administrative orders, court orders, administrative consent
orders or judicial consent decrees issued or entered into by parties
under the Comprehensive Environmental Response, Compensation, and
Liability Act of 1980, as amended (CERCLA); or (iii) subject to the
jurisdiction, custody, or control of the United States Government. In
order to be eligible to receive an award under this program, applicants
will be required in Section V.A.1 of this NOFA, Rating Factor 3,
Soundness of Approach, to indicate that the proposed BEDI project will
not be undertaken at an ineligible site as provided herein.
m. Prior Approved Section 108-Guaranteed Loans. BEDI grant
assistance cannot be used to leverage a Section 108 loan guarantee
approved prior to the date of HUD's announcement of a BEDI grant
pursuant to this SuperNOFA, unless the applicant requests to deobligate
previously approved commitment authority as provided in Section
IV.B.1(c)(5) of this NOFA. In no event, however, may a previously
approved Section 108 commitment to be used with a prior BEDI or EDI
award be subject to such deobligation. In an instance where a pending
application for Section 108 assistance is to be leveraged by the
proposed BEDI grant, the BEDI grant may be awarded before HUD approval
of the Section 108 commitment if HUD determines that such award will
further the purposes of the Act.
n. Use of Section 108 Solely for Security. A BEDI award will not be
made if the Section 108 request contained in the application (See
Section IV.B.1(c) of this NOFA) calls for the use of the Section 108-
guaranteed obligation solely as security for other financing on the
project.

IV. Application and Submission Information

A. Addresses To Request Application Package

1. Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the grants.gov
Web site at http://www.grants.gov/Find; if you have difficulty
accessing the information you may receive customer support from
Grants.gov by calling their Support Desk at (800) 518-GRANTS, or
sending an e-mail to [email protected]. The operators will assist you
in accessing the information. If you do not have Internet access and
you need to obtain a copy of the NOFA you can contact HUD's NOFA
Information Center toll-free at (800) HUD-8929. Persons with hearing or
speech impairments may also call toll-free at (800) HUD-2209.
2. Satellite Broadcasts. HUD will hold informational broadcasts via
satellite for potential applicants to learn more about the BEDI program
and the preparation of BEDI application(s). For more information about
the date and time of the broadcast, consult the Web site http://www.hud.gov.

B. Content and Form of Application Submission

1. Content of Application.
A complete application for a BEDI grant under this NOFA must
contain the items listed below. The standard forms that are required
for the BEDI application (and listed in Section IV.B.2 below), can also
be found in the General Section. Applicants by signing the SF-424 are
also agreeing to the Certifications and Assurances found in the General
Section and this NOFA. Additional program forms, excluding such items
as narratives or letters, etc. also referred to as the ``non-standard
forms'', HUD-40122 and HUD-40123, are included with this NOFA. All
forms required for application submission can be found in the
application package and instructions on http://www.grants.gov for the
Brownfields Economic Development Initiative (BEDI) program.
a. Checklist and Submission Table of Contents indicating the
submission items included in the application can be found in Section
VIII, Appendix A, of this NOFA. Applicants submitting an electronic
application are not required to submit the Checklist. Applicants
submitting a paper copy application are requested to include a copy of
the checklist in their application submission.
b. EDI/BEDI/Section 108 Funding Eligibility Statement. A completed
BEDI Section 108 Funding Eligibility Statement (Exhibit D of form HUD-
40123).
c. Request for Loan Guarantee Assistance. A request for loan
guarantee assistance under Section 108, with the project name clearly
identified (and the same as the name of the BEDI project being applied
for), as further described below. Full application requirements for the
Section 108 program are found at 24 CFR 570.704.
Nonentitlement applicants (except those in Hawaii and the insular
areas) must accompany this request with the State Certifications
Related to Nonentitlement Public Entities (form HUD-40122) in order to
be considered for BEDI funding.
The request for loan guarantee assistance may take any of the five
forms defined in paragraphs (1), (2), (3),

[[Page 13956]]

(4) or (5) below. Notwithstanding the form of the request for new
Section 108 loan guarantee assistance, the applicant must include
citations to the specific regulatory subsection supporting activity
eligibility and National Objectives compliance for the Section 108
funds described in the application. (See Section III.C.1 of this NOFA.)
Both the BEDI and Section 108 funds must be used in conjunction with
the same BEDI project. Applicants are encouraged to consult with HUD's
Financial Management Division in Headquarters CPD (Paul Webster,
Director, at (202) 708-1871, extension 4563) before submission of 108
and/or BEDI applications if unsure of CDBG national objectives,
eligibility of activities, program benefits citations and the tests
thereof. The request for new Section 108 guarantee assistance may be
presented through a:
(1) Concurrent Application Submitted Under Separate Cover. A
complete application for new Section 108 loan guarantee(s), including
the documents listed at 24 CFR 570.704(b), submitted under separate
cover in accordance with the procedures in Section IV.F.3 below. Any
full application for loan guarantee assistance under Section 108 must
also be submitted to the appropriate HUD field office concurrently with
its submission to Headquarters. As described further in Section V.A.1,
in Rating Factor 3 (Soundness of Approach), two points will be awarded
for the submission of a full Section 108 loan guarantee application
with a BEDI application.
(2) Subsequent Application. A brief description (not to exceed
three pages) of the project to be applied for in a subsequent new
Section 108 loan guarantee application(s). Such a 108 application(s)
shall be submitted within 60 days of written notice of BEDI selection,
with HUD reserving the right to extend such period on a case-by-case
basis where HUD determines there is evidence of good cause. BEDI awards
will be conditioned on approval of actual Section 108 loan commitments
and loan guarantee proceeds in a specific ratio of BEDI funds to
Section 108 funds as approved by HUD in the BEDI award. The description
provided in the BEDI application must be sufficient to support the
basic eligibility of the proposed project and activities for Section
108 assistance. (See Section III.C.1 of this NOFA.)
(3) Pending, Unapproved Application. A request to use the BEDI
grant award in conjunction with a pending, unapproved Section 108 loan
guarantee application. The request must identify the project name
associated with the pending application and the date of submission. Any
proposed amendment to the pending Section 108 application must be
submitted under separate cover, as provided for in Section IV.F.3
below. An applicant's request to use the BEDI award in conjunction with
a pending application shall be deemed by HUD to constitute a request to
suspend separate processing of the Section 108 application. The Section
108 application will not be approved until on or after the date of the
related BEDI award.
(4) Increase to a Project Assisted Under a Previously Approved
Application. A request for Section 108 loan guarantee assistance
(analogous to Section IV.B.1(c)(1) or (2) above of this section) that
proposes new Section 108 guarantee assistance in addition to the amount
of Section 108 assistance for a project assisted under a previously
approved Section 108 application. However, any amount of Section 108
loan guarantee authority approved before HUD's announcement of a BEDI
grant for the same project is not eligible to be used in conjunction
with a BEDI grant under this NOFA.
(5) Deobligation of Previously Approved Section 108 Authority Plus
a New Request. A request to deobligate a previous commitment of Section
108 loan guarantee authority to the applicant that is no longer to be
used by the applicant (except for an amount required as a condition of
a previously approved BEDI or EDI award), combined with a new request
or application for Section 108 loan guarantee assistance. Such request
or application may be a full application as provided for in paragraph
(1) above, a request for 108 assistance submitted within 60 days as
provided for in paragraph (2) above, a pending unapproved application
as provided for in paragraph (3) above, or an increase to a project
assisted under a previously approved application as provided in
paragraph (4) above.
(6) In no event may a Section 108 loan guarantee amount that is
required to be used in conjunction with a previously approved BEDI or
EDI grant award as of the date of the submission of the application,
whether or not the Section 108 loan guarantee has been approved as of
the date of this NOFA, be used in conjunction with a new BEDI award
under this NOFA. For example, if a public entity has a previously
approved Section 108 loan guarantee commitment of $12 million, even if
none of the funds have been utilized, or if the public entity had
previously been awarded a BEDI grant of $1 million and had agreed to
submit a Section 108 loan application for $10 million in support of
that BEDI grant, the public entity's application under this NOFA must
propose to increase the amount of its total Section 108 loan guarantee
commitments beyond those amounts to which it has previously agreed
(i.e., the $12 million or $10 million Section 108 loan guarantee
commitments in this example).
d. Narrative Responses to Factors for Award (not to exceed 15
double-spaced, 8\1/2\ x 11 inch single-sided pages, with one inch
margins on all sides, for all responses):
(1) Rating Factor 1: Capacity and Relevant Organizational
Experience. Provide a narrative indicating the capacity of the
applicant's organization and staff and any known third parties to
perform the work for which it is requesting funding.
(2) Rating Factor 2: Need Statement Identifying the level of
Distress/Extent of the Problem. Provide a narrative statement including
any documentation supporting the statement of need, accompanied by a
completed Exhibit A of form HUD-40123. (See the General Section for
instructions for submitting documentation not in electronic format.)
(3) Rating Factor 3: Soundness of Approach. Include the CDBG
eligible activities, the CDBG National Objective, the source and nature
of the present or potential environmental contamination, the budget,
and the time frame for conducting activities and providing project
benefits to address the needs identified in Rating Factor 2 in the
narrative response, accompanied by Exhibits B and C of form HUD-40123.
(4) Rating Factor 4: Leveraging Resources. The response to this
factor should include any letters of firm commitment as defined in
Section I.C of this NOFA, and any evidence of financial capacity or
CDBG resolutions, as appropriate. Such letters, evidence or resolution
must be submitted under the procedures provided for in Section IV.F of
the General Section.
(5) Rating Factor 5: Achieving Results and Program Evaluation.
Provide a narrative response to this factor, accompanied by the logic
model provided in the General Section (Form HUD-96010) and, if
applicable, form HUD-27300, relating to the removal of regulatory
barriers to affordable housing, with required documentation.
2. Forms, Certifications, and Assurances.
a. In addition to any forms submitted in response to Section IV.B.1
above (which may be found in Section VIII, Appendix B, of this NOFA),
the following forms and certifications must also be submitted in
accordance with

[[Page 13957]]

the General Section and may be found in the General Section:
(1) Application for Federal Assistance (SF-424);
(2) Applicant/Recipient Disclosure/Update Report, HUD-2880; and, if
applicable,
(3) Certification of Consistency With RC/EZ/EC-II Strategic Plan,
HUD-2990, if applicable;
(4) Certification of Consistency with the Consolidated Plan (HUD-
2991) if applicable;
(5) Disclosure of Lobbying Activities (SF-LLL); if applicable;
(6) Acknowledgement of Application Receipt (HUD-2993) (For use with
paper application submissions);
(7) Client Comments and Suggestions (HUD-2994) (Optional);
(8) Program Outcome Logic Model (HUD-96010);
(9) Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD-27300) with supporting documentation or URL references;
(10) Facsimile Transmittal (HUD-96011) (For use with electronic
applications to provide third party letters and other documentation in
accordance with the instructions found in the General Section;
(11) Section 108 Loan Guarantee (State Certifications Related to
Nonentitlement Public Entities) (HUD-40122), if applicable, and
(12) Responses to BEDI Application Rating Factors (HUD-40123,
Exhibits A through D).

Forms, Certifications, and Assurances
----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit it
----------------------------------------------------------------------------------------------------------------
Application:
EDI/BEDI/Section 108 Funding Described in Section Exhibit D of Form HUD- Applications submitted
Eligibility Statement. IV.B.1(b) of this NOFA. 40123, found in Section through http://
VIII (Appendix B) of www.grants.gov must be
this NOFA and available received by Grants.gov
in the application no later than 11:59:59
instructions on line at eastern time on the
http://www.grants.gov application submission
for the BEDI Program. date.
Applicants receiving a
waiver of the
electronic submission
requirement must submit
their application to
the United States
Postal Service no later
than 11:59:59 on the
application submission
date. See the General
Section for detailed
application submission
and timely receipt
instructions.
Request for Loan Guarantee Described in Section Described in Section
Assistance. IV.B.1(c)of this NOFA. IV.B.1.(c) of this
NOFA. Nonentitlement
applicants must also
submit form HUD-40122,
found in Section
(Appendix B) of this
NOFA and available in
the application
instructions on line at
http://www.grants.gov
for the BEDI Program.
Narrative Responses to Described in Section Described in Section ........................
Factors for Award. IV.B.1(d) of this NOFA. V.A.1 of this
announcement and
accompanied by Exhibits
A, B and C of Form HUD-
40123, found in Section
VIII (Appendix B) of
this NOFA; form HUD
96010, and form HUD-
27300 (if applicable),
found in the General
Section and available
in the application
instructions on line at
http://www.grants.gov
for the BEDI Program.
Standard Forms, Described in Section Forms SF-424, SF-LLL if ........................
Certifications and IV.B.2 of this NOFA. applicable, HUD-2994,
Assurances. HUD-96010 and HUD-2880;
also HUD-2990 and HUD-
2991, if applicable.
All above forms are
found in the General
Section and available
in the application
instructions on line at
http://www.grants.gov
for the BEDI Program.
Facsimile Transmittal........ Described in the General Form HUD-96011 is found
Section for third party in the General Section
letters and required and is available in the
documentation to be on-line application.
submitted with an Please carefully follow
electronic application. the instructions for
downloading and using
this form as part of
your electronic
application submittal.
----------------------------------------------------------------------------------------------------------------

[[Page 13958]]

C. Submission Dates and Times

1. Application Submission Date
Applications submitted through http://www.grants.gov must be
received by Grants.gov no later than 11:59:59 p.m. Eastern time on the
application submission date of June 17, 2005. Applicants receiving a
waiver of the electronic submission requirement must submit their
application to the United States Postal Service for delivery no later
than 11:59:59 on the application submission date. Please see the
General Section for further information on application submission and
timely receipt requirements.
Be sure to provide a Project Name in Line 11 of the SF-424
(Application for Federal Assistance), and all references to the related
Section 108 application should use the same project title. Be sure to
complete the SF-424 cover page first and then download the rest of the
forms, as the information from the cover page will be pre-populated. In
addition a brief (one or two paragraph) description of all the
activities (not just those to be funded with BEDI and 108 funds)
comprising the proposed project should be provided, preceding the
narrative statements in response to the Rating Factors. This project
description does not count against the 15-page overall limitation.
2. Proof of Timely Submission. Please see Section IV.2 of the
General Section for information regarding proof of timely submission.

D. Intergovernmental Review

BEDI is not subject to the provisions of Executive Order 12372,
``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

1. Eligible CDBG Activities.
Applicants shall not propose the use of BEDI and Section 108 funds
for ineligible activities listed at 24 CFR 570.207, and as provided
below. BEDI grant funds and Section 108 loan guarantee funds may be
used only for activities listed at 24 CFR 570.703, provided such
activities are carried out as part of a BEDI project as described in
this NOFA and meet the CDBG requirements at 24 CFR 570.200, 570.207,
570.208 and 570.209.
2. Repayment of Section 108 Principal.
The planned use of BEDI funds for the specific purpose of repayment
of the principal amount of a Section 108-guaranteed loan is not an
eligible activity under 24 CFR. 570.703 and therefore should not be
proposed in a BEDI application. Under the ``debt service reserve''
eligible activity at 24 CFR 570.703(k), however, the planned use of a
limited amount of BEDI funds for the repayment of the principal of a
Section 108-guaranteed loan is permissible if justified and approved by
HUD under a particular application. Such a debt service reserve may be
justified in the context of a loan loss reserve set up to support a
``loan pool'' consisting of a number of smaller third party loans. In
that context, the corresponding principal amount of the Section 108
loan might be repaid from a debt service reserve when a third party
loan defaults and liquidation of security for the third party loan by
or on behalf of the Section 108 borrower/BEDI grantee does not yield
enough cash to redeem or defease the amount of Section 108 principal
corresponding to the defaulted third party loan. A debt service reserve
may also be proposed and set up in an amount reasonable to pay
principal and/or interest on a Section 108-guaranteed loan for a
limited period, such as the start up period for an assisted business,
or a construction period, when the cash flow resulting from the primary
Section 108 or BEDI-funded activity would not be sufficient to support
repayment. In any case, HUD requires the applicant to provide
information sufficient to support the reasonableness of the amount of a
debt reserve in relation to its purpose. For any Section 108- and BEDI-
assisted project, HUD will have rights under the Section 108 Contract
for Loan Guarantee Assistance to use undisbursed BEDI funds to make
payment on, or to defease, the Section 108 loan if HUD deems that
action necessary in order to avoid the need for HUD to make a payment
under its Section 108 loan guarantee from non-CDBG funds.
3. Subordination of Section 108 Obligations. Section 108 loan
obligations may not be subordinated, directly or indirectly, to
federally tax exempt obligations. Pursuant to Office of Management and
Budget (OMB) Circular A-129 (Rev.) Appendix A, Sections II.2.c. and d.,
(Policies for Federal Credit Programs and Non-Tax Receivables), Section
108-guaranteed loan funds may not, directly or indirectly, support
federally tax-exempt obligations.
4. Remediation by Responsible Parties. BEDI grant funds shall not
be used in any manner by grantees to provide public or private sector
entities with funding to remediate conditions caused by their own
actions, where the public entity (or other known prospective
beneficiary of the proposed BEDI grant) has been determined responsible
for causation and remediation by order of a court or a Federal, state,
or local regulatory agency, or is responsible for the remediation as
part of a settlement approved by such a court or agency. Applicants
will be required in Section V.A.1 of this NOFA, Rating Factor 3,
Soundness of Approach, to indicate that the proposed BEDI project will
not be used to provide assistance as prohibited herein.

F. Other Submission Requirements

1. Application Submission and Receipt Procedure. Beginning in
FY2005, HUD requires applicants to submit applications electronically
through http://www.grants.gov. Applicants interested in applying for
funding must submit their applications electronically via the Web site
http://www.grants.gov unless you request and are granted a waiver to
the electronic submission requirements. This site has easy to follow
step-by-step instructions that will enable you to apply for HUD
assistance. The http://www.grants.gov feature includes a simple,
unified application process to enable applicants to apply for grants
online.
Please read the General Section carefully and completely for the
submission and receipt procedures for all applications because failure
to comply may disqualify your application.
2. Wavier of Electronic Submission Requirements. Please refer to
Section IV.F of the General Section for instructions on how to seek a
waiver to the electronic submission requirement.
3. Submission of Concurrent Section 108 Application Under Separate
Cover.
Applicants that apply via Grants.gov should submit the Section 108
Loan Guarantee application using the same procedures as those for
applicants receiving a waiver of the electronic application
requirement. The Section 108 Loan Guarantee application must be
submitted using the mailing instructions below.
a. The Section 108 Loan Guarantee application should have the
Project Title in Box 11 of the SF-424 as the related BEDI project.
b. Concurrent Section 108 Application Submission Date. Applicants
choosing to submit a concurrent and complete Section 108 application as
provided for in Section IV.B.1(c) of this NOFA above, must submit such
application on or before the BEDI application submission date, to the
addresses shown below, in order to receive points under Section V.A.1,
Rating Factor 3, of this NOFA.

[[Page 13959]]

The concurrent Section 108 application must be submitted no later
than 11:59:59 p.m. to the United States Postal Service in accordance
with the instructions in the General Section. The required number of
copies should be sent to the locations indicated below. If HUD receives
at least one completed concurrent Section 108 application at either HUD
Headquarters or the appropriate HUD Field Office, HUD will utilize the
complete application for its review purposes, provided it meets the
deadline and timely submission requirements.
c. Proof of Timely Submission. Proof of timely submission of a
concurrent Section 108 application shall be determined under the
provisions of the General Section related to mailed applications.
d. Address for Submitting Concurrent Section 108 Applications to
HUD Headquarters. Submit the concurrent Section 108 application to: HUD
Headquarters; Robert C. Weaver Federal Building; 451 Seventh Street,
SW., Room 7251; Washington, DC 20410, Attention: BEDI/Section 108
Application.
When submitting the concurrent Section 108 application, please
specify BEDI/Section 108 Application on any label or mailing container,
and include the applicant's name, mailing address (including zip code),
street address (if different from mailing address), and zip code, and
voice and facsimile telephone numbers (including area code), along with
the contact person's name, and voice and facsimile telephone numbers
(including area code), and email address, if available.
e. Concurrent Section 108 Applications to HUD Field Offices. At the
same time the concurrent Section 108 application is submitted to HUD
Headquarters, an additional copy should be submitted to the Community
Planning and Development Division of the appropriate HUD field office
for the applicant's jurisdiction. A listing of CPD Offices and mailing
addresses can be found on HUD's website at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
f. Concurrent Section 108 Application Submission Procedures. A
concurrent Section 108 application submitted pursuant to this NOFA
shall be subject to the application submission procedures for other
mailed applications provided for in Section IV.F of the General
Section. Proof of timely submission of a concurrent Section 108
application shall be determined under the provisions of Section IV.F of
the General Section related to mailed applications.

V. Application Review Information

A. Criteria

1. Factors for Award Used to Evaluate and Rate Applications.
a. Response to Factors for Award. The applicant must provide in
narrative form responses to each of the rating factors below. HUD will
evaluate all applications for funding assistance based on the following
factors, the responses to which demonstrate the quality of the proposed
project or activities, and the applicant's capacity and commitment to
use the BEDI funds in accordance with the purposes of the Act. HUD
local field offices may be consulted to verify information submitted by
the applicant as part of the review of applications.
b. Responses to Rating Factors 1-5. Responses to Rating Factors 1-5
below shall not exceed 15 double-spaced, 8 \1/2\ x 11 inch single-sided
pages, with one-inch margins on all sides, for all responses.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points Maximum)

This Factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' will include any
subcontractors, consultants, and sub-recipients that are firmly
committed (see definition in Section I.C above) to participate in the
activities described in the application. In responding to subfactors
(1) and (2) of this Factor, applications that merely summarize the
amount of funds received, spent, or managed will receive fewer points
than those providing specific measurable information on program
activities undertaken, outcomes of these activities and their
accomplishments. In rating this Factor, HUD will consider the
following:
(1) Applicant Capacity (Up to 10 points). The applicant should
demonstrate that it has the organization, the staff, and the financial
resources in place to implement the specific steps required to
successfully carry out its proposed BEDI/Section 108 project. The
applicant should offer evidence of this capacity through a description
that includes:
(a) Performance in the administration of its CDBG, HOME, or other
HUD programs, including a description of successfully completed
projects and other outcomes or accomplishments under these programs. In
addition to citing specific projects, outcomes, or accomplishments,
CDBG entitlement recipients must also indicate the extent to which the
applicant has met the HUD standard that the total amount of its
undisbursed entitlement grant funds may not be more than 1.5 times the
entitlement grant amount for the current program year (see 24 CFR
570.902(a)(1)(i). All applicants must also identify any unresolved
monitoring or audit findings by HUD with respect to the applicant's
administration of HUD programs.
(b) Performance, if any, in carrying out economic development
projects similar to that proposed, including brownfields economic
development or redevelopment projects, if any, and if applicable, the
ability to conduct prudent underwriting;
(c) If applicable because the applicant has such designation, the
capacity to achieve state and local commitments identified in its local
implementation plan, including maximizing the federal tax benefits made
available as a result of a Federal Renewal Community/Empowerment Zone/
Enterprise Community designation (including Enhanced Enterprise
Community (EEC) designation). Applicants that have been designated as a
Renewal Community (RC), Empowerment Zone (EZ), or Enterprise Community
(EC/EEC) must respond to this subfactor even if the proposed
brownfields economic development project is not to be located within
the boundaries of the designated RC/EZ/EC-II; and
(d) An applicant that has previously received a BEDI or a
competitive EDI grant award or, within the past five years, a Section
108-guaranteed loan commitment, must describe the status of the
implementation of those project(s) assisted with any BEDI or
competitive EDI funds or with any Section 108-guaranteed loan funds so
approved within the last five years. An applicant must address any
delays that have been encountered and the actions it is taking to
overcome any such delays in carrying out the project(s) in a timely
manner.
If HUD has not applied the performance standard applicable to all
previous BEDI grantees referenced in Section III.C.1.(d), then for any
such previously funded BEDI or competitive EDI grant projects, or for
those Section 108-guaranteed loan projects committed within the past
five years, HUD will award more rating points for applications
providing evidence of achievement of specific measurable outcomes in
carrying out approved activities funded with such guaranteed loan or
grant funds.
If any of the rating criteria listed under (a) through (d) above do
not apply

[[Page 13960]]

to an application, the rating for this subfactor (1) shall be based
solely upon the other applicable criteria.
(2) Partner Capacity (Up to 10 points). In response to this
subfactor (2), the applicant should describe the experience and
performance of subrecipients, private developers and other businesses,
nonprofit organizations (including grassroots faith-based and other
community-based organizations), and other entities, if any, that have a
role in implementing the proposed BEDI/108 program. Applicants are
encouraged to identify specific economic development or other projects
undertaken by each entity, which reflect the capacity of each entity to
fulfill its responsibilities under the proposed brownfields economic
development project, including the location, scale, and timeframe for
completion of other relevant projects. If there are no third parties
participating with the applicant in the proposed project, the 10 points
available under this subfactor (2) will be added to the 10 points
available under subfactor (1), with a maximum of 20 possible points
then available under subfactor (1).
Experience will be judged in terms of recent (i.e., within the past
5 years) and successful performance of activities relevant to those
proposed in the BEDI application. The more recent and extensive the
positive experience, the greater the number of points that will be
awarded for this Factor.
In addition to the application, HUD also may rely on information at
hand or available from public sources such as newspapers, from
performance and/or monitoring reports, Inspector General or Government
Accounting Office reports or findings, hotline complaints that have
been proven to have merit, audit reports, and other reliable public
information in rating this Factor.

Rating Factor 2: Distress/Extent of the Problem (15 Points Maximum)

This Factor addresses the extent to which there is need for funding
the proposed activities based on levels of distress in both the
jurisdiction of the public entity that is the applicant and the
geographic or target area that will benefit from the project.
Applications will be evaluated on the extent to which the level of
distress for the target area is documented and compared with national
data and data for the jurisdiction.
In applying this Factor, HUD will consider current levels of
distress in the target area, as defined in standard geographic terms by
the applicant. This may be Census Tract(s) or Block Groups immediately
surrounding the project site up to a radius of one-half mile, or it may
be the target area to be served by the proposed project. HUD will also
consider the current levels of distress in the applicant public
entity's jurisdiction, if different from the target area. The applicant
should describe the nature of the distress that the project is designed
to address and the rationale for its definition of the area to be
benefited. Examples of project beneficiaries may include: (a) Those
receiving or using products or services produced by the project, and
(b) those employed by the project.
Notwithstanding the above, an applicant proposing a project to be
located outside the target area for which benefit is claimed or the
applicant's jurisdiction could still receive points under this Factor
if a clear rationale is provided linking the proposed project location
and the benefits to be derived by persons living in the target area or
the applicant jurisdiction.
To the extent that the applicant's Consolidated Plan, its Analysis
of Impediments to Fair Housing choice (AI), and/or its Anti-Poverty
Strategy found therein identify the level of distress in the
jurisdiction and the target area in which the project is to be carried
out, references to such documents should be included in preparing the
response to this Factor. Applications that fail to reference these
sources will receive fewer points under this Factor.
Applicants should provide data that address the following specific
indicators of distress:
(1) Poverty Rate (Up to 5 points). Data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for
both the target area and the applicant's jurisdiction as a whole; an
application that compares the local poverty rate in the following
manner to the national average at the time of submission will receive
points under this section as follows:
(a) A poverty rate in the target area that is less than the
national average, but that is greater than the rate for the applicant's
jurisdiction: (2 points);
(b) A poverty rate in the target area that is at least equal to,
but less than twice, the national average: (3 points);
(c) A poverty rate in the target area that is twice or more the
national average: (5 points).
(2) Unemployment Rate (Up to 5 points). An application that
compares the local unemployment rate for the applicant's jurisdiction
and the target area in the following manner to the national average at
the time of submission will receive points under this subfactor as
follows:
(a) An unemployment rate in the target area that is less than the
national average, but that is greater than the rate for the applicant's
jurisdiction: (2 points);
(b) An unemployment rate in the target area that is at least equal
to, but less than twice, the national average: (3 points);
(c) An unemployment rate in the target area that is twice or more
the national average: (5 points).
(3) Other Indicators of Social and/or Economic Decline (Up to 5
points). Applicants should provide other indicators of social or
economic decline that best capture the applicant's local situation.
Examples that could be provided under this section include information
demonstrating the target area and the jurisdiction's stagnant or
falling tax base, including recent (within the last three years)
commercial or industrial closings, downturns or layoffs; housing
conditions, such as the number and percentage of substandard and/or
overcrowded units; rent burden (defined as average housing cost divided
by average income) for both the target area and jurisdiction; local
crime statistics. The response to this subfactor (3) should paint a
picture of the extent of need and distress in the target area and
jurisdiction.
HUD requires use of sound and reliable data (e.g., U.S. Census
data, state statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided. Updated Census data are available as
follows for the listed indicators:
Unemployment rate: Unemployment rates are estimated monthly for
counties, with a two-month lag, while census tract unemployment rates
are available through the 2000 U.S. Census;
Poverty rate: Poverty rates are provided through the 2000 U.S.
Census and are estimated every two years, with a three-year lag. Census
and other relevant data can be accessed through www.ffiec.gov. In
rating applications under this Factor, HUD reserves the right to
consider sources of available objective data other than, or in addition
to, those provided by applicants, in order to compare such data to
those provided by applicants.

Rating Factor 3: Soundness of Approach (35 Points Maximum)

This Factor addresses the quality and cost-effectiveness of the
proposed plan for the brownfields economic development project.
Applications that do not propose the productive reuse of

[[Page 13961]]

a specific, identified site or sites and that do not result in near-
term, measurable economic benefits, such as projects that involve only
the preparation of a site for potential future reuse by an unidentified
party, or the capitalization of a loan pool for loans to unidentified
borrowers, will receive fewer points under this Factor. The
relationship between the proposed site or sites, the proposed eligible
activities and the community needs and purposes of the program funding
must be clearly described, as set forth below, in order to receive
points for this Factor. In rating this Factor, HUD will consider the
following:
(1) Consistency/Appropriateness of Proposed Activities with
Identified Needs (Up to 3 points). In response to this subfactor, the
applicant should describe:
(a) The extent to which the proposed plan for use of BEDI grant/
Section 108-guaranteed loan funds will address the needs described in
Rating Factor 2 above regarding the distress and extent of the problem
in the target area or area to be benefited and the long-term benefit
for current residents of the target area. The applicant should provide
a clear and quantified explanation of this relationship;
(b) any unmet needs identified in the jurisdiction's Consolidated
Plan and pursuant to Section III.C.4(j) of this NOFA, any impediments
to fair housing identified in the jurisdiction's Analysis of
Impediments to Fair Housing Choice, that will be directly addressed by
the proposed project. See Section III.C.4(j) of this NOFA for examples
of general affirmative fair housing actions that may be undertaken to
address a jurisdiction's Analysis of Impediments to Fair Housing
Choice; and
(c) the activities that will be carried out with the BEDI grant
funds, and the nature and extent of the brownfields problem(s) actually
or potentially affecting the site and/or structure(s) already on the
site. This response must also indicate that the proposed assistance
will not be used to provide funding to parties to remediate conditions
caused by their own actions for which they have been determined to be
legally responsible, and that the proposed brownfields site is not
ineligible, as provided in Section IV.E.4 of this NOFA. This
information relates to a threshold factor as well as a rating factor,
as described in Section III.C.2 of this NOFA. Applications that fail to
respond satisfactorily to this subfactor (c) shall not be receive
funding consideration.
(2) Eligible Activities and CDBG National Objectives (Up to 10
points). The applicant must describe how the proposed uses of BEDI
funds will qualify as eligible activities under 24 CFR 570.703
governing the Section 108-guaranteed loan program, and also will meet
the National Objectives of the CDBG program under 24 CFR 570.208. In
describing how the proposed uses will meet the National Objectives of
the CDBG program and the activity eligibility requirements of the
Section 108 program, applications must also include citations to the
specific regulatory subsections supporting eligibility of activities
and compliance with National Objectives. (See Section III.C.1 of this
NOFA). This information relates to a threshold factor as well as a
rating factor, as described in Section III.C.1 of this NOFA.
Applications that fail to respond satisfactorily to this subfactor (2)
shall not receive funding consideration.
(3) Project Readiness (Up to 10 points). In responding to this
subfactor (2), the applicant should demonstrate the extent to which the
redevelopment plan for the brownfields site is logical, feasible, and
likely to achieve its stated purpose and the extent to which the
project will directly result in the productive reuse of the site and
the delivery of near-term, measurable economic benefits. The
applicant's response should demonstrate the extent to which the project
is likely to be completed within a maximum of five years from the date
of the BEDI award and will produce near-term, measurable economic
benefits. Points for this subfactor will be awarded based upon the
extent to which the following critical benchmarks for the redevelopment
plan have been met or are approaching completion. The applicant's
response to this subfactor should address:
(a) Environmental Investigation. This subfactor (a) will consider
the extent to which the presence or potential presence of environmental
contamination of the project site is known or understood. Proposed
projects on sites where the nature and degree of environmental
contamination is not well-quantified, where no environmental
investigation has commenced, or that are the subject of on-going
litigation or environmental enforcement actions will receive fewer
points under this subfactor (a). Similarly, fewer points will be
awarded to proposed projects at sites with exceptionally expensive
contamination problems that may be beyond the scope of the BEDI and
Section 108 programs' financial resources or other resources firmly
committed to the project as described in the application, and sites
subject to pending and current litigation that may not be available for
remediation and development or redevelopment in a time frame that will
produce near-term and measurable economic benefits through the use of
BEDI and Section 108 funds. Alternatively, any applicant indicating the
completion of environmental assessment or review and the issuance of
HUD approval for a Request for Release of Funds for the project under
24 CFR part 58 will receive more points under this subfactor.
(b) Site Control. This subfactor (b) will consider the extent to
which control of the proposed project site has been secured or is being
sought. Points for this subfactor (b) will be awarded based upon the
degree of site control secured by the applicant or its development
partner. Projects, for instance, in which negotiation or litigation
related to site control are underway or continuing will receive fewer
points than projects in which an option to purchase has been secured.
Projects in which the applicant or its development partner has secured
site control through acquisition, long-term lease, eminent domain or
other means at the time of application will receive full points under
this subfactor (b). In responding to this subfactor (b), applicants are
encouraged to accompany their narrative response with a map indicating
the boundaries of the proposed site or sites on which BEDI-assisted
improvements are proposed. Any map included as part of the application
must be submitted in accordance with the submission procedures provided
for in the General Section and will not be counted in the fifteen page
limitation on the narrative response to the Rating Factors as provided
in Section V.A.1(b) of this NOFA.
(c) Legislative, Regulatory, and Other Approvals. This subfactor
(c) will consider the extent to which any required local legislative
approvals, regulatory permits, zoning classifications, environmental
regulatory approvals, waivers, general, and special use permits,
assessment district designations, public easements or rights-of-way, or
other similar approvals have been secured or are being sought. The
greater the number of outstanding legislative, regulatory, or other
approvals required and not yet secured, the fewer points will be
awarded. In the case of a CDBG entitlement unit of general local
government, such as a county, proposing to undertake a BEDI project
within the jurisdiction of another CDBG entitlement unit of general
local

[[Page 13962]]

government, such as a city or other jurisdiction within that county,
the applicant should also include a letter of support from the
jurisdiction in which the BEDI project would be located.
(d) User Agreements. This subfactor (d) will consider the extent to
which any development agreements, tenant leases, memoranda of
understanding, or other agreements integral to returning the site to
productive reuse and producing near-term measurable economic benefits,
have been secured or are being sought. Applicants proposing projects
that do not provide for new investment by an identified, committed
private entity and the return of a brownfields site to productive
reuse, with accompanying near-term, measurable economic benefits, will
receive fewer points under this subfactor (d).
(e) Delivery of Economic Benefits. The response to this subfactor
(e) must include the time frame in which the measurable economic
benefits are to be delivered. For multi-phase projects, the response to
this subfactor (e) must clearly delineate the different phases of the
project and indicate whether or not they are to be funded by BEDI/
Section 108 funds. Brownfields economic development projects that
provide near-term, measurable economic benefits directly through the
creation or retention of jobs will receive a greater number of points
under this subfactor (e). In response to this subfactor (2), the
applicant should also provide a specific time schedule (with both
beginning and end dates) for carrying out the project and identify all
interim measurable benchmarks (acquisition, demolition, site
improvements, relocation, construction, etc.) to be accomplished. The
applicant should also include a proposed schedule for drawing down all
funds necessary to complete the project, including BEDI and Section 108
funds.
A timeline form is provided in Appendix B to this NOFA for the
purpose of illustrating the project schedule (Exhibit C of form HUD-
40123), but HUD will consider the timeline form only as an illustration
of the narrative response to this subfactor (e).
(4) Section 108 Application (Up to 2 points). BEDI applications
accompanied by a request for new Section 108 Loan Guarantee assistance
as evidenced by a full and complete Section 108 application as provided
for in 24 CFR 570.704, and submitted concurrently under separate cover
as provided for in Section IV.F.3 of the NOFA, will receive up to two
points for this subfactor (4). BEDI applications accompanied by a
request to use the BEDI grant award in conjunction with a currently
pending but unapproved Section 108 loan guarantee application (together
with any amendments needed for consistency with the BEDI application)
for the same project described in the BEDI application, will also
receive up to two points under this subfactor (4).
(5) Financial Feasibility/Need (Up to 10 points). The applicant
should demonstrate the economic necessity of the proposed BEDI and
Section 108 funds and the extent to which the project is not
financially feasible in the absence of such funds. In responding to
this subfactor (5), applicants are encouraged to accompany their
narrative response, as appropriate, with development and operating
``pro formas'' or similar analyses of the proposed project financing.
Such pro forma or other financial analysis will not be counted in the
fifteen page limitation on the narrative response to the Rating Factors
as provided in Section V.A.1(b) of this NOFA. In the narrative
response, applicants must clearly address the question of why the BEDI
funds are critical to the success of this project by providing the
following items:
(a) Use of BEDI and Section 108 Funds to Fill Financing Gaps. The
applicant must provide an economic rationale that demonstrates how the
use of the BEDI and Section 108 funds will directly impact the
financial feasibility of the proposed project. The response should
discuss the critical gaps that exist in financing the proposed project,
why those gaps exist and how the BEDI and Section 108 funds will be
used to fill those gaps. The narrative response, including any pro
forma or similar analysis, should demonstrate how the proposed BEDI and
Section 108 financing will yield economic benefits critical to the
success of the project, including, for example, increased rates of
return or debt coverage ratios, reduced rents or other similar
financial outcomes necessary to attract private investment.
(b) Project Costs and Financial Requirements. A funding sources and
uses statement must also be provided that specifies the source of funds
for each identified use or activity (Exhibit C of form HUD-40123),
along with the derivation of project costs.

Rating Factor 4: Leveraging Resources (15 Points Maximum)

In evaluating this Factor, HUD will consider the extent to which
the response demonstrates the likelihood that the project will leverage
both Section 108 loan and other public or private funds as part of the
total project resources. Points for this Factor will be awarded in two
parts, for the following:
(1) Leverage of Section 108 funds (Up to 8 points).
The minimum ratio of Section 108 funds to BEDI funds in any project
may not be less than 1:1. Points will be awarded based upon the extent
to which the proposed project leverages an amount of Section 108 funds
greater than a 1:1 ratio. If the application has a ratio of 1:1, it
will not receive any points under this subfactor. The higher the ratio
of additional new Section 108 funds to BEDI funds proposed in an
application, the more points it will receive under this subfactor,
consistent with the points available hereunder. (See Sections II.C.1
and Section VI.B.1(a) of this NOFA regarding the conditioning of BEDI
awards on achievement of a specific BEDI/Section 108 leveraging ratio.)
(2) Leverage of Other Financial Resources (Up to 7 points).
HUD will evaluate the extent to which other funds (public or
private) are leveraged by BEDI grant funds, and the extent to which
such other funds are firmly committed to the project. This could
include the use of CDBG funds, other federal or state grants or loans,
local general funds, project equity or commercial financing provided by
private sources or funds from nonprofits or other sources. In order to
receive points for other public and privately committed funds under
this subfactor (2), letters of firm commitment, evidence of financial
capacity and, for CDBG funds, the resolution of the local governing
body, must be submitted for the proposed BEDI project in accordance
with the submission procedures for third party documents provided in
Section IV.F. of the General Section. In addition:
(a) Applicants must provide evidence that such funds are ``firmly
committed'' as defined in Section I.C. of this NOFA.
(b) Each agreement or letter of commitment must include the name of
the organization making the commitment, the proposed total level of
commitment, and the responsibilities of the organization as they relate
to the proposed BEDI project.
(c) Each commitment--including the donation or purchase of real
property or the provision of in-kind services--must be assigned a
monetary value by the party making the commitment, accompanied by an
indication of the basis for that assigned value.
(d) The commitment must be signed by an official of the
organization legally authorized to make commitments on behalf of the
organization, with a statement confirming that authority, and

[[Page 13963]]

remain in effect for a period stated in the commitment.
(e) If a commitment is to be self-financed, such as a commitment by
a private developer to provide a specified amount of equity investment
in the project, the party making that commitment must evidence its
financial capacity through the submission of a corporate or personal
financial statement or other appropriate means in order to receive
points under this subfactor (2).
(f) For Applicants Committing CDBG Funds: In order for an
applicant's commitment of CDBG funds to be accepted by HUD as
additional financing for a BEDI project, a resolution from the local
governing body (e.g., city/borough council) authorizing the amount and
permitted uses of the funds must be provided.
All such funds may also be committed subject to completion of a
satisfactory environmental review required under 24 CFR part 58 for the
project for purposes of this section.

Rating Factor 5: Achieving Results and Program Evaluation (15 Points
Maximum)

This Factor emphasizes HUD's commitment to ensuring that applicants
maintain commitments made in their applications and assess their
performance to ensure that performance goals are met. This Factor also
evaluates the extent to which the results of the proposed BEDI project
will address the policy priorities of the Department. In addition to a
narrative response, applicants must complete the logic model provided
in the General Section (form HUD-96010) in order to receive points
under this Factor. Applicants seeking policy priority points for the
removal of regulatory barriers to affordable housing as provided for in
subfactor (2)(v) of this Factor, must also complete form HUD-27300 in
order to receive points for that policy priority.
(1) Performance Measurement Plan (Up to 12 points). HUD requires
applicants to develop an effective, quantifiable, outcome oriented
performance measurement plan for measuring performance and determining
that BEDI project goals have been met. The applicant's response to this
subfactor (1) should identify: (a) Each of the specific project
outcomes for the proposed BEDI project; (b) all interim benchmarks or
outputs of the project and the associated time frames for meeting each
interim benchmark or output, i.e., the near-term measurable economic
benefits to be achieved, such as the number of jobs created or retained
and the time frame for creation or retention; and (c) the performance
indicators selected by the applicant to measure its achievement of the
identified project outputs and project outcomes. The performance
indicators selected by the applicant should be objectively quantifiable
and measure actual achievements against anticipated results. The
response to this subfactor (1) should identify what will be measured,
how it will be measured, and the procedures or plans that are in place
to make adjustments to the project redevelopment plan if performance
targets are not met within established time frames.
In response to this subfactor (1), applicants should address any of
the applicable outcomes or ultimate goals identified for the BEDI
project. Examples of such outcomes or goals include increased property
values, or home sales prices, as a result of a series of coordinated
neighborhood activities; the amount of increased wages resulting from
the creation or retention of jobs; increased business sales volume in
revitalized neighborhoods; or the amount of any increased land value
that results from the BEDI project. Applicants should propose
quantifiable outcomes or goals related to the benefits expected for the
neighborhood or for persons assisted, as part of the evaluation plan.
(2) Policy Priorities (Up to 3 points). The applicant's response to
this subfactor (2) should address how the project will address any of
the following policy priorities of the Department, as further detailed
in Section V.B. of the General Section. A maximum of three points shall
be awarded to applicants that demonstrate how the proposed BEDI project
addresses two or more of the following policy priorities, with the
number of points afforded to each policy priority indicated below:
(i) The extent to which the proposed project will improve the
quality of life in the nation's communities, by bringing private
capital to distressed communities (1 point);
(ii) The extent to which the proposed project will finance business
investments that will grow new businesses or maintain and expand
existing businesses (1 point);
(iii) The extent to which the proposed project will create decent
jobs for low-income persons (1 point).
(iv) The extent to which the project will increase affordable
housing and homeownership opportunities for low- and moderate-income
persons, persons with a disability, the elderly, minorities, and
persons with limited English proficiency, whether through the provision
of housing or employment which will enable residents to access
affordable housing and have a choice of such housing in environmentally
healthy and revitalized neighborhoods (1 point);
(v) The extent to which the project will assist in breaking down
regulatory barriers that impede the availability of affordable housing,
accompanied by form HUD-27300). To receive points for this factor the
applicant must submit the required documentation or reference to a
URL(s) where the information can be found. (up to 2 points); and,
(vi) The extent to which the project will utilize energy-efficient
solutions in the design or operating phases, including the purchase and
use of Energy Star-labeled products and/or combined heat and power
(CHP, or cogeneration) in buildings, where applicable.) (See Section
V.B of the General Section, Promoting Energy Efficiency and Adopting
Energy Star, for more information (1 point).

Bonus Points

An application may receive up to four bonus points, until the
maximum of four points are achieved. Two bonus points may be awarded
for each of the following:
(1) Projects that are located either in federally designated
Empowerment Zones (EZs), Enterprise Communities designated by USDA in
Round II (EC-IIs), or Renewal Communities (RCs) (see Section V.A. of
the General Section for advice on locating a list of designated
communities) that are intended to serve the residents of these areas,
and that are certified to be consistent with the area's strategic plan
or RC Tax Incentive Utilization Plan (TIUP);
(2) Projects that are located in Brownfields Showcase Communities
designated by EPA. A list of the federally designated Brownfields
Showcase Communities is listed in Appendix C of Section VIII of this
NOFA and is also available from the SuperNOFA Information Center or
through the HUD Web site, http://www.hud.gov.

B. Reviews and Selection Process

1. Reviews and Selection Process. All applications meeting BEDI
program and other threshold requirements will be rated under the
selection criteria in Section V.A. of this NOFA. Applications will be
selected for funding as follows:
a. Fundable BEDI grant applications must meet the program threshold
and submission requirements of this NOFA and the other threshold
requirements stipulated in Section III.C. of the General Section or
they will not be ranked.

[[Page 13964]]

b. All BEDI grant applications that meet threshold requirements
will be ranked separately in order of points assigned with the
applications receiving more points ranked above those receiving fewer
points.
c. In the event two or more applications are given the same score,
but there are insufficient funds to fund all of the tied applications,
the application(s) with the highest score(s) on Rating Factor 3
(Soundness of Approach) shall be selected. If there is still a tie, the
following Factors will be considered sequentially, with the application
having the high score on each Factor in the following order taking
precedence until the tie is broken: Rating Factor 1 (Capacity and
Experience), Rating Factor 2 (Distress/Extent of the Problem), Rating
Factor 4 (Leveraging Resources), and Rating Factor 5 (Achieving Results
and Program Evaluation).
d. Fundable BEDI applications will be funded in rank order until
the total aggregate amount of the approvable applications funded is
equal to the maximum amount available in the competition (subject to
the limitations described in Section II.C above).
e. In the event an insufficient number of applications meeting the
program thresholds are received to award the full amount of BEDI funds
appropriated and available under this NOFA, HUD may consider for
funding those applications that did not meet the performance standards
found in Section III.C.1.(d) above.
2. Corrections to Deficient Applications. Section V.B. of the
General Section provides the procedures for corrections to deficient
applications.

C. Anticipated Announcement and Award Dates

Historically, BEDI awardees have been notified of the approval of
BEDI applications within approximately 90 days of the application
deadline.

VI. Award Administration Information

A. Award Notices

1. Notice of Award and Obligation
BEDI award recipients will receive written notice of approval of
their applications and the related terms and conditions of the award.
An authorized official of the applicant receiving a BEDI award will be
required to sign and return an acceptance of the BEDI award. BEDI funds
shall be obligated for an approved application upon the return of a
signed acceptance of the award to HUD and a countersignature of that
acceptance by an authorized HUD official.
2. Award Disbursements and Amendments
a. Timing of Section 108 Approval and BEDI Grant Disbursements.
(1) To the extent a full and complete Section 108 application is
submitted with the BEDI grant application, HUD will evaluate the
Section 108 application immediately following the competition for BEDI
grant funds. Note that for those applicants that are granted a waiver
to the electronic submission process, the 108 application must be
submitted to the appropriate HUD field office concurrently with
submission to Headquarters.
(2) Notwithstanding any earlier obligation or award of BEDI funds
to a grantee, or execution of a grant agreement, HUD will not permit
the grantee to draw down BEDI funds before the issuance and at least
partial funding of the obligations evidencing the related Section 108-
guaranteed loan.
(3) Pursuant to the Consolidated Appropriations Act, 2005 (under
the ``Brownfields Redevelopment'' heading) and 31 U.S.C. 1552, FY2005
BEDI funds must be obligated (i.e., awarded) by HUD by September 30,
2006, and must be disbursed by HUD to the grantee by September 30,
2011. FY2004 BEDI funds must be obligated by September 30, 2005, and
must be disbursed by HUD to the grantee by September 30, 20010. HUD
reserves the right, however, to require earlier disbursement under a
BEDI grant agreement. Accordingly, a BEDI awardee must ensure the
timely submission of its Section 108 Loan Guarantee application, the
execution of the Section 108 Contract for Loan Guarantee Assistance and
BEDI Grant Agreement, and the issuance of the Section 108 Loan
Guarantee Note.
3. Applicant Debriefing
Section VI.A. of the General Section provides information on
applicant requests for a debriefing. Applicants requesting to be
debriefed must send a written request to the contact person for the
BEDI program, Mr. William Seedyke, at the address listed in Section VII
of this NOFA.

B. Administrative and National Policy Requirements

1. Terms and Conditions
a. Ratio of BEDI to Section 108 Loan Guarantee Funds. Because the
proposed ratio of BEDI funds to Section 108 funds presented in an
approved BEDI application represents an applicant's financial
commitment to a BEDI project, HUD will condition the BEDI grant award
on the grantee's achievement of that specific ratio. The failure of the
grantee to meet that condition by obtaining timely HUD approval of a
commitment for, and issuance of, the required Section 108 guaranteed
obligations ratio may result in the cancellation and recapture of all
or a proportionate share of the BEDI grant award.
b. Approval of Section 108 Loan Guarantee Application and
Disbursement of Funds. As a condition of any award under this NOFA, if
the related Section 108 application has not been submitted and approved
within 10 months of written HUD notification of selection for potential
funding under this NOFA, HUD may deobligate the BEDI funds. BEDI grant
awards and grant agreements will contain conditions requiring grantees
to adhere to time frames mutually agreed on by the applicant/grantee
and HUD for implementing proposed projects and drawing Section 108 and
BEDI funds. If BEDI grant funds and Section 108 loan proceeds are not
disbursed to the applicant within the time frames specified in the BEDI
grant agreement, HUD reserves the right to cancel the award and
recapture all or a portion of the BEDI funds, as applicable under the
grant agreement.
c. BEDI Application Amendments. Any modifications or amendments to
an application approved pursuant to this NOFA, whether requested by the
applicant or by HUD, must be within the scope of the approved original
BEDI application in all respects material to rating the application,
unless HUD determines that the revised application remains within the
competitive range and is otherwise approvable under this NOFA. In
addition, if the applicant proposes an amendment after the period
during which appropriated funds are available for obligation (for
FY2054 BEDI funds, after September 30, 2006), HUD will be unable to
approve any amendment which materially changes the scope, purpose, or
need for the original award, as determined by HUD. In such a case, the
unused BEDI funds must be deobligated and returned to the U.S.
Treasury.
2. Environmental Justice
a. Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations) directs
Federal agencies to develop strategies to address environmental
justice. Environmental justice seeks to rectify the disproportionately
high burden of environmental pollution that is often borne by low-
income, minority, and other disadvantaged communities, and to ensure
community involvement in

[[Page 13965]]

policies and programs addressing this issue.
b. HUD expects that projects presented for BEDI funding will
integrate environmental justice concerns and provide measurable
economic benefits for affected communities and their current residents
for the long term.
3. Economic Opportunities for Low- and Very Low-Income Persons (Section
3)
Recipients of assistance under this NOFA must comply with Section 3
of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701
(Economic Opportunities for Low- and Very Low-Income Persons in
Connection with Assisted Projects) and the HUD regulations at 24 CFR
part 135, including the reporting requirements at subpart E. Section 3
requires recipients to ensure that, to the greatest extent feasible,
training, employment, and other economic opportunities will be directed
to low- and very-low income persons, particularly those who are
recipients of government assistance for housing, and business concerns
that provide economic opportunities to low- and very low-income
persons.
4. Other National Requirements
BEDI applicants are directed to the Section III.C of the General
Section, which provides the statutory, regulatory, threshold, and
public policy requirements applicable to all HUD grantees. In
particular, BEDI applicants should carefully review provisions relating
to Executive Order 13202 (Preservation of Open Competition and
Government Neutrality Toward Government Contractors' Labor Relations on
Federal and Federally Funded Construction Projects) and federal laws
governing the procurement of recovered materials.

C. Reporting

CDBG regulations at 24 CFR 570.507 (for metropolitan city and urban
counties) and 24 CFR 570.491 (for state grantees) require the
submission of a Consolidated Annual Performance Evaluation Report
(CAPER) describing the use of CDBG funds during the program year. 24
CFR 570.3 defines CDBG funds to include BEDI grants, and accordingly,
grantees must report specifically on the use of BEDI grant funds and
Section 108 loan guarantee proceeds in the CAPER. CAPER requirements
for the collection and reporting of racial and ethnic data also apply
to the use of BEDI and Section 108 guaranteed loan proceeds. These data
are to be reported in the CAPER using the Race and Ethnic Data
Reporting form (HUD-27061). For each reporting period, as part of the
required report to HUD, grant recipients must also include a completed
Logic Model (form HUD-96010), which identifies output and outcome
achievements.

VII. Agency Contact

For technical assistance in completing your registration with
Grants.gov or in using the electronic application, please contact the
Grants.gov Support Desk by calling 800-518-GRANTS or sending an email
to Grants.gov">Support@Grants.gov. For assistance with program related questions,
please contact William Seedyke, BEDI Program Coordinator; Office of
Economic Development; U.S. Department of Housing and Urban Development;
451 Seventh Street, SW., Room 7140; Washington, DC 20410; telephone
(202) 708-3484, extension 4445 (this is not a toll-free number).
Hearing or speech challenged persons may call the Federal Information
Relay Service at 800-877-8339 (this is a toll-free number). Before the
application submission date, HUD staff will be available to provide
general guidance and assistance about this BEDI NOFA. However, HUD
staff are not permitted to assist in preparing a BEDI application.
Following selection of applicants, but before awards are made, HUD
staff are available to assist in clarifying or confirming information
that is a prerequisite to the offer of an award by HUD. In addition,
the Section 108 Loan Guarantee program is not a competitive program and
therefore is not subject to those provisions of the HUD Reform Act
pertaining to competitions that do not permit HUD staff to assist in
the preparation of applications. HUD staff are available to provide
advice and assistance to develop Section 108 loan applications.

VIII. Other Information

Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2506-0153. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to, a collection of information unless the collection displays
a current OMB control number. Public reporting burden for the
collection of information is estimated to average xx hours per annum
per respondent for the application and grant administration. This
includes the time for collecting, reviewing and reporting the data for
the application and for the annual report. The information will be used
for grantee selection and monitoring and the administration of funds.
Response to this request for information is required in order to
receive the benefits to be derived.

Appendices

BILLING CODE 4210-32-P

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Part II

Department of Housing and Urban Development

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Notice of HUD's Fiscal Year 2005 Notice of Funding Availability Policy
Requirements and General Section to the SuperNOFA for HUD's
Discretionary Programs; Notice

Federal Register / Vol. 70, No. 53 / Monday, March 21, 2005 /
Notices

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[[Page 13978]]

Youthbuild

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Youthbuild.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The OMB approval number for this
program is 2506-0142. The Federal Register number for this NOFA is FR-
4950-N-04.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.243,
Youthbuild Program
F. Dates: The application submission date is on or before June 21,
2005. Please see the General Section of the SuperNOFA (the General
Section) for application submission and receipt procedures. Please note
that this year, all applications must be submitted electronically using
http://www.grants.gov, as described in Section IV.F of the General
Section.
G. Additional Overview Content Information: 1. Purpose of the
Program. The purpose of the Youthbuild program is to assist
disadvantaged young adults between the ages of 16 and 24 years of age
in distressed communities to: (1) Complete their high school education;
(2) provide on-site construction training experiences which result in
the rehabilitation or construction of housing for homeless persons and
low- and very low-income families; (3) foster leadership skills; (4)
further opportunities for placement in apprenticeship programs; and (5)
promote economic self-sufficiency for program participants.
2. Available Funds. Approximately $56,444,800 in appropriated funds
and carry over is available for Fiscal Year (FY) 2005, plus any funds
available through recapture, minus any amount needed to correct errors.
3. Eligible Applicants. Eligible applicants are public or private
nonprofit organizations that include grassroots community-based
organizations inclusive of faith-based organizations. For a definition
of grass-roots community based organizations see Secretarial Policy
Priority D. Providing Full and Equal Access to Grassroots, Faith-Based
and other Community-Based Organizations in HUD Program Implementation
found in the General Section. Other eligible applicants include state
or local housing agencies or authorities, state or units of local
government, or any entity eligible to provide education and employment
training under other federal employment training programs, as further
defined in HUD's regulation at 24 CFR 585.4.
4. Match. None.
If you are interested in applying for funding under this program,
please carefully review the General Section and the following
additional information.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description. The purposes of the Youthbuild Program are
to:
1. Provide economically disadvantaged young adults with
opportunities to obtain an educational experience that will enhance
their employment skills, as a means to achieving self-sufficiency;
2. Foster the development of leadership skills and commitment to
community;
3. Expand the supply of permanent affordable housing for homeless
and low- and very low-income persons by providing implementation grants
for carrying out a Youthbuild program;
4. Provide disadvantaged young adults with meaningful on-site
training experiences in housing construction and rehabilitation that
will enable them to render a service to their communities by helping to
meet the housing needs of homeless persons and low-income families; and
5. Give to the greatest extent possible, job training, employment,
contracting, and other economic opportunities to low-income young
adults.
B. Desirable Elements of a Youthbuild Program. You should document
the extent to which HUD's initiatives are furthered by the proposed
activities. Such initiatives include:
1. Providing increased homeownership and rental opportunities for
low- and moderate-income persons, persons with disabilities, the
elderly, minorities, and families with limited English proficiency;
2. Improving our nation's communities;
3. Encouraging accessible design features;
4. Providing full and equal access to grassroots faith-based and
other community based organizations in HUD program implementation; and
5. Ending chronic homelessness.
C. Definitions. The following definitions apply to the Youthbuild
Program: Rural and Underserved areas are defined as follows:
1. Rural Area. A rural area is defined in one of five ways:
a. A non-urban place having fewer than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county or parish with an urban population of 20,000
inhabitants or fewer.
c. Territory, including its persons and housing units, in rural
portions of ``extended cities.'' The Census Bureau identifies the rural
portions of extended cities.
d. Open country, which is not part of or associated with an urban
area. The United States Department of Agriculture (USDA) describes
``open country'' as a site separated by open space from any adjacent
densely populated urban area. Open space includes undeveloped land,
agricultural land or sparsely settled areas but does not include
physical barriers (such as rivers and canals), public parks, commercial
and industrial developments, small areas reserved for recreational
purposes, and open space set aside for future development.
e. Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
2. Underserved Area. An underserved area is defined as an area
comprised of census tracts with the following economic distress
criteria:
a. A census tract where the unemployment remains high (50 percent
or more above the nation's unemployment rate) and
b. A census tract where high rates of poverty (50 percent or more
above the national average) persist.

II. Award Information

A. Available Funds. Approximately $56,444,800 in funding is made
available for this FY 2005 Youthbuild NOFA, which includes any carry
over from previous appropriated funds, plus any FY 2005 funds
appropriated by Congress. See the General Section for funding amounts
and available funds.
B. Authority. This program is authorized under subtitle D of title
IV of the Cranston-Gonzalez National Affordable Housing Act, as added
by section 164 of the Housing and Community Development Act of 1992
(Pub. L. 102-550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild
Program regulations are found in 24 CFR part 585.
C. Funding Categories. HUD will award up to $56,444,800 on a
competitive basis. Funds will be divided among three categories of
grants as described below. In each fiscal year, the Secretary shall
reserve five percent of the amounts available for technical assistance
activities under this subtitle pursuant to section 402 to carry out
subsections (b) and (c) (Subtitle D-Hope

[[Page 13979]]

for Youth: Section 458 (42 U.S.C. 12899g)).
1. Category 1 Grants. New Applicants. HUD will award up to
$10,000,000 for new applicants that have not previously received
implementation grants since the inception of the Youthbuild Program and
that have elected not to apply under Category 2 or 3. The maximum
amount that may be awarded to a successful applicant in this category
is $400,000, for a period not to exceed 30 months.
2. Category 2 Grants. Grants up to $700,000. HUD will award up to
$37,516,800 for grants up to $700,000 for a period not to exceed 30
months. The maximum amount that may be awarded to a successful
applicant in this category is $700,000. Any eligible applicant can
apply in Category 2.
3. Category 3 Grants. Underserved and Rural Areas. HUD will award
approximately $8,928,000 for grants to organizations serving clients in
underserved and rural areas as defined in this NOFA for a period not to
exceed 30 months. The maximum amount that may be awarded to a
successful applicant in this category is $400,000.
4. Selection of Category. Applicants must indicate in their project
abstract which funding category they are applying for. For Category 3
applicants, you must designate which definition(s) under Section I.C.
is (are) applicable.
5. Grant Period. You must expend funds awarded within 30 months of
the effective date of the grant agreement.
6. Maximum Awards. Under the competition established by this
Youthbuild program section of the SuperNOFA, the maximum award for a
Youthbuild grant is $700,000 for Category 2 grants. The maximum amount
of award for Categories 1 and 3 grants is $400,000.

III. Eligibility Information

A. Eligible Applicants. Eligible applicants are public or private
nonprofit organizations which include grassroots community-based
organizations inclusive of faith-based organizations. For a definition
of grass-roots community based organizations, see Secretarial Policy
Priority D. Providing Full and Equal Access to Grassroots, Faith-Based
and Other Community-Based Organizations in HUD Program Implementation
found in the General Section. Other eligible applicants include state
or local housing agencies or authorities, states or units of local
government, or any entity eligible to provide education and employment
training under other federal employment training programs as further
defined in HUD's regulation at 24 CFR 585.4.
B. Cost Sharing or Matching. Under the Youthbuild program, there is
no match required. Applicants that submit evidence of leveraging
dollars under Rating Factor 4 ``Leveraging Resources'' will receive
points under that Factor.
C. Other. 1. Eligible Activities
a. Work and activities associated with the acquisition,
architectural and engineering work, rehabilitation or construction of
housing, as defined in HUD's regulations at 24 CFR 585.309, 585.310,
and 585.311.
b. Relocation payments and other assistance required to comply with
HUD's regulation at 24 CFR 585.308;
c. Costs of ongoing training and technical assistance needs related
to carrying out a Youthbuild program;
d. Education, job training, counseling, employment, leadership
development services, and optional activities that meet the needs of
the participants including entrepreneurial training, driver education,
apprenticeship opportunities, financial literacy, credit counseling,
assistance programs for those with learning disabilities, and in-house
staff training;
e. Outreach to potential participants;
f. Wages, benefits, and need-based stipends for participants; and
g. Administrative costs must not exceed 10 percent of the grant
award. HUD encourages you to use grant funds for outreach, recruitment,
training, and other services for the participants that facilitate
program implementation. Please refer to HUD's regulation at 24 CFR
585.305 for further details on eligible activities.
2. Threshold Requirements. All applicants must comply with the
threshold requirements as defined in the General Section and the
requirements listed below to receive an award. Applications that do not
meet these requirements will be considered ineligible for funding and
will be disqualified.
a. Eligible Participants. Participants in a Youthbuild program must
be very low-income high school dropouts between the ages of 16 and 24,
inclusive, at the time of enrollment. Up to 25 percent of participants
may be above very low-income, or may be high school graduates (or
equivalent), but must have educational needs (such as lack of reading,
writing, and communication skills) that justify their participation in
the program.
b. Youthbuild Program Components. Applications that receive
assistance under this Youthbuild program section of the SuperNOFA must
contain the three components described as follows:
(1) Educational and job training services;
(2) Leadership training, counseling, and other support activities;
and
(3) On-site training through actual housing rehabilitation and/or
new construction work.
(New construction may be subject to the accessible design and
construction requirements of the Fair Housing Act [see the General
Section], including the provision of alternative training experiences
that are necessary as a reasonable accommodation for students with
disabilities.)
c. Identification of and Access to Property. Your application must
identify the location of the site(s) or property(ies) (e.g., addresses,
parcel numbers, etc.) that will be used for on-site construction. Your
application MUST contain a letter from the property owner or property
management company or companies allowing access to the housing site(s)
for on-site construction training. HUD will deem as ineligible any
application that fails to specifically identify the location of the on-
site construction, including evidence of site access. Guidance on
evidence of site access is as follows:
(1) If the applicant or joint applicant has a contract or option to
purchase the property, you should include a copy of the contract or
option; and
(2) If a third party owns the property or has a contract or option
to purchase, that third party must provide a letter to you stating the
nature of the ownership and specifically providing you with access to
the property for the purposes of the program and the time frame in
which the property will be available. In the case of a contract or
option, include a copy of the document.
d. Minimum Score. In order to be considered eligible for funding,
your application must receive a minimum score of 75, including a
minimum of 10 points in Factor 1.
e. DUNS Requirement. Refer to the General Section for information
regarding the DUNS requirement. You will need to obtain a DUNS number
to receive an award from HUD and submit your application on line using
http://www.grants.gov.
f. Civil Rights Threshold Requirement. Applicants must meet all of
the applicable threshold requirements of Section III.C.2.c of the
General Section regarding Fair Housing and Civil Rights laws, statutes,
regulations and Executive orders and enumerated in 24 CFR 5.105(a).
g. Potential Environmental Disqualification. HUD reserves the right
to disqualify an application where one or more environmental thresholds
are exceeded if HUD determines that it cannot conduct the environmental

[[Page 13980]]

review and satisfactorily complete the review within the HUD
application review period. (See 24 CFR 585.307.) Environmental
thresholds are explained in Appendix A of this program section of the
SuperNOFA. Complete form 2C13a, 2C13b, or 2C13c and form 2C15 only if
you are proposing to use Youthbuild funds for new housing construction,
rehabilitation, lease or acquisition.
h. Consistency with Consolidated Plan. You must provide the
required certification that the proposed activities are consistent with
the HUD-approved Consolidated Plan in accordance with 24 CFR part 91.
See the General Section regarding the Certification of Consistency with
the Consolidated Plan requirement.
i. If you have received a Youthbuild grant and it is greater than
24 months old and you have not drawn down at least 50 percent of the
total HUD grant funds as of the application submission date for this
NOFA, you will not be eligible to receive a FY 2005 Youthbuild grant.
3. Program Requirements. In addition to the program requirements
listed below, applicants must comply with the program requirements in
Section III.C of the General Section.
a. Locational Limitations. You may submit more than one application
in the current competition if your program's participant recruitment
and housing areas are in different jurisdictions. Each application you
submit may only propose activities to carry out one Youthbuild program,
i.e., to start a new Youthbuild program or to fund new classes of
Youthbuild participants for an existing program.
b. Site Selection. In determining the site or the location of a
federally assisted facility, the applicant may not select sites that
will exclude qualified persons with disabilities, or otherwise subject
them to discrimination under the Youthbuild program.
c. New Construction, Substantial Alterations,--Other Alterations.
If the applicant undertakes to participate in New Construction,
Substantial Alterations, or Other Alterations, it must conform to the
accessibility standards outlined in the regulations implementing the
Rehabilitation Act of 1973 at 24 CFR part 8, Sec. Sec. 8.22, 8.23(a)
and Sec. 8.23(b).
d. Training Requirement. Each program must be structured so that 50
percent of each participant's time is spent in on-site training and the
other 50 percent in educational training.
e. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Section 3 of the Housing and Urban Development Act of
1968, (12 U.S.C. 1701u) is applicable to the Youthbuild program.
Section 3 requires recipients to ensure that, to the greatest extent
feasible, training, employment, and other economic opportunities will
be directed to low- and very-low income persons, particularly those who
are recipients of government assistance for housing, and business
concerns which provide economic opportunities to low- and very low-
income persons. The regulations may be found at 24 CFR part 135.
f. Participation in Local Workforce Investment Act One-Stop Center.
Youthbuild grantees are mandatory partners in one-stop centers
authorized by the Workforce Investment Act of 1998 (Pub. L. 105-220).
g. First time applicants. If you are a first-time applicant
applying for funding under Category 1, you must have a graduating class
of not more than 20 participants.
h. Environmental Reviews. Environmental procedures apply to HUD
approval of grants when you propose to use Youthbuild funds to cover
any costs for the lease, acquisition, rehabilitation, or new
construction of real property proposed for housing project development.
Environmental procedures do not apply to HUD approval of your
application when you propose to use your Youthbuild funds solely to
cover costs for classroom and/or on-the-job construction training and
support services.
If you propose to use your Youthbuild funds to cover any costs of
the lease, acquisition, rehabilitation, or new construction of real
property, you must submit all relevant environmental information in
your application to support HUD decisionmaking in accordance with the
environmental procedures and standards set forth in HUD's regulation at
24 CFR 585.307.

IV. Application and Submission Information: (See the General Section)

A. Addresses to Request Application Package: There is no
application kit for the FY2005 Youthbuild NOFA. This SuperNOFA clearly
describes the requirements for completing a successful application and
all forms and certifications needed to complete the application are
included in the General and Youthbuild Sections of the SuperNOFA, which
can be downloaded from http://www.Grants.gov/Apply. The Grants.gov web
site contains the electronic forms and the NOFA which includes forms
and other attachments. The NOFA and forms are contained in a zipped
file found under instructions. You many call the Grants.gov Support
Desk at 800-518-Grants or email the Support Desk at Grants.gov">Support@Grants.gov
for assistance in downloading the application and instructions. The
Support Desk is open weekdays from 8 a.m. to 9 p.m. Eastern Time,
except Federal holidays.
B. Content and Form of Application Submission: Be sure to read the
application submission instructions in the General Section and below
carefully.
1. Response to NOFA Page Limitation. The total narrative response
to all factors identified in Section V of this program NOFA must not
exceed 15 single sided pages of text based on an 8.5 by 11 inch paper,
using a standard 12 point font, with lines double-spaced. Please note
that submitting pages in excess of the page limit will not disqualify
your application. However, HUD will not review or consider the
information on any excess pages.
2. Application Items. Your application must contain the items
listed in this section below. These items include the standard forms,
certifications, and assurances listed in the General Section that are
applicable to this funding (collectively referred to as the ``standard
forms''). The standard forms can be found in Appendix A to the General
Section. The other items listed represent program specific forms or
information needed to evaluate your application. General letters of
support not associated with specific cash or in-kind commitments have
no bearing on the rating of the applications for any rating factor.

[[Page 13981]]

----------------------------------------------------------------------------------------------------------------
Required form or
What to submit Required content format When to submit it
----------------------------------------------------------------------------------------------------------------
Project abstract............... Category applying .................. Application submission date.
for (if Category
3, specify which
definition(s)
under ``rural and
underserved''
is(are)
applicable);
Amount of funds
requested;
Location of
project,
including census
tract(s); Number
of participants
to be trained;
Number of houses
to be
constructed;
Number of houses
to be rehabbed;
Major partners.
Application Survey on Ensuring .................. SF-424, SF-424
Equal Opportunity for supplement.
Applicants.
Budget information............. Total Youthbuild Youthbuild Form 4A
Grant Budget.
Rating Factors: Narrative Described in
addressing 5 rating factors. Section V of this
announcement.
Non-Housing Program Resources .................. Youthbuild Form 4B
and accompanying letters of
commitment for non-housing
program resources.
Logic Model Form............... .................. HUD-96010.........
Applicant/Recipient Disclosure/ (Per required HUD-2880..........
Update Form. form).
Disclosure of Lobby Activities .................. SF-LLL............
(if necessary).
Certification of Consistency .................. HUD-2990..........
with RC/EZ/EC-II Strategic
Plan.
Certification of Consistency .................. HUD-2991..........
with Consolidated Plan.
Acknowledgment of Application .................. HUD-2993..........
Receipt.
Client Comments and Suggestions .................. HUD-2994..........
Youthbuild Program Specific .................. HUD-40211......... Application submission date.
Forms/information (required
for all applications) Exhibit
2C (Housing Site Description).
Exhibit 2C10 (Individual
Housing Project Site)
Estimate.
Accompanying letters of
commitment to cover costs of
lease, acquisition,
rehabilitation or new
construction of real property.
Site Access Letter(s).
Youthbuild Program Specific .................. .................. Application submission date.
Forms (only if applicant
proposes to use Youthbuild
funds for lease, acquisition,
rehabilitation, or new
construction of real property).
Exhibit 2C13a (Housing Project
Certifications for Residential
Rental Units.
Exhibit 2C13b (Housing Project
Certifications for
Transitional Housing).
Exhibit 2C13c (Housing Project .................. .................. Application submission date.
Certifications for
Homeownership).
Exhibit 2C15 (Environmental
Threshold Information for a
Property Proposed for YB
Funding).
Questionnaire for HUD's .................. HUD-27300......... Application submission date.
Initiative on Removal of
Regulatory Barriers.
Facsimile Transmittal.......... To be used when HUD-96011......... On or before the application submission
submitting third date.
party letters or
other documents
if you are unable
to scan the
documents and
make them
attachments to
your electronic
application.
----------------------------------------------------------------------------------------------------------------

C. Submission Dates and Times: The application submission date is
June 21, 2005. Applications must be received by Grants.gov no later
than 11:59:59 PM Eastern time on the application submission date.
Applicants that have requested and received a waiver to the electronic
application submission requirement must submit their application to the
United States Postal Service no later than 11:59:59 PM on the
application submission date. Please see the General Section for
application submission and timely receipt procedures.
D. Intergovernmental Review. The Youthbuild is subject to
Intergovernmental Review under Executive Order 12372,
``Intergovernmental Review of Federal

[[Page 13982]]

Programs.'' See the General Section for further discussion of the
Executive Order and HUD's implementing regulations.
E. Funding Restrictions. Administrative costs must not exceed 10
percent of the grant award.

V. Application Review Information

The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points for
the program is 102. This includes two RC/EZ/EC-II and USDA designated
Round II EC bonus points, as described in the General Section. The
minimum fundable score is 75, including a minimum of 10 points in
Factor 1.
A. Rating Factor 1. Capacity of the Applicant and Relevant
Organizational Experience (20 points, minimum 10 points). This factor
addresses the qualifications and experience of the applicant and
participating parties to implement a successful young adult education
training program in accordance with your work plan as further described
in Factor 3. HUD will review and evaluate information provided
documenting recent capability. Experience within the last 5 years will
be considered recent. In addition, as described in the General Section,
HUD will take into account the applicant's past performance and may
deduct points in this rating factor for previous inability to
demonstrate performance. In reviewing this rating factor, HUD will
evaluate the following sub-factors:
1. Team Member Composition and Experience (5 points). Your
experience and the experience of your project director, core staff
competencies including your day-to-day program manager, consultants,
and contractors. You must demonstrate that your program manager has the
background, experience, and capacity to implement all of the program
components of the proposed work plan, as evidenced by recent work
experience (within the last 5 years) in managing projects of the same
or similar size, dollar amount, types of activities, and beneficiaries
as those proposed in your work plan. If any gaps exist in your
experience or organizational structure to carry out the program,
describe how you will fill those gaps including the hiring of
consultants or other outside parties.
2. Organizational Structure (5 points). The structure of your
organization (include an organizational chart), management structure,
including reporting relationships of key staff, a system for
coordinating with outside contractors or third party service providers,
a mechanism for an internal and external auditing relationship, and an
accounting system which meets federal accounting system requirements.
You should provide a clear description of how your organizational
structure will operate to carry out your work plan.
3. Achievement of Performance Outcomes (10 points). The objectives
and accomplishments of your past experience in conducting similar
activities. You must describe your past project objectives and
accomplishments that are similar to those of your proposed work plan to
show your effectiveness and timeliness in managing similar projects. If
you have received similar grants including previous Youthbuild grants,
you must describe the effectiveness of your administration, including
timeliness and meeting performance results from performance reports. In
addressing timeliness of reports, you must compare when your reports
were due with when they were actually submitted. You must describe your
achievements, including specific measurable outcome objectives: number
of youths recruited, trained, and received GEDs; number of youths
obtaining jobs (i.e., those that are a part of a career path or
apprenticeship program); number of youths participating in
apprenticeships and number of housing units rehabilitated or
constructed and made available for low- and very low-income persons.
Previously generated outcomes should include the following: (1) Percent
entered employment or enrolled in education and/or training first
quarter after program exit, (2) percent of participants that earned a
diploma, GED, or certificate, (3) percent that have attained literacy
and numeracy skills by participants, (4) annual cost per participant.
Also, you must describe the extent to which you or participating
partners have been successful in past education, training and
employment programs and activities, including federally funded
Youthbuild programs. In applying the rating criteria, HUD will take
into consideration your performance (including meeting target dates and
schedules) as reported. The more recent, relevant, and successful the
experience of the proposed team members, organization and other
participating entities in relation to the work plan, the greater the
number of points that you will receive. For previous and existing
Youthbuild grantees, applicants that can demonstrate a closer and
greater linkage between the expected outcomes and the previously
generated outcomes will receive a higher amount of points for this
Factor. Applicants that have been slow to draw their funds and
therefore appear to be not making progress in completing their program
activities, will receive lower rating points than applicants that have
a pattern and practice of drawing funds in a timely manner consistent
with timely progress in meeting program activity goals and objectives.
B. Rating Factor 2: Need/Extent of the Problem (22 Points): This
Factor addresses the extent to which there is need for funding the
proposed activities based on levels of distress and an indication of
the urgency of meeting the need/distress in the applicant's target
area. In responding to this Factor, applications will be evaluated on
the extent to which the level of need for the proposed activity and the
urgency in meeting the need are documented and compared to the target
area and national data.
1. In applying this Factor, HUD will consider current levels of
distress for the area (i.e., Census Tract(s) or Block Groups)
immediately surrounding the project site or the target area to be
served by the proposed project, and in the nation. This means that an
application that provides data that show levels of distress in the
target area expressed as a percent greater than the national average
will be rated higher under this Factor.
Notwithstanding the above, an applicant proposing a project to be
located outside the target area could still receive points under the
Distress Factor if a clear rationale and linkage is provided linking
the proposed project location and the benefits to be derived by persons
living in more distressed area(s) of the applicant's target area.
2. Applicants should provide data that address indicators of
distress, as follows:
a. Poverty (5 points)--data should be provided in both absolute and
percentage form (i.e., whole numbers and percentages) for the target
area(s); an application that compares the local poverty rate in the
following manner to the national average at the time of submission will
receive points under this section as follows:
(1) Less than the national average--0 points.
(2) Equal to but less than twice the national average--1 points.
(3) Twice but less than three times the national average--3 points.
(4) Three or more times the national average--5 points.
b. Unemployment (5 points)--for the project area;
(1) Less than the national average--0 points.

[[Page 13983]]

(2) Equal to but less than twice the national average--1 point.
(3) Twice but less than three times the national average--2 points.
(4) Three but less than four times the national average--3 points.
(5) Four but less than five times the national average--4 points.
(6) Five or more times the national average--5 points.
c. High School Dropouts (9 points)--for the project area;
(1) Less than the national average--0 points.
(2) Equal to but less than twice the national average--2 points.
(3) Twice but less than three times the national average--4 points.
(4) Three but less than four times the national average--6 points.
(5) Four but less than five times the national average-- 8 points.
(6) Five or more times the national average--9 points.
d. Concrete examples of social and/or economic decline that best
capture the applicant's local situation (3 points). Examples that could
be provided under this section are information on the community's
stagnant or falling tax base, including recent commercial or industrial
closings, housing conditions, such as the number and percentage of
substandard and/or overcrowded units, rent burden (defined as average
housing cost divided by average income) for the target area and urgency
in addressing problems facing youth, local crime statistics, etc.
3. In rating applications under this Factor, HUD reserves the right
to consider sources of available objective data, such as the U.S.
Census, other than, or in addition to, those provided by applicants,
and to compare such data to those provided by applicants and local
crime statistics for the project site.
HUD requires use of sound and reliable data (e.g., U.S. Census
data, state statistical reports, university studies/reports that are
verifiable) to support distress levels cited in each application. A
source for all information along with the publication or origination
date must also be provided. Updated Census data are available as
follows for the listed indicators:
a. Unemployment rate-- estimated monthly, with a two-month lag;
b. High School Dropout rate using the status rate-1999 data;
c. Poverty rate--2000 Census data at the tract level.
C. Rating Factor 3: Soundness of Approach (36 points): This Factor
addresses the extent to which your proposed program is coordinated with
other ongoing and related activities in the area you propose to serve
and how well your program outcomes result in increased independence and
empowerment to your beneficiaries at the conclusion of the grant
period. HUD will evaluate the extent to which your application meets
the following three elements:
1. Coordination Elements: 5 points as distributed below.
a. Coordination of activities (2 points). The extent to which you
have coordinated your activities with other known organizations that
are not directly in your proposed work activities, but with which you
share common goals and objectives and are working toward meeting these
objectives in a holistic and comprehensive manner. The goal of
coordination is to ensure that programs do not operate in isolation.
The more your activities are coordinated with other agencies in your
service area, the more points you will receive. An example of
coordination of activities would be the applicant's partnership with an
existing child day care facility (which is not funded by program) that
provides day care services to the Youthbuild participants during the
hours they are being trained or receiving education.
b. Self-Sufficiency (1 point). Describe how your program will
provide Youthbuild participants the ability to achieve: independent
living, economic empowerment, educational opportunities, housing choice
or an improved environment that is free from environmental hazards such
as lead hazards, brownfields, overcrowded housing, etc. An applicant
that addresses this subfactor will receive one point.
c. Sustainability (2 points). For applicants that have not received
a prior Youthbuild award, describe how your program will be financially
self-sustaining by decreasing dependence on Youthbuild funding and
relying more on state, local, and private funding so your activities
can be continued after your grant award is complete. For previous
Youthbuild grantees, describe how your program demonstrates a
progression of reduced reliance on HUD's Youthbuild funds, as either a
reduced Youthbuild grant amount or increased overall program level with
Youthbuild as a declining share of the total.
2. Youthbuild Program Work Plan: For each component, HUD will
consider the overall quality and feasibility of your proposed work plan
and budget that must be consistent with the Youthbuild program as
measured by your specific activities and outcomes. You will receive a
greater number of points if the program components are consistent with
the purpose of the Youthbuild program and your project goals and the
resources provided. Letters describing specific resources or services
to be contributed by non-applicant organizations must be included in
your application.
Specifically, HUD will consider the following categories when
assessing your proposed work plan:
a. Program Components. (15 points)
(1) Outreach strategy, recruitment strategy, and selection
activities. Points will be awarded based upon overall quality and
feasibility of the outreach, recruitment and selection activities, the
number and types of outreach activities, number of youths to be
recruited including eligible participants who are harder to reach and
comprehensiveness of the local selection process.
In evaluating this category, HUD will consider your selection
strategies and your specific outreach efforts to recruit or contact:
(a) potential eligible participants who are unlikely to be aware of
this program (because of race, color, national origin, religion,
ethnicity, sex, or disability);
(b) young women, young women with dependent children, and persons
receiving public assistance; and
(c) public agencies, courts, homeless shelters, local school
systems, local workforce development systems, one-stop centers and
community-based organizations, etc.
(2) Educational and job training services and activities. Points
will be awarded based upon the qualifications of instructors and
proposed wages and stipends for youth participants. In evaluating this
category, HUD will consider:
(a) The types of in-class academic and vocational instruction you
will provide;
(b) The number and qualifications of program instructors and ratio
of instructors to participants;
(c) Scheduling plan for classroom and on-the-job training needed to
meet program requirements and ensure timely completion of your program;
and
(d) Reasonable payments to participants of wages, stipends, and
incentives. Wages or stipends for on-site construction training must be
at least federal minimum wage.
(3) Leadership development. Points will be awarded based upon your
proposed leadership curriculum, qualifications of instructors, and the
impact of the proposed leadership activities on the target area. You
must describe the leadership development training you will offer to
participants and strategies for providing the training

[[Page 13984]]

to build group cohesion and peer support.
(4) Support services. You must assess the need for counseling and
referral services during each stage of program implementation: outreach
strategy, recruitment strategy, youths interviewed and not selected for
the program, program participants, youths who drop out of the program,
and graduates of the program. Describe how the participant needs will
be addressed, document counseling and referral services to be offered
to participants, the type of counseling, social services, and/or need-
based stipends you will provide.
(5) Follow-up assistance and support activities to program
graduates. You must describe the type of proposed assistance and
support which should be based upon an assessment of the needs of the
program graduates and should include continued linkage to the local
Youthbuild program, counseling, and social service referral services.
(6) On-site training. Points will be awarded based upon the
experience of proposed instructors, number of youth to be trained, and
wages or stipends for participants. HUD will consider:
(a) The housing construction or rehabilitation activities
participants will undertake at the site(s) to be used for the on-site
training component of the program as provided in the training
curriculum and methodology for carrying out on-site training;
(b) The qualification and number of on-site supervisors;
(c) The ratio of trainers to participants;
(d) The number of participants per site; and
(e) The amounts, wages, and/or stipends you will pay to
participants during on-site work. Amounts must be at least federal
minimum wage.
b. Strategy for Job Placement. (2 points).
(1) For applicants that have not received a prior Youthbuild award.
HUD will evaluate the quality and feasibility of your proposed strategy
to place youth participants in permanent jobs. You will be rated on the
following factors: (a) proposed number of youth to obtain jobs that
promote economic self-sufficiency (i.e., those that are a part of
career paths or apprenticeship programs); (b) proposed number of youths
who will continue post-secondary or secondary education; and (c)
proposed number of youths to receive entrepreneurship training.
(2) For Youthbuild grantees who have grants that are at least 24
months old. In addition to the information in section V.C.2.b(1) above,
provide the actual number of program participants that met each
criterion in section V.C.2.b(1)(a), V.C.2.b(1)(b) and V.C.2.b(1)(c) as
a percent of the total program participants served.
c. Housing Program Priority: (10 points). HUD will assign Housing
Program Priority points to all applications that contain evidence that
housing resources from other federal, state, local, or private sources
are available and firmly committed to cover all costs, in full, for the
following housing activities for the proposed Youthbuild program:
acquisition, architect and engineering fees, construction, and
rehabilitation. Forms 2C, Housing Site Description, and 2C10,
Youthbuild Grant Individual Housing Project Site Estimate, must be
completed to receive the Housing Program Priority points. Applications
that do not include proper documentation of firm financial commitments
of non-Youthbuild resources or propose to use Youthbuild grant funds,
in whole or in part, or do not evidence site control, for any one of
the housing activities listed above will not be entitled to housing
program priority points. For an applicant to receive the housing
program priority points, each letter of commitment to cover the costs
of the above activities must include the following:
(1) The organization's name;
(2) the applicant's name;
(3) the proposed program;
(4) the proposed amount of commitment and which housing
activity(ies) (i.e., acquisition, architect and engineering fees,
construction, and rehabilitation) the commitment represent(s);
(5) a signature by an official of the organization legally able to
make commitments on behalf of the organization with a statement
confirming that the authority remains in effect for a period stated in
the commitment.
(6) If the contribution is cash, the applicant, the applicant's
partner(s) or contributing entity must evidence its financial
capability through a corporate or personal financial statement or other
appropriate means. If any portion of the committed activity is to be
financed through a lending institution, the participant must evidence
the institution's commitment to fund the commitment.
(7) Affirm that its investment is contingent only upon receipt of
FY2005 Youthbuild funds and state a willingness on the part of the
signatory to sign a legally binding commitment not earlier than the
date this NOFA is published and (conditioned on HUD's environmental
review and approval of a property, where applicable) upon award of the
grant.
d. Policy Priorities: (4 points). Policy Priorities are further
defined in the General Section. Applicants should document the extent
HUD's policy priorities are enhanced by the proposed activities.
Applicants that include activities that can result in the achievement
of these departmental policy priorities, as described in the General
Section, will receive higher rating points in evaluating their
application for funding. Three departmental policy priorities are
listed below. Policy Priorities include:
(1) Ending chronic homelessness (1 point);
(2) Removal of regulatory barriers to affordable housing (up to 2
points) (see the General Section for further explanation). You must
complete Form HUD-27300, Questionnaire for HUD's Initiative on Removal
of Regulatory Barriers and provide the requested documentation to
receive points for this policy priority. See the General Section for a
discussion of how points are allocated.
(3) Participation in Energy Star (1 point). See the General Section
for further explanation. Applicants must state how they incorporate
this priority into their application in order to receive the one point.
D. Rating Factor 4: Leveraging of Non-housing Resources (10
Points). This Factor addresses the ability of the applicant to secure
non-housing resources from its program partners. HUD will evaluate the
extent to which firm commitments of resources are obtained from
federal, state, local, private, and nonprofit sources. The applicant
will receive points based upon the ratio of committed non-HUD resources
for non-housing activities compared to the amount of Youthbuild funds
requested in the application. (Exhibit 4B Non-Housing Program Resources
must be completed and you must provide letters of firm commitment from
the donor with the amount of cash or in-kind contribution). Applicants
submitting letters of commitment without the Exhibit 4 completed, will
not receive points for this Rating Factor. Each commitment described on
Exhibit 4B for this Factor must have a firm commitment letter. In
addition, the amount of the commitment in each letter must match the
amount listed on the Form 4B.
In assigning points for this criterion, HUD will consider the level
of resources obtained for cash or in-kind contributions to cover the
following kinds of areas:

[[Page 13985]]

[sbull] Social services (i.e., counseling and training);
[sbull] Use of existing vocational, adult, and bilingual
educational courses;
[sbull] Donation of labor, resource personnel, supplies, teaching
materials, classroom, and/or meeting space.
1. Firm commitment for non-housing resources. Each letter of
commitment to cover the costs of the above activities must include the
following:
a. the organization's name;
b. the applicant's name;
c. the proposed program;
d. the proposed amount of commitment and which non-housing
activity(ies) the commitment represent(s);
e. a signature by an official of the organization legally able to
make commitments on behalf of the organization with a statement
confirming that the authority remains in effect for a period stated in
the commitment;
f. an affirmation that its investment is contingent only upon
receipt of FY2005 Youthbuild funds and a statement of willingness on
the part of the signatory to sign a legally binding commitment not
earlier than the date this NOFA is published.
2. Resources from other federal, state, local governments, or
private entities. HUD encourages use of existing federal, state, local
governments, or private and nonprofit housing programs as part of your
Youthbuild program. In addition, HUD encourages use of other non-
Youthbuild funds available for vocational, adult, and bilingual
education programs, or for job training under the Workforce Investment
Act and the Personal Responsibility and Work Opportunity Reconciliation
Act of 1996 (48 U.S.C. 1601 et seq.).
E. Rating Factor 5: Achieving Results and Program Evaluation (12
Points). This factor emphasizes HUD's commitment to ensuring that
applicants keep promises made in their application to rigorously assess
their performance and ensure performance goals are met. Achieving
results means you, the applicant, have clearly identified the benefits,
or outcomes of your program. Outcomes are ultimate goals. Benchmarks or
outputs are interim activities or products that lead to the ultimate
achievement of your goals. Performance measurement requires that you,
the applicant, identify program outcomes, interim products or
benchmarks, and performance indicators that will allow you to assess
your performance. Performance indicators must be quantified and measure
actual achievements against anticipated achievements. You should
identify what you are going to measure, how you are going to measure
it, and the steps you have in place to make adjustments to your work
plan if performance targets are not met within established timeframes.
Applicants are required to address this factor as a narrative as well
as complete the Logic Model form (see appendix to the General Section).
This rating factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. HUD's evaluation of this rating
factor will be based upon your Logic Model performance measures,
results, and timeframes consistent with your program description,
budget, resources, and program design.
At a minimum, your Logic Model must include the following program
outcomes:
[sbull] Number of participants enrolled in the program;
[sbull] Number of participants that graduate;
[sbull] Number of housing units constructed;
[sbull] Number of housing units rehabilitated;
[sbull] Number and percent of GED's or certificates attained by
participants (for percentage calculation, numerator: the number of
participants who attain a diploma, GED or certificate; denominator:
those who are participating in the Youthbuild program).
[sbull] Number and percent of graduates placed in employment or
education (for percentage calculation, numerator: the number of
participants who have entered employment or enrolled in post secondary
education; denominator: the number of graduates from the Youthbuild
program); and
[sbull] Number and percentage of graduates who made literacy and
numeracy gains (measures the increase in literacy and numeracy skills
of participants through a common assessment tool administered at
program registration and regular intervals thereafter); for percentage
calculation, numerator: the number of Youthbuild program participants
who increase one or more education functioning levels; denominator: the
number of Youthbuild program participants who have completed a year in
the program).
[sbull] Efficiency or annual cost per participant (numerator: grant
amount; denominator: number of Youthbuild participants.)
An applicant should agree to cooperate with any HUD-approved
evaluation by making staff available for interview, providing lists of
participants and their contact information, and making available files
under appropriate assurance of confidentiality of records.

VI. Reviews and Selection Process

A. Rating and Ranking

1. General. To review and rate applications, HUD may establish
panels including officials from other federal agencies and outside
experts or consultants to obtain certain expertise and other outside
points of view.
2. Rating. All applications for funding will be evaluated against
the rating factors described in Section V. of this NOFA.
3. Ranking. Applications will be ranked separately within each of
the three funding categories. Applications will be selected for funding
in accordance with their rank order in each category.
4. Eligibility for Selection. To be eligible for funding, an
application must have an overall minimum score of 75 points, including
a minimum score of 10 points in Factor 1. If two or more applications
are rated fundable and have the same score, but there are insufficient
funds to fund all of them, HUD will select the application(s) with the
highest score for Rating Factor 3 (Soundness of Approach). If two or
more applications still have the same score, the highest score in the
following factors will be selected sequentially until one highest score
can be determined: Rating Factor 1 (Capacity of the Applicant and
Relevant Organization); Rating Factor 4 (Leveraging of Resources) and
Rating Factor 2 (Need/Extent of the Problem).
5. Adjustments to Funding. HUD reserves the right to utilize this
year's funding to fund previous years' errors prior to rating and
ranking this year's applications. Any available funds that remain after
all applications within funding range have been selected or obligated
will be reallocated between categories 1 and 2 by rank order between
applications at the discretion of the selecting official or designee.
Category 3 funds are appropriated as a set-aside, and can not be
reallocated.
6. Corrections to Deficient Applications. The General Section
provides the procedures for corrections to deficient applications.
B. Anticipated Announcement and Award Dates. HUD anticipates making
award announcements no later than four months after the application
submission deadline date.

VII. Award Administration Information

A. Award Notices

1. Notification of Approval or Disapproval. HUD will notify you

[[Page 13986]]

whether or not you have been selected for an award. If you are
selected, HUD's notice to you of the amount of the grant award based on
the approved application will constitute HUD's CONDITIONAL approval,
subject to negotiation and execution of the grant agreement by HUD.
2. Application Debriefing. Applicants who wish to have a debriefing
of their application must send a written or email request (see the
General Section) to: Mr. Mark A. Horwath, Director; Youthbuild Program;
Office of Economic Development; Office of Community Planning and
Development; 451 Seventh Street, SW., Room 7149; Washington, DC 20410-
7000 or e-mail address [email protected]. Debriefing
information can be found in the General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

1. Applicable OMB Circulars. Please refer to the General Section
for information regarding applicable OMB Circulars.
2. Applicable Executive Orders and Statutes. Please note that
Executive Order 13202 may apply to your program (see the General
Section) and Section 6002 of the Solid Waste Disposal Act covering the
procurement of recovered materials may also be applicable (see the
General Section.)
3. Executive Order 13166, Improving Access To Services For Persons
With Limited English Proficiency (LEP). Consistent with Executive Order
13166, ``Improving Access to Services for Persons with Limited
Proficiency (LEP),'' issued on August 11, 2000, all HUD recipients
should take reasonable steps to provide certain materials and
information available in languages other than English. The
determination as to what materials, languages, and modes of
translation/interpretation services should be used shall be based upon:
a. The specific needs and capabilities of the LEP populations among
the award recipient's program beneficiaries and potential beneficiaries
of assistance (e.g. tenants, community residents, counselees, trainees,
etc.)
b. The recipient's primary and major program purposes;
c. Resources of the recipient and size of the program; and
d. Local housing, demographic, and community conditions and needs.
HUD's LEP recipient Guidance has been published in the Federal Register
on December 19, 2003 and further guidance may be found at http://www.lep.gov.
4. Reporting Requirements:
a. Progress reports and Logic Model reporting. Youthbuild grantees
are required to submit progress reports to the appropriate HUD field
office in accordance with 24 CFR Part 585.403, using HUD Form 40201.
Should you receive a FY 2005 Youthbuild award, you will be required to
update your Logic Model periodically, addressing the time schedule,
accomplishments to date and results and submit it to HUD in conjunction
within the timeframes established for the Youthbuild progress reports.
b. Racial and Ethnic Data reporting. HUD requires that funded
recipients collect racial data and ethnic beneficiary data. It has
adopted the Office of Management and Budget's Standards for the
Collection of Racial and Ethnic Data. In view of these requirements,
you should use form HUD-27061, Racial and Ethnic Data Reporting Form
(instructions for its use), found on http://www.HUDclips.org., a
comparable program form, or a comparable electronic data system for
this purpose.

VIII. Agency Contact(s)

For technical assistance in downloading an application package from
Grants.gov/Apply, contact the Grants.gov help desk at 800-518-Grants or
by sending an e-mail to [email protected].
For programmatic information concerning the HUD Youthbuild program,
contact Ms. Phyllis Williams, Community Planning and Development
Specialist; Office of Economic Development; Office of Community
Planning and Development; U. S. Department of Housing and Urban
Development; 451 Seventh Street, SW., Room 7149; Washington, DC 20410-
7000; telephone (202) 708-2035 (this is not a toll-free number).
Persons with speech or hearing impairments may access this number via
TTY by calling the toll-free Federal Information Relay Service at 800-
877-8339. Prior to the application deadline, HUD's staff will be
available to provide general guidance on the application submission
process and location of information, but not guidance in preparing your
application.
A. Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this broadcast, you should consult the HUD Web site at http://www.hud.gov.
B. Paperwork Reduction Act: The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2506.0142. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average 45 hours per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing, and reporting the data for the application,
semi-annual reports, and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required in order to receive the
benefits to be derived.

Appendix A

Instructions for Completion of Youthbuild

Environmental Requirements

(Exhibit 2C(15))

A. Instructions to Applicants

1. If you propose to use Youthbuild funds to cover any costs of
the lease, acquisition, rehabilitation, or new construction or real
property, you shall submit all relevant environmental information in
your application to support HUD decisionmaking in accordance with
the environmental procedures and standards described in 24 CFR
585.307. For each proposed Youthbuild property for which HUD
environmental procedures apply, you are to prepare a separate
Exhibit 2C(15) in which you supply HUD with environmental threshold
information and letters from qualified data sources (see definition
below) which support the information. HUD will review your
submission and determine how, if necessary, HUD will comply with any
federal laws and authorities that may be applicable to your property
proposed for Youthbuild funding. If environmental procedures apply
and Exhibit 2C(15) with supporting documentation is not included
then the application will be deemed ineligible.
You are to follow these instructions for preparing Exhibit
2C(15). The instructions advise you on how to obtain and document
certain information to be supplied to HUD in this exhibit. Before
selecting a property for Youthbuild funding, you should read these
instructions and be advised that HUD encourages you to select, to
the extent practicable, properties and locations that are free of
environmental hazards and problems discussed in these instructions.
The responses to the environmental criteria in Exhibit 2C(15) will
be used to determine environmental approval or disapproval by HUD of
proposals for physical development of properties.
2. After selecting a property for proposed Youthbuild funding,
you are to determine the activities to be undertaken with your
Youthbuild funds. You are to indicate in Section E whether the
Youthbuild funds will be used for:

[[Page 13987]]

a. Lease or purchase of a property;
b. Minor rehabilitation;
c. Major rehabilitation; or
d. New construction of housing.
The activities proposed for Youthbuild funding will determine
the kind of data that you will need to obtain from a qualified data
source in order to complete Exhibit 2C(15).
3. Once you have selected a property and determined the
activities for Youthbuild funding, you are advised to check with
your city or county agency that administers HUD's Community
Development Block Grant program and performs environmental reviews,
or the local planning agency. This course of action is recommended
in view of the fact that most, if not all of the data needed for
preparing Exhibit 2C(15) is readily available from the local
community development agency and the local planning agency. You are
advised to ask the environmental staff of those agencies the
following questions:
a. Has the agency ever prepared an environmental review of the
proposed Youthbuild property or the neighborhood in which the
property is located, and if so, would it provide a copy to the
applicant for use by HUD;
b. Would the agency assist you in completing section G; or if
the agency is not able to help complete any item in section G, would
the agency advise you which local or state agency is the appropriate
qualified data source for obtaining the information.
Also, you should check with the local planning agency before
proceeding elsewhere for the information.
You are advised that the cost of preparing information and
analyses needed for Exhibit 2C(15) is an eligible cost under the
Youthbuild program and is reimbursable if you are approved for a
grant.
4. Key terms used in these instructions are defined in the
following section. Most of the other terms are technical and their
definition would be known to qualified data sources.
a. Qualified data source means any federal, state, or local
agency with expertise or experience in environmental protection
(e.g., the local community development agency; the land planning
agency; the state environmental protection agency; the State
Historic Preservation Officer) or any other source qualified to
provide reliable information on the particular subject. Please
attach a letter supporting the information from each qualified data
source to Exhibit 2C(15).
b. Minor rehabilitation refers to proposed repairs and
renovations to
(1) A building for residential use (with one to four units):
(a) Where the density is not increased beyond four units;
(b) Where the land use is not changed; and
(c) Where the footprint of the building is not increased in a
floodplain or in a wetland; or
(2) A multifamily residential building (with more than four
units):
(a) Where the unit density is not changed more than 20 percent;
(b) Where the land use is not changed to non-residential; and
(c) Where the estimated cost of rehabilitation is less than 75
percent of the total estimated cost of replacement after
rehabilitation.
c. Major rehabilitation refers to proposed repairs and
renovations to:
(1) An existing building for residential use with one to four
units:
(a) Where the density is increased beyond four units;
(b) That involves changes in land use; or
(c) Where the footprint of the building is increased in a
floodplain or in a wetland.
(2) An existing multifamily building (with five or more units):
(a) Where the estimated cost of the work is 75 percent or more
of the estimated cost of replacement after completion;
(b) That involves changes in land use from residential to
nonresidential, or from nonresidential to residential; or
(c) That increases unit density by more than 20 percent.
d. Multifamily housing means any residential building that
contains five or more apartments or rooming units.
e. Single family housing means any residential building that
contains one-to-four dwelling units.
Because each federal environmental law or authority has
compliance requirements that differ according to the type of
proposed activity to be funded, you are required to supply
information in Exhibit 2C(15) only for the type of activity for
which the Youthbuild grant will be used.
f. If you propose new construction or major rehabilitation of
multifamily housing or major rehabilitation of single family
housing, you must supply complete and reliable environmental
threshold information for items 1 through 13 in section G.
g. If you propose new construction of single family housing, you
must supply complete and reliable environmental threshold
information for items 1 through 12 in section G.
h. If you propose minor rehabilitation of multifamily or single
family housing, or the purchase or lease of a property, you must
supply complete and reliable environmental threshold information for
items 1 through 7 in section G.
5. Applicants subject to HUD's environmental procedures are to
submit Exhibit 2C(15) and accompanying documentation to HUD with the
applications for grant assistance. Such applicants are prohibited
from committing or expending state, local, or other funds in order
to undertake property rehabilitation, construction (including
demolition), or acquisition (including lease), until HUD and the
grantee execute a grant agreement for the proposed Youthbuild
project.
6. HUD reserves the right to disqualify any application where
one or more environmental thresholds are exceeded if HUD determines
that the compliance review cannot be conducted and satisfactorily
completed within the HUD review period for Youthbuild applications.

B. Environmental Threshold and Documentation Requirements

The threshold and documentation requirements for each of the
federal environmental laws and authorities are described below,
following the same order as they appear in section G.

1. Site Within Designated Coastal Barrier Resources

Threshold: Youthbuild applicants are prohibited by federal law
from using federal financial assistance for properties if the
properties are located within designated coastal barriers of the
Atlantic Ocean, Gulf of Mexico, and the Great Lakes (Coastal Barrier
Resources Act, 16 U.S.C. 3501).
* Documentation: You are to select either A or B for the
condition that best describes the property and report the option
selected in item 1 of section G.
A. Your program operates in a community that does not contain
any shores along the Atlantic Ocean, the Gulf of Mexico, or the
Great Lakes.
B. Your program operates in a community that does contain shores
along the Atlantic Ocean, the Gulf of Mexico, or the Great Lakes.
You must provide HUD with a finding made by a qualified data source
stating that the proposed property is not located within a
designated coastal barrier resource by citing the map panel number
of the official maps issued by the Department of the Interior (DOI)
on the basis of which the finding was made.

2. Site Contaminated With Toxic Chemicals and Radioactive Materials

Threshold: Under HUD policy, as described in 24 CFR 50.3 (i),
HUD will not approve the provision of financial assistance to
residential properties on sites where contamination could affect the
health and safety of occupants or conflict with the intended
utilization of the property. Sites known or suspected to be
contaminated by toxic chemicals or radioactive materials include,
but are not limited to, sites: (i) listed on either an EPA Superfund
National Priorities List (NPL) or CERCLA (Comprehensive
Environmental Response, Compensation, and Liability Act) List, or
equivalent state list; (ii) located within 3,000 feet of a hazardous
or solid waste landfill site; or (iii) with an underground storage
tank (which is not a residential fuel tank).
* Documentation: You are to select either A or B for the
condition that best describes property and report the option
selected in item 2 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the proposed Youthbuild property and any
neighboring properties do not contain any sites known or suspected
to be contaminated with toxic chemicals and radioactive materials.
B. You are providing any site contamination data by a qualified
data source in your letter for HUD's evaluation of contamination
and/or suspicion of any contamination of a proposed property or any
neighboring properties.

3. Site Affecting a Floodplain

Threshold: A property located within a floodplain and proposed
for funding is subject to Executive Order 11988, Floodplain
Management. The Executive Order directs HUD to avoid, where
practicable, proposed financial support for any floodplain property,

[[Page 13988]]

whenever HUD has options to approve properties in flood-free
locations. The Order does not apply to existing single family
properties proposed for purchase or lease except for: (a) Property
that is located within a floodway or coastal high hazard area; and
(b) substantial improvement. Substantial improvement for flood
hazard purposes means any property rehabilitation which: (i)
increases the unit density of the property; or (ii) equals or
exceeds 50 percent of the market value of the property before
rehabilitation, but excluding the costs for correcting health,
sanitary, and safety code violations. Note: Proposed funding for
substantial improvement and new construction are subject to the
Executive Order decisionmaking process. This may result in a
disqualification of your application (refer above to number 7 under
``Instructions to Applicants'').
* Documentation: You are to select A or B for the condition that
best describes your property and report the option selected in item
3 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property is not located within the Special
Flood Hazard Area (SFHA).
B. You are providing HUD with a finding made by a qualified data
source that the property is located within the Special Flood Hazard
Area (SFHA) and indicating if the property is located within a
floodway or coastal high hazard area.
The information for A and B must provide HUD with the flood map
panel number obtained either from the official maps issued for the
National Flood Insurance Program or from the property appraisal
report used to make the finding.
For all proposed rehabilitation of properties that are located
within a SFHA, you must provide HUD with estimates of: (1) the
property value before rehabilitation, and (2) the cost of the
proposed rehabilitation. Provide the estimates in section F.
If the property is found to be located within a SFHA, proceed to
item 4 on flood insurance protection. Otherwise proceed to item 5.

4. Building Requiring Flood Insurance Protection

Threshold: HUD will estimate the amount and period of flood
insurance coverage that is to be made a condition of approval of any
HUD financial assistance for a building located within a Special
Flood Hazard Area (SFHA). The Flood Disaster Protection Act of 1973
requires owners of HUD-assisted buildings to purchase and maintain
flood insurance protection as a condition of approval of any HUD
financial assistance for the proposed purchase, rehabilitation, or
new construction of any SFHA building. The law prescribes the
coverage period and dollar amount of flood insurance protection.
Proof of Purchase of Flood Insurance Protection: You must
provide HUD with proof of purchase of flood insurance protection for
any proposed Youthbuild building located within the SFHA, whenever
HUD funding is being used for property purchase, rehabilitation, or
new construction. The standard documentation for compliance is the
Policy Declarations form issued by the National Flood Insurance
Program (NFIP) or issued by any property insurance company offering
coverage under the NFIP. Whenever the requirement applies to
coverage that extends to future years, the grant agreement will
require that the insured have its insurer automatically forward to
HUD, in the same manner as to the insured, an information copy of
the Policy Declarations form, which is used to verify compliance.
* Documentation: You are to select either A or B for the
condition that best describes your property and report the option
selected in item 4 of section G.
A. You already own the property and attach a copy of the Policy
Declarations form confirming that a current flood insurance policy
is in effect and the policy provides adequate coverage for the
building proposed for the Youthbuild project located within the
Special Flood Hazard Area.
B. After you have purchased (or constructed, in the case of
proposed new construction) the Youthbuild property, you must obtain
and maintain flood insurance protection. For the term and amount of
coverage prescribed by law, you must provide HUD with a copy of the
Policy Declarations form confirming that the flood insurance policy
is in effect and the policy provides adequate coverage for the
Youthbuild building located within the Special Flood Hazard Area.

5. Site Within Clear Zones or Accident Potential Zones of Airports and
Airfields

Threshold: HUD policy as described in 24 CFR part 51, subpart D
applies to HUD approval of financial assistance to: (a) properties
located within clear zones; and (b) in the case of new construction
or major rehabilitation, properties located within accident
potential zones.
(a) Clear zones: New construction and major rehabilitation of a
property that is located on a clear zone site is prohibited. HUD
financial assistance in a clear zone is allowed only for the
proposed lease, purchase, or minor rehabilitation of properties (24
CFR 51.302(a)). For HUD funding approval for any property in a clear
zone: (a) HUD will give advance written notice to the prospective
property buyer in accord with 24 CFR 51.303(a)(3); and (b) a copy of
the HUD notice signed by the prospective property buyer will be
placed in the property file. The written notice informs the
prospective property buyer of: (i) the potential hazards from
airplane accidents, which studies have shown more likely to occur
within clear zones than in other areas around the airport/airfield;
and (ii) the potential acquisition by airport or airfield operators,
who may wish to buy the property at some future date as part of a
clear zone acquisition program.
(b) Accident potential zones: For properties located within the
accident potential zone (APZ), HUD shall determine whether the use
of the property is generally consistent with Department of Defense
``Land Use Compatibility Guidelines for Accident Potential Zones.''
* Documentation: You are to select either A or B for the
condition that best describes your property and report the option
selected in item 5 of section G.
A. The property is not located within 3,000 feet of a civil
airport or military airfield.
B. If your property is located within 3,000 feet of a civil
airport or military airfield, you must provide HUD with a finding
from the airport operator stating whether or not the property is
located within a runway clear zone at a civil airport, or a clear
zone or accident potential zone at a military airfield.
For properties that are located within a runway clear zone or a
clear zone or accident potential zone, if you propose to
rehabilitate such a property you must provide HUD with estimates of:
(i) the cost of the proposed rehabilitation, and (ii) the property
value after completion of the rehabilitation. The estimates are to
be provided in section F.

6. Site Is or Affects an Historic Property

Threshold: Only if a property is proposed for rehabilitation or
new construction must HUD in consultation with the State Historic
Preservation Officer (SHPO), and following the Department of the
Interior's Standards and Guidelines for Evaluation, make a
determination whether the property is:
a. Listed on or formally determined to be eligible for listing
on the National Register of Historic Places;
b. Located within or directly adjacent to an historic district;
or
c. A property whose area of potential effects includes an
historic district or property.
Historic properties and districts are subject by law to special
protection and historic preservation processing, which HUD must
perform to comply with the regulations of the Advisory Council on
Historic Preservation (ACHP: 36 CFR part 800). Note: If you are
using information from the SHPO as a qualified data source you need
to allow sufficient time to obtain the information from the SHPO.
You may wish to make special arrangements with the SHPO for rapid
review of the proposed property where this is practicable. In
addition, for properties determined to be historic properties, HUD
will require 30 to 90 days in most cases for HUD to perform historic
preservation compliance with the ACHP regulations. This may result
in a disqualification of the application (refer above to number 7
under ``Instructions to Applicants'').
* Documentation: You are to select one of the following options
that best describes the condition of your property and report the
option selected in item 6 of section G.
A. You propose financial assistance for rehabilitation or new
construction, and are providing HUD with a SHPO's finding that the
proposed Youthbuild activity:
1. Is located within an area where there are no historic
properties; or
2. Will have no effect on historic properties; or
3. Will have an effect on historic properties not considered
adverse
B. You propose financial assistance for rehabilitation or new
construction, and are providing HUD with a SHPO's finding that the
proposed Youthbuild activity will have an adverse effect on historic
properties.
C. You are providing HUD with a copy of a letter from the SHPO
stating any reason for not being able to provide you with the
requested information and finding.

[[Page 13989]]

7. Site Near Hazardous Industrial Operations

Threshold: Properties that are located near hazardous industrial
operations handling fuels or chemicals of an explosive or flammable
nature are subject to HUD safety standards (24 CFR 51, subpart C).
However, under the Youthbuild program, these standards would apply
only if you propose: (a) Construction of a building; (b) conversion
of a non-residential land use to a residential land use including
making habitable a building condemned for habitation; or (c)
rehabilitation that increases the density of a residential structure
by increasing the number of dwelling or rooming units. In the case
of tanks containing common liquid fuels, the requirement for an
acceptable separation distance (ASD) calculation only applies to
storage tanks that have a capacity of more than 100 gallons.
* Documentation: You are to select one of the following options
that best describes the condition of the property, and report the
option selected in item 7 of section G.
A. The proposed project does not include: (1) Construction of a
building; (2) conversion of a non-residential land use to a
residential land use including making habitable a building condemned
for habitation; or (3) rehabilitation that increases the density of
a residential structure by increasing the number of dwelling or
rooming units.
B. The proposed project includes: (1) Construction of a
building; (2) conversion of a non-residential land use to a
residential land use including making habitable a building condemned
for habitation; or (3) rehabilitation that increases the density of
a residential structure by increasing the number of dwelling or
rooming units; and you are providing HUD with a finding by a
qualified data source that the proposed property is not located
within the immediate vicinity of hazardous industrial operations
handling fuel or chemicals of an explosive or flammable nature by
citing data used and the maps used.
C. The applicant proposes: (1) Construction of a building; (2)
conversion of a non-residential land use to a residential land use
including making habitable a building condemned for habitation; or
(3) rehabilitation that increases the density of a residential
structure by increasing the number of dwelling or rooming units. The
grantee provides HUD a finding made by a qualified data source
stating: (1) That the proposed property is located within the
immediate vicinity of hazardous industrial operations handling fuel
or chemicals of an explosive or flammable nature; (2) the type and
scale of such hazardous industrial operations; (3) the distance of
such operations from the proposed property; (4) a preliminary
calculation of the acceptable separation distance (ASD) between such
operations and the proposed property; and (5) a recommendation as to
whether it is safe to use the property in accord with 24 CFR part
51, subpart C.

8. Site Near High Noise Source

Threshold: For new construction that is to occur in high noise
areas (i.e., exceeding 65 decibels), applicants shall incorporate
noise attenuation features to the extent required by HUD
environmental criteria and standards contained in subpart B (Noise
Abatement and Control) of 24 CFR part 51. Approvals in a Normally
unacceptable noise zone require a minimum of 5 decibels additional
sound attenuation for buildings having noise-sensitive uses if the
day-night average sound level is greater than 65 decibels but does
not exceed 70 decibels, or a minimum of 10 decibels of additional
sound attenuation if the day-night average sound level is greater
than 70 decibels but does not exceed 75 decibels.
Proposed housing sites with above 75 decibels are unacceptable
and the noise attenuation measures require the approval of the
Assistant Secretary for Community Planning and Development. In
Unacceptable noise zones, HUD strongly encourages conversion of
noise-exposed sites to non-housing land uses compatible with the
high noise levels.
For major rehabilitation projects involving five or more
dwelling units located in the ``Normally Unacceptable'' and
``Unacceptable'' noise zones, HUD actively seeks to have project
sponsors incorporate noise attenuation features, given the extent
and nature of the rehabilitation being undertaken and the level of
exterior noise exposure.
*Documentation: You are to select A or B for the condition that
best describes their project and report the option selected in item
8 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property proposed by the applicant for a
major rehabilitation or new construction project involving five or
more dwelling units is not located within: (1) 1,000 feet of a major
noise source, road, or highway; (2) 3,000 feet of a railroad; or (3)
1 mile of a civil or 5 miles of a military airfield.
B. The applicant provides HUD with a finding made by a qualified
data source: (1) stating that the plans for the property proposed by
the applicant for a major rehabilitation or new construction project
involving five or more dwelling units will incorporate noise
attenuation features in accord with HUD environmental criteria and
standards contained in subpart B (Noise Abatement and Control) of 24
CFR part 51; (2) stating whether the property is located within a
``Normally Unacceptable'' or ``Unacceptable'' noise zone; and (3)
providing HUD plans and a statement of the anticipated interior
noise levels.

9. Site Affecting Coastal Zone Management

Threshold: Only for proposed activities involving new
construction or major rehabilitation of multifamily housing does the
Coastal Zone Management (CZM) authority apply. Projects that can
affect the coastal zone must be carried out in a manner consistent
with the approved state coastal zone management program under
section 307 of the Coastal Zone Management Act of 1972, as amended.
*Documentation: You are to select either A or B for the
condition that best describes the project and report the option
selected in item 9 of section G.
A. You state that your project is not located within a coastal
zone, as defined by the States Coastal Zone Management Plan.
B. If your project is located within a coastal zone, you are
providing HUD with a finding made by the state coastal zone
management agency that the project proposed by the applicant is
consistent with the approved state coastal zone management program.

10. Site Affecting a Sole Source Aquifer

Threshold: The sole source aquifer authority applies primarily
to activities involving proposed new construction or conversion to
housing of non-residential property. Projects that can affect
aquifers designated by the Environmental Protection Agency (EPA)
must be reviewed for impact on such designated aquifer sources. The
Safe Drinking Water Act of 1974 requires protection of drinking
water systems that are the sole or principal drinking water source
for an area and which, if contaminated, would create a significant
hazard to public health.
*Documentation: You are to select either A or B for the
condition that best describes the project and report the option
selected in item 10 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the proposed property is not located on nor does
it affect a sole source aquifer designated by EPA.
B. If your project proposes new construction or conversion
activities that are located on or may affect any sole source aquifer
designated by the EPA, you are identifying the aquifer and providing
HUD with an explanation of the effect on the aquifer from a
qualified data source, and/or a copy of any comments on the proposed
project that have been received from the EPA Regional Office as well
as from any state or local agency with jurisdiction for protecting
the drinking water system.

11. Site Affecting Endangered Species

Threshold: The Endangered Species Protection (ESP) authority
applies primarily to activities involving proposed new construction
or conversion to housing of a non-residential property. Projects
which can affect listed or proposed endangered or threatened species
or critical habitats require consultation with the Department of the
Interior or the Department of Commerce in compliance with the
procedure of section 7 of the Endangered Species Act of 1973, as
amended.
*Documentation: You are to select either A or B for the
condition that best describes the property and report the option
selected in item 11 of section G.
A. If your project proposes new construction or conversion
activities, you are providing HUD with a finding made by a qualified
data source that the project is not likely to affect any listed or
proposed endangered or threatened species or critical habitat. The
finding shall indicate whether the project is located within a
critical habitat, and if so, explain why the project is not likely
to affect the species or habitat.
B. If your project proposes new construction or conversion
activities that are likely to affect listed or proposed endangered

[[Page 13990]]

or threatened species or critical habitat, you are providing HUD
with a statement from a qualified data source explaining the likely
effect, and/or a finding made by the Fish and Wildlife Service of
the Department of the Interior or the National Marine Fisheries
Service of the Department of Commerce stating as acceptable the
proposed mitigation that you will provide to protect any affected
endangered or threatened species or critical habitat.

12. Site Affecting a Designated Wetland

Threshold: New construction or conversion to housing of a non-
residential property located within a designated wetland is subject
to Executive Order 11990, Protection of Wetlands. This Executive
Order directs HUD to avoid, where practicable, financial support for
new construction on wetland property. Note: Proposed funding for new
construction or conversion is subject to the Executive Order
decisionmaking process. This may result in a disqualification of the
application (refer above to number 7 under ``Instructions to
Applicants'').
*Documentation: You are to select A or B for the condition that
best describes the property and report the option selected in item
12 of section G.
A. You are providing HUD with a finding made by a qualified data
source stating that the property is not located within a designated
wetland where new construction or conversion is proposed.
B. You are providing HUD with a finding made by a qualified data
source that the property is located within a designated wetland,
which applies only to property where new construction or conversion
is proposed.
The information for A and B must provide HUD with the wetland
panel number obtained from official maps issued by the Department of
the Interior on the basis of which the finding was made, or where
the Department of the Interior has not mapped the area, a letter or
other documentation from the Army Corps of Engineers, or other
federal agency.

13. Significant Impact to the Human Environment.

Threshold: HUD must perform an environmental assessment of any
property proposed for either:
a. Major rehabilitation of:
(1) Multifamily residential buildings (with more than four
units) that would: increase unit density by more than 20 percent,
change the land use, or cost 75 percent or more of the total
estimated cost of replacement after rehabilitation; or
(2) Buildings for residential use (with one to four units) that
would increase density beyond four units, change the land use, or
increase the footprint of the building in a floodplain or in a
wetland;
b. New construction except for (A) an individual action on up to
four dwelling units where there is a maximum of four units on any
one site (The units can be four one-unit buildings or one four-unit
building or any combination in between); and (B) an individual
action on a project of five or more housing units developed on
scattered sites, when the sites are more than 2,000 feet apart and
there are not more than four housing units on any one site. It is
the policy of the Department to reject proposals that have
significant adverse environmental impacts and to encourage the
modification of projects in order to enhance environmental quality
and minimize environmental harm. This policy is authorized by the
National Environmental Policy Act (NEPA) and the implementing
regulations of the Council on Environmental Quality and HUD's
Environmental regulations at 24 CFR part 50.
*Documentation: You are to provide HUD with any information on
any adverse environmental impacts that affect the property or that
the project would create. You are to report these data on a separate
sheet and attach it to Exhibit 2C(15). Examples of adverse impacts
are: soil instability and erodibility; natural or person-made
hazards and nuisances; air pollution; inadequate infrastructure
(e.g., water supply, waste water treatment, storm water management,
solid waste collection), inadequate public services (i.e., fire,
police, health care, social services, schools, parks) and
transportation; and encroachment on prime farmlands and wild and
scenic river areas. You are to identify any significant impacts to
the human environment.

APPENDIX B

The following non-standard forms are required for your
Youthbuild application. The Youthbuild forms were approved under OMB
Approval No. 2506-0142 (expiration 12/31/06).

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[[Page 14001]]

Housing Choice Voucher Family Self-Sufficiency Program Coordinators

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Public and Indian Housing, Office of Public
Housing and Voucher Programs.
B. Funding Opportunity Title: Housing Choice Voucher Family Self-
Sufficiency (FSS) Program Coordinators.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is FR-4950-N-17. The OMB approval number for this program is 2577-
0178.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.871,
Section 8 Housing Choice Vouchers.
F. Dates: Application Deadline: The application submission date is
May 20, 2005. Please see the General Section for application
submission, delivery, and timely receipt requirements.
G. Optional, Additional Overview Content Information: The purpose
of the Housing Choice Voucher FSS program is to promote the development
of local strategies to coordinate the use of assistance under the
Housing Choice Voucher program with public and private resources to
enable participating families to achieve economic independence and
self-sufficiency. The FSS program and this FSS NOFA support the
Department's strategic goals of increasing homeownership activities and
helping HUD-assisted renters make progress toward self-sufficiency. The
FSS program provides critical tools that can be used by communities to
support welfare reform and help families develop new skills that will
lead to economic self-sufficiency. As a result of their participation
in the FSS program, many families have achieved stable, well-paid
employment, which has made it possible for them to become homeowners.
An FSS program coordinator assures that program participants are linked
to the supportive services they need to achieve self-sufficiency.

Full Text of Announcement

I. Funding Opportunity Description

A. Authority and Program Description. The Consolidated
Appropriations Act, 2005, allows funding for program coordinators under
the Housing Choice Voucher FSS program. Through annual NOFAs, HUD has
provided funding to public housing agencies (PHAs) that are operating
Housing Choice Voucher FSS programs to enable those PHAs to employ
program coordinators to support their Housing Choice Voucher FSS
programs. In the Fiscal Year (FY) 2005 Housing Choice Voucher FSS
Program Coordinator NOFA, HUD is again making funding available to PHAs
to employ FSS program coordinators and FSS homeownership program
coordinators for one year. Funding priority under this NOFA will be
provided to applicants that demonstrate that their FSS families have
made progress in moving to homeownership. HUD will accept applications
from both new and renewal PHAs that have HUD approval to administer a
Housing Choice Voucher FSS program. PHAs funded under the Housing
Choice Voucher FSS NOFA in FY2004 are considered ``renewal'' PHAs in
this NOFA. These renewal PHAs are invited to apply for funds to
continue previously funded Housing Choice Voucher FSS program
coordinator and FSS homeownership coordinator positions that they have
filled. In addition, any renewal PHA that has demonstrated significant
progress in expanding FSS homeownership opportunities may apply for an
additional Housing Choice Voucher FSS homeownership coordinator to
support Housing Choice Voucher FSS homeownership activities. For
funding Category 1 of this NOFA only, eligible renewal PHA applicants
include PHAs that received funding under the FY2003 FSS NOFA.
Because of the importance of the FSS program in helping families
increase earned income and develop assets, HUD will also accept
applications from ``new'' PHAs, PHAs that do not qualify as renewal
PHAs under this FSS NOFA. The maximum number of positions that a new
applicant PHA, including new PHA joint applicants, may receive is one
full-time FSS program coordinator. Preference in funding these ``new''
applicant PHAs will be given to applicants with documented home
purchases by Housing Choice Voucher program participants and graduates.
A definition of the Housing Choice Voucher Home Purchase Percentage
that will be used for this preference is found in I.C.10 of this FSS
NOFA.
To support the Department's initiatives on Colonias, a selection
preference is again included in this NOFA for ``new'' applicant PHAs
that provide services and support to rural under-served communities in
the Southwest Border regions of Arizona, California, New Mexico, and
Texas. See Section III.C.3.c. of this NOFA for requirements that must
be met to qualify for the Colonias preference.
PHAs are encouraged to outreach to persons with disabilities who
are Housing Choice Voucher program participants and might be interested
in participating in the FSS program and to include agencies on their
FSS Program Coordinating Committee (PCC) that work with and provide
services for families with disabilities.
Applicants must administer the FSS program in accordance with HUD
regulations and requirements in 24 CFR part 984 which govern the
Housing Choice Voucher FSS Program and must comply with the existing
Housing Choice Voucher program requirements, notices and guidebooks.
B. Number of Positions for Which Eligible PHAs May Apply. Eligible
PHAs may apply for funding for Housing Choice Voucher FSS program
coordinator positions under this NOFA as follows:
1. Renewal PHAs. PHAs that qualify as eligible renewal PHAs under
this NOFA, may apply for:
a. Continuation of each FSS coordinator position, including
homeownership coordinator positions, awarded under the Housing Choice
Voucher FSS NOFA in FY2004 that has been filled by the PHA, and, for
funding Category 1 of this NOFA only, continuation of eligible
positions funded under the FY2003 FSS NOFA.
b. New Position. Up to one additional full-time Housing Choice
Voucher FSS homeownership program coordinator for renewal PHAs with
qualifying homeownership programs.
2. New PHAs. A PHA that meets the requirements for a new PHA under
this FSS NOFA, may apply for Housing Choice Voucher FSS program
coordinator positions as follows: a) Up to one full-time Housing Choice
Voucher FSS coordinator position for a PHA with HUD approval to
administer a Housing Choice Voucher FSS program of 25 or more FSS
slots. b) Up to one full-time Housing Choice Voucher FSS coordinator
position per application for joint PHA applicants that together have
HUD approval to administer a total of at least 25 Housing Choice
Voucher FSS slots.
C. Definitions. The following definitions apply to the funding
available under this NOFA.
1. Renewal PHA Applicant. A PHA or PHAs that received funding under
the Housing Choice Voucher FSS NOFA in FY2004. For purposes of Category
1 applicants only, eligible renewal PHAs also include PHAs that
received FSS funding in 2003.
2. New PHA Applicant. PHAs that did not receive funding under the
Housing Choice Voucher FSS NOFA in FY2004 that have HUD approval to
administer a Housing Choice Voucher FSS program

[[Page 14002]]

of at least 25 slots or that fulfill the 25 slot minimum by applying
jointly with one or more other PHAs.
3. FSS Program Size. The total number of Housing Choice Voucher FSS
program slots identified in the PHA's HUD-approved FSS Action Plan. The
total may include both voluntary and mandatory Housing Choice Voucher
FSS program slots.
4. Qualifying FSS Homeownership Program. Qualifying programs
include the Housing Choice Voucher program homeownership option or
other programs administered by the PHA or other entities that prepare
Housing Choice Voucher program FSS participants for making the
transition from renting to homeownership.
5. FSS Homeownership Percentage. A percentage that will be computed
by HUD for the purpose of establishing the order of funding of eligible
renewal applicants under this NOFA. It is the total number of an
applicant's Housing Choice Voucher FSS homeownership families as a
percentage of the PHA's Housing Choice Voucher FSS program
participants.
6. Total Number of FSS Homeownership Families. The total number of
Housing Choice Voucher FSS homeownership families enrolled in the
applicant's Qualifying Homeownership Programs as of the application due
date of this NOFA, plus the number of its Housing Choice Voucher FSS
graduates that moved to homeownership between October 1, 2000, and the
application due date of this NOFA. Homeownership participation of
families is reported to HUD on the FSS program coordinator application
and on the form HUD-50058. These numbers are subject to audit.
7. The Number of Housing Choice Voucher FSS Program Participants.
The number that is used to calculate the FSS Homeownership Percentage
of the applicant. It is the total number of families shown in HUD's PIC
data system as enrolled in the applicant's Housing Choice Voucher FSS
program on the application due date of this NOFA, plus the number of
families that successfully completed their Housing Choice Voucher FSS
contracts in the applicant's program between October 1, 2000, and the
application due date of this NOFA.
8. Percentage of Families with Positive FSS Escrow Balances. A
percentage that will be computed by HUD and used to determine funding
order under this NOFA. It is the number of Housing Choice Voucher FSS
families with positive escrow balances as a percentage of Housing
Choice Voucher FSS families with FSS progress reports submitted to HUD
on the Form HUD-50058. The data source is HUD's PIC data system records
of Form HUD-50058 Housing Choice Voucher FSS program progress reports
that were effective between October 1, 2003, and the application due
date of this NOFA.
9. Housing Choice Voucher Program Size. The number of Housing
Choice Vouchers in a PHA's voucher program as determined by HUD using
baseline data.
10. Housing Choice Voucher Program Home Purchase Percentage. A
percentage calculated for new applicant PHAs that are eligible for
funding under Category 3 of this FSS NOFA. It is the number of
documented home purchases by Housing Choice Voucher program
participants and graduates for the period from October 1, 2000 through
the application due date of this NOFA as a percentage of the
applicant's Housing Choice Voucher program size.

II. Award Information

A. Available Funds

This NOFA announces the availability of approximately $45.6 million
in FY2005 to employ FSS program and FSS homeownership coordinators for
the Housing Choice Voucher FSS program. If additional funding becomes
available during FY2005, HUD may increase the amount available for
Housing Choice Voucher FSS Program coordinators and Housing Choice
Voucher FSS homeownership coordinators under this NOFA. A maximum of
$63,000 is available for each full-time coordinator position funded.
Salaries are to be based on local comparables. The funding will be
provided as a one-year Housing Choice Voucher funding increment under
the PHA's Annual Contributions Contract (ACC). HUD reserves the right
to adjust funding for renewal positions in order to ensure a fair and
reasonable distribution of funding.

III. Eligibility Information

A. Eligible Applicants. PHAs eligible to apply for funding under
this NOFA are:
1. Renewal PHAs. Those PHAs that received funding under the Housing
Choice Voucher FSS NOFA in FY2004. To continue to qualify as renewal
PHAs, the FY2005 application of joint applicants must include at least
one PHA applicant that meets this standard. Joint applicants can change
the lead PHA in their FY2005 application. A PHA that was originally
funded as part of a joint application, that wishes to now apply
separately would continue to be considered a renewal PHA applicant for
funding purposes, but must be able to meet the FSS minimum program size
requirement of a HUD-approved Housing Choice Voucher FSS program of at
least 25 slots that applies to new applicant PHAs. For purposes of
Category 1 applicants only, eligible renewal PHAs also include PHAs
that received FSS funding in 2003.
2. New PHAs. PHAs that were not funded under the Housing Choice
Voucher FSS NOFA in FY2004. The new applicant PHA must be authorized
through its HUD-approved FSS Action Plan to administer a Housing Choice
Voucher FSS program of at least 25 slots, or be a PHA with HUD approval
to administer Housing Choice Voucher FSS programs of fewer than 25
slots that applies jointly with one or more other PHAs so that together
they have HUD approval to administer at least 25 Housing Choice Voucher
FSS slots. Joint applicants must specify a lead co-applicant that will
receive and administer the FSS program coordinator funding.
3. Moving to Work (MTW) PHAs. New and renewal PHAs that are under
the MTW demonstration may qualify for funding under this NOFA if the
PHA administers an FSS program. When determining the size of a MTW
PHA's HUD-approved FSS program, the PHA may request that the number of
FSS slots reflected in the PHA's MTW agreement be used instead of the
number in the PHA's FSS Action Plan.
4. Troubled PHAs. a. A PHA that has been designated by HUD as a
troubled PHA under the Section 8 Management Assessment Program (SEMAP),
or that has serious program management findings from Inspector General
audits or serious outstanding HUD management review or Independent
Public Accountant (IPA) audit findings for the PHA's Housing Choice
Voucher or Moderate Rehabilitation programs that are resolved prior to
application due date is eligible to apply under this NOFA. Serious
program management findings are those that would cast doubt on the
capacity of the PHA to administer its Housing Choice Voucher FSS
program in accordance with applicable HUD regulatory and statutory
requirements.
b. The requirements that apply to a PHA whose SEMAP troubled
designation has not been removed by HUD or the major program management
findings or other significant program compliance problems that have not
been resolved by the due date are stated in Section III.C.3.e. of this
NOFA.
B. Cost Sharing or Matching. None required.

[[Page 14003]]

C. Other. 1. Eligible Activities. Funds awarded to PHAs under this
FSS NOFA may only be used to pay salaries and fringe benefits of
Housing Choice Voucher FSS program staff. Funding may be used to employ
or otherwise retain for one year the services of Housing Choice Voucher
FSS program coordinators and Housing Choice Voucher FSS homeownership
coordinators. FSS coordinator support positions funded under previous
FSS NOFAs that made funding available for such FSS positions may be
continued. A part-time program coordinator may be retained where
appropriate.
2. Threshold Requirements. a. All Applicants.
(1) Each applicant must qualify as an eligible PHA under Section
III.A. of this NOFA and must have submitted their FSS application by
the application due date and in the format required in Section IV. of
this NOFA.
(2) All applications must include a Dun and Bradstreet Universal
Numbering System (DUNS) number. (See Section III.C. of the General
Section for further information about the DUNS number requirement.)
(3) Civil Rights Thresholds, Non-discrimination, Affirmatively
Furthering Fair Housing. All applicants must comply with these
requirements. Please see Section III.C. of the General Section for
details. Section 3 of the Housing and Urban Development Act of 1968
does not apply to this program.
(4) The PHA must have a financial management system that meets
federal standards. See Section III.C. of the General Section regarding
those applicants that may be subject to HUD's arranging for a pre-award
survey of an applicant's financial management system.
(5) Applicants must comply with the requirements for funding
competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531
et seq.) and other requirements as defined in the General Section.
b. Renewal Applicants. (1) Continued funding for existing
coordinator positions. In addition to meeting the requirements of
Section III.A.of this FSS NOFA, renewal PHA applicants must continue to
operate a Housing Choice Voucher FSS program, have filled eligible FSS
program coordinator positions for which they are seeking renewal
funding, executed FSS contracts of participation with Housing Choice
Voucher FSS program families and submitted reports on participant
families to HUD via the form HUD-50058.
(2) New position. Renewal PHAs applying for an additional Housing
Choice Voucher FSS Homeownership Coordinator must meet all requirements
in Section III.A. and III.C.2.a and b. above, and must administer or
participate in a qualifying homeownership program that serves Housing
Choice Voucher FSS program participants or graduates. Qualifying
homeownership programs include the Housing Choice Voucher program
homeownership option and other programs, which may be administer by the
PHA or another entity, that prepare Housing Choice Voucher program FSS
participants for making the transition from rental to homeownership.
c. New Applicants. New applicants must meet the requirements of
Section III.A. and Section III C.2.a of this FSS NOFA.
3. Program Requirements. a. Salary Comparables. For all positions
requested under this NOFA, evidence of salary comparability to similar
positions in the local jurisdiction must be kept on file in the PHA
office.
b. FSS Action Plan. The requirements for the FSS Action Plan are
stated in 24 CFR 984.201. For a new PHA applicant to qualify for
funding under this NOFA, the PHA's initial FSS Action Plan or amendment
to change the number of Housing Choice Voucher FSS slots in the PHA's
previously HUD-approved FSS Action Plan, must be submitted to and
approved by the PHA's local HUD field office prior to the application
due date of this FSS NOFA. An FSS Action Plan can be updated by means
of a simple one-page addendum that reflects the total number of Housing
Choice Voucher FSS slots (voluntary and /or mandatory slots) the PHA
intends to fill. New PHA applicants with previously approved Housing
Choice Voucher FSS Action Plans may wish to confirm the number of HUD-
approved slots their local HUD field office has on record for the PHA.
A MTW PHA may request that the number of FSS slots reflected in its MTW
agreement be used instead of the number of slots in the PHA's FSS
Action Plan.
c. Colonias Preference. New applicant PHAs claiming the Colonias
preference must meet the requirements of Section III.A. and Section
III.C.2.a and III.C.2.c. of this FSS NOFA and must operate in a
Southwest border area that contains Colonia communities and administer
programs that include outreach to members of those Colonia communities.
Attachment A of this NOFA provides a listing of PHAs in Arizona,
California, New Mexico, and Texas that HUD has identified as operating
in areas containing Colonia communities. PHAs not listed in Attachment
A that are claiming the Colonias preference will be required to include
in their application submission a written request that HUD determine
their eligibility for the preference.
d. Homeownership Preferences. See priority funding categories in
Section V.B.2. of this FSS NOFA.
e. Troubled PHAs. A PHA whose SEMAP troubled designation has not
been removed by HUD or that has major program management findings or
other significant program compliance problems that have not been
resolved by the application due date, may apply if the PHA submits an
application that designates another organization or entity that is
acceptable to HUD that:
(1) Includes an agreement by the other organization or entity to
administer the FSS program on behalf of the PHA; and
(2) In the instance of a PHA with unresolved major program
management findings, includes a statement that outlines the steps the
PHA is taking to resolve the program findings.
Immediately after the publication of this NOFA, the Office of
Public Housing in the local HUD field office will notify, in writing,
those PHAs that have been designated by HUD as troubled under SEMAP,
and those PHAs with unresolved major program management findings or
other significant program compliance problems that are not eligible to
apply without such an agreement. Concurrently, the local HUD field
office will provide a copy of each such written notification to the
Director of the Grants Management Center.
f. Conducting Business in Accordance with Core Values and Ethical
Standards. To reflect core values, all PHAs shall develop and maintain
a written code of conduct in the PHA administrative plan that:
(1) Requires compliance with the conflict of interest requirements
of the Housing Choice Voucher Program at 24 CFR 982.161; and
(2) Prohibits the solicitation or acceptance of gifts or
gratuities, in excess of a nominal value, by any officer or employee of
the PHA, or any contractor, subcontractor, or agent of the PHA. The
PHA's administrative plan shall state PHA policies concerning PHA
administrative and disciplinary remedies for violation of the PHA code
of conduct. The PHA shall inform all officers, employees, and agents of
its organization of the PHA's code of conduct.

IV. Application and Submission Information

A. Addresses to Request Application Package

1. Web site. A copy of this funding announcement for the Housing
Choice

[[Page 14004]]

Voucher FSS Program may be downloaded from the following web site:
http://www.grants.gov.
2. Application Kit. There is no application kit for this NOFA. This
announcement contains all the information necessary for the submission
of your application for Housing Choice Voucher FSS program coordinator
funding.
3. Further Information. You may request general information, copies
of the General Section and of a Program NOFA or NOFAs, from the NOFA
Information Center (800-HUD-8929) or 800-HUD-2209 (TTY) between the
hours of 10 a.m. and 6:30 p.m. (Eastern Time) Monday through Friday,
except on federal holidays. When requesting information, please refer
to the name of the program you are interested in. The NOFA Information
Center opens for business simultaneously with the publication of the
SuperNOFA. You can also obtain information on this NOFA and download
application information for this NOFA through the web site, http://www.grants.gov.
4. Technical Assistance. See Section VII. of this FSS funding
announcement.

B. Content and Form of Application Submission

1. Content of Application. Each new and renewal PHA must complete
the form SF-424, the SF-LLL, if appropriate, and the Form HUD-52651,
the new FSS application form. In addition, the application must include
a completed Logic Model (from HUD 96010) showing proposed performance
measures. See the General Section for information on, and a copy of,
the Logic Model. A copy of the HUD-52651 follows immediately after
Attachment A of this NOFA. In completing the SF-424, renewal PHAs
should select the continuation box on question 8, type of application.
Both new and renewal PHA applicants should enter the proposed Annual
Contributions Contract (ACC) amendment effective and ending dates for
the FSS coordinator funding in 13 of the SF-424. In section 15 of SF-
424, estimated funding, complete only 15.a., which will be the amount
requested from HUD in the FY2005 FSS application, and 15.g., Total.
2. Forms, Certifications, and Assurances. See section IV.B. of the
General Section.

C. Submission Date and Time

Your completed application must be submitted and received by
Grants.gov no later than 11:59:59 p.m. eastern time on the application
submission date of May 20, 2005. Applicants should carefully read the
section titled ``APPLICATION and SUBMISSION INFORMATION'' in part IV.
of the General Section regarding HUD's procedures pertinent to the
submission of your application as they have changed significantly this
year.

D. Intergovernmental Review

Applicants submitting applications under this funding announcement
are not subject to intergovernmental review; i.e., Executive Order (EO)
12372, Intergovernmental Review of Federal Program.

E. Funding Restrictions

1. Salary Cap. Awards under this NOFA are subject to a cap of
$63,000 per year per full time coordinator position funded. Under this
NOFA, if PHAs apply jointly, the $63,000 maximum amount that may be
requested per position applies to up to one full time coordinator
position for the application as a whole, not to each PHA separately.
2. Limitation on Renewal Funding Increases. For renewal coordinator
positions, PHAs will be limited to a one percent increase above the
amount of the most recent award for the position unless a higher
increase is approved by the local HUD field office after review of the
PHA's written justification and at least three comparables that must be
submitted to the field office by the PHA at the time they submit their
FY2005 Housing Choice Voucher FSS Program Coordinator application to
HUD. Examples of acceptable reasons for increases above one percent
would be need for a coordinator with higher level of skills or to
increase the hours of a part time coordinator to full time. Total
positions funded cannot exceed the maximum number of positions for
which the PHA is eligible under this NOFA.
3. Ineligible Activities. a. Funds under this NOFA may not be used
to pay the salary of an FSS coordinator for a public housing FSS
program. A Housing Choice Voucher FSS program coordinator may only
serve Housing Choice Voucher families while the public housing FSS
program serves only public housing residents. In FY2005, funding for
public housing FSS program coordinators is being made available through
the Public Housing Resident Opportunities and Self-Sufficiency (ROSS)
NOFA for Public Housing FSS Program Coordinators that is included in
the FY2005 SuperNOFA.
b. Funds under this FSS NOFA may not be used to pay for services
for FSS program participants.

F. Other Submission Requirements

1. Application Submission and Receipt Procedures. See IV.F of the
General Section. Electronic application submission is mandatory unless
an applicant requests, and is granted, a waiver to the requirement.
Procedures for obtaining a waiver are contained in Section IV.F of the
General Section.

V. Application Review Information

A. Criteria. The funds available under this NOFA are being awarded
based on demonstrated performance. Applications are reviewed by the
local HUD field office and GMC to determine whether or not they are
technically adequate based on the NOFA requirements. Field offices will
provide to the GMC in a timely manner, as requested, information needed
by the GMC to make its determination, such as the HUD-approved Housing
Choice Voucher FSS program size of new PHA applicants and information
on the administrative capabilities of PHAs. Categories of applications
that will not be funded are stated in Section V.B.6. of this FSS NOFA.
B. Reviews and Selection Process. 1. Technically Acceptable
Applications. All technically adequate applications will be funded to
the extent funds are available.
2. Funding Priority Categories. If HUD receives applications for
funding greater than the amount made available under this NOFA, HUD
will divide eligible applications into priority categories as follows:
Funding Category 1--Applications from eligible renewal PHAs with
qualifying homeownership programs for continuation of previously funded
eligible positions where the PHA has hired the funded FSS and
homeownership coordinators and the PHA can demonstrate that a minimum
of five (5) Housing Choice Voucher FSS program participants or
graduates purchased homes between October 1, 2000 and the application
due date of this FSS NOFA (that can be confirmed by homeownership
information in the PIC data base from form HUD-50058) or as otherwise
reported for Moving to Work (MTW) homeownership. For purposes of
Category 1 applicants only, eligible renewal PHAs also include PHAs
that received FSS funding in FY 2003.
Funding Category 2--Eligible renewal PHAs with qualifying
homeownership programs for continuation of previously funded eligible
positions where the PHA has hired funded coordinators and completed one
of the following: (a) As of the application due date of this FSS

[[Page 14005]]

NOFA, has successfully enrolled a minimum of twenty-five (25) Housing
Choice Voucher FSS families into homeownership preparation activities,
including homeownership counseling; or (b) Between October 1, 2000 and
the application due date of this FSS NOFA, a minimum of one (1) Housing
Choice Voucher FSS family completed purchase of a home as reported in
the PIC data base or as otherwise reported for MTW homeownership
closings.
Funding Category 3--Applications from eligible new applicant PHAs
that wish to initiate an FSS homeownership program that serves Housing
Choice Voucher families. Those PHAs with documented home purchases by
Housing Choice Voucher program participants and graduates and PHAs
qualifying for the Colonias preference will receive preference.
Funding Category 4--Applications from eligible renewal PHAs with
qualifying homeownership programs that request funding for an
additional Housing Choice Voucher FSS homeownership position to expand
their FSS homeownership programs provided the applicant can document
that a minimum of ten (10) Housing Choice Voucher FSS participants or
graduates completed purchases of homes between October 1, 2000 and the
application due date of this FSS NOFA.
Funding Category 5--Applications from new applicant PHAs that have
an existing Housing Choice Voucher FSS program and can demonstrate they
have a minimum of ten (10) Housing Choice Voucher FSS families with
existing positive escrow balances as of the application due date of the
FSS NOFA or have had a minimum of 20 families that have graduated from
the Housing Choice Voucher FSS program between October 1, 2000 and the
application due date of this FSS NOFA.
3. Order of Funding. Starting with Funding Category 1, HUD will
first determine whether there are sufficient monies to fund all
eligible positions requested in the funding category. If available
funding is not sufficient to fund all positions requested in the
category, HUD will fund applications in the following order:
(a) Funding Category 1. HUD will calculate for each eligible
applicant, the PHA's FSS Homeownership Percentage and Positive Escrow
Percentage and will use these percentages in making funding decisions.
Definitions and a description of the calculation of the FSS
Homeownership Percentage and the Positive Escrow Percentage are
included in Section I.C. of this NOFA.
HUD will begin funding eligible Funding Category 1 applicants
starting with the PHAs with the highest FSS Homeownership Percentage
first. If monies are not sufficient to fund all applicants with the
same FSS Homeownership Percentage, HUD will fund eligible applicants in
order starting with those that have the highest Positive Escrow
Percentage first. If funding is not sufficient to fund all applicants
with the same FSS Homeownership Percentage and/or Positive Escrow
Percentage, HUD will select among eligible applicants by Housing Choice
Voucher program size starting with eligible applicants with the
smallest Housing Choice Voucher program size first.
(b) Funding Category 2. If funding remains after funding all
Funding Category 1 applications, HUD will then process eligible Funding
Category 2 applications. HUD will calculate the FSS Homeownership
Percentage and Positive Escrow Percentage for Funding Category 2
applicants as it did for Funding Category 1 applicants. If there are
not sufficient monies to fund all Funding Category 2 applications, HUD
will begin funding Funding Category 2 applications starting with
applicants with the highest FSS Homeownership Percentage first. If
there is not enough funding for all applicants with the same FSS
Homeownership Percentage, HUD will use Positive Escrow Percentage to
determine selection order, starting with applicants with the highest
Positive Escrow Percentage. If monies are not sufficient to fund all
applicants with the same FSS Homeownership Percentage and Positive
Escrow Percentage, HUD will select eligible applicants by Housing
Choice Voucher program size starting with eligible applicants with the
smallest Housing Choice Voucher program size first.
(c) Funding Category 3. If funding remains after funding all
Funding Category 1 and 2 applications, HUD will then process requests
of eligible Funding Category 3 applicant PHAs. HUD will first calculate
the Housing Choice Voucher Program Home Purchase Percentage for all
eligible Funding Category 3 applicants. This percentage is the number
of documented home purchases by Housing Choice Voucher program
participants and graduates for the period from October 1, 2000 through
the application due date of this NOFA as a percentage of the
applicant's Housing Voucher Program size. If there are not sufficient
monies to fund all eligible positions requested, HUD will begin funding
positions starting with PHAs eligible for the Colonias preference,
starting with PHAs with the smallest Housing Choice Voucher program
size first. If monies are still available, HUD will begin funding
Category 3 applications from PHAs with the highest Housing Choice
Voucher Program Home Purchase Percentage first. If there are not
sufficient monies to fund all applications with the same percentage of
documented home purchases, HUD will select eligible applicants in order
by Housing Choice Voucher program size starting with eligible
applicants with the smallest Housing Choice Voucher program size first.
(d) Funding Category 4. If funds remain after funding all Category
1 through 3 applicants have been funded, HUD will then process
applications from eligible renewal applicants that have requested
funding for an additional FSS coordinator position to support Housing
Choice Voucher FSS homeownership activities. If there are not
sufficient monies to fund all eligible positions requested, HUD will
use the FSS Homeownership Percentage and the Positive Escrow Percentage
that has been calculated for these PHAs and will begin funding eligible
applications starting with applicants with the highest FSS
Homeownership Percentage first. If monies are not sufficient to fund
all applicants with the same FSS Homeownership Percentage, HUD will use
Positive Escrow Percentage to determine selection order, starting with
applicants with the highest Positive Escrow Percentage. If monies are
not sufficient to fund all applicants with the same FSS Homeownership
Percentage and Positive Escrow Percentage, HUD will select eligible
applicants by Housing Choice Voucher program size starting with
eligible applicants with the smallest Housing Choice Voucher program
size first.
(e) Funding Category 5. If funding remains after funding all
Funding Category 1 through 4 applicants, HUD will then process
applications from eligible Funding Category 5 applicants for an initial
coordinator position. If there are not sufficient monies to fund all
eligible Category 5 applicants, HUD will first fund applications from
eligible Funding Category 5 applicants that qualify for the Colonias
preference starting with the smallest Housing Choice Voucher programs
first. If funding remains, HUD will calculate the Positive Escrow
Percentage for all remaining Category 5 applications and will begin
funding Category 5 applications starting with applicants with the
highest Positive Escrow Percentage first. If monies are not sufficient
to fund all applicants with the same Positive Escrow Percentage, HUD
will select eligible applicants by Housing Choice Voucher program size

[[Page 14006]]

starting with eligible applicants with the smallest Housing Choice
Voucher program size first.
(f) Remaining Funds. If any funding remains, HUD will calculate the
FSS Homeownership Percentage and Positive Escrow Percentage for all
remaining eligible applicants and will begin funding any remaining
eligible applications starting with those with the highest FSS
Homeownership Percentage first. If funding remains, HUD will then begin
funding any remaining unfunded applications starting with those with
the highest positive escrow percentage.
4. Based on the number of applications submitted, the GMC may elect
not to process applications for a funding priority category where it is
apparent that there are insufficient funds available to fund any
applications within the priority category.
5. Corrections to Deficient Applications. a. The General Section of
the NOFA provides the procedures for corrections to deficient
applications. An example of a correctable technical deficiency
includes, but is not limited to: submission of a Form SF-424 or FSS
application Form HUD-52651 with missing information.
6. Unacceptable Applications. After the technical deficiency
correction period (as provided in the General Section), the GMC will
disapprove PHA applications that it determines are not acceptable for
processing. Applications from PHAs that fall into any of the following
categories are ineligible for funding under this NOFA and will not be
processed:
a. An application submitted by an entity that is not an eligible
PHA as defined under Section III.A. and Section III.C. of this FSS NOFA
or an application that does not comply with the requirements of Section
IV.B. IV.C. and IV.F. of this FSS NOFA.
b. An application from a PHA that does not meet the fair housing
and civil rights compliance requirements of the General Section of the
NOFA.
c. An application from a PHA that does not comply with the
prohibition against lobbying activities of this NOFA.
d. An application from a PHA that as of the application due date
has not made progress satisfactory to HUD in resolving serious
outstanding Inspector General audit findings, or serious outstanding
HUD management review or IPA audit findings for the Housing Choice
Voucher program and/or Moderate Rehabilitation program or a
``troubled'' rating under SEMAP, and has not designated another
organization acceptable to HUD to administer the FSS program on behalf
of the PHA as required in Section III.C.3.e. of this FSS NOFA.
e. An application from a PHA that has been debarred or otherwise
disqualified from providing assistance under the program.
f. An application that did not meet the application due date and
timely receipt requirements as specified in this NOFA and the General
Section.
g. Applications will not be funded which do not meet the Threshold
requirements identified in this NOFA and the General Section.
C. Anticipated Announcement and Award Dates. It is anticipated the
announcement of Housing Choice Voucher FSS program coordinator awards
will take place during either the months of July or August 2005.

VI. Award Administration Information

A. Award Notices. Successful applicants will receive an award
letter from HUD. Funding will be provided to successful applicants as
an amendment to the Annual Contributions Contract (ACC) of the
applicant PHA. In the case of awards to joint applicants, the funding
will be provided as an amendment to the ACC of the lead PHA that was
identified in the application.
Unsuccessful applicants will receive a notification of rejection
letter from that GMC that will state the basis for the decision. The
applicant may request an applicant debriefing. Beginning not less than
30 days after the awards for assistance are publicly announced in the
Federal Register and for at least 120 days after awards for assistance
are announced publicly, HUD will, upon receiving a written request,
provide a debriefing to the requesting applicant. (See Section VI.A. of
the General Section for additional information regarding a debriefing.)
Applicants requesting to be debriefed must send a written request to:
Iredia Hutchinson, Director; Grants Management Center; U. S. Department
of Housing and Urban Development, 501 School Street, SW., Suite 800;
Washington, DC 20024.
B. Administrative and National Policy Requirements.
1. Environmental Impact. No environmental review is required in
connection with the award of assistance under this NOFA, because the
NOFA only provides funds for employing a coordinator that provides
public and supportive services, which are categorically excluded from
environmental review under the National Environmental Policy Act of
1969 (42 U.S.C. 4321) and not subject to compliance actions for related
environmental authorities under 24 CFR 50.19(b)(4) and (12).
2. HUD's Strategic Goals. HUD is committed to ensuring that
programs result in the achievement of HUD's strategic mission. The FSS
program and this FSS NOFA support the Department's strategic goals of
increasing homeownership activities and helping HUD-assisted renters
make progress toward self-sufficiency by giving funding preference to
PHAs whose FSS programs show success in moving families to self-
sufficiency and homeownership. You can find out about HUD's Strategic
Framework and Annual Performance Plan at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
3. HUD Policy Priorities. This NOFA supports the HUD policy
priority of providing increased homeownership opportunities to program
participants. In this NOFA, funding priority is given to those PHA
applicants that demonstrate that their FSS families have participated
in homeownership programs. See Section V.B. of the General Section for
a full discussion of HUD's policy priorities.
C. Reporting. Successful applicants must report activities of their
FSS enrollment, progress and exit activities of their FSS program
participants through required submissions of the Form HUD-50058. HUD's
assessment of the accomplishments of the FSS programs of PHAs funded
under this NOFA will be based primarily on Public Housing Information
Center (PIC) system data obtained from the Form HUD-50058. MTW PHAs
that do not report to HUD on the Form HUD-50058 will be asked to submit
an annual report to HUD with the same information on FSS program
activities that is provided to HUD by non-MTW PHAs via the Form HUD-
50058. An applicant is also required to submit a completed Logic Model
showing accomplishments against proposed outputs and outcomes as part
of their annual reporting requirement to HUD. In addition, HUD requires
that funded recipients collect racial and ethnic beneficiary data. It
has adopted the Office of Management and Budget's Standards for the
Collection of Racial and Ethnic Data. In view of these requirements,
funded recipients should use Form HUD-27061, Racial and Ethnic Data
Reporting Form (found on http://www.HUDclips.org), a comparable program
form, or a comparable electronic data system for this purpose.

VII. Agency Contacts

A. For Technical Assistance. For answers to your questions, you may
contact the Public and Indian Housing Resource Center at 800-955-2232.

[[Page 14007]]

Persons with hearing or speech impairments may access this number via
TTY (text telephone) by calling the Federal Information Relay Service
at 800-877-8339. (These are toll-free numbers). Prior to the
application deadline, staff at the numbers given above will be
available to provide general guidance, but not guidance in actually
preparing the application. Following selection, but prior to award, HUD
staff will be available to assist in clarifying or confirming
information that is a prerequisite to the offer of an award by HUD.
B. Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the Housing
Choice Voucher FSS program and preparation of an application. For more
information about the date and time of this broadcast, you should
consult the HUD web site at http://www.hud.gov.

VIII. Other Information

A. Paperwork Reduction Act: The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0178. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average one hour per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing, and reporting the data for the application
and other required reporting. The information will be used for grantee
selection and monitoring the administration of funds. Response to this
request for information is required in order to receive the benefits to
be derived.
B. Public Access, Documentation, and Disclosure. See Section VIII.
F. of the General Section.

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Rural Housing and Economic Development Program Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Community Planning and Development, Office of Rural
Housing and Economic Development.
B. Funding Opportunity Title: Rural Housing and Economic
Development (RHED) program.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
4950-N-34. The OMB approval number is 2506-0169.
E. Catalog of Federal Domestic Assistance (CFDA) Number: Rural
Housing and Economic Development. The CDFA number is 14.250.
F. Application Due Date: The application submission date is May 17,
2005.
G. Optional Additional Overview Information: 1. The purpose of the
Rural Housing and Economic Development program is to build capacity at
the state and local level for rural housing and economic development
and to support innovative housing and economic development activities
in rural areas. The funds made available under this program will be
awarded competitively through a selection process conducted by HUD in
accordance with the HUD Reform Act.

Full Text of Announcement

I. Funding Opportunity Description

A. Background

There has been a growing national recognition of the need to
enhance the capacity of local rural nonprofit organizations, community
development corporations, federally recognized Indian tribes, state
housing finance agencies (HFAs) and state economic development and
community development agencies to expand the supply of affordable
housing and to engage in economic development activities in rural
areas. A number of resources are available from the federal government
to address these problems, including programs of the United States
Department of Agriculture (USDA), the Economic Development
Administration (EDA), the Appalachian Regional Commission (ARC), the
Department of Interior (for Indian tribes), and HUD. The Rural Housing
and Economic Development program was developed to supplement these
resources and to focus specifically on capacity building and promoting
innovative approaches to housing and economic development in rural
areas. In administering these funds, HUD encourages you to coordinate
your activities with those supported by any of the agencies listed
above.

B. Definitions

1. Appalachia's Distressed Counties means those counties in
Appalachia that the Appalachian Regional Commission (ARC) has
determined to have unemployment and poverty rates that are 150 percent
of the respective U.S. rates and a per capita income that is less than
67 percent of the U.S. per capita income, and have counties with 200
percent of the U.S. poverty rate and one other indicator, such as the
percentage of overcrowded housing. Refer to www.arc.gov for a list of
ARC distressed counties and more information.
2. Colonia means any identifiable, rural community that:
a. Is located in the state of Arizona, California, New Mexico, or
Texas;
b. Is within 150 miles of the border between the U.S. and Mexico;
and
c. Is determined to be a Colonia on the basis of objective need
criteria, including a lack of potable water supply, lack of adequate
sewage systems, and lack of decent, safe, sanitary, and accessible
housing.
3. Farm Worker means a farm employee of an owner, tenant, labor
contractor, or other operator raising or harvesting agricultural or
aquacultural commodities; or a worker in the employment of a farm
operator, handling, planting, drying, packing, grading, storing,
delivering to storage or market, or carrying to market agricultural or
aquacultural commodities produced by the operator. Seasonal farm
workers are those farm employees who typically do not have a constant
year-round salary.
4. Firm Commitment means a letter of commitment from a partner by
which an applicant's partner agrees to perform an activity specified in
the application, demonstrates the financial capacity to deliver the
resources necessary to carry out the activity and commits the resources
to the activity, either in cash or through in-kind contributions. It is
irrevocable, subject only to approval and receipt of a FY2005 Rural
Housing and Economic Development grant. Each letter of commitment must
include the organization's name and applicant's name, reference the
Rural Housing and Economic Development program, and describe the
proposed total level of commitment and responsibilities, expressed in
dollar value for cash or in-kind contributions, as they relate to the
proposed program. The commitment must be written on the letterhead of
the participating organization, must be signed by an official of the
organization legally able to make commitments on behalf of the
organization, and must be dated no earlier than the date of publication
of this NOFA. In documenting a firm commitment, the applicant's partner
must:
a. Specify the authority by which the commitment is made, the
amount of the commitment, the proposed use of funds, and the
relationship of the commitment to the proposed investment. If the
committed activity is to be self-financed, the applicant's partner must
demonstrate its financial capability through a corporate or personal
financial statement or other appropriate means. If any portion of the
activity is to be financed through a lending institution, the
participant must provide evidence of the institution's commitment to
fund the loan;
b. Affirm that the firm commitment is contingent only upon the
receipt of FY2005 Rural Housing and Economic Development funds and
state a willingness on the part of the signatory to sign a legally
binding agreement (conditioned upon HUD's environmental review and
approval of a property where applicable) upon award of the grant.
5. Federally Recognized Indian tribe means any tribal entity
eligible to apply for funding and services from the Bureau of Indian
Affairs by virtue of its status as an Indian tribe. The list of
federally recognized Indian tribes can be found in the notice published
by the Department of the Interior on December 5, 2003 (68 FR 68180) and
is also available from HUD.
6. Innovative Housing Activities means projects, techniques,
methods, combinations of assistance, construction materials, energy
efficiency improvements, or financing institutions or sources new to
the eligible area or to its population. The innovative activities can
also build upon and enhance a model that already exists.
7. Local Rural Nonprofit Organization or Community Development
Corporation means either of the following:
a. Any private entity with tax-exempt status recognized by the
Internal Revenue Service (IRS) which serves the eligible rural area
identified in the application (including a local affiliate of a
national organization that provides technical and capacity building
assistance in rural areas); or
b. Any public nonprofit entity such as a Council of Governments
that will serve specific local nonprofit organizations in the eligible
area.

[[Page 14014]]

8. Lower Mississippi Delta Region means the eight-state, 240-
county/parish region defined by Congress in the Lower Mississippi Delta
Development Act, Public Law 100-460. Refer to www.dra.gov for more
information.
9. Eligible Rural Area means one of the following:
a. A non-urban place having fewer than 2,500 inhabitants (within or
outside of metropolitan areas).
b. A county or parish with an urban population of 20,000
inhabitants or less.
c. Territory, including its persons and housing units, in the rural
portions of ``extended cities.'' The U.S. Census Bureau identifies the
rural portions of extended cities.
d. Open country that is not part of or associated with an urban
area. The USDA describes ``open country'' as a site separated by open
space from any adjacent densely populated urban area. Open space
includes undeveloped land, agricultural land, or sparsely settled
areas, but does not include physical barriers (such as rivers and
canals), public parks, commercial and industrial developments, small
areas reserved for recreational purposes, or open space set aside for
future development.
e. Any place with a population not in excess of 20,000 and not
located in a Metropolitan Statistical Area.
10. State Community and/or Economic Development Agency means any
state agency that has promotion of economic development statewide or in
a local community as its primary purpose.
11. State Housing Finance Agency means any state agency created to
assist local communities and housing providers with financing
assistance for development of housing in rural areas, particularly for
low- and moderate-income people.

II. Award Information

A. Amount Allocated

1. Available Funds. Approximately $24 million in Fiscal Year (FY)
2005 funding (plus any additional funds available through recapture)
are being made available through this NOFA.
2. Funding Categories and Maximum Award Amounts. HUD will award up
to approximately $24 million on a competitive basis in the following
funding categories. Applicants must apply for funds in only one of the
two categories: Category 1--Capacity Building, or Category 2--Support
for Innovative Housing and Economic Development Activities.
a. Category 1: Capacity Building. HUD will award up to
approximately $10 million to applicants for capacity building
activities. This amount will go directly to local rural nonprofit
organizations or community development corporations or federally
recognized Indian tribes to increase an organization's capacity to
support innovative housing and economic development activities. The
maximum amount awarded to a successful applicant in this category will
be $150,000.
b. Category 2: Support for Innovative Housing and Economic
Development Activities. HUD will award up to approximately $14 million
to federally recognized Indian tribes, state housing finance agencies
(HFAs), state community and/or economic development agencies, local
rural nonprofit organizations or community development corporations to
support innovative housing and economic development activities in rural
areas throughout the nation. The maximum amount awarded to a successful
applicant in this category will be $400,000.

B. Grant Amount

In the event, you, the applicant, are awarded a grant that has been
reduced (e.g., the application contained some activities that were
ineligible or budget information did not support the request), you will
be required to modify your project plans and application to conform to
the terms of HUD's approval before execution of the grant agreement.
HUD reserves the right to reduce or de-obligate the award if
suitable modifications to the proposed project are not submitted by the
awardee within 90 days of the request. Any modifications must be within
the scope of the original application. HUD reserves the right to not
make awards under this NOFA.

C. Grant Period

Recipients will have 36 months from the date of the executed grant
agreement to complete all project activities.

D. Notification of Approval or Disapproval

HUD will notify you whether or not you have been selected for an
award. If you are selected, HUD's notice to you concerning the amount
of the grant award (based on the approved application) will constitute
HUD's conditional approval, subject to negotiation and execution of a
grant agreement by HUD.

III. Eligibility Information

A. Eligible Applicants

Eligible applicants for the Rural Housing and Economic Development
program are local rural nonprofit organizations and community
development corporations, federally recognized Indian tribes, state
housing finance agencies and state community and/or economic
development agencies. Also, you must meet all of the applicable
eligibility requirements described in Section III.C of the General
Section. Eligible applicants for each of the funding categories are as
follows:
1. For Capacity Building Funding. If you are a local rural
nonprofit, including grassroots, faith-based and other community-based
grassroots organization, community development corporation, or
federally recognized Indian tribe, you are eligible for capacity
building funding to carry out innovative housing and economic
development activities that should lead to an applicant becoming self-
sustaining in the future.
2. For Support for Innovative Housing and Economic Development
Activities Funding. If you are a local rural nonprofit organizations,
including grassroots, faith-based and other community-based grassroots
organization, community development corporation, federally recognized
Indian tribe, state HFA, or state economic development or community
development agency, you may apply for funding to support innovative
housing and economic development activities in rural areas.

B. Cost Sharing or Matching

There is no match required under the Rural Housing and Economic
Development program. Applicants that submit evidence of leveraging
dollars under Rating Factor 4 ``Leveraging Resources'' will receive
points according to the scale under that factor.

C. Other

1. Eligible Activities. The following are examples of eligible
activities under the Rural Housing and Economic Development program.
These examples are illustrative and are not meant to limit the
activities that you may propose in your application:
a. For Capacity Building Funding. Capacity building for innovative
Rural Housing and Economic Development involves the enhancement of
existing organizations to carry out new functions or to perform
existing functions more effectively. Permissible activities include,
but are not limited to, the following:
(1) Enhancement of existing functions or creation of new functions
to provide affordable housing and economic development in rural areas;

[[Page 14015]]

(2) Acquisition of additional space and support facilities;
(3) Salaries for additional staff needed to conduct the work,
including financial management specialists, and economic development
specialists;
(4) Training of staff in the areas of financial management,
economic development financing, housing accessibility and visitability
standards, fair housing issues, and complaint filing;
(5) Development of business plans to help the organization become
self-sustaining;
(6) Development of Management Information Systems (MISs) and
software to enable better and more accurate reporting of information to
HUD and to other entities;
(7) Development of feasibility studies and market studies;
(8) Training in energy efficiency in construction for housing and
commercial projects;
(9) Housing counseling services, including fair housing counseling,
information on budgeting, and information on credit and available
federal programs;
(10) Conducting conferences or meetings with other federal or state
agencies to inform residents of programs, rights, and responsibilities
associated with homebuying opportunities; and
(11) Arranging for technical assistance to conduct needs
assessments, conduct asset inventories, and develop strategic plans.
b. For Support of Innovative Housing and Economic Development
Activities. This category is intended to support other costs for
innovative housing and economic development activities. Permissible
activities may include, but are not limited to the following:
(1) Cost of using new or innovative construction, energy
efficiency, or other techniques that will result in the design or
construction of innovative housing and economic development projects;
(2) Preparation of plans or of architectural or engineering
drawings;
(3) Preparation of legal documents, government paperwork, and
applications necessary for construction of housing and economic
development activities to occur in the jurisdiction;
(4) Acquisition of land and buildings;
(5) Demolition of property to permit construction or rehabilitation
activities to occur;
(6) Development of infrastructure to support the housing or
economic development activities;
(7) Purchase of construction materials;
(8) Job training to support the activities of the organization;
(9) Homeownership counseling, including fair housing counseling,
credit counseling, budgeting, access to credit, and other federal
assistance available;
(10) Conducting conferences or meetings with other federal or state
agencies tribes, tribally designated housing entities (TDHE) or
national or regional housing organizations, to inform residents of
programs, rights, and responsibilities associated with homebuying
opportunities;
(11) Development of feasibility studies and market studies;
(12) Development of Management Information Systems (MISs) and
software to enable better and more accurate reporting of information to
HUD and to other entities;
(13) Establishing Community Development Financial Institutions
(CDFIs), lines of credit, revolving loan funds, microenterprises, and
small business incubators; and
(14) Provision of direct financial assistance to homeowners/
businesses/developers, etc. This can be in the form of default
reserves, pooling/securitization mechanisms, loans, grants, funding
existing individual development accounts or similar activities.
2. Statutory and Regulatory Requirements. To be eligible for
funding under HUD NOFAs issued during FY2005, you, the applicant, must
meet all statutory and regulatory requirements applicable to this NOFA
as described in the General Section. HUD may also eliminate ineligible
activities from funding consideration and reduce funding amounts
accordingly.
3. General HUD Threshold Requirements. You must meet all threshold
requirements described in the General Section.
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Recipients of assistance under this NOFA must comply with
Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C.
1701u (Economic Opportunities for Low- and Very Low-Income Persons in
Connection with Assisted Projects) and the HUD regulations at 24 CFR
part 135, including the reporting requirements at subpart E. Section 3
requires recipients to ensure that, to the greatest extent feasible,
training, employment, and other economic opportunities will be directed
to low- and very-low income persons, particularly those who are
recipients of government assistance for housing, and business concerns
that provide economic opportunities to low- and very low-income
persons.
4. Program-Specific Threshold Requirements.
a. The application must receive a minimum rating score of 75 points
to be considered for funding.
b. HUD will only fund eligible applicants as defined in this NOFA
under Section III.A.
c. Applicants must serve an eligible rural area as defined in I. of
this NOFA.
d. Proposed activities must meet the objectives of the Rural
Housing and Economic Development program.
e. Applicants must demonstrate that their activities will continue
to serve populations that are in need and that beneficiaries will have
a choice of innovative housing and economic development opportunities
as a result of the activities.

IV. Application and Submission Information

A. Address to Request Application Package

This section describes how you may obtain application forms. Copies
of the published Rural Housing and Economic Development NOFA and
application forms may be downloaded from the Grants.gov Web site at
http://www.grants.gov/Apply. The web site contains the electronic forms
and the NOFA which includes forms and other attachments. The NOFA and
forms is a zip file found under instructions. You may call the
Grants.gov support desk at 800-518-GRANTS, or email the support desk at
Grants.gov">Support@Grants.gov for assistance in downloading the application.
You may request general information and paper copies of this NOFA
from the NOFA Information Center (800-HUD-8929 or 800-HUD-2209 (TTY))
between the hours of 10 a.m. and 6:30 p.m. (Eastern Time) Monday
through Friday, except on federal holidays. When requesting
information, please refer to the name of the program you are interested
in. Be sure to provide your name, address (including zip code), and
telephone number (including area code).

B. Content and Form of Application Submission

1. Application Submission Requirements. Be sure to read and follow
the application submission requirements carefully.
a. Page Numbering. All pages of the application must be numbered
sequentially if you are submitting a paper copy application. For
electronic application submission you should

[[Page 14016]]

follow the directions in the General Section.
b. Application Items. Your application must contain the items
listed below.
(1) An abstract that must include the category under which you are
applying, the dollar amount requested, the category under which you
qualify for demographics of distress special factor under Rating Factor
2 ``Need and Extent of the Problem,'' which of the five definitions of
the term ``rural area'' set forth in Section I B.9 of this NOFA applies
to the proposed service area, and accompanying documentation as
indicated on the form.
(2) Table of Contents.
(3) A signed SF-424 (application form).
(4) SF-424 Supplement Survey on Equal Opportunity for Applicants
(optional submission).
(5) Facsimile Transmittal (HUD-96011).
(6) Disclosure of Lobbying Activities (SF-LLL).
(7) Applicant/Recipient Disclosure/Update Report (HUD-2880).
(8) Client Comments and Suggestions (HUD-2994) (Optional)
(9) Program Outcome Logic Model (HUD-96010).
(10) A budget for all funds (federal and non-federal including HUD-
424CB and HUD 424-CBW).
(11) Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable.
(12) Certification of Consistency with the Consolidated Plan (HUD-
2991), if applicable.
(13) Documentation of funds pledged in support of Rating Factor 4--
``Leveraging Resources'' (which will not be counted in the 15-page
limitation). Documentation must be in the form of a ``firm commitment''
as defined in Section I.B.4. of this NOFA.
(14) If you are a private nonprofit organization, a copy of your
organization's IRS ruling providing tax-exempt status under section 501
of the Internal Revenue Code of 1986, as amended.
(15) Narrative response to Factors for Award (not to exceed 15
pages).
(a) A description of your organization and assignment of
responsibilities for the work to be carried out under the grant (Rating
Factor 1).
(b) A description of the need and extent of the problem and
populations to be served (Rating Factor 2).
(c) A workplan that demonstrates your soundness of approach and the
clear linkage between rural housing and economic development (Rating
Factor 3). In addressing this submission requirement, you must:
(i) Describe the activities you propose to undertake that address
the needs, which have been identified, the linkage between rural
housing and economic development, as well as the specific outcomes you
expect to achieve.
(ii) Include a management plan that identifies the specific actions
you will take to complete the proposed activities on time and a budget
in the format provided that explains the uses of both federal and non-
federal funds and the period of performance under the grant.
(iii) Include a discussion of the process by which the work
accomplished with the grant will be evaluated to determine if the
objectives of the grant were met.
(d) Identify the resources that will be leveraged by the amount of
this grant's funding that you are requesting (Rating Factor 4). To
receive the maximum number of points under Rating Factor 4 you must
provide evidence of firm commitments.
(e) You must describe the extent to which your program reflects a
coordinated, community-based process of identifying needs and building
a system to address these needs, providing program beneficiaries with
outcomes that result in increased independence and empowerment, and the
potential for your organization to become financially self-sustaining.
You must also describe how your activities will achieve the program
outcomes, as described in Rating Factor 5 (Achieving Results and
Program Evaluation), namely, where applicable, the number of housing
units constructed, the number of housing units rehabilitated, the
number of jobs created, the number of jobs retained, the number of
participants trained, the number of new businesses created and the
number of existing businesses assisted, number of housing units
rehabilitated that will be made available to low-to-moderate income
participants, percentage change in earnings as a result of employment
for those participants, the percent of trained participants who find a
job, and annual estimated savings for low-income families as a result
of energy efficiency improvements entered into the HUD Program Outcome
Logic Model (form 96010) (Rating Factor 5).
(f) The total narrative response to all factors should not exceed
15 pages and be submitted in a format that equals to 8.5 x 11-inch
single sided paper, with 12 point font and double lined spacing. Please
note that although submitting pages in excess of the page limit will
not disqualify your application, HUD will not consider or review the
information on any excess pages, which may result in a lower score or
failure to meet a threshold requirement. In addition, applicants should
be aware that additional pages increase the size of the application and
the length of time it will take to electronically submit the document
and have it electronically received by Grants.gov. Large files result
in slower delivery to Grants.gov.
(16) Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD 27300). To get the points for this policy priority, you
must include the documentation or references to URLs where the
information can be found.

C. Submission Dates and Times

1. Electronic Application Submission. Applications for the Rural
Housing and Economic Development program must be submitted and received
by Grants.gov no later than 11:59:59 p.m. Eastern Time of the
application submission date. Applicants are advised to allow time for
transmitting their application to Grants.gov. You will receive an
acknowledgement of receipt from Grants.gov when your application has
been successfully received. Please see the General Section for more
detailed information.
2. Paper Copy Application Submission. Applicants receiving a waiver
of the mandatory electronic applications submission requirement must
submit the original and required number of paper copies of the
application to the United States Postal Service no later than 11:59:59
p.m. on the application submission date. No hand delivery or services
other than the United States Post Office will be accepted.
Applicants should be aware that large packages must be taken to a
Post Office for delivery. The United States Postal Service in many
areas of the country no longer will deliver large packages that are
dropped in a mailbox for delivery. Applicants are advised to carefully
read the application submission and timely receipt requirements in the
General Section as they have changed from previous years.
3. Only one application will be accepted from any given
organization. If more than one application is submitted electronically,
the last application submitted prior to the due date and time will be
the one reviewed by HUD. HUD will not accept application addendums
after the deadline unless HUD has specifically asked the applicant for
a correction to a technical deficiency in the application. Responses to
technical deficiencies must be received by HUD within the time
allocated to cure the deficiency. Corrections to technical deficiencies
are submitted directly to

[[Page 14017]]

HUD in accordance with the information provided by the program office
in their cure notification.

----------------------------------------------------------------------------------------------------------------
What to submit Required content Required form or format When to submit it
----------------------------------------------------------------------------------------------------------------
Application:
Abstract........................ May 20, 2005.
Application Form................ SF-424, SF 424
Supplement.
Budget information.............. (Per required form).... HUD-CB, HUD-CBW........
Rating Factors: Narrative....... Described in Section V.
of this announcement.
Disclosure Update............... HUD-2880...............
Disclosure of Lobby............. SF-LLL.................
Facsimile Transmittal........... HUD-96011..............
Certification of RC/EZ/EC-II.... HUD-2990...............
Certification of Consistency HUD 2991...............
with Consolidated Plan.
Comments and Suggestions........ HUD-2994...............
Program Outcome Logic Model..... HUD-96010..............
Questionnaire for HUD's Initiative HUD-27300..............
on Removal of Regulatory Barriers.
----------------------------------------------------------------------------------------------------------------

D. Intergovernmental Agency Review

Intergovernmental agency review is not required for this program.

E. Funding Restrictions

1. Administrative Costs. Administrative costs for assistance under
the Rural Housing and Economic Development program may not exceed 15
percent of the total HUD Rural Housing and Economic Development grant
award.
2. Multiple Capacity Building Grants. If you have received two or
more Rural Housing and Economic Development grants for capacity
building since 1999, you are not eligible to apply under Category 1:
Capacity Building.
3. Ineligible Activities. RHED funds cannot be used for the
following activities:
a. Income payments to subsidize individuals or families;
b. Political activities;
c. General governmental expenses other than expenses related to the
administrative cost of the grant; or
d. Projects or activities intended for personal gain or private
use.
HUD reserves the right to reduce or deobligate the award if
suitable modifications to the proposed project are not submitted by the
awardee within 90 days of the request. Any modification must be within
the scope of the original application. HUD reserves the right not to
make awards under this NOFA.
F. Other Submission Requirements. Carefully review the procedures
presented in Section IV of the General Section. During FY 2005, HUD
will only accept electronic applications submitted through
www.grants.gov unless the applicant has received a waiver from the
Department. Please see the General Section for detailed instructions
and timelines for requesting a waiver of this requirement. Applicants
receiving a waiver of the electronic submission requirement should send
an original and two copies of the application to Department of Housing
and Urban Development, Office of Community Planning and Development,
Attn: Office of Rural Housing and Economic Development, Processing and
Control Unit (Room 7251), 451 Seventh Street, SW., Washington, DC
20410-7000.

V. Application Review Information

A. Criteria. Carefully review all the Application Review procedures
in Section V of the General Section. In addition, the following Rating
Factors will be used to review, evaluate, and rate your application.
1. Rating Factor 1--Capacity of the Applicant and Relevant
Organizational Experience (25 points). This rating factor addresses the
extent to which you have the organizational resources necessary to
successfully implement your proposed work plan, as further described in
Rating Factor 3, within the 36-month award period.
a. Rating standards applicable to individual funding categories.
The two funding categories have different objectives. Accordingly, in
addition to the generally applicable rating standard discussed above,
the different standards discussed below will be used to judge the
experience and qualifications of the applicants for each of the two
funding categories. HUD fully supports emerging organizations that
desire to develop internal capacity. Therefore, the following
categories will be evaluated:
(1) For Capacity Building applications (25 points). Team members,
composition, experience, organizational structure, and management
capacity. Your response to this sub-factor should clearly state the
need that your organization will address with the requested assistance.
In addition, you should describe how the enhanced capacity realized
through the assistance will fulfill that need. HUD will evaluate the
experience (including its recentness and relevancy) of your project
director, core staff, and any outside consultant, contractor,
subrecipient, or project partner as it relates to innovative housing
and economic development and to the implementation of the activities in
your workplan. HUD also will assess the services that consultants or
other parties will provide to fill gaps in your staffing structure to
enable you to carry out the proposed workplan; the experience of your
project director in managing projects of similar size, scope, and
dollar amount; the lines of authority and procedures that you have in
place for ensuring that workplan goals and objectives are being met,
that consultants and other project partners are performing as planned,
and that beneficiaries are being adequately served. In responding to
this sub-factor, please indicate how the capacity building assistance
will strengthen or otherwise affect your organization's current housing
or economic development program portfolio or, if you are a new grantee,
how the capacity assistance will ensure that you can carry out your
proposed activities. In judging your response to this factor, HUD will
only consider work experience gained within the last three years. When
responding, please be sure to provide the dates, job titles and
relevancy of the past experience to work to be undertaken by the
employee or contractor under your Rural Housing and Economic
Development program application. Failure to provide dates results in
HUD assuming that the experience is earlier than the last three

[[Page 14018]]

years, and could result in a lower rating for the response. The more
recent, relevant, and successful the experience of your team members is
in relationship to the workplan activities, the greater the number of
points you will receive.
(2) For Support for Innovative Rural Housing and Economic
Development Activities applications:
(a) Team members, composition, and experience (10 points). HUD will
evaluate the experience (including its recentness and relevancy) of
your project director, core staff, and any outside consultant,
contractor, subrecipient, or project partner as it relates to
innovative housing and economic development and to the implementation
of the activities in your workplan. HUD also will assess the services
that consultants or other parties will provide to fill gaps in your
staffing structure to enable you to carry out the proposed workplan;
the experience of your project director in managing projects of similar
size, scope, and dollar amount; the lines of authority and procedures
that you have in place for ensuring that workplan goals and objectives
are being met, that consultants and other project partners are
performing as planned, and that beneficiaries are being adequately
served. In judging your response to this factor, HUD will only consider
work experience gained within the last seven years. When responding,
please be sure to provide the dates, job titles and relevancy of the
past experience to work to be undertaken by the employee or contractor
under your proposed Rural Housing and Economic Development award. The
more recent, relevant, and successful the experience of your team
members are in relationship to the workplan activities, the greater the
number of points that you will receive.
(b) Organizational structure and management capacity (5 points).
HUD will evaluate the extent to which you can demonstrate your
organization's ability to manage a workforce composed of full-time or
part-time staff, as well as any consultant staff, and your ability to
work with community-based groups or organizations in resolving issues
related to affordable housing and economic development. In evaluating
this subfactor, HUD will take into account your experience in working
with community-based organizations to design and implement programs
that address the identified housing and economic development issues.
The more recent, relevant, and successful the experience of your
organization and any participating entity, the greater the number of
points you will receive.
(c) Experience with performance based funding requirements (10
points). HUD will evaluate your performance in any previous grant
program undertaken with HUD funds or other federal, state, local, or
nonprofit or for-profit organization funds. In assessing points for
this sub-factor, HUD reserves the right to take into account your past
performance in meeting performance and reporting goals for any previous
HUD award, in particular whether the program achieved its outcomes. HUD
will deduct one point for each of the following activities related to
previous HUD grant programs for which unsatisfactory performance has
been verified: (1) mismanagement of funds, including the inability to
account for funds appropriately; (2) untimely use of funds received
either from HUD or other federal, state, or local programs; and (3)
significant and consistent failure to measure performance outcomes.
Among the specific outcomes to be measured are the increases in program
accomplishments as a result of capacity building assistance and the
increase in organizational resources as a result of assistance.
(d) Past Rural Housing and Economic Development program
performance. The past performance of previously awarded Rural Housing
and Economic Development grantees will be taken into consideration when
evaluating Rating Factor 1 ``Capacity of the Applicant and Relevant
Organizational Experience.'' Applicants who have been awarded Rural
Housing and Economic Development program funds prior to FY2005 should
indicate fiscal year and funding amount. HUD local field offices may be
consulted to verify information submitted by the applicant as a part of
the review of applications.
2. Rating Factor 2--Need and Extent of the Problem (20 points). The
Rural Housing and Economic Development program is designed to address
the problems of rural poverty, inadequate housing and lack of economic
opportunity. This factor addresses the extent to which there is a need
for funding the proposed activities based on levels of distress and the
urgency of meeting the need/distress in the applicant's target area. In
responding to this factor, applications will be evaluated on the extent
to which the level of need for the proposed activity and the urgency in
meeting the need are documented and compared to target area and
national data.
a. In applying this factor, HUD will compare the current levels of
need in the area (i.e., Census Tract(s) or Block Group(s) immediately
surrounding the project site or the target area to be served by the
proposed project and the national levels of need. This means that an
application that provides data that show levels of need in the project
area expressed as a percent greater than the national average will be
rated higher under this factor. Applicants should provide data that
address indicators of need as follows:
(1) Poverty Rate (5 points)--Data should be provided in both
absolute and percentage form (i.e., whole numbers and percents) for the
target area(s). An application that compares the local poverty rate in
the following manner to the national average at the time of submission
will receive points under this section as follows:
(a) Less than the national average = 0 points;
(b) Equal to but less than twice the national average = 1 points;
(c) Twice but less than three times the national average = 3
points;
(d) Three or more times the national average = 5 points.
(2) Unemployment (5 points)--for the target area:
(a) Less than the national average = 0 points;
(b) Equal to but less than twice the national average = 1 points;
(c) Twice but less than three times the national average = 2
points;
(d) Three but less than four times the national average = 3 points;
(e) Four but less than five times the national average = 4 points;
(f) Five or more times the national average = 5 points.
(3) Other indicators of social or economic decline that best
capture the applicant's local situation (5 points).
(a) Data that could be provided under this section are information
on the community's stagnant or falling tax base, including recent
commercial or industrial closings; housing conditions, such as the
number and percentage of substandard or overcrowded units; rent burden
(defined as average housing cost divided by average income) for the
target area; local crime statistics, falling property values, etc. To
the extent that the applicant's statewide or local Consolidated Plan,
its Analysis of Impediments to Fair Housing Choice (AI), its Indian
housing plan or its anti-poverty strategy identify the level of
distress in the community and the neighborhood in which the project is
to be carried out, references to such documents should be included in
preparing the response to this factor.
(b) In rating applications under this factor, HUD reserves the
right to consider sources of available objective data other than or in
addition to those provided by applicants, and to compare

[[Page 14019]]

such data to those provided by applicants for the project site. These
may include U.S. Census data.
(c) HUD requires use of sound, verifiable, and reliable data (e.g.,
U.S. Census data, state statistical reports, university studies/
reports, or Home Mortgage Disclosure Act or Community Reinvestment Act
databases) to support distress levels cited in each application. See
http://www.ffiec.gov/ or http://www.ffiec.gov/webcensus/ffieccensus.
for census data. A source for all information along with the
publication or origination date must also be provided.
(d) Updated Census data are available for the following indicators:
(i) Unemployment rate--estimated monthly for counties, with a two-
month lag;
(ii) Population--estimated for incorporated places and counties,
through 2000;
(iii) Poverty rate--through 2000.
(4) Demographics of Distress--Special Factors (5 points). Because
HUD is concerned with meeting the needs of certain underserved areas,
you will be awarded a total of five points if you are located in or
propose to serve one or more of the following populations, or if your
application demonstrates that 100 percent of the beneficiaries
supported by Rural Housing and Economic Development funds are in one or
more of the following populations. You must also specifically identify
how each population will be served and that the proposed service area
meets the definition of ``eligible rural area'' in Section I of this
NOFA:
(a) Areas with very small populations in non-urban areas (2,500
population or less);
(b) Seasonal farm workers;
(c) Federally recognized Indian tribes;
(d) Colonias;
(e) Appalachia's Distressed Counties; or
(f) The Lower Mississippi Delta Region (8 states and 240 counties/
parishes).
For these underserved areas, you should ensure that the populations
that you serve and the documentation that you provide are consistent
with the information described in the above paragraph under this rating
factor.
3. Rating Factor 3--Soundness of Approach (20 points). This factor
addresses the overall quality of your proposed workplan, taking into
account the project and the activities proposed to be undertaken; the
cost-effectiveness of your proposed program; and the linkages between
identified needs, the purposes of this program, and your proposed
activities and tasks. In addition, this factor addresses your ability
to ensure that a clear linkage exists between innovative rural housing
and economic development. In assessing cost-effectiveness, HUD will
take into account your staffing levels; beneficiaries to be served; and
your timetable for the achievement of program outcomes, the delivery of
products and reports, and any anticipated outcome or product. You will
receive a greater number of points if your workplan is consistent with
the purpose of the Rural Housing and Economic Development program, your
program goals, and the resources provided.
a. Management Plan (13 points). A clearly defined management plan
should be submitted that identifies each of the projects and activities
you will carry out to further the objectives of this program; describes
the linkage between rural housing and economic development activities;
and addresses the needs identified in Factor 2, including needs that
previously were identified in a statewide or local Analysis of
Impediments to Fair Housing Choice (AI) or Consolidated Plan. The
populations that were described in Rating Factor 2 for the purpose of
documenting need should be the same populations that will receive the
primary benefit of the activities, both immediately and over the long
term. The benefits should be affirmatively marketed to those
populations least likely to apply for and receive these benefits
without such marketing. Your timetable should address the measurable
goals and objectives to be achieved through the proposed activities;
the method you will use for evaluating and monitoring program progress
with respect to those activities; and the method you will use to ensure
that the activities will be completed on time and within your proposed
budget estimates. Your management plan should also include the budget
for your program, broken out by line item. Documented projected cost
estimates from outside sources are also required. Applicants should
submit their workplan on a spreadsheet showing each project to be
undertaken and the tasks (to the extent necessary or appropriate) in
your workplan to implement the project with your associated budget
estimate for each activity/task. Your workplan should provide the
rationale for your proposed activities and assumptions used in
determining your project timeline and budget estimates. Failure to
provide your rationale may result in your application receiving fewer
points for lack of clarity in the proposed management plan.
This subfactor should include information that indicates the extent
to which you have coordinated your activities with other known
organizations (e.g., through letters of participation or coordination)
that are not directly participating in your proposed work activities,
but with which you share common goals and objectives and that are
working toward meeting these objectives in a holistic and comprehensive
manner. The goal of this coordination is to ensure that programs do not
operate in isolation. Additionally, your application should demonstrate
the extent to which your program has the potential to be financially
self-sustaining by decreasing dependence on Rural Housing and Economic
Development funding and relying more on state, local, and private
funding. The goal of sustainability is to ensure that the activities
proposed in your application can be continued after your grant award is
complete.
b. Policy Priorities (7 Points). Policy priorities are outlined in
detail in the General Section. You should document the extent to which
HUD's policy priorities are furthered by the proposed activities.
Applicants that include activities that can result in the achievement
of these departmental policy priorities will receive higher rating
points in evaluating their application for funding. Seven departmental
policy priorities are listed below. When policy priorities are
included, describe in brief detail how those activities will be carried
out.
The point values for policy priorities are as follows:
(1) Providing increased homeownership and rental opportunities for
low- and moderate-income persons, persons with disabilities, the
elderly, minorities, and families with limited English proficiency=1
point;
(2) Improving our Nation's communities=1 point;
(3) Encouraging accessible design features=1 point;
(4) Providing full and equal access to grassroots faith-based and
other community-based organizations in HUD program implementation=1
point;
(5) Ending chronic homelessness within ten years=1 point;
(6) Removal of barriers to affordable housing= 2 points and;
(7) Promoting Energy Efficiency and Adopting Energy Star = 1 point.
4. Rating Factor 4--Leveraging Resources (10 points). This factor
addresses the extent to which applicants for either of the two funding
categories

[[Page 14020]]

have obtained firm commitments of financial or in-kind resources from
other federal, state, local, and private sources. For every Rural
Housing and Economic Development program dollar anticipated, you should
provide the specific amount of dollars leveraged. In assigning points
for this criterion, HUD will consider the level of outside resources
obtained in the form of cash or in-kind goods or services that support
activities proposed in your application. HUD will award a greater
number of points based upon a comparison of the extent of leveraged
funds with the requested Rural Housing and Economic Development award.
This criterion is applicable to both funding categories under this
NOFA. The level of outside resources for which commitments are obtained
will be evaluated based on their importance to the total program. Your
application must provide evidence of leveraging in the form of letters
of firm commitment from any entity, including your own organization,
which will be providing matching funds to the project. Each commitment
described in the narrative of this factor must be in accordance with
the definition of ``firm commitment,'' as defined in this NOFA. The
commitment letter must be on letterhead of the participating
organization, must be signed by an official of the organization legally
able to make commitments on behalf of the organization, and must not be
dated earlier than the date this NOFA is published.
Points for this factor will be awarded based on the satisfactory
provisions of evidence of leveraging and financial sustainability, as
described above, and the ratio of leveraged funds to requested HUD
Rural Housing and Economic Development funds as follows:
a. 50% or more of requested HUD Rural Housing and Economic
Development funds=10 points;
b. 49-40% of requested HUD Rural Housing and Economic Development
funds=8 points;
c. 39-30% of requested HUD Rural Housing and Economic Development
funds=6 points;
d. 29-20% of requested HUD Rural Housing and Economic Development
funds=4 points;
e. 19-9% of requested HUD Rural Housing and Economic Development
funds=2 points;
f. Less than 9% of HUD requested Rural Housing and Economic
Development funds =0 points.
See the General Section for instructions for submitting third party
letters and other documents with your electronic application.
5. Rating Factor 5--Achieving Results and Program Evaluation (25
points). This factor emphasizes HUD's commitment to ensure that
applicants keep promises made in their application. This factor
assesses their performance to ensure that rigorous and useful
performance measures are used and goals are met. Achieving results
means you, the applicant, have clearly identified the benefits or
outcomes of your program. Outcomes are ultimate project end goals.
Benchmarks or outputs are interim activities or products that lead to
the ultimate achievement of your goals. Program evaluation requires
that you, the applicant, identify program outcomes, interim products or
benchmarks, and performance indicators that will allow you to measure
your performance. Performance indicators should be objectively
quantifiable and measure actual achievements against anticipated
achievements. Your evaluation plan should identify what you are going
to measure, how you are going to measure it, and the steps you have in
place to make adjustments to your work plan if performance targets are
not met within established time frames.
Applicants must also complete the ``Logic Model'' HUD Form (HUD-
96010) included in the appendix to this NOFA and submit the completed
form with their application. This rating factor reflects HUD's goal to
embrace high standards of ethics, management, and accountability. HUD
will hold a training broadcast via satellite for potential applicants
to learn more about Rating Factor 5. For more information about the
date and time of the broadcast, consult the HUD web site at
www.hud.gov/grants/index.cfm.
Program outcomes for the Rural Housing and Economic Development
program must include where applicable:
a. Number of housing units constructed;
b. Number of housing units rehabilitated that will be made
available to low-to-moderate-income participants;
c. Number of jobs created;
d. Percentage change in earnings as a result of employment for
those participants;
e. Number of participants trained;
f. Percent of participants trained who find a job;
g. Number of new businesses created;
h. Number of existing businesses assisted; and
i. Annual estimated savings for low-income families as a result of
energy efficiency improvements.
j. Increase in program accomplishments as a result of capacity
building assistance (e.g. number of employees hired or retained,
efficiency or effectiveness of services provided); and
k. Increase in organizational resources as a result of assistance
(e.g., dollars leveraged). If you receive an award of funds, you will
be required to use the logic model to report progress against the
proposed outcomes in your approved application and award agreement.
Applicant must provide a breakdown of estimated dollar amount of
the Rural Housing and Economic Development grant to be expended on each
of the performance measures included on the HUD-96010 ``Logic Model''
and under the Rating Factor 5 section of your application.
6. RC/EZ/EC-II bonus points (2 points). HUD will award two bonus
points to all applications that include documentation stating that the
proposed eligible activities/projects will be located in and serve
federally designated RC/EZ/EC-II. A listing of federally designated RC/
EZ/EC-II is available on the Internet at www.hud.gov/grants/index.cfm.
This notice contains a certification (HUD-2990) that must be
completed for the applicant to be considered for Rural EZ/Round II EC
bonus points.
B. Review and Selection Process
1. Application Selection Process
a. Rating and Ranking
(1) General. To review and rate applications, HUD may establish
panels which may include outside experts or consultants to obtain
certain expertise and outside points of view, including views from
other federal agencies.
(2) Rating. All applicants for funding will be evaluated against
applicable criteria. In evaluating applications for funding, HUD will
take into account an applicant's past performance in managing funds,
including the ability to account for funds appropriately; its timely
use of funds received either from HUD or other federal, state or local
programs; its success in meeting performance targets for completion of
activities; and the number of persons to be served or targeted for
assistance. HUD may use information relating to these items based on
information at hand or available from public sources such as
newspapers, Inspector General or Government Accounting Office reports
or findings, hotline complaints that have been found to have merit, or
other such sources of information. In evaluating past performance, HUD
will deduct points from rating scores as specified under Rating Factor
1, Capacity of the Applicant and Relevant Organizational Experience.

[[Page 14021]]

(3) Ranking. Applicants will be ranked separately within each of
the two funding categories. Applicants will be selected for funding in
accordance with their rank order in each category. An application must
receive a minimum score of 75 points to be eligible for funding. If two
or more applications are rated fundable and have the same score, but
there are insufficient funds to fund all of them, the application(s)
with the highest score for Rating Factor 2 (Need and Extent of the
Problem) will be selected. If applications still have the same score,
the highest score in the following factors will be selected
sequentially until one highest score can be determined: Rating Factor 3
(Soundness of Approach), Rating Factor 1 (Capacity and Experience),
Rating Factor 5 (Achieving Results and Program Evaluation), and Rating
Factor 4 (Leveraging Resources).
a. Initial screening. During the period immediately following the
application deadline, HUD will screen each application to determine
eligibility. Applications will be rejected if they:
(1) Are submitted by ineligible applicants;
(2) Do not serve an eligible rural area as defined in Section III
of this NOFA;
(3) Do not meet the objectives of the Rural Housing and Economic
Development program; or
(4) Propose a project for which the majority of the activities are
ineligible.
b. Rating Factors for Award Used to Evaluate and Rate Applications.
The factors for rating and ranking applicants and the maximum points
for each factor are provided above. The maximum number of points for
this program is 102. This includes 100 points for all five rating
factors and two RC/EZ/EC-II bonus points, as described above.
c. Environmental Review. Each application constitutes an assurance
that the applicant agrees to assist HUD in complying with the
provisions set forth in 24 CFR part 50. Selection for award does not
constitute approval of any proposed site. Following selection for
award, HUD will perform an environmental review of activities proposed
for assistance under this part, in accordance with 24 CFR part 50. The
results of the environmental review may require that proposed
activities be modified or that proposed sites be rejected. Applicants
are particularly cautioned not to undertake or commit HUD funds for
acquisition or development of proposed properties (including
establishing lines of credit that permit financing of such activities
or making commitments for loans that would finance such activities from
a revolving loan fund capitalized by funds under this NOFA) prior to
HUD approval of specific properties or areas. Each application
constitutes an assurance that you, the applicant, will assist HUD in
complying with part 50; will supply HUD with all available relevant
information to perform an environmental review for each proposed
property; will carry out mitigating measures required by HUD or select
alternate property; and will not acquire, rehabilitate, convert,
demolish, lease, repair, or construct property, or commit or expend HUD
or local funds for these program activities with respect to any
eligible property until HUD approval of the property is received. In
supplying HUD with environmental information, grantees must use the
guidance provided in Notice CPD-99-01, entitled ``Field Environmental
Processing for HUD Colonias Initiative (HCI) grants,'' issued January
27, 1999. HUD's funding commitment is contingent upon HUD's site
approval following an environmental review.
d. Adjustments to Funding.
(1) HUD will not fund any portion of your application that is
ineligible for funding and does not meet the requirements of this NOFA,
or is duplicative of other funded programs or activities from prior
year awards or other selected applicants. Only the eligible non-
duplicative portions of your application may be funded.
(2) HUD reserves the right to reallocate funds between categories
to achieve the maximum allocation of funds in both categories.
(3) If after all eligible applicants have been selected for funding
in Category 1 and funds remain, the remaining funds will be allocated
to Category 2 to fund additional eligible applications in that
category. If a balance of funds remains, HUD reserves the right to
utilize those funds toward the following year's awards.
(4) Please see the Section VI.A.3 of the General Section for more
information about funding.
(5) Performance and Compliance Actions of Funding Recipients. HUD
will measure and address the performance and compliance actions of
funding recipients in accordance with the applicable standards and
sanctions of the Rural Housing and Economic Development program.
e. Corrections to Deficient Applications. After the application due
date, HUD may not, consistent with its regulations in 24 CFR part 4,
subpart B, consider any unsolicited information you, the applicant, may
want to provide. HUD may contact you to clarify an item in your
application or to correct technical deficiencies. HUD may not seek
clarification of items or responses that improve the substantive
quality of your response to any rating factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants.
Examples of curable (correctable) technical deficiencies include
inconsistencies in the funding request, a failure to submit the proper
certifications or failure to submit an application that contains a
signature by an official able to make a legally biding commitment on
behalf of the applicant. In the case of an applicant who received a
waiver, the technical deficiency may include a failure to submit an
application that contains an original signature. If HUD finds a curable
deficiency in the application, HUD will notify you in writing by
describing the clarification or technical deficiency. HUD will notify
applicants by facsimile or by USPS, return receipt requested.
Clarifications or corrections of technical deficiencies in accordance
with the information provided by HUD must be submitted within 14
calendar days of the date of receipt of the HUD notification. (If the
due date falls on a Saturday, Sunday or federal holiday, your
correction must be received by HUD on the next day that is not a
Saturday, Sunday or federal holiday.) If the deficiency is not
corrected within this time period, HUD will reject the application as
incomplete and it will not be considered for funding. In order to meet
statutory deadlines for the obligation of funds or for timely
completion of the review process, Program NOFAs may reduce the number
of days for submitting a response to a HUD clarification or correction
to a technical deficiency. Please be sure to carefully read each
Program NOFA for any additional information and instructions. An
applicant's response to a HUD notification of a curable deficiency
should be submitted directly to HUD in accordance with the instructions
provided with request to cure the deficiency.

VI. Award Administration Information:

A. Award Notice. Successful Rural Housing and Economic Development
program applicants will be notified of grant award and will receive
post-award instructions by mail.
B. Administrative and National Policy Requirements. In addition to
the requirements listed below, please review all requirements in
Section III of the General Section.

[[Page 14022]]

1. Lead-Based Paint Hazard Control. All property assisted under the
Rural Housing and Economic Development program is covered by the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and HUD's
implementing regulations at 24 CFR part 35.
2. Audit Requirements. Any grantee that expends $500,000 or more in
federal financial assistance in a single year (this can be program year
or fiscal year) must meet the audit requirements established in 24 CFR
parts 84 and 85 in accordance with OMB A-133.
3. Accounting System Requirements. The Rural Housing and Economic
Development program requires that successful applicants have in place
an accounting system that meets the policies, guidance, and
requirements described in the following applicable OMB Circulars and
Code of Federal Regulations:
a. OMB Circular A-87 (Cost Principles for State, Local and Indian
Tribal Governments);
b. OMB Circular A-122 (Cost Principles for Non-Profit
Organizations);
c. OMB Circular A-133 (Audits of States, Local Governments, and
Non-Profit Organizations);
d. 24 CFR part 84 (Grants and Agreements with Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations); and
e. 24 CFR part 85 (Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally recognized Indian
tribal governments).
C. Reporting: Reporting documents apply to the award, acceptance
and use of assistance under the Rural Housing and Economic Development
program and to the remedies for noncompliance, except when inconsistent
with HUD's Appropriation Act, or other federal statutes or the
provisions of this NOFA.
For each reporting period, as part of your required report to HUD,
you must include a completed Logic Model (Form HUD 96010), which
identifies output and outcome achievements. If you are reporting race
and ethnic data, you must use Form HUD-27061, Race and Ethnic Data
Reporting Form.
D. Debriefing. See the General Section for information on how to
obtain a debriefing on your application review and evaluation.

VII. Agency Contact(s)

Further Information and Technical Assistance: For information
concerning the HUD Rural Housing and Economic Development program,
contact Mr. Thann Young, Program Specialist, or Ms. Linda L. Streets,
Community Development Specialist, Office of Rural Housing and Economic
Development, Office of Community Planning and Development, Department
of Housing and Urban Development, 451 Seventh Street, SW., Room 7137,
Washington, DC 20410-7000; telephone 202-708-2290 (this is not a toll-
free number). Persons with speech or hearing impairments may access
this number via TTY by calling the toll-free Federal Information Relay
Service at 800-877-8339.
Prior to the application deadline, Mr. Young or Ms. Streets will be
available at the number above to provide general guidance and
clarification of the NOFA, but not guidance in actually preparing your
application. Following selection, but prior to award, HUD staff will be
available to assist in clarifying or confirming information that is a
prerequisite to the offer of an award by HUD.

VIII. Other Information

1. Satellite Broadcast. HUD will hold an information webcast via
satellite for potential applicants to learn more about the program and
preparation of an application. For more information about the date and
time of this webcast, consult the HUD web site at www.hud.gov.
2. The Paperwork Reduction Act. The information collection
requirements contained in this document have been approved by the
Office of Management and Budget (OMB) under the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2506-
0169. In accordance with the Paperwork Reduction Act, HUD may not
conduct or sponsor and a person is not required to respond to a
collection of information, unless it displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average 100 hours per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing and reporting the data for the application,
semi-annual reports, and final report. The information will be used for
grantee selection and monitoring the administration of funds.

[[Page 14023]]

[GRAPHIC] [TIFF OMITTED] TN21MR05.183

[[Page 14024]]

Public Housing Neighborhood Networks Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Public and Indian Housing.
B. Funding Opportunity Title: Public Housing Neighborhood Networks
program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is: FR-4950-N-24. The OMB approval number for this program is
2577-0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.870.
F. Dates: The application submission date is June 3, 2005. Please
see the General Section of the SuperNOFA for application submission and
timely receipt requirements.
G. Optional, Additional Overview Content Information: 1. Purpose of
Program: The purpose of the Public Housing Neighborhood Networks (NN)
program is to provide grants to public housing authorities (PHAs) to:
a) update and expand existing NN /community technology centers; or b)
establish new NN centers. These centers offer comprehensive services
designed to help public housing residents achieve long-term economic
self-sufficiency.
2. Funding Available: The Department plans to award approximately
$23,888,000 ($13,888,000 in new appropriations plus $10,000,000 in
carryover) under the Neighborhood Networks program in Fiscal Year 2005.
3. Award Amounts: Awards will range from $150,000 to $6000,000.
4. Eligible Applicants. Eligible applicants are PHAs only.
Tribes and tribally designated housing entities (TDHEs), nonprofit
organizations, and resident associations are not eligible to apply for
funding under the Public Housing Neighborhood Networks program.
5. Cost Sharing/Match Requirement: PHAs are required to match at
least 25 percent of the requested grant amount.
6. Grant term. The grant term is three years from the execution
date of the grant agreement.

--------------------------------------------------------------------------------------------------------------------------------------------------------
Grant program Total funding Eligible applicants Maximum grant amount
--------------------------------------------------------------------------------------------------------------------------------------------------------
Neighborhood Networks....................... $23.8 Million.................. PHAs--existing centers..................... $150,000 for PHAs with 1-780
units.
$200,000 for PHAs with 781-
2,500 units.
$250,000 for PHAs with 2,501-
7,300 units.
$300,000 for PHAs with 7,301
units or more.
PHAs--new centers.......................... $300,000 for PHAs with 1-780
units.
$400,000 for PHAs with 781-
2,500 units.
$500,000 for PHAs with 2,501-
7,300 units.
$600,000 for PHAs with 7,301
units or more.
--------------------------------------------------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

A. Definition of Terms

1. Contract Administrator is a grant administrator or financial
management agent that oversees the implementation of the grant and/or
the financial aspects of the grant. See the ``Program Requirements''
and ``Threshold Requirements'' sections for more information.
2. An existing computer center is: (1) A computer lab, or
technology center owned and operated by a PHA which serves residents of
public housing and has not received prior NN funding and therefore is
not officially designated a HUD Public and Indian Housing (PIH) NN
center; (2) a computer lab designated as a HUD PIH NN center, which
seeks to expand its services; or (3) a computer lab which needs funding
under this program to become operational and serve residents of public
housing.
3. A new NN center is one that will be established (i.e. there is
no infrastructure, space, or equipment currently in use for this
purpose) with NN grant funds. NOTE: An applicant previously funded
under Neighborhood Networks may apply under the ``New Computer Center''
category only if it will develop a new center in a development which
cannot be served by the applicant's existing NN center(s).
4. Past Performance is a threshold requirement. Using Rating Factor
1, HUD's field offices will evaluate applicants for past performance to
determine whether an applicant has the capacity to manage the grant
they are applying for. Field offices will evaluate the past performance
of contract administrators for applicants that required one.
5. Person with disabilities means a person who:
a. Has a condition defined as a disability in section 223 of the
Social Security Act;
b. Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance Bill of Rights Act; or
c. Is determined to have a physical, mental, or emotional
impairment which:
(1) Is expected to be of long-continued and indefinite duration;
(2) Substantially impedes his or her ability to live independently;
and
(3) Is of such a nature that such ability could be improved by more
suitable housing conditions.
The term ``person with disabilities'' includes persons who have
acquired immunodeficiency syndrome (HIV/AIDS) or any conditions arising
from the etiologic agent for AIDS. In addition, no individual shall be
considered a person with disabilities solely based on drug or alcohol
dependence.
The definition provided above for persons with disabilities is the
proper definition for determining program qualifications. However, the
definition of a person with disabilities contained in section 504 of
the Rehabilitation Act of 1973 and its implementing regulations must be
used for purposes of reasonable accommodations.
6. Project Coordinator is responsible for coordinating the
grantee's approved activities to ensure that grant goals and objectives
are met. A qualified Project Coordinator is someone with at least two
years of experience working on supportive services designed
specifically for underserved populations. The Project Coordinator and
grantee are both responsible for ensuring that all federal requirements
are followed.
7. Secretary means the Secretary of Housing and Urban Development.
8. Senior person means a person who is at least 62 years of age.

B. Program Description

1. The Public Housing Neighborhood Networks program provides grants
to PHAs to (1) update and expand existing NN/community technology
centers; or (2) establish new (NN) centers.
2. NN centers must be located within a public housing development,
on PHA land, or within reasonable walking distance to the PHA
development(s).

[[Page 14025]]

3. HUD is looking for applications that implement comprehensive
programs within the three year grant term which will result in improved
economic self-sufficiency for public housing residents. HUD is looking
for proposals that involve partnerships with organizations that will
supplement and enhance the services offered to residents.
4. NN centers provide computer and Internet access to public
housing residents and offer a full range of computer and job training
services. Applicants should submit proposals that will incorporate
computer and Internet use to: provide job training for youths, adults
and seniors; expand educational opportunities for residents; promote
economic self-sufficiency and help residents transition from welfare to
work; assist children with homework; provide guidance to high school
students (or other interested residents) for post-secondary education
(college or trade schools); and provide other services deemed necessary
from resident input.
5. All applicants must complete a business plan (see sample HUD-
52766 provided in the Appendix) covering the three-year grant term.
Applicants' business plan and narrative must indicate how the centers
will become self-sustaining after the grant term expires. Proposed
grant activities should build on the foundation created by previous NN
grants such as Resident Opportunities and Self-Sufficiency (ROSS)
grants, or other federal, state and local self-sufficiency efforts.

C. Eligible Activities

1. Hiring a Qualified Project Coordinator To Administer the Grant
Program. A qualified Project Coordinator must have project management
and information technology experience. The Project Coordinator should
be hired for the entire term of your grant. The Project Coordinator is
responsible for ensuring that the center achieves its proposed goals
and objectives. In addition, the Project Coordinator is responsible for
the following activities:
a. Marketing the program to residents;
b. Assessing residents' needs, interests, skills, and job-
readiness;
c. Assessing residents' needs for supportive services, e.g.
childcare, transportation;
d. Designing and coordinating grant activities based on residents'
needs and interests; and
e. Monitoring the progress of program participants and evaluating
the overall success of the program. For more information on how to
measure performance, please see Rating Factor 5 in the ``Application
Review Information'' section of this NOFA.
2. Literacy training and GED preparation;
3. Computer training, from basic to advanced;
4. College preparatory courses and information;
5. Job Training: Some examples of the job training skills
encouraged are: oral and written communication skills; work ethic;
interpersonal and teamwork skills; resume writing; interviewing
techniques, creating job training and placement programs with local
employers and employment agencies; and post-employment follow-up to
assist residents who are new to the workplace.
6. Physical improvements. Physical improvements must relate to
providing space for a Neighborhood Networks center. Renovation,
conversion, wiring, and repair costs may be essential elements of
physical improvements. In addition, architectural, engineering, and
related professional services required to prepare plans or drawings,
write-ups, specifications or inspections may also be part of the cost
of implementing physical improvements.
a. Creating an accessible space for persons with disabilities is an
eligible use of funds. Refer to Office of Management and Budget (OMB)
Circular A-87, ``Cost Principles for State, Local and Indian Tribal
Governments.''
b. The renovation, conversion, or joining of vacant units in a PHA
development to create space for the equipment and activities of a NN
center (computers, printers, and office space) are eligible activities
for physical improvement.
c. The renovation or conversion of existing common areas in a PHA
development to accommodate a NN center is eligible.
d. If renovation, conversion, or repair is done off-site, the PHA
must provide documentation with its application that it has control of
the proposed property for at least five years. Control can be
demonstrated through a lease agreement, ownership documentation, or
other appropriate documentation.
7. Maintenance and insurance costs. Includes installing and
maintaining the hardware and software as well as insurance coverage for
the space and equipment.
8. Purchase of computers, printers, software and other peripheral
equipment are eligible expenses. In addition, costs of computer
hardware and software for the needs of persons with disabilities are an
eligible cost for this funding category;
9. Distance Learning Equipment. Distance learning equipment
(including the costs for video casting and purchase/lease/rental of
distance learning equipment) is an eligible use of funds. The proposal
must indicate that the center will be working in a virtual setting with
a college, university or other educational organization. Distance
learning equipment can also be used to link one or more centers so that
residents can benefit from courses being offered at only one site.
10. Security and related costs. Includes space and minor refitting,
locks, and other equipment for safeguarding the center.
11. Hiring Residents. Grantees may hire residents to help with the
implementation of this grant program.
12. Administrative costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment and supplies,
local travel, and utilities. Administrative costs may not be used to
pay for salaries of any kind. For both new and existing NN centers,
administrative costs must not exceed 10 percent of the total grant
amount requested from HUD. Administrative costs must adhere to OMB
Circular A-87. Please use HUD-424-CBW to itemize your administrative
costs. You may attach an additional sheet of paper to the HUD-424-CBW
form if necessary in order to fully itemize your administrative costs.

D. Regulations Governing the Neighborhood Networks Grant

The Neighborhood Networks program is governed by regulations in 24
CFR parts 905 and 968.

II. Award Information

A. Total Funding. The Department expects to award approximately a
total of $23,888,000 ($13,888,000 in new appropriations plus
$10,000,000 in carryover) under the Neighborhood Networks program in
Fiscal Year 2005. Awards will be made as follows:
1. Forty percent of available funding for Neighborhood Networks
will be used for updating and expanding existing computer technology
centers. The other 60 percent will provide grants to establish and
operate new Neighborhood Networks centers.
2. PHAs must use the number of occupied public housing units as of
September 30, 2004 per their budget. This is required so the PHA can
determine the maximum grant amount they are eligible for in accordance
with the categories listed below. PHAs should clearly indicate on the
Fact

[[Page 14026]]

Sheet (HUD-52751) the number of units under management.
a. Funding Levels for Existing Centers:

------------------------------------------------------------------------
Number of conventional units Maximum funding
------------------------------------------------------------------------
1-780 units............................... $150,000
781-2,500 units........................... 200,000
2,501-7,300 units......................... 250,000
7,301 or more units....................... 300,000
------------------------------------------------------------------------

b. Funding Levels for New Centers:

------------------------------------------------------------------------
Number of conventional units Maximum funding
------------------------------------------------------------------------
1-780 units............................... $300,000
781-2,500 units........................... 400,000
2,501-7,300 units......................... 500,000
7,301 or more units....................... 600,000
------------------------------------------------------------------------

B. Grant Period: Three years. The grant period shall begin the day
the grant agreement and the form HUD-1044, ``Assistance Award/
Amendment'' are signed by the grantee and HUD.
C. Grant Extensions. Requests to extend the grant term must be
submitted in writing by the grantee to the local HUD field office. Such
requests must be done prior to grant termination and with at least 30
days notice to give the field office a reasonable amount of time to
fully evaluate the request. Requests must explain why the extension is
necessary, what work remains to be completed, and what work and
progress was accomplished to date. Extensions may be granted one time
only by the field office for no more than six months.
D. Type of Award: Grant agreement.
E. Subcontracting: Subcontracting is permitted. Grantees must
follow the HUD federal procurement regulations found at 24 CFR 85.36.

III. Eligibility Information

A. Eligible Applicants: Public Housing Authorities are eligible to
apply for this funding category. Tribes/TDHEs, nonprofit organizations,
and resident associations are not eligible to apply for this funding
category.
B. Cost Sharing or Matching: All applicants are required to obtain
a 25 percent cash or in-kind match. The match is a threshold
requirement. Applicants who do not demonstrate the minimum 25 percent
match will fail the threshold requirement and will not receive further
consideration for funding. Please see the section below on threshold
requirements for more information on what is required for the match.
C. Other: 1. Threshold Requirements: Applicants must respond to
each threshold requirement clearly and thoroughly by following the
instructions below. If your application fails one threshold requirement
(regardless of the type of threshold) it will be considered a failed
application. Applicants and grantees must also meet the threshold
requirements contained in Section III.C. of the General Section of the
SuperNOFA.
a. Match. All applicants are required to commit a 25 percent match
in cash or in-kind donations that are defined in this paragraph. Joint
applicants must together have at least a 25 percent match. Applicants
who do not demonstrate the minimum 25 percent match will fail this
threshold requirement and will not receive further consideration for
funding. If you are also applying for funding under the ROSS grant
program, you must use different sources of match donations for each
grant application and you must indicate which ROSS grant(s) you are
applying for by attaching a narrative to your application. This
narrative must state the sources and amounts of each of your match
contributions for this application as well as any other HUD grant
program to which you are applying.
Match donations must be firmly committed. Firmly committed means
that the amount of match resources and their dedication to Neighborhood
Networks-funded activities must be explicit, in writing and signed by a
person authorized to make the commitment. Letters of commitment and
memoranda of understanding (MOU) must be on organization letterhead,
and signed by a person authorized to make the commitment. The letters
of commitment/MOUs must indicate the total dollar value of the
commitment, be dated within two months of the application deadline, and
indicate how the commitment will relate to the proposed program. The
commitment should be available at time of award. Applicants proposing
to use their own, non-HUD grant funds to meet the match requirement,
must also include a letter of commitment indicating the type of match
(cash or in-kind) and how the match will be used. Grant awards shall be
contingent upon letters of commitment being submitted with your
application. Please see the General Section of the SuperNOFA for
instructions for submitting the required letters with your electronic
application.
(1) Volunteer time and services shall be computed using the
professional rate for the local area or the national minimum wage rate
of $5.15 per hour (Note: applicants may not count their staff time
towards the match.) If grantees propose to use volunteers for
development or operations work that would otherwise be subject to
payment of Davis-Bacon or HUD-determined prevailing wage rates
(including construction, rehabilitation or maintenance) their services
must be computed using the appropriate methodology. Additional
information on these wage rates can be found at: www.hud.gov/, by
contacting HUD Field Office Labor Relations staff, or from the PHA.
Such volunteers must also meet the requirements of section 12(b) of the
United States Housing Act of 1937 and 24 CFR part 70;
(2) In order for HUD to determine the value of any donated
material, equipment, staff time, building, or lease, your application
must provide a letter from the organization making the donation. The
letter must state the value of the contribution.
(3) Other resources/services that can be committed include: in-kind
services such as administrative assistance provided to the applicant;
funds from federal sources that are allowed by statute, for example
Community Development Block Grant (CDBG); funds from any state or local
government sources; and funds from private contributions. Applicants
may also partner with other program funding recipients to coordinate
the use of resources in the target area.
b. Past Performance. HUD's field offices will evaluate data
provided by applicants as well as their past performance to determine
whether applicants have the capacity to manage the grant they are
applying for. Field offices will evaluate the contract administrators'
past performance for applicants required to have a contract
administrator. Using Rating Factor 1, the field office will evaluate
applicants' past performance. Applicants should carefully review Rating
Factor 1 to ensure their application addresses all of the criteria
requested. If applicants fail to address what is requested in Rating
Factor 1, their application will not receive further consideration.
c. Contract Administrator Partnership Agreement. PHAs that are
troubled at time of application are required to submit a signed
Contract Administrator Partnership Agreement. The agreement must be for
the entire grant term. Grant awards must have a signed Contract
Administrator Partnership Agreement included in the application.
Applicants required to have a Contract Administrator Partnership
Agreement that fail to submit one will fail this threshold requirement
and will not receive further consideration for funding.

[[Page 14027]]

Troubled PHAs are not eligible to be contract administrators. Grant
writers who assist in the preparation of their Neighborhood Networks
applications are also ineligible to be contract administrators.
For more information on contract administrators, see the section
``Program Requirements.''
d. Minimum Score for All Fundable Applications. Applications that
pass all threshold requirements and go through the ranking and rating
process, must receive a minimum score of 75 in order to be considered
for funding.
e. The Dun and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section of the SuperNOFA for
information regarding the DUNS requirement. You will need to obtain a
DUNS number to receive an award from HUD. You will need a DUNS number
to complete your Grants.gov registration. Registration is required for
electronic submission. See the General Section of the SuperNOFA for a
discussion of the Grants.gov registration process.
f. Applicants will not be considered for funding if their request
exceeds the maximum amount they are eligible for.
2. Program Requirements:
a. Program Evaluations. A portion of grant funds should be reserved
to ensure that evaluations can be completed for all participants who
received training through this program. For example, applicants may
propose to reserve one percent of grant funds for every 10 students
they train for the purpose of evaluating students' success in the
program.
b. Physical Improvements. All renovations must meet appropriate
accessibility requirements, including the requirements of Section 504
of the Rehabilitation Act of 1973 at 24 CFR part 8, Architectural
Barriers Act at 24 CFR part 40, the Americans with Disabilities Act and
the Fair Housing Act. Compliance with the Uniform Federal Accessibility
Standards must comply with the requirements of 24 CFR 8.21, 8.22,
8.232, and 8.25 with respect to buildings.
c. Contract Administrator. The contract administrator must assure
that the financial management system and procurement procedures that
will be implemented during the grant term comply with 24 CFR part 85.
CAs are expressly forbidden from accessing HUD's Line of Credit Control
System (LOCCS) and submitting vouchers on behalf of grantees. Contract
administrators must assist PHAs in meeting HUD's reporting
requirements, see Section VI.C. ``Reporting'' for more information.
Contract administrators may be: local housing agencies; community-based
organizations such as community development corporations (CDCs),
churches, temples, synagogues, mosques; nonprofit organizations; state/
regional associations and organizations. Troubled PHAs are not eligible
to be contract administrators. Grant writers who assist applicants in
preparing their Neighborhood Networks applications are also ineligible
to be contract administrators. Organizations that the applicant
proposes to use as the contract administrator must not violate the
conflict of interest standards as defined in 24 CFR part 84 and 24 CFR
part 85.
d. Other Requirements Applicable to All Programs. All applicants,
lead and non-lead, should refer to ``Other Requirements and Procedures
Applicable to All Programs'' of the General Section of the SuperNOFA
for other requirements to which they may be subject.
3. Number of Applications Permitted:
a. General. Applicants may submit only one application for a NN
grant.
b. Joint applications. Two or more applicants may join together to
submit a joint application for proposed grant activities. Joint
applications must designate a lead applicant. Only the lead applicant
is subject to the threshold requirements outlined in this NOFA.
However, both lead and non-lead applicants are subject to threshold
requirements outlined in Section III. C. of the General Section of the
SuperNOFA. The lead applicant must be registered with Grants.gov and
submit the application using the Grants.gov portal. Applicants who
submit joint applications cannot submit separate applications as sole
applicants under this NOFA. NOTE: The lead applicant will determine the
maximum funding amount the applicants are eligible to receive.
4. Eligible Participants: All program participants must be
residents of public housing or residents of other housing assisted with
funding made available under the 2005 Appropriations Act (e.g.,
residents receiving tenant-based or project-based voucher assistance,
as well as elderly and disabled residents).
5. Compliance with Program Requirements. In addition to the
specific NN program requirement, all applicants and grantees must also
comply with the program requirements contained in Section III. C. of
the General Section of the SuperNOFA.

IV. Application and Submission Information

A. Address to Obtain an Application Package. There is no
application kit this year. Please refer to the General Section for
information on how to submit your application electronically. Copies of
this published NOFA and application forms for this program may be
downloaded from the grants.gov Web site at http://www.grants.gov/APPLY.
If you have difficulty accessing the information you may call the
Grants.gov help desk toll-free at (800) 518-GRANTS or sending an e-mail
to Grants.gov">Support@Grants.gov. The operators will assist you in accessing the
information.
B. Content and Form of Application Submission: 1. Application
Preparation: Before preparing an application for Neighborhood Networks
funding, applicants should carefully review the program description,
program requirements, ineligible activities, threshold requirements
contained in this NOFA, and the General Section. Applicants should also
review each rating factor found in the ``Application Review
Information'' section before writing a narrative response. Applicants'
narratives must be descriptive in order to ensure that every requested
item is addressed. Applicants should make sure to include all requested
information, according to the instructions found in this NOFA and the
General Section. This will help ensure a fair and accurate review of
your application.
2. Content and Format for Submission: In order to be funded,
applicants must propose programs which meet all the requirements and
objectives of the Neighborhood Networks program described in this NOFA
and follow the submission instructions for electronic filing and
submitting third party letters and other documentation found in the
General Section.
3. Content of Application: Applicants must write narrative
responses to each of the rating factors described in the section below.
Their responses must demonstrate that they have the necessary capacity
to successfully manage this grant program. Applicants should ensure
that their narratives are written clearly and concisely so that HUD
reviewers, who may not be familiar with the Neighborhood Networks
program, fully understand the proposal. HUD encourages applicants to
carefully review each rating factor, the regulations governing the
Neighborhood Networks program, at 24 CFR parts 905 and 968, and the
General Section prior to responding to the rating factors.
4. Format of Application: (1) Applications may not exceed 35
narrative pages. Narrative pages must be submitted as separate
electronic files, formatted as double-spaced, single-sided documents.
Each file should have

[[Page 14028]]

the pages numbered consecutively. Use Times New Roman font style and
font size 12. Supporting documentation, required forms, and
certifications will not be counted toward the 35 narrative page limit.
See the General Section for information on how to submit documents that
are not in electronic format. Applicants should make every effort to
submit only what is necessary in terms of supporting documentation.
Please see the General Section for instructions on how to submit
supporting documentation with your electronic application.
(2) The following checklist has been provided to guarantee that the
applicants submit all of the required forms and information. Electronic
application filers should make sure the file names for their narratives
reflect the labels in the checklist. Each narrative must be in a
separate file with all the files zipped together and sent as an
attachment in the application submittal.

(Note: Applicants who receive a waiver to submit paper
applications, must submit their applications in a three-ring binder,
with TABS dividing the sections as indicated below):

TAB 1: Required Forms
1. Acknowledgment of Application Receipt (HUD-2993), for paper
application submissions only (you must have an approved waiver to
submit a paper application);
2. Application for Federal Assistance (SF-424);
3. SF-424 Supplement--Survey on Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD-27300);
5. ROSS Fact Sheet (HUD-52751);
6. Grant Application Detailed Budget (HUD-424-CB);
7. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
8. Applicant/Recipient Disclosure/Update Report (HUD-2880);
9. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990) if applicable;
10. Certification of Consistency with the Consolidated Plan (HUD-
2991) if applicable;
11. Disclosure of Lobbying Activities (HUD-SF-LLL)--if applicable;
12. Disclosure of Lobbying Activities Continuation Sheet (HUD-SF-
LLL-A)--if applicable; and
13. Client Comments and Suggestions (HUD-2994). (Optional)
14. Facsimile Transmittal (HUD-96011)
TAB 2: Threshold Requirements
1. Letters from Partners attesting to match;
2. Letter from Applicant's organization attesting to match (if
applicant is contributing to match); and
3. Contract Administrator Partnership Agreement (required for
troubled PHAs) (HUD-52755).
TAB 3: Rating Factor 1
1. Narrative
2. Chart A: Program Staffing (HUD-52756)
3. Chart B: Applicant/Administrator Track Record (HUD-52757)
4. Resumes/Position Descriptions
TAB 4: Narrative for Rating Factor 2
TAB 5: Rating Factor 3
1. Narrative
2. Business Plan (see sample) (HUD-52766)
TAB 6: Narrative for Rating Factor 4
TAB 7: Narrative for Rating Factor 5 and NN Program Forms
1. Narrative
2. Logic Model (HUD-96010);
3. Sample Performance measures/outcomes are attached for
applicants' information
C. Submission Dates and Times: 1. Due Dates: Electronic
applications must be submitted and received by Grants.gov no later than
11:59:59 p.m. eastern time on June 3, 2005. For applicants receiving a
waiver to the electronic filing requirement, please see the General
Section for waiver and mailing requirements.
2. Proof of Timely Submission. Please see Section IV.F of the
General Section for application submission, and timely receipt
requirements. Applicants that fail to meet the deadline for application
receipt will not receive funding consideration.
D. Intergovernmental Review: Not applicable.
E. Funding Restrictions: 1. Reimbursement for Grant Application
Costs: Applicants who receive a NN award are prohibited from using
these grant funds to reimburse any costs incurred while preparing their
applications.
2. Covered Salaries:
a. Project Coordinator: The Neighborhood Networks program will fund
up to $65,000 in combined annual salary and fringe benefits for a full-
time Project Coordinator. The Project Coordinator's salary and fringe
benefits may not exceed 30 percent of the total grant amount. For audit
purposes, applicants must have documentation on file demonstrating that
the salary paid to the Project Coordinator is comparable to similar
professions in their local area.
b. Hiring Residents: Grantees may hire residents to help with the
implementation of this grant program. No more than five percent of
grant funds can be used for this purpose.
c. NN funds may only be used for the types of salaries described in
this section according to the restrictions described herein. NN funds
may not be used to pay for salaries of any other kind.
d. Neighborhood Networks grant funds cannot be used to hire or pay
the services of a Contract Administrator.
3. Administrative Costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment, supplies,
local travel, and utilities. Administrative costs may not be used to
pay for salaries. Administrative costs must not exceed 10 percent of
the total grant amount requested from HUD. Administrative costs must
adhere to OMB Circular A-87. Please use HUD-424-CBW to itemize your
administrative costs.
4. Ineligible Activities/Costs. Grant funds may not be used for
ineligible activities:
a. Payment of wages and/or salaries to participants for receiving
supportive services and/or training programs;
b. Purchase, lease, or rental of land;
c. Purchase, lease, or rental of vehicles;
d. Entertainment costs;
e. Purchasing food;
f. Service Coordinator salary and fringe benefits;
g. Stipends;
h. Cost of application preparation;
i. Costs which exceed limits identified in the NOFA for the
following: Project Coordinator, resident salaries, physical
improvements (see below) and administrative expenses; and
j. Any other costs not eligible under section 9(d)(1)(E) of the
U.S. Housing Act of 1937. A copy of the regulation can be found at
www.hud.gov/fundsavailable.
k. NN funds cannot be used to hire or pay for the services of a
Contract Administrator
5. Physical Improvements. For new centers, expenses for physical
improvements may not exceed 20 percent of the total grant amount
requested from HUD. For existing centers, expenses for physical
improvements may not exceed 10 percent of the total grant amount.
F. Other Submission Requirements: a. Electronic Delivery. Beginning
in FY2005, HUD requires applicants to submit applications
electronically through www.grants.gov/Apply. Applicants interested in
applying for funding must submit their applications electronically via
the web site http://www.grants.gov/Apply. This site has simple
instructions that will enable you to apply for HUD assistance. The
www.grants.gov/Apply feature includes

[[Page 14029]]

a simple, unified application process to enable applicants to apply for
grants online.
b. Waivers to the Electronic Submission Process: Applicants may
request a waiver to the electronic submission process (see Section IV.F
of the General Section for more information). Applicants who are
granted a waiver must submit their applications to: HUD Grants
Management Center (GMC), Mail Stop: Neighborhood Networks, 501 School
Street, SW., 8th floor, Washington, DC 20024. Please see the General
Section for detailed mailing and delivery instructions as the
procedures have changed significantly for this year.
c. Number of Copies. Only applicants receiving a waiver to the
electronic submission requirement may submit an original and two paper
copies of the application. One paper copy must be sent to the area
field office. See the chart in the General Section if you have received
a waiver of the electronic submission requirement.

V. Application Review Information

A. Criteria

1. Factors for Award Used To Evaluate and Rate Applications to the
Neighborhood Networks Program: The factors for rating and ranking
applicants and maximum points for each factor are provided below. The
maximum number of points available for this program is 102. This
includes two RC/EZ/EC bonus points. The SuperNOFA contains a
certification that must be completed in order for the applicant to be
considered for RC/EZ/EC-II bonus points. A listing of federally
designated RC/EZ/EC-II is available on HUD's web site at: www.hud.gov/fundsdsavailable. The agency certifying to RC/EZ/EC-II status must be
included in the listing on HUD's web site. Please see the General
Section for details concerning RDC/EZ/EC-II bonus points. NOTE:
Applicants should carefully review each rating factor before writing a
response. Applicants' narratives must be descriptive and detailed in
order to ensure every requested item is addressed. Applicants should
make sure their narratives thoroughly address the Rating Factors below
and include all requested information, according to the instructions
found in this NOFA. This will help ensure a fair and accurate
application review.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (35 Points)
This factor addresses whether the applicant has the organizational
resources necessary to successfully implement the proposed activities
within the grant period. In rating this factor, HUD will consider
whether the proposal demonstrates that the applicant will have
qualified and experienced staff. HUD will also bear in mind whether or
not the proposed staff will be dedicated to administering the program.
(1) Proposed Program Staffing (12 Points).
(a) Staff Experience (4 Points). HUD is requesting details about
the knowledge and experience of the proposed Project Coordinator,
staff, and partners in planning and managing programs. Experience will
be judged in terms of recent, relevant and successful experience of
proposed staff to undertake program activities. In rating this factor,
HUD will consider experience within the last 5 years to be recent;
experience pertaining to the specific activities being proposed to be
relevant; and experience producing specific accomplishments to be
successful. Applicants will receive a greater amount of points if the
proposed staff has recent and applicable experience. HUD is looking for
staff to possess experience working with and successfully implementing
similar projects. If proposed staff has experience in providing
community technology services and in delivering social service programs
to underserved populations, applicants will receive a maximum score of
four points. If proposed staff has experience in only one area,
applicants will receive two points. If proposed staff has experience in
neither area, applicants will receive a score of 0 for this subfactor.
The following information should be included in the application in
order to provide HUD an understanding of the proposed staff's
experience and capacity:
(i) The number of staff years (one staff year = 2080 hours) to be
allocated to the program by each employee as well as each of their
roles in the program;
(ii) The staff's relevant educational background and/or work
experience;
(iii) Relevant and successful experience running programs whose
activities include social services and computer programs that are
similar to the eligible program activities described in this NOFA;
(b) Hiring Residents (3 points). Three points will be awarded if
applicants commit to hiring one to three residents. Small PHAs should
hire one person, medium PHAs should hire one to two people, and large
PHAs should hire three people in order to get the maximum score. In
order to receive points for this subfactor, applicants must explain in
their narrative that they will hire residents and indicate the number
of residents to be hired, and work they will be assigned.
(c) Organizational Capacity (5 Points). Applicants will be
evaluated based on whether they have, and/or whether their partners
have sufficient qualified personnel to deliver the proposed activities
in a timely and effective fashion. In order to enhance or supplement
capacity, applicants should provide evidence of partnerships with
nonprofit organizations or other organizations that have experience
providing community technology services to typically underserved
populations. Applicants' narrative must describe their ability to
immediately begin the proposed work program. Applicants may scan
resumes or position descriptions (where staff is not yet hired) for all
key personnel so they become an electronic attachment to your
Grants.gov application. Please see the General Section for instructions
on how to submit the required information with your electronic
application. (Resumes/position descriptions do not count toward the 35-
page limit.)
(2) Past Performance of Applicant/Contract Administrator (6
Points). Applicants' narrative must describe how they (or their
Contract Administrator) successfully implemented grant programs
(including those listed below) designed to promote resident self-
sufficiency or moving from welfare to work. Applicants' past experience
may include, but is not limited to, running programs aimed at assisting
residents of low-income housing achieve economic self-sufficiency;
e.g., ROSS grants and Youthbuild. Applicants' narrative must indicate
the grants they received and managed, the grant amounts, and grant
terms (years) of the grants that they are counting towards past
experience. Applicants will be evaluated according to the following
criteria:
(a) Benefits gained by participating residents. These must be
measurable. Applicants should describe results their programs have
obtained, (e.g., higher incomes, improved grades, higher rates of
employment, increased savings, improved literacy, etc.);
(b) Description of timely grant expenditure throughout the term of
past grants. Timely means regular drawdowns throughout the life of the
grant, i.e., quarterly drawdowns, with all funds expended by the end of
the grant term;
(c) Description of past leveraging. Applicants must describe how
they have leveraged funding or in-kind services beyond what was
originally proposed for past projects;

[[Page 14030]]

(3) Program Administration and Fiscal Management (17 Points).
(a) Program Administration (10 Points). Applicants should describe
how they will manage the program; how HUD can be sure that there is
program accountability; and provide a description of proposed staff's
roles and responsibilities. Applicants should also describe how grant
staff, and partners will report to the Project Coordinator and other
senior staff.
(b) Fiscal Management (7 Points) In rating this factor, applicants'
skills and experience in fiscal management will be evaluated. If
applicants have had any audit or material weakness findings in the past
five years, they will be evaluated on how well they have addressed
them. Applicants must provide the following:
(i) A complete description of their fiscal management structure,
including fiscal controls currently in place, which includes those of a
Contract Administrator for applicants who required one. (i.e., troubled
PHAs);
(ii) Applicants must list any audit findings in the past five years
(HUD Inspector General, management review, fiscal, etc.), material
weaknesses and what has been done to address them;
(iii) For applicants who are required to have a Contract
Administrator, describe the skills and experience the Contract
Administrator has in managing Federal funds.
b. Rating Factor 2: Need (10 Points)
This factor addresses the need for funding an applicant's proposed
program. In responding to this factor, applicants will be evaluated on
the extent to which they describe and document the level of need for
their proposed activities.
In responding to this factor, applicants must include:
(1) Demonstrated Link Between Proposed Activities and Local Need.
(10 points). Applicants' narrative must demonstrate a clear
relationship between proposed activities, community needs and the
purpose of the program's funding in order for points to be awarded for
this factor.
c. Rating Factor 3: Soundness of Approach (25 Points)
This factor addresses both the quality and cost-effectiveness of
applicants' proposed business plan. The business plan must indicate a
clear relationship between proposed activities, the targeted
population's needs, and the purpose of the program funding. Applicants'
activities must address HUD's policy priorities outlined in this Rating
Factor.
In rating this factor HUD will consider:
(1) Quality of the Business Plan (20 points). This factor evaluates
both the applicants' business plan and budget which will be evaluated
based on the following criteria:
(a) Specific Services and/or Activities (9 points). Applicants'
narrative must describe the specific services, course curriculum, and
activities they plan to offer and who will be responsible for each. In
addition to the narrative, applicants must also provide a business
listing the specific services, activities, and outcomes they expect.
The business plan must show a logical order of activities and progress
and must tie to the outcomes and outputs applicants identify in the
Logic Model (see Rating Factor 5). Please see a sample business plan in
the Appendix (HUD-52766). Applicants' narrative must explain how their
proposed activities will:
(i) Involve community partners in the delivery of services (4
points); and
(ii) Offer comprehensive services versus a small range of services
geared toward enhancing economic opportunities for residents. (5
points).
(b) Feasibility and Demonstrable Benefits (4 points). This factor
examines whether applicants' business plan is logical, feasible and
likely to achieve its stated purpose during the term of the grant.
HUD's desire is to fund applications that will quickly produce
demonstrable results and advance the purposes of the Neighborhood
Networks program.
(i) Timeliness. This subfactor evaluates whether applicants'
business plan demonstrates that their project is ready to be
implemented shortly after grant award. In addition, the timing of the
application should not exceed three months following the execution of
the grant agreement. The business plan must indicate timeframes and
deadlines for accomplishing major activities.
(ii) Description of the problem and solution. The business plan
will be evaluated based on how well applicants' proposed activities
address the needs described in Rating Factor 2.
(c) Budget Appropriateness/Efficient Use of Grant (7 Points). The
score in this factor will be based on the following:
(i) Justification of expenses (4 Points). Applicants will be
evaluated based on whether their expenses are reasonable, well
explained, and support the objectives of their proposal.
(ii) Budget Efficiency (3 Points). Applicants will be evaluated
based on whether their application requests funds commensurate with the
level of effort necessary to accomplish their goals and anticipated
results.
(d) Ineligible Activities. Two points will be deducted for each
ineligible activity proposed in the application, as identified in
Section IV(E). For example, you will lose 2 points if you propose costs
that exceed the limits identified in the NOFA for a Project
Coordinator.
(2) Addressing HUD's Policy Priorities (5 points). HUD wants to
improve the quality of life for those living in distressed communities.
HUD's grant programs are a vehicle for long-term, positive change that
can be achieved at the community level. Applicants' narrative and
business plan will be evaluated based on how well they meet the
following HUD policy priorities:
(a) Improving the Quality of Life in Our Nation's Communities. (1
points). In order to receive points in this category, applicants'
narrative and business plan must indicate the types of activities,
services, and training programs that will be offered. These programs
should help residents successfully transition from welfare to work and
earn higher wages, or for elderly/disabled residents, to continue to
live independently.
(b) Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation (1
point). HUD encourages applicants to partner with grassroots
organizations, e.g., civic organizations, grassroots faith-based and
other community-based organizations. These grassroots organizations
have a strong history of providing vital community services such as
developing first-time homeownership programs, creating economic
development programs, providing job training and other supportive
services. In order to receive points under this factor, applicants'
narrative and business plan must describe how applicants will work with
these organizations and what types of services they will provide.
(c) Policy Priority for Increasing the Supply of Affordable Housing
Through the Removal of Regulatory Barriers to Affordable Housing (up to
2 points).Under this policy priority, higher rating points are
available to (1) governmental applicants that are able to demonstrate
successful efforts in removing regulatory barriers to affordable
housing, and (2) nongovernmental applicants undertaking activities in
jurisdictions that have undertaken successful efforts in removing
barriers. For applicants to obtain the policy priority points for
efforts to successfully remove regulatory barriers, applicants should
complete form HUD 27300, ``Questionnaire for HUD's Initiative on
Removal of Regulatory Barriers.'' A copy of HUD's Notice entitled
America's Affordable Communities Initiative, HUD's Initiative

[[Page 14031]]

on Removal of Regulatory Barriers: Announcement of Incentive Criteria
on Barrier Removal in HUD's 2004 Competitive Funding Allocations'' can
be found on HUD's Web site at http://www.hud.gov/grants/index.cfm. The
information and requirements contained in HUD's regulatory barriers
policy priority apply to this FY 2005 NOFA. A description of the policy
priority and a copy of form HUD 27300 can be found in the General
Section. Applicants are encouraged to read the Notice as well as the
General Section to obtain an understanding of this policy priority and
how it can impact their score. A number of questions expressly request
the applicant to provide brief documentation with their response. Other
questions require that for each affirmative statement made, the
applicant must supply a reference, URL, or a brief statement indicating
where the back-up information may be found, and a point of contact,
including a telephone number or email address. The electronic copy of
the HUD 27300 has space to identify a URL or reference that the
material is being scanned and attached to the application as part of
the submission or faxed to HUD following the facsimile submission
instructions.
(d) Energy Star (1 point). HUD has adopted a wide-ranging energy
action plan for improving energy efficiency in all program areas. As a
first step toward implementing the energy plan, HUD, the Environmental
Protection Agency (EPA) and the Department of Energy (DoE) have signed
a joint partnership to promote energy efficiency in HUD's affordable
housing efforts and programs. The purpose of the Energy Star
partnership is to promote energy efficiency of the affordable housing
stock, but also to help protect the environment. Applicants
constructing, rehabilitating, or maintaining housing or community
facilities are encouraged to promote energy efficiency in design and
operations. They are urged especially to purchase and use Energy Star
labeled products. Applicants providing housing assistance or counseling
services are encouraged to promote Energy Star building by homebuyers
and renters. Program activities can include developing Energy Star
promotional and information materials, outreach to low- and moderate-
income renters and buyers on the benefits and savings when using Energy
Star products and appliances, and promoting the designation of
community buildings and homes as Energy Star compliant. For further
information about Energy Star, see http://www.energystar.gov or call 1-
888-STAR-YES (1-888-782-7937) or for the hearing-impaired, 1-888-588-
9920 TTY. Applicants demonstrating that they will meet one or more
provisions of this policy priority will receive one point.
d. Rating Factor 4: Leveraging Resources (20 Points)
(1) This factor addresses the applicant's ability to secure
community resources that can be combined with HUD's grant resources in
order to achieve program purposes. Applicants are required to create
partnerships with organizations that can help achieve their program's
goals. PHAs are required by section 12(d)(7) of the U.S. Housing Act of
1937 (entitled ``Cooperation Agreements for Economic Self-Sufficiency
Activities'') to make best efforts to enter into such agreements with
relevant state or local agencies. In rating this factor, HUD will look
at the extent to which applicants partner, coordinate and leverage
their services and resources with other organizations serving the same
or similar populations.
(2) Additionally, applicants must have at least a 25 percent cash
or in-kind match. The match is a threshold requirement. Joint
applicants must have at least a 25 percent match. Applicants who do not
demonstrate the minimum 25 percent match will fail the threshold
requirement and will not receive further consideration for funding.
Leveraging in excess of the 25 percent of the requested grant amount
will receive a higher point value. In evaluating this factor HUD will
consider the extent to which applicants have partnered with other
entities to secure additional resources. This will increase the
effectiveness of the proposed program activities. The additional
resources and services must be firmly committed, must support the
proposed grant activities and must, in combined amount (including in-
kind contributions of personnel, space and/or equipment, and monetary
contributions) equal at least 25 percent of the grant amount requested
in this application. ``Firmly committed'' means that the amount of
resources and their dedication to Neighborhood Networks-funded
activities must be explicit, in writing, and signed by a person
authorized to make the commitment. Please see the section on Threshold
Requirements for more information.
(3) Points for this factor will be awarded based on the documented
evidence of partnerships and firm commitments and the ratio of
requested Neighborhood Networks funds to the total proposed grant
budget.
Points will be assigned based on the following scale:

--------------------------------------------------------------------------------------------------------------------------------------------------------
Percentage of match Points awarded
--------------------------------------------------------------------------------------------------------------------------------------------------------
25....................................... 5 points (with partnerships) 3 points (without partnerships).
26-50.................................... 10 points (with partnerships) 8 points (without partnerships).
51-75.................................... 15 points (with partnerships) 13 points (without partnerships).
76 or above.............................. 20 points (with partnerships) 18 points (without partnerships).
--------------------------------------------------------------------------------------------------------------------------------------------------------

e. Rating Factor 5: Achieving Results and Program Evaluation (10
Points)
(1) An important element in this year's NOFA is the development and
reporting of performance measures and outcomes. This factor emphasizes
HUD's determination to ensure that applicants meet commitments made in
their applications and grant agreements. They are also required to
assess their performance so they can measure performance goals.
Applicants must demonstrate how they propose to measure their success
and outcomes relating to the Department's Strategic Plan. HUD requires
NN applicants to develop an effective, quantifiable, outcome-oriented
plan for measuring performance and determining that goals have been
met. Applicants must use the Logic Model form (HUD-96010) for this
purpose.
(2) Applicants must establish interim benchmarks, or outputs, for
their proposed program that lead to the ultimate achievement of
outcomes. ``Outputs'' are the direct products of a program's
activities. Examples of outputs are: the number of eligible families
that participate in supportive services, the number of new services
provided, the number of residents, or the number of households using a
technology center. Outputs should produce outcomes for your program.
``Outcomes'' are benefits accruing to the residents, families and/or
communities during or after participation in the NN program. Applicants
must clearly identify the outcomes to be achieved and measured.
Examples of outcomes are: increasing academic achievement in

[[Page 14032]]

youth, increasing residents' financial stability (e.g. increasing
assets of a household through savings), or increasing employment
stability (e.g., whether persons assisted obtain or retain employment
for one or two years after job training completion). Outcomes are not
the actual development or delivery of services or program activities.
(3) This rating factor requires that applicants identify program
outputs, outcomes, and performance indicators that will allow
applicants to measure their performance. Performance indicators should
be objectively quantifiable and measure actual achievements against
anticipated achievements. Applicants' narrative, business plan, and
Logic Model should identify what applicants are going to measure, how
they are going to measure it, and the steps they have in place to make
adjustments if performance targets begin to fall short of established
benchmarks and timeframes. Applicants' proposals must also show how
they will measure the performance of partners and affiliates.
Applicants must include the standards, data sources, and measurement
methods they will use to measure performance.
In order to respond to this factor, applicants should use the
sample performance measures located in the Appendix (HUD-52758) as a
guide. Applicants will be evaluated based on how comprehensively they
propose to measure their program's outcomes; e.g. whether the Logic
Model tracks activities and outcomes resulting from the proposed
activities, whether the Logic Model identifies evaluation tools and
sources, and whether the Logic Model provides output and outcome
information for the short, medium and long-term.
B. Review and Selection Process: 1. Review Process. Four types of
reviews will be conducted: a screening to determine if you are eligible
to apply for funding under the Neighborhood Networks category; whether
your application submission is complete, on time and meets threshold; a
review by the field office to evaluate past performance; and a
technical review to rate your application based on the five rating
factors provided in this NOFA.
2. Selection Process: The selection process is designed to achieve
geographic diversity of grant awards throughout the country. HUD will
first select the highest ranked application from each of the ten
federal regions. After this ``round,'' HUD will select the second
highest ranked application in each of the ten federal regions for
funding (the second round). HUD will continue this process with the
third, fourth, and so on, highest ranked applications in each federal
region until the last complete round is selected for funding. If
available funds exist to fund some but not all eligible applications in
the next round, HUD will make awards to those remaining applications in
rank order (by score). In this round, selections will be made
regardless of region and will fully fund as many as possible with
remaining funds. If remaining funds are too small to make an award,
they will be applied to funding the fiscal year 2006 Neighborhood
Networks program, assuming new funding is made available.
3. Tie Scores. In the event of a tie between two applications, HUD
will select the application that was received first.
4. Deficiency Period. Applicants will have fourteen calendar days
in which to provide missing information requested from HUD. For other
information on correcting deficient applications, please see the
General Section.

VI. Award Administration Information:

A. Award Notices: HUD will make announcements of grant awards after
the rating and ranking process is completed. Grantees will be notified
by letter. The letter will contain instructions and the steps they must
take to access funding and begin implementing grant activities.
Applicants who are not funded will also receive letters via U.S. postal
mail.
B. Debriefings: Applicants who are not funded may request a
debriefing. Applicants requesting to be debriefed must send a written
request to: Iredia Hutchinson, Director, Grants Management Center, 501
School Street, SW., Suite 800, Washington, DC 20024. Please refer to
the General Section for additional information on debriefings.
C. Administrative and National Policy Requirements:
1. Applicable Requirements. Grantees are subject to regulations and
other requirements found in:
a. 24 CFR 85 ``Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally Recognized Indian
Tribal Governments'';
b. 24 CFR Part 905 ``The Public Housing Capital Fund Program'';
c. 24 CFR Part 968 ``Public Housing Modernization'';
d. OMB Circular A-87 ``Cost Principles for State, Local, and Indian
Tribal Governments''; and
e. OMB Circular A-133 ``Audits of States, Local Governments, and
Non-Profit Organizations''.
2. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3).
Applicants and grantees must also comply with Section 3 of the
Housing and Urban Development Act of 1968, 12 U.S.C. 1701u and ensure
that training, employment, and other economic opportunities shall, to
the greatest extent feasible, be directed toward low and very low-
income persons, particularly those who are recipients of government
assistance for housing and to business concerns which provide economic
opportunities to low and very low-income persons.
3. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. For further
information see the General Section.
4. Fair Housing and Civil Rights Laws. Applicants and their
subrecipients must comply with all Fair Housing and Civil Rights laws,
statutes, regulations, and Executive Orders as enumerated in 24 CFR
5.105(a), as applicable. Please see the General Section for more
information.
5. Environmental Impact. Some activities under this Neighborhood
Networks program section will be excluded and not subject to
environmental review under 24 CFR 58.34(a)(3), (a)(8) or (a)(9),
58.35(b)(2) or (b)(3), 50.19(b)(3), (b)(8), (b)(9), (b)(12), or
(b)(13). Some will be subject to environmental review. Any applicant
proposing any long-term leasing or physical development activities, and
its partners, are prohibited from constructing, rehabilitating,
converting, leasing, repairing or constructing property, or committing
or expending HUD or non-HUD funds for these types of program
activities, until the following has occurred:
HUD has approved the grantee's Request for Release of Funds (HUD
Form 7015.15) following a Responsible Entity's completion of an
environmental review under 24 CFR part 58, where required, or if HUD
has determined in accordance with 24 CFR 58.11 to perform the
environmental review itself under 24 CFR part 50, HUD has completed the
environmental review.
6. Wage Rates. Laborers and mechanics employed in the development
and operation of Neighborhood Networks facilities must be paid Davis-
Bacon or HUD-determined prevailing wage rates, respectively, unless
they meet the qualifications of a volunteer (see Section III.C.1.a of
this program section).

[[Page 14033]]

7. Provision of Services to Individuals with Limited English
Proficiency (LEP). Successful applicants and grantees must seek to
provide access to program benefits and information to LEP individuals
through translation and interpretive services in accordance with HUD's
LEP Recipient Guidance 68 FR 70968.
8. Communications. Successful applicants should ensure that notices
of and communications during all training sessions and meetings be
effective for persons who have hearing and/or visual disabilities
consistent with Section 504, see 24 CFR 8.6.
9. Procurement of Recovered Materials. State agencies or a
political subdivision of a state that are using assistance under a HUD
program NOFA, must comply with the requirements of Section 6002 of the
Solid Waste Disposal Act, as amended by the Resource Conservation and
Recovery Act. In addition, any person contracting with such an agency
with respect to work performed under an assisted contract, must comply
with the requirements of Section 6002 of the Solid Waste Disposal Act,
as amended by the Resource Conservation and Recovery Act. Please see
the General Section for more information.
D. Reporting:
1. Semi-Annual Performance Reports. Grantees shall submit semi-
annual performance reports to the local HUD field office. These
progress reports shall include financial reports (SF-269A) and a
narrative describing milestones, business plan progress, problems
encountered and methods used to address these problems. HUD anticipates
that some of the reporting of financial status and grant performance
will be through electronic or Internet-based submissions. Grantees
shall use quantifiable data to measure performance against goals and
objectives outlined in their business plan. Applicants that receive
awards from HUD should be prepared to report on additional measures
that HUD may designate at time of award. Performance reports are due to
the field office on July 30 and January 31 of each year. If reports are
not received by the due date, grant funds will not be advanced until
reports are received.
2. Final Report. All grantees shall submit a final report to their
local field office. This reports must include a financial report (SF-
269A) and a narrative evaluating overall performance against their
business plan. Grantees shall use quantifiable data to measure
performance against goals and objectives outlined in their business
plan. The financial report shall contain a summary of all expenditures
made from the beginning of the grant agreement to the end of the grant
agreement and shall include any unexpended balances. The final
narrative and financial report shall be due to the field office 90 days
after the termination of the grant agreement
3. Logic Model. For each semi-annual reporting period, you must
include a completed Logic Model (Form HUD 96010), which identifies
output and outcome achievements. These semi-annual reporting periods
are required. A completed Logic Model must also be provided with the
final report showing cumulative outputs and outcomes for the entire
award period.

VII. Agency Contact(s)

For questions and technical assistance, applicants may call the
Public and Indian Housing Information and Resource Center at 800-955-
2232. For the hearing or speech impaired, please call the Federal Relay
Service at 800-877-8339.

VIII. Other Information

A. Code of Conduct: See the General Section of the SuperNOFA for
more information.
B. Transfer of Funds: HUD does not have the discretion to transfer
funds for the Neighborhood Networks category to or from any other grant
program.
C. Paperwork Reduction Act: The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average ten hours per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing, and reporting the data for the application,
semi-annual reports and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required in order to receive the
benefits to be derived.
D. Appendix of Forms: The forms specific to the Neighborhood
Networks Program follow.

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[[Page 14055]]

Resident Service Delivery Models-Family, Resident Service Delivery
Models-Elderly/Persons with Disabilities, and Homeownership Supportive
Services Under the Resident Opportunity and Self-Sufficiency (ROSS)
Program

Overview Information

A. Federal Agency Name: U.S. Department of Housing and Urban
Development, Office of Public and Indian Housing.
B. Funding Opportunity Title: Resident Service Delivery Models-
Family, Resident Service Delivery Models-Elderly/Persons with
Disabilities, and Homeownership Supportive Services under the Resident
Opportunity and Self-Sufficiency (ROSS) program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is: FR-4950-N-22. The OMB approval number is: 2577-0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s):
Resident Opportunity and Self Sufficiency, 14.870.
F. Dates: Resident Service Delivery Models-Elderly/Persons with
Disabilities: The application submission date is July 6, 2005. Please
see the General Section of the SuperNOFA for application submission and
timely receipt requirements.
Resident Service Delivery Models-Family: The application submission
date is July 25, 2005. Please see the General Section of the SuperNOFA
for application submission and timely receipt requirements.
Homeownership Supportive Services: The application submission date
is May 26, 2005. Please see the General Section of the SuperNOFA for
application submission and timely receipt requirements.
G. Optional, Additional Overview Content Information:
1. Purpose of Program: The purpose of the Public and Indian Housing
Resident Opportunity and Self Sufficiency (ROSS) program is to provide
grants to public housing agencies (PHAs), tribes/tribally designated
housing entities (TDHEs), Resident Associations (RAs), and nonprofit
organizations, including grassroots, faith-based and other community-
based organizations for the delivery and coordination of supportive
services and other activities designed to help public and Indian
housing residents attain economic self-sufficiency and elderly
residents and residents with disabilities continue to live
independently.
2. Funding Available: A total of approximately $58.1 million is
available for ROSS in fiscal year 2005.
3. Award Amounts: Awards, depending on the grant category, unit
count and type of grantee, will range from $125,000 to $1,000,000.
Please see each program description for more specific information about
funding amounts.
4. Eligible Applicants: Eligible applicants are PHAs; tribes/TDHEs;
nonprofit organizations including grassroots faith-based and other
community-based organizations that have resident support or the support
of tribes; RAs; resident councils (RCs); resident organizations (ROs);
City-Wide Resident Organizations (CWROs); Intermediary Resident
Organizations (IROs); Jurisdiction-Wide Resident Organizations;
Regional Resident Organizations; Resident Management Corporations
(RMCs); Site-Based Resident Organizations; Statewide Resident
Organizations (SRO); and Tribal/TDHE resident groups. The term
``resident association'' or ``RA'' will be used to refer to all types
of eligible resident organizations. Please see the section on
``Definition of Terms'' for a complete definition of each type of
eligible resident organization.
Resident Associations are not eligible for the Homeownership
Supportive Services program.
See each program for more specific eligibility information.
5. Cost Sharing/Match Requirement: At least 25 percent of the
requested grant amount is required as a match. The match may be in cash
and/or in-kind donations. The match is a threshold requirement.
6. Grant term: The grant term for each funding category is three
years from the execution date of the grant agreement.

----------------------------------------------------------------------------------------------------------------
Grant program Total funding Eligible applicants Maximum grant amount
----------------------------------------------------------------------------------------------------------------
Resident Service Delivery Models-- $22.9 million.......... PHAs................... $250,000 for PHAs with
Family. 1-780 units. $350,000
for PHAs with 781-
2,500 units. $500,000
for PHAs with 2,501-
7,300 units.
$1,000,000 for PHAs
with 7,301 or more
units.
....................... Resident Associations.. $125,000.
....................... Non-profit entities.... $125,000 per RA;
Maximum award is
$375,000.
....................... Tribes/TDHEs........... $250,000 for Tribes
with 1-780 units.
$350,000 for Tribes
with 781-2,500 units.
$500,000 for Tribes
with 2,501-7,300
units. $1,000,000 for
Tribes with 7,301 or
more units.
Resident Service Delivery Models-- $16.27 million......... PHAs................... $250,000 for PHAs with
Elderly and Persons with 1-217 units. $350,000
Disabilities. for PHAs with 218-
1,155 units. $450,000
for PHAs with 1,156 or
more units.
....................... Resident Associations.. $125,000.
....................... Non-profit entities.... $125,000 per RA;
Maximum award is
$375,000.
....................... Tribes/TDHEs........... $250,000 for Tribes
with 1-217 units.
$350,000 for Tribes
with 218-1,155 units.
$450,000 for Tribes
with 1,156 or more
units.
Homeownership Supportive Services.... $18.9 million.......... PHAs................... $250,000 for PHAs with
1-780 units. $350,000
for PHAs with 781-
2,500 units. $500,000
for PHAs with 2,501-
7,300 units.
$1,000,000 for PHAs
with 7,301 or more
units.

[[Page 14056]]

....................... Non-profit entities.... $125,000 per RA;
Maximum award is
$375,000.
....................... Tribes/TDHEs........... $250,000 for Tribes
with 1-780 units.
$350,000 for Tribes
with 781-2,500 units.
$500,000 for Tribes
with 2,501-7,300 units
$1,000,000 for Tribes
with 7,301 or more
units.
----------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

A. Resident Services Delivery Models-Family (RSDM-Family): The
purpose is to provide funding to assist PHAs, tribes/TDHEs, RAs,
nonprofit organizations which include grassroots community based
organizations, inclusive of faith-based organizations, create programs
which will help residents achieve economic self-sufficiency. Applicants
must submit proposals that will link residents with services such as
job training and educational opportunities that facilitate self-
sufficiency.
B. Resident Services Delivery Models-Elderly/Persons with
Disabilities (RSDM-Elderly): This category is intended to provide PHAs,
Indian tribes/TDHEs, RAs, and nonprofit organizations with the
resources to provide and coordinate supportive services that will help
elderly and/or disabled Public and Indian Housing residents continue to
live independently.
C. Homeownership Supportive Services (HSS): The HSS category
provides funds for PHAs, tribes/TDHEs, and qualified nonprofit
organizations to deliver homeownership training, counseling and
supportive services for residents of Public and Indian housing who are
participating or have participated in self-sufficiency programs, such
as ROSS, Public Housing Family Self-Sufficiency (FSS) or other federal,
state, or local self-sufficiency programs. HSS is designed to enhance
other self-sufficiency efforts by providing public housing residents
with the necessary preparation and supportive services they need in
order to move from subsidized rental housing to homeownership. PHAs,
tribes/TDHEs, and nonprofit organizations specializing in homeownership
training and counseling are eligible to apply.
D. Definition of Terms:
1. City-Wide Resident Organization consists of members from
Resident Councils, Resident Management Corporations, and Resident
Organizations who reside in public housing developments that are owned
and operated by the same PHA within a city.
2. Community Facility means a non-dwelling structure that provides
space for multiple supportive services for the benefit of public or
Indian housing residents and others eligible for the services provided.
Supportive services may include but are not limited to:
a. Job-training;
b. After-school activities for youth;
c. Neighborhood Networks (formerly Twenty/20 Education Communities
(TECs), Campus of Learners activities);
d. English as a Second Language (ESL) classes; and
e. Child care.
3. Contract Administrator means an overall grant administrator or a
financial management agent (or both) that oversees the implementation
of the grant and/or the financial aspects of the grant. (See the
``Program Requirements'' and ``Threshold Requirements'' sections for
more information.)
4. Elderly person means a person who is at least 62 years of age.
5. Jurisdiction-Wide Resident Organization means an incorporated
nonprofit organization or association that meets the following
requirements:
a. Most of its activities are conducted within the jurisdiction of
a single housing authority;
b. There are no incorporated resident councils or resident
management corporations within the jurisdiction of the single housing
authority;
c. It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
d. Public housing residents representing unincorporated resident
councils within the jurisdiction of the single housing authority must
comprise a majority of the board of directors.
6. Tribally Designated Housing Entity (TDHE) is an entity
authorized or established by one or more Indian tribe to act on behalf
of each such tribe authorizing or establishing the housing entity.
7. Indian Tribe means any tribe, band, nation, or other organized
group of a community of Indians, including any Alaska native village,
regional, or village corporation as defined in or established pursuant
to the Alaska Native Claims Settlement Act, and that is recognized as
eligible for the special programs and services provided by the United
States to Indians because of their status as Indians pursuant to the
Indian Self Determination and Education Act of 1975.
8. Intermediary Resident Organizations means jurisdiction-wide
resident organizations, citywide resident organizations, statewide
resident organizations, regional resident organizations, and national
resident organizations.
9. NAHASDA-assisted resident means a resident of a tribe (as
defined above) who has been assisted by the Native American Housing
Assistance and Self-Determination Act (NAHASDA) of 1996 .
10. National Resident Organization (NRO) is an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
a. It is national (i.e., conducts activities or provides services
in at least two HUD areas or two states);
b. It has the capacity to provide start-up and capacity-building
training to residents and resident organizations; and
c. Public housing residents representing different geographical
locations in the country are members of the board of directors.
11. Nonprofit organization is an organization that is exempt from
federal taxation. A nonprofit organization can be organized for the
following purposes: charitable, religious, educational, scientific, or
other similar purposes in the public interest. In order to qualify, an
organization must be a corporation, community chest, fund, or
foundation. An individual or partnership will not qualify. To obtain
nonprofit status, qualified organizations must file an application with
the Internal Revenue Service (IRS) and receive designation as such by
the IRS. For more information, go to www.irs.gov. Applicants who are in
the process of applying for nonprofit status, but have not yet received
nonprofit designation from the IRS, will not be considered nonprofit
organizations. All nonprofit applicants

[[Page 14057]]

must submit their IRS determination letter to prove their nonprofit
(e.g., 501(c)(3)) status. Please see the section on ``Threshold
Requirements'' for more information. Nonprofit applicants must also
provide letters of support as described in the ``Threshold
Requirements'' section.
12. National nonprofit organizations work on a national basis and
have the capacity to mobilize resources on both a national and local
level. All nonprofit applicants must submit their IRS determination
letter to prove their nonprofit (e.g., 501(c)(3)) status. National
nonprofit applicants must also provide letters of support as outlined
in the ``Threshold Requirements'' section.
13. Past Performance is a threshold requirement. Using Rating
Factor 1, HUD's field offices will evaluate applicants for past
performance to determine whether an applicant has the capacity to
manage the grant for which they are applying. The area Office of Native
American Programs (ONAP) will review past performance for tribal/TDHE
submissions. Field offices will evaluate the past performance of
contract administrators for applicants required to have a contract
administrator.
14. Person with disabilities means a person who:
a. Has a condition defined as a disability in section 223 of the
Social Security Act; or
b. Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance Bill of Rights Act.
The term ``person with disabilities'' does not exclude persons who
have acquired immunodeficiency syndrome (HIV/AIDS) or any conditions
arising from the etiologic agent for AIDS. In addition, no individual
shall be considered a person with disabilities, for purposes of
eligibility for low-income housing, solely on the basis of any drug or
alcohol dependence.
The definition of a person with disabilities contained in section
504 of the Rehabilitation Act of 1973 and its implementing regulations
must be used for purposes of reasonable accommodations.
15. Project Coordinator is responsible for coordinating the
grantee's approved activities to ensure that grant goals and objectives
are met. A qualified project coordinator is someone with experience
managing projects and preferably has experience working with supportive
services. The project coordinator and grantees are responsible for
ensuring that all federal requirements are followed.
16. Resident Association (RA) means any or all of the forms of
resident organizations as they are defined elsewhere in this
Definitions section and includes Resident Councils (RC), Resident
Management Corporations (RMC), Regional Resident Organizations (RRO),
Statewide Resident Organizations (SRO), Jurisdiction-Wide Resident
Organizations, and National Resident Organizations (NRO). The NOFA will
use ``Resident Association'' or ``RA'' to refer to all eligible types
of resident organizations. See 24 CFR 964.115 for more information.
17. Regional Resident Organization (RRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
a. The RRO is regional (i.e., not limited by HUD Areas);
b. The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
c. Public housing residents representing different geographical
locations in the region must comprise the majority of the board of
directors.
18. Resident Management Corporation (RMC) means an entity that
proposes to enter into, or enters into a contract to conduct one or
more management activities of a PHA and meets the requirements of 24
CFR 964.120.
19. Resident Organization (RO) for tribal entities means an
incorporated or unincorporated nonprofit tribal organization or
association that meets each of the following criteria:
a. It shall consist of residents only, and only residents may vote;
b. If it represents residents in more than one development or in
all of the developments of the tribal/TDHE community, it shall fairly
represent residents from each development that it represents;
c. It shall adopt written procedures providing for the election of
specific officers on a regular basis; and
d. It shall have an elected governing board.
20. Secretary means the Secretary of Housing and Urban Development.
21. Site-Based Resident Associations means resident councils or
resident management corporations representing a specific public housing
development.
22. Statewide Resident Organization (SRO) is an incorporated
nonprofit organization or association for public housing that meets the
following requirements:
a. The SRO is statewide;
b. The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
c. Public housing residents representing different geographical
locations in the state must comprise the majority of the Board of
Directors.
23. Tribal/TDHE Resident Group means tribal/TDHE resident groups
that are democratically elected groups such as IHA-wide resident
groups, area-wide resident groups, single development groups, or
resident management corporations (RMCs).
E. Regulations Governing the ROSS Grant: Resident Service Delivery
Models-Family, Resident Service Delivery Models-Elderly/Persons with
Disabilities, and Homeownership Supportive Services are governed by 24
CFR Part 964.

II. Award Information

A. Information for All Grant Categories and All Applicants

1. Grant Period. Three years. The grant period shall begin the day
the grant agreement and the form HUD-1044, ``Assistance Award/
Amendment'' are signed by both the grantee and HUD.
2. Grant Extensions. Requests to extend the grant term beyond the
originally established grant term must be submitted in writing by the
grantee to the local HUD field office or area ONAP at least 90 days
prior to the expiration of the grant term. Requests must explain why
the extension is necessary, what work remains to be completed, and what
work and progress was accomplished to date. Extensions may be granted
only once by the field office for a period not to exceed six months.
3. Type of Award. Grant agreement.
4. Subcontracting. Subcontracting is permitted. Grantees must
follow federal procurement regulations found in HUD regulations at 24
CFR 84.40-84.48 and 24 CFR 85.36.

B. Resident Services Delivery Models--Family

1. Total Funding. The Department expects to award $22,950,000
($15,000,000 appropriated and $7,950,000 of carryover) under this
category. Awards will be made as follows:
a. PHAs must use the number of occupied conventional family public
housing units as of September 30, 2004, per their budget to determine
the maximum grant amount they are eligible for in accordance with the
categories listed below. PHAs should clearly indicate on the Fact Sheet
the number of units under their Annual Contributions Contract.

[[Page 14058]]

------------------------------------------------------------------------
Maximum
Number of conventional units funding
------------------------------------------------------------------------
1-780 units............................................. $250,000
781-2,500 units......................................... 350,000
2501-7,300 units........................................ 500,000
7,301 or more units..................................... 1,000,000
------------------------------------------------------------------------

b. The maximum grant award is $125,000 for each RA.
c. Nonprofit organizations that have resident support or the
support of tribes or RAs are limited to $125,000 for each RA. A
nonprofit organization may submit a single application for no more than
three different RAs from the same PHA for a maximum grant award of
$375,000. Nonprofit organizations may submit more than one application
provided they target residents of distinct PHAs or tribes/TDHEs. In
cases where nonprofit applicants are not able to obtain support from
RAs, they must obtain letters of support from PHAs, tribes/TDHEs and
they may also submit letters from one or more of the following:
Resident Advisory Boards (RABs), local civic organizations, or units of
local government. NOTE: All nonprofit applicants that do not include
letters of support from RAs must include a letter of support from PHAs
or tribes/TDHEs (please see Threshold Requirements for more
information).
Funding for nonprofit applicants that do not receive letters of
support from RAs will be determined as follows (support letters from
PHAs must indicate the developments to be served by the nonprofit
organization as well as the number of occupied conventional family
public housing units in those developments):

------------------------------------------------------------------------
Maximum
Number of conventional units funding
------------------------------------------------------------------------
1-2,500 units........................................... $125,000
2501-7,300 units........................................ 250,000
7,301 or more units..................................... 375,000
------------------------------------------------------------------------

Applicants should see the General Section of the SuperNOFA for
instructions on submitting support letters and other documentation with
their electronic application.
d. Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 2004 as defined in 24 CFR
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within
each category in (a) above. Tribes that have not previously received
funds from the Department under the U.S. Housing Act of 1937 should
count housing units under management that are owned and operated by the
Tribe and are identified in their housing inventory as of September 30,
2004, for family units. Tribes should clearly indicate the number of
units under management on the Fact Sheet.

C. Resident Services Delivery Models--Elderly/Persons with Disabilities

1. Total Funding. The Department expects to award $16,272,000
(10,672,000 appropriated and 5,600,000 of carryover funds) under this
category.
Awards will be made as follows:
a. PHAs must use the number of occupied elderly and disabled
conventional public housing units as of September 30, 2004, per their
budget to determine the maximum grant amount they are eligible for in
accordance with the categories listed below. PHAs should clearly
indicate the number of units under their Annual Contributions Contract
on the Fact Sheet.

------------------------------------------------------------------------
Maximum
Number of conventional units funding
------------------------------------------------------------------------
1-217 units............................................. $250,000
218-1,155 units......................................... 350,000
1,156 or more units..................................... 450,000
------------------------------------------------------------------------

b. The maximum grant award is $125,000 for each RA.
c. Nonprofit organizations that have resident support or the
support of tribes or RAs are limited to $125,000 for each RA. A
nonprofit organization may submit a single application for no more than
three different RAs from the same PHA for a maximum grant award of
$375,000. Nonprofit organizations may submit more than one application
provided they target residents of distinct PHAs or tribes/TDHEs. In
cases where nonprofit applicants are not able to obtain support from
RAs, they must obtain letters of support from PHAs, tribes/TDHEs and
they may also submit letters of support from one or more of the
following: Resident Advisory Boards (RABs), local civic organizations,
or units of local government. Note: All nonprofit applicants that do
not include letters of support from RAs must include a letter of
support from PHAs or tribes/TDHEs (please see Threshold Requirements
for more information).
Funding for nonprofit applicants that do not receive letters of
support from RAs will be determined as follows (support letters from
PHAs must indicate the developments to be served by the nonprofit
organization as well as the number of occupied conventional elderly/
disabled public housing units in those developments):

------------------------------------------------------------------------
Maximum
Number of conventional units funding
------------------------------------------------------------------------
1-217 units............................................. $125,000
218-1,155 units......................................... 250,000
1,156 or more units..................................... 375,000
------------------------------------------------------------------------

Applicants should see the General Section of the SuperNOFA for
instructions on submitting support letters and other documentation with
their electronic application.
d. Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 2004 as defined in 24 CFR
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within
each category in (a) above. Tribes that have not previously received
funds from the Department under the 1937 Housing Act should count
housing units under management that are owned and operated by the Tribe
and are identified in their housing inventory as of September 30, 2004,
for elderly/disabled units. Tribes should clearly indicate the number
of units under management on the Fact Sheet.

D. Homeownership Supportive Services

1. Total Funding. The Department expects to award $18,900,000
($12,400,000 appropriated and $6,500,000 of carryover funds) under this
category. Awards will be made as follows:
a. PHAs must use the number of occupied conventional family public
housing units as of September 30, 2004, per their budget to determine
the maximum grant amount they are eligible for in accordance with the
categories listed below. PHAs should clearly indicate the number of
units under their Annual Contributions Contract on the Fact Sheet.

b. Nonprofit organizations that have resident support or the
support of tribes or RAs are limited to $125,000 for each RA. A
nonprofit organization may submit a single application for no more than
three different RAs from the same PHA for a maximum grant award of
$375,000. Nonprofit organizations may submit more than one application
provided they target residents of distinct PHAs or tribes/TDHEs. In
cases where nonprofit applicants are not able to obtain support from
RAs, they must obtain letters of support from PHAs, tribes/TDHEs and
they may also submit letters of support from one or more of

[[Page 14059]]

the following: Resident Advisory Boards (RABs), local civic
organizations, or units of local government. Note: All nonprofit
applicants that do not include letters of support from RAs must include
a letter of support from PHAs or tribes/TDHEs (please see Threshold
Requirements for more information).
Funding for nonprofit applicants that do not receive letters of
support from RAs will be determined as follows (support letters from
PHAs must indicate the developments to be served by the nonprofit as
well as the number of occupied conventional family public housing units
in those developments):

------------------------------------------------------------------------
Maximum
Number of conventional units funding
------------------------------------------------------------------------
1-2,500 units........................................... $125,000
2501-7,300 units........................................ 250,000
7,301 or more units..................................... 375,000
------------------------------------------------------------------------

RAs are not eligible to apply for funding under the HSS category.
Applicants should see the General Section of the SuperNOFA for
instructions on submitting support letters and other documentation with
their electronic application.
c. Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 2004 as defined in 24 CFR
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within
each category in (a) above. Tribes that have not previously received
funds from the Department under the U.S. Housing Act of 1937 should
count housing units under management that are owned and operated by the
Tribe and are identified in their housing inventory as of September 30,
2004, for family units. Tribes should clearly indicate the number of
units under management on the Fact Sheet.

III. Eligibility Information

A. Eligible Applicants

1. RSDM--Family. This funding category provides grants to PHAs,
tribes/TDHEs, RAs, and nonprofit organizations supported by resident
organizations or PHAs, tribes/TDHEs, and RABs, local civic
organizations or units of local government.
2. RSDM--Elderly/Persons with Disabilities. This funding category
provides grants to PHAs, tribes/TDHEs, RAs, and nonprofit organizations
supported by resident organizations or PHAs, tribes/TDHEs and RABs,
local civic organizations or units of local government. PHAs that are
recipients of the Elderly/Disabled renewal Service Coordinator grant
are not eligible to apply for this ROSS funding category.
3. Homeownership Supportive Services. This funding category
provides grants to PHAs, tribes/TDHEs and qualified nonprofit
organizations that have the support of resident organizations or PHAs,
tribes/TDHEs and RABs, local civic organizations or units of local
government. Resident Associations are not eligible to apply for funding
under this category.

B. Cost Sharing or Matching

Information for All Grant Categories and All Applicants: The match
is a threshold requirement. Applicants who do not demonstrate the
minimum 25 percent match will fail the threshold requirement and will
not receive further consideration for funding. Please see the section
below on threshold requirements for more information on what is
required for the match.

C. Other

1. Eligible Activities
a. RSDM--Family. HUD is looking for applications that implement
comprehensive programs within the three year grant term which will
result in improved economic self-sufficiency for Public and Indian
housing residents. HUD is looking for proposals that involve
partnerships with organizations that will enhance grantees' ability to
provide educational programs, housing counseling, including fair
housing counseling, job training and other supportive services for
residents. All applicants must complete a work plan (see sample work
plans on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm) covering the three-year grant term.
The eligible activities are listed in four categories, from basic
to advanced: Life-Skills Training; Job Training, Job Search and
Placement Assistance; Post Employment Follow-up; and finally,
Activities to Support Career Advancement and Long-term Economic Self-
Sufficiency. Applicants are not limited to choosing one category of
activity, but rather should design their programs to address the
specific needs of the population they are targeting. Applicants are
encouraged to pull from all categories and activities listed. Funds may
be used for the activities described below.
(1) Hiring of a qualified project coordinator to run the grant
program. A qualified project coordinator must have at least two years
of experience managing programs and should have experience working on
supportive services programs. The project coordinator should be hired
for the entire three-year term of the grant. The project coordinator is
responsible for:
(a) Marketing the program to residents;
(b) Assessing participating residents' skills and job-readiness;
(c) Assessing participating residents' needs for supportive
services, e.g., child care, transportation costs, etc.
(d) Assisting a tribe or TDHE to create a resident group to promote
self-sufficiency efforts on the reservation;
(e) Designing and coordinating grant activities based on residents'
needs and the local labor market; and
(f) Monitoring the progress of program participants and evaluating
the overall success of the program. A portion of grant funds should be
reserved to ensure that evaluations can be completed for all
participants who received training through this program. For more
information on how to measure performance, please see Rating Factor 5
in the ``Application Review Information'' section of this NOFA.
(2) Life-skills Training (for Youth and Adults). Applicants'
proposals can cover the following types of activities:
(a) Credit. The importance of having good credit and how to
maintain good credit.
(b) Banking and Money Management. How to open a bank account;
balance a checkbook; create a weekly spending budget and establish
contingency plans for child care and transportation, etc.
(c) Real Life Issues. Information on tax forms; voter registration;
leases; car insurance; health insurance; long-term care insurance; etc.
(d) Literacy training and GED preparation.
(e) College preparatory courses and information.
(f) Goal setting.
(g) Mentoring.
(h) Hiring residents to help with the implementation of this grant
program. NOTE: Stipends and salaries serve different purposes. Resident
salaries can only be used to hire residents to help grant program staff
with the implementation of grant activities.
(3) Job Training, Job Search and Placement Assistance. Eligible
activities include:
(a) Skills Assessment of participating residents.
(b) Applying for a job. How to complete employment forms;
highlighting skills employers are looking for; researching job
opportunities in the area; calculating net wages.
(c) Soft skills training including problem solving and other
cognitive skills; oral and written communication skills; workplace
norms (appropriate dress, punctuality, respectful communication, etc.),
work ethic; interpersonal and teamwork skills.

[[Page 14060]]

(d) Creating job training and placement programs.
(e) Resume writing.
(f) Interviewing techniques.
(g) Employer linkage and job placement. Working with local
employers and job placement providers to design and offer training that
addresses local employers' needs, create a job placement program that
refers trained residents to participating employers and other local
area employers.
(h) Career advancement and planning programs. Such programs should
be designed to:
(i) Career goal setting;
(ii) Provide strategies such as finding a strong professional
mentor within an organization residents may be working for and focusing
on the organization's priorities.
(iii) Reinforce welfare-to-work programs and focus efforts on
increasing residents' earning capacity. Activities can include job
counseling, helping residents secure better paying jobs or jobs in
better work environments, preparing for work in a new job category,
obtaining additional job skills and other job-related or educational
training.
(iv) Working with local employers, to create opportunities that
combine education and skills training with jobs. Strategies that
promote work-based learning can offer the most effective method for
giving new workers the tools they need to move on to a career ladder
and achieve upward mobility.
(4) Post-employment follow-up. After placing residents in jobs,
providing follow-up and ongoing support to newly hired residents can
have a significant positive impact on long-term job retention.
(5) Activities To Support Career Advancement and Long-term Economic
Self-Sufficiency.
(a) Individual Savings Accounts (ISAs). Applicants may create
programs that encourage residents to save and contribute to match
savings accounts such as Individual Development Accounts (IDAs). The
programs should include financial counseling and education activities.
ISAs may only be used for three purposes: (1) To purchase a first home
that is existing or under construction when the purchase contract is
signed; (2) to receive post-secondary education or training; or (3) to
start a local business (other than acquiring, leasing, constructing, or
rehabilitating real property in connection with the business).
Applicants are encouraged to leverage RSDM funds by working with local
financial organizations, which can also contribute to residents' ISAs.
FSS escrow accounts may not be used as a match for RSDM-funded ISAs.
Grantees shall consult the Internal Revenue Service regarding possible
tax consequences of the ISAs to participating residents.
(b) Housing Counseling. This can include information to help
residents move to market rate rental housing and/or ``pre-purchase''
homeownership counseling and training. This may include training on
such subjects as credit and financial management; credit repair;
housing search; how to finance the purchase of a home; fair housing;
Individual Savings Accounts, Real Estate Settlement Procedures Act
(RESPA); and home maintenance.
(6) Stipends. Stipends are an eligible use of grant funds. Stipends
may be used for reasonable out-of-pocket costs. Stipends may be used to
reimburse such things as local transportation to and from job training
and job interviews, supplemental educational materials, and child care
expenses. Stipends must be tied to residents' successful performance
and regular attendance.
(7) Hiring of Residents. Grant funds may also be used to hire a
resident(s) as program staff.
(8) Supportive Services.
(a) After school programs for school-age children to include
tutoring, remedial training, educational programming using computers.
(b) Provision of information on the Earned Income Tax Credit
Program, Food Stamps, Child Tax Credit Program, Medicaid, the State
Child Health Insurance Program (S-CHIP), Student Loan Interest
Deduction, tribal welfare programs, and other benefit programs that can
assist individuals and families make a successful transition from
welfare to work.
(c) Transportation costs as necessary to enable participating
families to receive services or commute to training or employment.
(d) Child-care provision for ROSS-RSDM--Family program
participants.
(e) Parenting courses.
(f) Nutrition courses.
(g) Health care information and services including referrals to
mental health providers, alcohol and other drug abuse treatment
programs.
(h) English as a second language (ESL) classes.
(i) Creating and maintaining linkages to local social service
agencies, such as employment agencies, health departments,
transportation agencies, economic/community development agencies,
community colleges, recreational and cultural services, and other
community organizations such as Boys & Girls Clubs, 4H-Clubs, Boy
Scouts, Girl Scouts, etc.
b. RSDM--Elderly/Persons with Disabilities HUD is looking for
applications that implement comprehensive programs within the three-
year grant term, which will result in improved living conditions for
the elderly/persons with disabilities population. HUD is also looking
for proposals that involve partnerships with organizations that will
help grantees provide enhanced services to the elderly/persons with
disabilities they will serve. All applicants must complete a work plan
covering the three-year grant term.
Proposed grant activities should build on the foundation created by
previous ROSS grants or other federal, state, and local efforts to
assist this population.
Eligible activities include the following: (1) Hiring of a
qualified project coordinator to run the grant program. A qualified
project coordinator should have at least two years of experience
managing programs and have experience working with supportive services.
The project coordinator is responsible for:
(a) Assessing participating residents' needs for supportive
services (e.g., Medicaid, Medicare, physician care, food stamps,
rehabilitation services, veterans disability, state-funded programs
such as nurse case management, housekeeping, Meals-on-Wheels;
transportation etc.);
(b) Designing and coordinating grant activities based on residents'
needs;
(c) Monitoring the progress of program participants and evaluating
the overall success of the program. A portion of grant funds should be
reserved to ensure that evaluations can be completed for all
participants who received assistance through this program. For more
information on how to measure performance, please see Rating Factor 5
in the ``Application Review Information'' section of this NOFA.
(2) Coordination and set up of meal services;
(3) Coordination and set-up of transportation services;
(4) Wellness programs including, health and nutrition programs,
preventive health education, referral to rehabilitation services, and
services for the disabled and other community resources;
(5) Personal emergency response;
(6) Congregate services--includes supportive services that are
provided in a congregate setting at a conventional public housing
development; and
(7) Case management.

[[Page 14061]]

c. Homeownership Supportive Services
HUD is looking for applications that implement comprehensive
programs within the three year grant term which will result in
increased rates of homeownership for residents of Public and Indian
housing. Applicants should create linkages with HUD homeownership
programs such as: the Housing Choice Voucher Homeownership Program, the
PHA Homeownership Program also known as Section 32 (formerly the
Section 5(h) Homeownership Program) and homeownership programs and
resources offered by other organizations or state or local
homeownership programs.
Tribes/TDHEs should create linkages with programs such as the
Mutual Help Homeownership Opportunity Program, the Section 184 Program,
and homeownership programs developed under the Indian Housing Block
Grant Program such as mortgage assistance.
All applicants must complete a work plan (see sample work plans on
HUD's web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm)
covering the three-year grant term.
HUD is also looking for proposals that involve partnerships with
organizations that will enhance the services grantees will offer.
Applicants are strongly encouraged to partner with HUD-approved housing
counseling agencies. For a list of HUD-approved housing counseling
agencies, go to: http://www.hud.gov/offices/hsg/sfh/hcc/hccprof14.cfm.
Applicants' programs should build on the foundation created by previous
ROSS grants, or other state and local self-sufficiency efforts in which
their target population may have participated.
Under this funding category, applicants must develop homeownership
training programs for the residents they intend to serve. Eligible
activities include the following:
(1) Hiring of a qualified project coordinator to run the grant
program. A qualified project coordinator must have experience working
on homeownership programs designed for typically underserved
populations. The project coordinator is responsible for:
(a) Assessing participating residents' needs;
(b) Designing and coordinating grant activities based on residents'
needs;
(c) Monitoring the progress of program participants and evaluating
the overall success of the program. A portion of grant funds should be
reserved to ensure that evaluations can be completed for all
participants who received assistance through this program. For more
information on how to measure performance, please see Rating Factor 5
in the ``Application Review Information'' section of this NOFA.
(2) Training to include:
(a) Asset building;
(b) Credit counseling and credit scoring;
(c) Financial literacy and management;
(d) Selecting a real estate broker;
(e) Choosing a lender;
(f) Appraisals;
(g) Home inspections;
(h) Avoiding delinquency and predatory lending;
(i) Foreclosure prevention;
(j) Home maintenance and financial management for first-time
homeowners;
(k) Real Estate Settlement Procedures Act (RESPA); and
(l) Fair Housing Counseling.
(3) Individual Savings Accounts (ISAs). You may create programs
that encourage residents to save and contribute to match savings
accounts such as Individual Development Accounts (IDAs). ISAs may be
used only for (a) Escrow accounts, (b) down payment assistance and (c)
closing costs to assist the resident to purchase an existing dwelling
unit or a dwelling unit under construction. You are encouraged to
leverage HSS funds by working with local financial organizations, which
can also contribute to residents' ISAs. FSS escrow accounts may not be
used as a match for HSS-funded ISAs. FSS residents are not eligible to
participate in the ISA provision.
2. Threshold Requirements. The criteria below apply to all grant
categories and all applicants unless otherwise indicated:
Applicants must respond to each threshold requirement clearly and
thoroughly by following the instructions below. If your application
fails one threshold requirement (regardless of the type of threshold)
it will be considered a failed application and will not receive
consideration for funding.
a. Match. All applicants are required to have in place a firmly
committed 25 percent match in cash or in-kind donations as defined in
this NOFA. Joint applicants must together have at least a 25 percent
match. Applicants who do not demonstrate the minimum 25 percent match
will fail this threshold requirement and will not receive further
consideration for funding. If you are applying for more than one ROSS
grant, you must use different sources of match donations for each grant
application and you must indicate which additional ROSS grant(s) you
are applying for by attaching an additional page to HUD budget form
424-CBW stating the sources and amounts of each of your match
contributions for this application as well as any other HUD programs to
which you are applying. Match donations must be firmly committed which
means that the amount of match resources and their dedication to ROSS-
funded activities must be explicit, in writing, and signed by a person
authorized to make the commitment. Letters of commitment, memoranda of
understanding (MOU), or tribal resolution must be on organization
letterhead, and signed by a person authorized to make the stated
commitment whether it be in cash or in-kind services. The letters of
commitment/MOUs/tribal resolutions must indicate the total dollar value
of the commitment and be dated within two months of the application
deadline, and indicate how the commitment will relate to the proposed
program. The commitment should be available at time of award.
Applicants proposing to use their own, non-ROSS grant funds to meet the
match requirement in whole or in part, must also include a letter of
commitment indicating the type of match (cash or in-kind) and how the
match will be used. Please see the General Section of the SuperNOFA for
instructions for submitting the required letters with your electronic
application.
Leveraging in excess of the 25 percent of the grant amount will
receive a higher point value.
(1) Volunteer time and services shall be computed by using the
normal professional rate for the local area or the national minimum
wage rate of $5.15 per hour (Note: applicants may not count their staff
time toward the match);
(2) In order for HUD to determine the value of any donated
material, equipment, staff time, building, or lease, your application
must provide a letter from the organization making the donation stating
the value of the contribution.
(3) Other resources/services that can be committed include: in-kind
services such as contributions of administrative services provided to
the applicant; funds from federal sources (not including ROSS funds) as
allowed by statute, including for example Community Development Block
Grant (CDBG); funds from any state or local government sources; and
funds from private contributions. Applicants may also partner with
other program funding recipients to coordinate the use of resources in
the target area.
b. Past Performance. HUD's field offices will evaluate data
provided by applicants as well as applicants' past performance to
determine whether applicants have the capacity to manage

[[Page 14062]]

the grant for which they are applying. The area Offices of Native
American Programs (ONAP) will review past performance for tribal and
TDHE submissions. Field offices will evaluate the contract
administrators' past performance for applicants required to have a
contract administrator. In evaluating past performance HUD will look at
the applicant's record of completing grant activities on time, within
budget and the results achieved. Using Rating Factor 1, the field
office/area ONAP will evaluate applicants' past performance. Applicants
should carefully review Rating Factor 1 to ensure their application
addresses each of the criteria requested therein. If applicants fail to
address what is requested in Rating Factor 1, their application will
fail this threshold and will not receive further consideration.
c. Contract Administrator Partnership Agreement. All nonprofit
applicants, all resident organizations, and PHAs that are troubled at
time of application are required to submit a signed Contract
Administrator Partnership Agreement. The agreement must be for the
entire grant term. Grant awards shall be contingent upon having a
signed partnership agreement included in your application. Applicants
required to have a Contract Administrator Partnership Agreement that
fail to submit one will fail this threshold requirement and will not
receive further consideration for funding. Please see the General
Section of the SuperNOFA for instructions for submitting the required
information with your electronic application.
Troubled PHAs are not eligible to be contract administrators. Grant
writers who assist applicants with preparing their ROSS applications
are also ineligible to be contract administrators. For more information
on contract administrators, see the section ``Program Requirements.''
d. Letters of Support for Nonprofit Applicants.
(1) All nonprofit applicants must include letters of support from
resident associations (RAs), Resident Advisory Boards (RABs), local
civic organizations, or units of local government. In the event that
RAs are inactive, or that applicants submit letters of support from
other organizations such as RABs, nonprofit applicants must also submit
letters from PHAs or tribes/TDHEs indicating support for their
application. All letters of support must be signed by an authorized
representative of the supporting organization and dated within two
months of the application deadline.
(2) Nonprofit applicants that do receive support from resident
associations must submit form HUD-52754 ``List of Resident Associations
Supporting Nonprofit Applicants.'' Submitting this form is not
applicable where RAs are inactive or where applicants do not submit
letters of support from RAs.
(3) In cases where nonprofit organizations are applying to serve
tribes/TDHEs, nonprofit applicants must submit letters of support from
tribes/TDHEs. Nonprofit organizations must also use form HUD-52754 to
list which tribes/TDHEs support their application.
(4) Letters of support from RAs must describe to what extent they
are familiar with the nonprofit applicant and indicate their support
and understanding of the nonprofit organization's proposal/application.
Letters from RAs must include contact information and the name and
title of the person authorized to sign for the organization and should,
whenever possible, be on RA letterhead.
(5) Letters of support from RABs must describe to what extent the
RAB is familiar with the nonprofit applicant and indicate its support
and understanding of the nonprofit organization's proposal/application.
Letters from RABs must include contact information and the name and
title of the person authorized to sign for the organization, and should
be on RAB or PHA letterhead.
(6) Letters of support from civic organizations or units of local
government must describe to what extent they are familiar with the
nonprofit applicant and which programs the nonprofit applicant has
operated or managed in the community that are similar to the
applicant's proposal. Such letters of support must include contact
information and the name and title of the person authorized to sign for
the organization. The letter should be on organization letterhead.
(7) All nonprofit applicants that do not provide letters of support
from resident associations must provide letters of support from PHAs or
tribes/TDHEs with jurisdiction over the developments the applicant
proposes to serve. Letters from PHAs or tribes/TDHEs must describe the
extent to which the nonprofit applicant is familiar with the needs of
the community to be served, which programs the nonprofit applicant has
operated or managed in the community that are similar to the
applicant's proposal, and whether the nonprofit organization has the
capacity to implement its proposed program. Letters from PHAs or
tribes/TDHEs must also list the names of the developments to be served,
the number of occupied conventional family or elderly/disabled public
housing units (depending on the grant category) in those developments,
certify that the units are conventional public housing, and identify
the ROSS grant category to which the nonprofit organization is
applying. PHA or tribe/TDHE letters of support must be signed by the
Executive Director, tribal leader, or authorized designee and must be
on PHA or tribe/TDHE letterhead. Please see the General Section of the
SuperNOFA for instructions for submitting the required letters with
your electronic application.
(8) Applications from nonprofit organizations, which do not submit
the information requested in this section will fail this threshold
requirement and will not be considered for funding.
e. Nonprofit status. All nonprofit applicants must submit their IRS
determination letter to prove their nonprofit (e.g., 501(c)(3)) status.
Applicants that fail to submit this letter will fail this threshold
requirement and will not be considered for funding. Please see the
General Section of the SuperNOFA for instructions for submitting the
required documentation with your electronic application.
f. Minimum Score for All Fundable Applications. Applications that
pass all threshold requirements and go through the ranking and rating
process, must receive a minimum score of 75 in order to be considered
for funding.
g. Funding Requests in Excess of Maximum Grant Amount. Applicants
that request funding in excess of the maximum grant amount which they
are eligible to receive will not receive funding consideration.
h. Performance Standards for PHA Applicants to the Homeownership
Supportive Services Program (applicable only to PHAs). PHA applicants
to the Homeownership Supportive Services program that administer a
Homeownership Voucher Program will be required to provide Homeownership
Vouchers per year, according to the minimum amounts listed in the table
below, to eligible families who successfully complete training under
the Homeownership Supportive Services grant program. Additionally,
applicants must commit to enrolling public housing residents in their
homeownership supportive services program in accordance with the
amounts listed in the table printed immediately below.

[[Page 14063]]

------------------------------------------------------------------------
Minimum
Maximum Minimum enrollments
Number of conventional units funding vouchers (over 3
(annual) year term)
------------------------------------------------------------------------
1-780 units...................... $250,000 10 50
781-2,500 units.................. 350,000 12 70
2501-7,300 units................. 500,000 14 100
7,301 or more units.............. 1,000,000 16 200
------------------------------------------------------------------------

Those PHAs which administer a Housing Choice Voucher program but
have not elected to provide assistance under the Homeownership Voucher
option and receive funding under this category, will be required to
implement the Homeownership Voucher Program and make Homeownership
Vouchers available, in the amounts listed above, on an annual basis to
eligible families who successfully complete training under this ROSS
activity. PHA applicants as described in this section must provide a
letter certifying that they will comply with this requirement.
i. Tribal/TDHE applicants. Tribal/TDHE applicants to the HSS
program must have a Low-income Homeownership Program outlined in their
current Indian Housing Plan. Tribes/TDHEs will also be required to
provide homeownership assistance to a minimum of 10 eligible families.
j. The Dun and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section of the SuperNOFA for
information regarding the DUNS requirement. You will need to obtain a
DUNS number to receive an award from HUD. You will need a DUNS number
to complete your Grants.gov registration. Registration is required for
electronic submission. See the General Section of the SuperNOFA for a
discussion of the Grants.gov registration process.
3. Program Requirements
a. Contract Administrator. The contract administrator must assure
that the financial management system and procurement procedures that
will be in place during the grant term will fully comply with either 24
CFR part 84 or 85, as appropriate. CAs are expressly forbidden from
accessing HUD's Line of Credit Control System (LOCCS) and submitting
vouchers on behalf of grantees. Contract administrators must also
assist PHAs meet HUD's reporting requirements, see Section VI (C)
``Reporting'' for more information. Contract administrators may be:
Local housing agencies; community-based organizations such as community
development corporations (CDCs), churches, temples, synagogues,
mosques; nonprofit organizations; state/regional associations and
organizations. Troubled PHAs are not eligible to be contract
administrators. Grant writers who assist applicants prepare their
applications are also ineligible to be contract administrators.
Organizations that the applicant proposes to use as the contract
administrator must not violate or be in violation of other conflicts of
interest as defined in 24 CFR part 84 and 24 CFR part 85.
c. Requirements Applicable to All Programs. All applicants, lead
and non-lead, should refer to ``Other Requirements and Procedures
Applicable to All Programs'' of the General Section of the SuperNOFA
for requirements pertaining specifically to procurement of recovered
materials and for information regarding other requirements to which
they may be subject.
4. Number of Applications Permitted. Except as otherwise noted, the
criteria below apply to all grant categories and all applicants.
a. General. Applicants including PHAs, tribes/TDHEs, RAs, and
nonprofit organizations that have support from the resident
associations they propose to serve or the support of tribes/TDHEs may
submit one application for each ROSS funding category, however
applicants must submit separate applications for each funding category.
Nonprofit organizations may submit more than one application per
funding category provided that they will be serving residents of
distinct PHAs or Tribes/TDHEs.
b. More than one application per development. Applications from
PHAs, tribes/TDHEs, RAs, and nonprofit organizations targeting the same
public housing development/population will not all be funded. HUD
suggests that in these cases, applicants work together to submit one
application. Otherwise, the highest scoring application will be funded.
c. Joint applications. Two or more applicants may join together to
submit a joint application for proposed grant activities. Joint
applications must designate a lead applicant. The lead applicant must
be registered with Grants.gov and submit the application using the
Grants.gov portal. Lead applicants are subject to all threshold
requirements. Non-lead applicants are subject to the following
threshold requirements as applicable:
(1) Letters of support for nonprofit applicants;
(2) Evidence of nonprofit status as outlined under the section
covering threshold requirements; and
(3) Threshold requirements outlined in Section III. C. of the
General Section of the SuperNOFA.
Joint applications may include PHAs, RAs, Tribes/TDHEs, and
nonprofit organizations on behalf of resident organizations. Joint
applications involving nonprofit organizations must also provide
evidence of resident support or support from local civic organizations
or from units of local government. PHAs, tribes/TDHEs, and resident
organizations that are part of a joint application may not also submit
separate applications as sole applicants under this NOFA.
Note: The lead applicant will determine the maximum funding amount
the applicants are eligible to receive.
5. Eligible Participants. All program participants must be
residents of conventional public housing or NAHASDA-assisted housing.
Participants in the Public Housing Family Self-Sufficiency (FSS)
program (non-Housing Choice Voucher FSS Program) are also eligible to
participate in activities funded under ROSS.
6. Eligible Developments. Only conventional Public and Indian
housing developments may be served by ROSS grant funds. Other housing/
developments, including, but not limited to private housing, federally
insured housing, federally subsidized or assisted (i.e., assisted under
Section 8, Section 202, Section 811, Section 236), and others are not
eligible to participate in ROSS.
7. Energy Star. HUD has adopted a wide-ranging energy action plan
for improving energy efficiency in all program areas. As a first step
toward implementing the energy plan, HUD, the Environmental Protection
Agency (EPA) and the Department of Energy (DoE) have signed a joint
partnership to promote energy efficiency in HUD's affordable housing
efforts and programs.

[[Page 14064]]

The purpose of the Energy Star partnership is to promote energy
efficiency of the affordable housing stock, but also to help protect
the environment. Applicants constructing, rehabilitating, or
maintaining housing or community facilities are encouraged to promote
energy efficiency in design and operations. They are urged especially
to purchase and use Energy Star labeled products. Applicants providing
housing assistance or counseling services are encouraged to promote
Energy Star building by homebuyers and renters. Program activities can
include developing Energy Star promotional and information materials,
outreach to low- and moderate-income renters and buyers on the benefits
and savings when using Energy Star products and appliances, and
promoting the designation of community buildings and homes as Energy
Star compliant. For further information about Energy Star, see http://www.energystar.gov or call 888-STAR-YES (888-782-7937) or for the
hearing-impaired, 888-588-9920 (TTY).

IV. Application and Submission Information

A. Address to Obtain an Application Package. There is no
application kit this year. Please refer to the General Section of the
SuperNOFA for information on how to submit your application
electronically. You may also visit www.Grants.gov/Apply to obtain
application information.
B. Content and Form of Application Submission.
1. Application Format Information for All Grant Categories and All
Applicants. Before preparing an application to any ROSS funding
program, applicants should carefully review the program description,
ineligible activities, program and threshold requirements, and the
General Section of the SuperNOFA. Applicants should also review each
rating factor found in the ``Application Review Information'' section
before writing a narrative response. Applicants' narratives should be
as descriptive as possible, ensuring that every requested item is
addressed. Applicants should make sure to include all requested
information, according to the instructions found in this NOFA and where
applicable, in the General Section of the SuperNOFA. This will help
ensure a fair and accurate review of your application.
2. Content and Format for Submission.
a. Content of Application. Applicants must write narrative
responses to each of the rating factors, which follow this section.
Applicants will be evaluated on whether their responses demonstrate
that they have the necessary capacity to successfully manage this grant
program. Applicants should ensure that their narratives are written
clearly and concisely so that HUD reviewers, who may not be familiar
with the ROSS program, may fully understand your proposal.
b. Format of Application. (1) Applications may not exceed 35
narrative pages. Narrative pages must be typed, double-spaced,
numbered, use Times New Roman font style, and font size 12. Supporting
documentation, required forms, and certificates will not be counted
toward the 35 narrative page limit. However, applicants should make
every effort to submit only what is necessary in terms of supporting
documentation. Please see the General Section of the SuperNOFA for
instructions on how to submit supporting documentation with your
electronic application.
(2) The following checklist has been provided to assist applicants
ensure they submit all required forms and information. (Note:
Applicants who receive a waiver to submit paper applications, must
submit their applications in a three-ring binder, with TABS dividing
the sections as indicated below):
TAB 1: Required Forms from the General Section of the SuperNOFA and
other ROSS forms:
1. Acknowledgement of Application Receipt (HUD-2993), for paper
application submissions only (you must have an approved waiver to
submit a paper application);
2. Application for Federal Financial Assistance (SF-24);
3. SF-424 Supplement, Survey on Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD-27300);
5. ROSS Fact Sheet (HUD-52751);
6. Grant Application Detailed Budget (HUD-424-CB);
7. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
8. Applicant/Recipient Disclosure/Update Report (HUD-2880);
9. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990) if applicable;
10. Certification of Consistency with the Consolidated Plan (HUD-
2991) if applicable;
11. Certification of Consistency with the Indian Housing Plan if
applicable (HUD-52752);
12. Certification of Resident Council Board of Election (not
required for tribes/nonprofit organizations working on behalf of
tribes) (HUD-52753);
13. Disclosure of Lobbying Activities (SF-LLL), if applicable;
14. Disclosure of Lobbying Activities Continuation Sheet (SF-LLL-
A), if applicable;
15. Client Comments and Suggestions (HUD-2994); (Optional)
16. Facsimile Transmittal Sheet (HUD-96011).
TAB 2: Threshold Requirements:
1. Letters from Partners attesting to match;
2. Letter from Applicant's organization attesting to match (if
applicant is contributing to match);
3. Letters of Support from Resident Associations/ PHAs/tribes/
TDHEs/ Resident Advisory Boards/local civic organizations and/or units
of local government Threshold requirement for all nonprofit
applicants);
4. Chart of Resident Associations Participating (required for
nonprofit applicants but not applicable to applications from tribes/
TDHEs.) (HUD-52754);
5. IRS nonprofit determination letter proving 501(c)(3) status
(Threshold requirement for all nonprofit applicants); and
6. Contract Administrator Partnership Agreement (required for
nonprofit organizations, resident associations, and troubled PHAs)
(HUD-52755).
TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms
1. Narrative;
2. Chart A: Program Staffing (HUD-52756);
3. Chart B: Applicant/Administrator Track Record (HUD-52757);
4. Resumes/Position Descriptions.
TAB 4: Narrative for Rating Factor 2
TAB 5: Rating Factor 3
1. Narrative;
2. Work plan (see relevant sample ROSS work plan HUD-52764).
TAB 6: Narrative for Rating Factor 4
TAB 7: Narrative for Rating Factor 5 and ROSS Program Forms
1. Narrative;
2. Logic Model (HUD-96010);
3. Sample Performance measures/outcomes are attached for
applicants' information.
C. Submission Dates and Times: 1. Due Dates. a. Resident Service
Delivery Models--Elderly/Persons with Disabilities: The application
must be submitted and received by Grant.gov no later than 11:59:59 p.m.
eastern time on July 6, 2005. For applicants receiving a waiver to the
electronic filing requirement, please see the General Section for
waiver and mailing requirements. Please carefully read the General
Section of the SuperNOFA for

[[Page 14065]]

application submission, and timely receipt requirements.
b. Resident Service Delivery Models-Family. The application must be
submitted and received by Grant.gov no later than 11:59:59 p.m. eastern
time on July 25, 2005. For applicants receiving a waiver to the
electronic filing requirement, please see the General Section for
waiver and mailing requirements. Please carefully read the General
Section of the SuperNOFA for application submission, and timely receipt
requirements.
c. Homeownership Supportive Services. The application must be
submitted and received by Grant.gov no later than 11:59:59 p.m. eastern
time on May 26, 2005. For applicants receiving a waiver to the
electronic filing requirement, please see the General Section for
waiver and mailing requirements. Please carefully read the General
Section of the SuperNOFA for application submission, and timely receipt
requirements.
2. Proof of Timely Submission. Please see the General Section of
the SuperNOFA this information. Applicants that fail to meet the
deadline for application receipt will not receive funding
consideration.
3. For Waivers Only. Applicants who have received waivers to submit
paper applications (see the General Section of the SuperNOFA for more
information), must submit their applications to: HUD Grants Management
Center, Mail Stop: Name of ROSS Grant Category, 501 School Street, SW.,
8th floor, Washington DC 20024. Please see the General Section of the
SuperNOFA for detailed mailing and delivery instructions.
4. Number of Copies. Only applicants receiving a waiver to the
electronic submission requirement may submit a paper copy application.
Paper applications must be submitted in triplicate (one original and
two identical copies). For all applicants (including tribal and TDHE
applicants), the original and one identical copy must be sent to the
Grants Management Center and an identical copy must be sent to your
local field office in accordance with the submission and timely receipt
requirements described in the General Section of this SuperNOFA.
D. Intergovernmental Review: Not applicable.
E. Funding Restrictions: 1. Reimbursement for Grant Application
Costs. Applicants who receive an award under any ROSS funding category
are prohibited from using ROSS grant funds to reimburse any costs
incurred in conjunction with preparation of their ROSS grant
application.
2. Covered Salaries. Applicable to all grant categories and all
applicants:
a. Project Coordinator. All applicants may propose to hire a
qualified project coordinator to run the grant program. The ROSS
program will fund up to $65,000 in combined annual salary and fringe
benefits for a full-time project coordinator. The project coordinator's
salary and fringe benefits may not exceed 30 percent of the total grant
amount. For audit purposes, applicants must have documentation on file
demonstrating that the salary of the project coordinator is comparable
to similar professions in their local area.
b. Resident Salaries. Only the RSDM--Family category permits
grantees to use grant funds for this purpose. No more than five percent
of RSDM--Family funds may be used to pay for resident salaries.
c. Types of Salaries. ROSS funds may only be used for the types of
salaries described in this section according to the restrictions
described herein. ROSS funds may only be used to pay for salaries of
staff that provide direct services to residents. Direct services staff,
for purposes of this NOFA, are defined as housing authority personnel
who, as their primary responsibility, provide services directly to
residents that participate in the activities described in this
application e.g., case managers, van drivers, job trainers, childcare
providers, among other positions. ROSS funds may not be used to pay for
salaries for any other kind of staff.
3. Administrative Costs. Administrative costs may include, but are
not limited to, purchase of furniture, office equipment and supplies,
local travel, and utilities. Administrative costs may not be used to
pay for salaries of any kind. Nonprofit organizations only may use
administrative funds to pay for rental of space. Administrative costs
must not exceed 10 percent of the total grant amount requested from
HUD. Administrative costs must adhere to OMB Circular A-87 or A-122 as
appropriate. Please use HUD-424-CBW to itemize your administrative
costs.
4. Individual Savings Accounts (ISAs). ROSS RSDM--Family and
Homeownership Supportive Services funds can be used as matching funds
for ISAs but no more than 20 percent of total grant funds may be used
for this purpose.
5. Stipends. This applies to RSDM--Family only. No more than $200
of the grant award may be used per participant per month for stipends
for active trainees and program participants. Stipends may only be used
to reimburse reasonable out-of-pocket expenses related to participation
in training and other program-related activities. Receipts for such
expenses must be provided by the resident in order to obtain
reimbursement. Stipends are not considered an administrative expense
and therefore are not subject to the 10 percent limitation on
administrative costs.
6. Ineligible Activities/Costs. Grant funds may not be used for
ineligible activities. The following are ineligible activities/costs:
a. Payment of wages and/or salaries to participants for receiving
supportive services and/or training programs;
b. Purchase, lease, or rental of land;
c. New construction, costs for construction materials;
d. Rehabilitation or physical improvements;
e. Purchase, lease, or rental of vehicles;
f. Entertainment costs; g. Purchasing food;
h. Elderly/Disabled Service Coordinator salary and fringe benefits;
i. Payment of wages and/or salaries to doctors, nurses or other
staff (including health aids or companions) in relation to medical
services provided to residents;
j. Purchase of non-prescription or prescription medications;
k. Stipends (Stipends are only allowed under RSDM--Family);
l. Down payment assistance (Note: Participants may use their ISAs
under the RSDM--Family and Homeownership Supportive Services program
for this purpose);
m. Revolving loan funds;
n. Costs, which exceed limits, identified in the NOFA for the
following: Project Coordinator, resident salaries, ISAs, stipends,
administrative expenses, and long distance travel; and
o. Cost of application preparation.
p. For RSDM Elderly grant applicants--transportation costs of
residents (grant funds may be used to pay for coordination and set-up
of transportation services).
q. Salaries for staff that are not direct services staff. Direct
services staff, for purposes of this NOFA, are defined as housing
authority personnel who, as their primary responsibility, provide
services directly to residents that participate in the activities
described in this application e.g., case managers, van drivers, job
trainers, childcare providers, among other positions. ROSS funds cannot
be used to hire or pay for the services of a Contract Administrator.
7. ROSS funds cannot be used to hire or pay for the services of a
Contract Administrator.
8. Other Budgetary Restrictions. Some long distance travel may be
necessary

[[Page 14066]]

during the term of the grant in order for professional grant staff to
attend HUD-sponsored training conferences for ROSS grantees. Long
distance travel costs for grant program staff may not exceed $5,000 for
the life of the grant and must receive prior approval from the
grantee's local HUD field office or area ONAP.

V. Application Review Information

A. Criteria

1. Factors for Award Used To Evaluate and Rate Applications to the
ROSS program. The factors for rating and ranking applicants and maximum
points for each factor are provided below. The maximum number of points
available for this program is 102. This includes two RC/EZ/EC-II bonus
points. The SuperNOFA contains a certification that must be completed
in order for the applicant to be considered for the RC/EZ/EC-II bonus
points. A listing of federally designated RCs, EZs, and EC-IIs, is
available at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The
agency certifying to RC/EZ/EC-II status must be contained in the
listing of RC/EZ/EC-II organizations on HUD's Web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Note: Applicants should carefully review each rating factor before
writing a response. Applicants' narratives should be as descriptive as
possible, ensuring that every requested item is addressed. Applicants
should make sure their narratives thoroughly address the Rating Factors
below. Applicants should include all requested information, according
to the instructions found in this NOFA. This will help ensure a fair
and accurate application review.
a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (25 Points).
This factor addresses whether the applicant has the organizational
resources necessary to successfully implement the proposed activities
within the grant period. In rating this factor HUD will consider the
extent to which the proposal demonstrates that the applicant will have
qualified and experienced staff dedicated to administering the program.
(1) Proposed Program Staffing (7 Points).
(a) Staff Experience (4 Points). The knowledge and experience of
the proposed project coordinator, staff, and partners in planning and
managing programs for which funding is being requested. Experience will
be judged in terms of recent, relevant and successful experience of
proposed staff to undertake eligible program activities. In rating this
factor, HUD will consider experience within the last 5 years to be
recent; experience pertaining to the specific activities being proposed
to be relevant; and experience producing specific accomplishments to be
successful. The more recent the experience and the more experience
proposed staff members who work on the project have in successfully
conducting and completing similar activities, the greater the number of
points applicants will receive for this rating factor. The following
information should be provided in order to provide HUD an understanding
of proposed staff's experience and capacity:
(i) The number of staff years (one staff year = 2080 hours) to be
allocated to the proposed program by each employee or expert as well as
each of their roles in the program;
(ii) The staff's relevant educational background and/or work
experience; and
(iii) Relevant and successful experience running programs whose
activities are similar to the eligible program activities described in
the grant category to which you are applying.
(b) Organizational Capacity (3 Points). Applicants will be
evaluated based on whether they have, or their partners have sufficient
qualified personnel to deliver the proposed activities in a timely and
effective fashion. In order to enhance or supplement capacity,
applicants should provide evidence of partnerships with nonprofit
organizations or other organizations that have experience providing
supportive services to typically underserved populations. Applicants'
narrative must describe their ability to immediately begin the proposed
work program. Provide resumes and position descriptions (where staff is
not yet hired) for all key personnel. (Resumes/position descriptions do
not count toward the 35-page limit.)
(2) Past Performance of Applicant/Contract Administrator (6
Points).
(a) Applicants' past experience may include, but is not limited to,
running and managing programs aimed at:
(i) RSDM--Family: assisting residents of low-income housing achieve
economic self-sufficiency;
(ii) RSDM--Elderly: assisting elderly/persons with disabilities who
reside in low-income housing to live independently;
(iii) Homeownership: assisting residents of low-income housing
achieve economic self-sufficiency and homeownership.
(b) Applicants' narrative must indicate past grants they received
and managed, the grant amounts, and grant terms (years) of the grants,
which they are counting toward past experience.
(c) Applicants' narrative must describe how they (or their Contract
Administrator) successfully implemented past grant programs designed
to:
(i) RSDM--Family--promote resident self-sufficiency, moving from
welfare to work, and/or helping residents move to market rate rental
housing;
(ii) RSDM--Elderly--assist elderly/persons with disabilities meet
their daily living needs and enhance their access to needed services so
they can continue to reside comfortably and productively in their
current living environment;
(iii) Homeownership--promote moving from subsidized housing to
homeownership.
(d) Applicants will be evaluated according to the following
criteria:
(i) Achievement of specific measurable outcomes and objectives in
terms of benefits gained by participating residents. Applicants should
describe results their programs have obtained, such as:
(A) RSDM--Family: reduced welfare dependency, higher incomes,
higher rates of employment, increased savings, moving from subsidized
housing to market rate rental housing;
(B) RSDM--Elderly: less emergency care, improved health conditions
of assisted population, access to greater number of social services;
(C) Homeownership: number of families in homeownership counseling
pipeline, rates of homeownership achieved through training programs.
(ii) Description of success in attracting and keeping residents
involved in past grant-funded training programs. HUD wants to see that
applicants' grant-funded programs benefited a significant numbers of
residents;
(iii) Description of timely expenditure of program funding
throughout the term of past grants. Timely means regular drawdowns
throughout the life of the grant, i.e., quarterly drawdowns, with all
funds expended by the end of the grant term;
(iv) Description of Past Leveraging. Applicants must describe how
they have leveraged funding or in-kind services beyond amounts that
were originally proposed for past projects;
(3) Program Administration and Fiscal Management (12 Points).
(a) Program Administration and Accountability (6 Points).
Applicants should describe how they will manage the program; how HUD
can be sure that there is program accountability; and provide a
description of proposed staff's roles and responsibilities. Applicants

[[Page 14067]]

should also describe how grant staff and partners shall report to the
project coordinator and other senior staff.
(b) Fiscal Management (6 Points). In rating this factor,
applicants' skills and experience in fiscal management will be
evaluated. If applicants have had any audit or material weakness
findings in the past five years, they will be evaluated on how well
they have addressed them. Applicants must provide the following:
(i) A complete description of their fiscal management structure,
including fiscal controls currently in place including those of a
Contract Administrator for applicants required to have a Contract
Administrator, (i.e., troubled PHAs, resident associations, and
nonprofit applicants);
(ii) Applicants must list any audit findings in the past five years
(HUD Inspector General, management review, fiscal, etc.), material
weaknesses, and what has been done to address them;
(iii) For applicants who are required to have a Contract
Administrator, describe the skills and experience the Contract
Administrator has in managing federal funds.
b. Rating Factor 2: Need/Extent of the Problem (10 Points).
This factor addresses the extent to which there is a need for
funding the proposed program. In responding to this factor, applicants
will be evaluated on the extent to which they describe and document the
level of need for their proposed activities and the urgency for meeting
the need.
In responding to this factor, applicants must include:
(1) Socioeconomic Profile (5 points). A thorough socioeconomic
profile of the eligible residents to be served by the program,
including education levels, income levels, the number of single-parent
families, economic statistics for the local area, etc.
(2) Demonstrated Link Between Proposed Activities and Local Need (5
points). Applicants' narrative must demonstrate a clear relationship
between proposed activities, community needs and the purpose of the
program funding in order for points to be awarded for this factor.
c. Rating Factor 3: Soundness of Approach (30 Points) This factor
addresses both the quality and cost-effectiveness of applicants'
proposed work plan. The work plan must indicate a clear relationship
between proposed activities, the targeted population's needs, and the
purpose of the program funding. Applicants' activities must address
HUD's policy priorities outlined in this Rating Factor.
In rating this factor HUD will consider:
(1) Quality of the Work Plan (18 points). This factor evaluates
both the applicant's work plan and budget, which will be evaluated
based on the following criteria:
(a) Specific Services and/or Activities (8 points). Applicants'
narrative must describe the specific services, course curriculum, and
activities they plan to offer and who will be responsible for each. In
addition to the narrative, applicants must also provide a work plan,
which must list the specific services, activities, and outcomes they
expect. The work plan must show a logical order of activities and
progress and must tie to the outcomes and outputs applicants identify
in the Logic Model (see Rating Factor 5). Please see a sample work plan
in the Appendix. Applicants' narrative must explain how their proposed
activities will:
(i) Involve community partners in the delivery of services (4
points);
(ii) Offer comprehensive services versus a small range of services
geared toward achieving the following (2 points):
RSDM--Family: enhancing economic opportunities for residents;
RSDM--Elderly: enhancing residents' quality of life;
Homeownership: enhancing homeownership opportunities for residents;
and
(iii) Link to other ROSS-funded self-sufficiency programs (2
points).
(b) Feasibility and Demonstrable Benefits (4 points). This factor
examines whether applicants' work plan is logical, feasible and likely
to achieve its stated purpose during the term of the grant. HUD's
desire is to fund applications that will quickly produce demonstrable
results and advance the purposes of the ROSS program.
(i) Timeliness. This subfactor evaluates whether applicants' work
plan demonstrates that their project is ready to be implemented shortly
after grant award, but not to exceed three months following the
execution of the grant agreement. The work plan must indicate
timeframes and deadlines for accomplishing major activities.
(ii) Description of the problem and solution. The work plan will be
evaluated based on how well applicants' proposed activities address the
needs described in Rating Factor 2.
(c) Budget Appropriateness/Efficient Use of Grant (6 Points) The
score in this factor will be based on the following:
(i) Justification of expenses. Applicants will be evaluated based
on whether their expenses are reasonable and thoroughly explained, and
support the objectives of their proposal.
(ii) Budget Efficiency. Applicants will be evaluated based on
whether their application requests funds commensurate with the level of
effort necessary to accomplish their goals and anticipated results.
(d) Ineligible Activities. Two points will be deducted for each
ineligible activity proposed in the application, as identified in
Section IV(E). For example, you will lose 2 points if you propose costs
that exceed the limits identified in the NOFA for a Project
Coordinator; or you will lose 2 points if you propose paying for
salaries for staff that are not direct services staff.
(2) Addressing HUD's Policy Priorities (12 points). HUD wants to
improve the quality of life for those living in distressed communities.
HUD's grant programs are a vehicle through which long-term, positive
change can be achieved at the community level. Applicants' narrative
and work plan will be evaluated based on how well they meet the
following HUD policy priorities:
(a) Applicants will respond to either (i) or (ii) below depending
on what type of applicant they are, for a maximum of 5 points.
(i) Improving the Quality of Life in Our Nation's Communities (For
RSDM-Family and RSDM-Elderly Applicants only)(5 points). In order to
receive points in this category, applicants' narrative and work plan
must indicate the types of activities, service, and training programs
applicants will offer which can help residents successfully transition
from welfare to work and earn higher wages, or for elderly/disabled
residents, to continue to live independently.
(ii) Providing Increased Homeownership and Rental Opportunities for
Low- and Moderate-Income Persons, Persons with Disabilities, the
Elderly, Minorities, and Families With Limited English Proficiency (For
Homeownership Applicants only) (5 points). In order to receive points
in this category, applicants' narrative and work plan must indicate the
types of activities and training programs they will offer which can
help residents successfully transition from subsidized housing to
market-rate rental housing or homeownership.
(b) Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation (For
all applicants) (5 points). HUD encourages applicants to partner with
grassroots organizations, e.g., civic organizations,

[[Page 14068]]

grassroots faith-based and other community-based organizations that are
not usually effectively utilized. These grassroots organizations have a
strong history of providing vital community services such as developing
first-time homeownership programs, creating economic development
programs, providing job training and other supportive services. In
order to receive points under this factor, applicants' narrative and
work plan must describe how applicants will work with these
organizations and what types of services they will provide.
(c) Policy Priority for Increasing the Supply of Affordable Housing
Through the Removal of Regulatory Barriers to Affordable Housing. (up
to 2 points).
Under this policy priority, higher rating points are available to:
(1) Governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing, and (2)
nongovernmental applicants that are associated with jurisdictions that
have undertaken successful efforts in removing barriers. For applicants
to obtain the policy priority points for efforts to successfully remove
regulatory barriers, applicants would have to complete form HUD 27300,
``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers.'' A copy of HUD's Notice entitled America's Affordable
Communities Initiative, HUD's Initiative on Removal of Regulatory
Barriers: Announcement of Incentive Criteria on Barrier Removal in
HUD's 2004 Competitive Funding Allocations'' can be found on HUD's Web
site at http://www.hud.gov/grants/index.cfm. The information and
requirements contained in HUD's regulatory barriers policy priority
apply to this FY 2005 NOFA. A description of the policy priority and a
copy of form HUD-27300 can be found in the application package posted
to www.Grants.gov. Applicants are encouraged to read the Notice as well
as the General Section of the SuperNOFA to obtain an understanding of
this policy priority and how it can impact their score. A limited
number of questions expressly request the applicant to provide brief
documentation with their response. Other questions require that for
each affirmative statement made, the applicant must supply a reference,
URL, or a brief statement indicating where the back-up information may
be found, and a point of contact, including a telephone number and/or
email address. The electronic copy of the HUD 27300 has space to
identify a URL or reference that the material is being scanned and
attached to the application as part of the submission or faxed to HUD
following the facsimile submission instructions.
d. Rating Factor 4: Leveraging Resources (20 Points).
This factor addresses the applicant's ability to secure community
resources that can be combined with HUD's grant resources to achieve
program purposes. Applicants are required to create partnerships with
organizations that can help achieve their program's goals. PHAs are
required by section 12(d)(7) of the U.S. Housing Act of 1937 entitled
``Cooperation Agreements for Economic Self-Sufficiency Activities'') to
make best efforts to enter into such agreements with relevant state or
local agencies. In rating this factor, HUD will look at the extent to
which applicants partner, coordinate and leverage their services with
other organizations serving the same or similar populations.
Additionally, applicants must have at least a 25 percent cash or
in-kind match. The match is a threshold requirement. Joint applicants
must together have at least a 25 percent match. Applicants who do not
demonstrate the minimum 25 percent match will fail the threshold
requirement and will not receive further consideration for funding.
Leveraging in excess of the 25 percent of the grant amount will receive
a higher point value. In evaluating this factor HUD will consider the
extent to which applicants have partnered with other entities to secure
additional resources, which will increase the effectiveness of the
proposed program activities. The additional resources and services must
be firmly committed, must support the proposed grant activities and
must, in combined amount (including in-kind contributions of personnel,
space and/or equipment, and monetary contributions) equal at least 25
percent of the grant amount requested in this application. ``Firmly
committed'' means that the amount of resources and their dedication to
ROSS-funded activities must be explicit, in writing and signed by a
person authorized to make the commitment. Please see the section on
Threshold Requirements for more information.
Points for this factor will be awarded based on the documented
evidence of partnerships and firm commitments and the ratio of
requested ROSS funds to the total proposed grant budget.
Points will be assigned based on the following scale:

Percentage of Match Points Awarded
25..................................... 5 points (with partnerships) 3
points (without partnerships);
26-50.................................. 10 points (with partnerships) 8
points (without partnerships);
51-75.................................. 15 points (with partnerships)
13 points (without
partnerships);
76 or above............................ 20 points (with partnerships)
18 points (without
partnerships).
------------------------------------------------------------------------

e. Rating Factor 5: Achieving Results and Program Evaluation (15
Points)
(1) An important element in this year's NOFA is the development and
reporting of performance measures and outcomes. This factor emphasizes
HUD's determination to ensure that applicants meet commitments made in
their applications and grant agreements and that they assess their
performance so that they realize performance goals. Applicants must
demonstrate how they propose to measure their success and outcomes as
they relate to the Department's Strategic Plan.
(2) HUD requires ROSS applicants to develop an effective,
quantifiable, outcome-oriented plan for measuring performance and
determining that goals have been met. Applicants must use the Logic
Model form HUD-96010 for this purpose.
(3) Applicants must establish interim benchmarks, or outputs, for
their proposed program that lead to the ultimate achievement of
outcomes. ``Outputs'' are the direct products of a program's
activities. Examples of outputs are: the number of eligible families
that participate in supportive services, the number of new services
provided, the number of residents receiving counseling, or the number
of households using a technology center. Outputs should produce
outcomes for your program. ``Outcomes'' are benefits accruing to the
residents, families and/or communities during or after participation in
the ROSS program. Applicants must clearly identify the outcomes to be
achieved and measured. Examples of outcomes are: increasing the
homeownership rates among residents of a development or from a
particular housing authority, increasing residents' financial stability
(e.g., increasing assets of a household through savings), or increasing
employment stability (e.g., whether persons assisted obtain or retain
employment for one or two years after job training completion).
Outcomes are not the actual development or delivery of services or
program activities.
(4) This rating factor requires that applicants identify program
outputs, outcomes, and performance indicators

[[Page 14069]]

that will allow applicants to measure their performance. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Applicants' narrative,
work plan, and Logic Model should identify what applicants are going to
measure, how they are going to measure it, and the steps they have in
place to make adjustments to their work plan and management practices
if performance targets begin to fall short of established benchmarks
and time frames. Applicants' proposal must also show how they will
measure the performance of partners and affiliates. Applicants must
include the standards, data sources, and measurement methods they will
use to measure performance.
(5) In order to respond to this factor, applicants can use the
sample performance measures found at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Applicants will be evaluated based on how
comprehensively they propose to measure their program's outcomes.

B. Review and Selection Process

1. Review Process for All Grant Categories and All Applicants. Four
types of reviews will be conducted: a screening to determine if you are
eligible to apply for funding under the ROSS grant category to which
you are applying; whether your application submission is complete, on
time and meets threshold; a review by the field office (or area ONAP
office) to evaluate past performance; and a technical review to rate
your application based on the five rating factors provided in this
NOFA.
2. Selection Process for All Grant Categories and All Applicants.
The selection process is designed to achieve geographic diversity of
grant awards throughout the country. For each grant category, HUD will
first select the highest ranked application from each of the ten
federal regions and DPONAP for funding. After this ``round,'' HUD will
select the second highest ranked application in each of the ten federal
regions and DPONAP for funding (the second round). HUD will continue
this process with the third, fourth, and so on, highest ranked
applications in each federal region and DPONAP until the last complete
round is selected for funding. If available funds exist to fund some
but not all eligible applications in the next round, HUD will make
awards to those remaining applications in rank order (by score)
regardless of region and DPONAP and will fully fund as many as possible
with remaining funds. If remaining funds in one grant category are too
small to make an award, they may be transferred to another category
under the ROSS program.
3. Tie Scores. In the event of a tie between two applications in
the same category which target the same developments, HUD will select
the application that was received first.
4. Deficiency Period. Applicants will have 14 calendar days in
which to provide missing information requested from HUD. For other
information on correcting deficient applications, please see the
General Section of the SuperNOFA.

VI. Award Administration Information

A. Award Notices. HUD will make announcements of grant awards after
the rating and ranking process is completed. Grantees will be notified
by letter and will receive instructions for what steps they must take
in order to access funding and begin implementing grant activities.
Applicants who are not funded will also receive letters via U.S. postal
mail.
B. Debriefings. Applicants who are not funded may request a
debriefing. Applicants requesting to be debriefed must send a written
request to: Iredia Hutchinson, Director, Grants Management Center, 501
School Street, SW., Suite 800, Washington, DC 20024.
C. Administrative and National Policy Requirements. 1.
Environmental Impact. In accordance with 24 CFR 58.34 (a)(3) or (a)(9),
58.35(b)(2), (b)(4) or (b)(5), 50.19(b)(3), (b)(9), (b)(12), (b)(14),
or (b)(15) activities under this ROSS program are categorically
excluded from the requirements of the National Environmental Policy Act
of 1969 and are not subject to environmental review under related laws
and authorities.
2. Applicable Requirements. Unless specifically enumerated in this
NOFA, all applicants, lead and non-lead applicants, are subject to the
requirements specified in Section III.C. of the General Section of the
SuperNOFA. Grantees are subject to regulations and other requirements
found in:
a. 24 CFR 84 ``Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Nonprofit Organizations'';
b. 24 CFR 85 ``Administrative Requirements for Grants and
Cooperative Agreements to State, Local, and Federally Recognized Indian
Tribal Governments'';
c. 24 CFR 964 ``Tenant Participation and Tenant Opportunities in
Public Housing'';
d. OMB Circular A-87 ``Cost Principles for State, Local, and Indian
Tribal Governments''
e. OMB Circular A-110 ``Uniform Administrative Requirements for
Grants and Other Agreements with Institutions of Higher Education,
Hospitals and Other Non-Profit Organizations'';
f. OMB Circular A-122 ``Cost Principles for Non-Profit
Organizations''; and
g. OMB Circular A-133 ``Audits of States, Local Governments, and
Non-Profit Organizations''.
3. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Applicants and grantees must also comply with Section 3 of
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u and
ensure that training, employment, and other economic opportunities
shall, to the greatest extent feasible, be directed toward low and very
low-income persons, particularly those who are recipients of government
assistance for housing and to business concerns which provide economic
opportunities to low and very low-income persons.
4. Fair Housing and Civil Rights Laws. Applicants and their
subrecipients must comply with all Fair Housing and Civil Rights laws,
statutes, regulations, and Executive Orders as enumerated in 24 CFR
5.105(a), as applicable. Please see the General Section of the
SuperNOFA for more information.
D. Reporting. 1. Semi-Annual Performance Reports. Grantees shall
submit semi-annual performance reports to the field office or area
ONAP. These progress reports shall include financial reports (SF-269A),
a Logic Model (HUD-96010) showing achievements to date against outputs
and outcomes proposed in the application and approved by HUD, and a
narrative describing milestones, work plan progress, and problems
encountered and methods used to address these problems. HUD anticipates
that some of the reporting of financial status and grant performance
will be through electronic or Internet-based submissions. Grantees
shall use quantifiable data to measure performance against goals and
objectives outlined in their work plan. Applicants that receive awards
from HUD should be prepared to report on additional measures that HUD
may designate at time of award. Performance reports are due to the
field office on July 30 and January 31 of each year. If reports are not
received by the due date, grant funds will be suspended until reports
are received.
2. Final Report. All grantees shall submit a final report to their
local field

[[Page 14070]]

office or area ONAP that will include a financial report (SF-269A), a
final Logic Model, and a narrative evaluating overall results achieved
against their work plan. Grantees shall use quantifiable data to
measure performance against goals and objectives outlined in their work
plan. The financial report shall contain a summary of all expenditures
made from the beginning of the grant agreement to the end of the grant
agreement and shall include any unexpended balances. The final
narrative, Logic Model, and financial report shall be due to the field
office 90 days after the termination of the grant agreement.
3. Final Audit. Grantees are required to obtain a complete final
close-out audit of the grant's financial statements by a Certified
Public Accountant (CPA), in accordance with generally accepted
government audit standards. A written report of the audit must be
forwarded to HUD within 60 days of issuance. Grant recipients must
comply with the requirements of 24 CFR 84 or 24 CFR 85 as stated in OMB
Circulars A-87, A-110, and A-122, as applicable.
4. Logic Model. For each reporting period, as part of your required
report to HUD, you must include a completed Logic Model (Form 96010),
which identifies output and outcome achievements.

VII. Agency Contact(s)

For questions and technical assistance, you may call the Public and
Indian Housing Information and Resource Center at 800-955-2232. For
persons with hearing or speech impairments, please call the toll-free
Federal Relay Service at 800-877-8339. In the case of tribes/TDHEs,
please contact DPONAP at 800-561-5913 or (303) 675-1600 (this is not a
toll-free number).

VIII. Other Information

A. Code of Conduct. Please see the General Section of the SuperNOFA
for more information.
B. Transfer of Funds. If transfer of funds from any of the ROSS
programs does become necessary, HUD will give first priority to
Homeownership Supportive Services, second priority to Family Self-
Sufficiency, third priority to RSDM--Family, and fourth priority to
RSDM--Elderly/Persons with Disabilities.
C. Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average ten hours per annum per respondent
for the application and grant administration. This includes the time
for collecting, reviewing, and reporting the data for the application,
semi-annual reports and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required in order to receive the
benefits to be derived.
Appendix of Forms. The forms specific to the ROSS Program follow.

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Public and Indian Housing Family Self-Sufficiency Program Under the
Resident Opportunities and Self-Sufficiency (ROSS) Program

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Public and Indian Housing.
B. Funding Opportunity Title: This NOFA is for the Public and
Indian Housing Family Self-Sufficiency program under the Resident
Opportunities and Self-Sufficiency (ROSS) program.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is: FR-4950-N-23. The OMB approval number is: 2577-0229.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s):
Resident Opportunity and Self Sufficiency, 14.870.
F. Dates: The application submission date is June 20, 2005. Please
see the General Section for application

[[Page 14088]]

submission and timely receipt requirements.
G. Optional, Additional Overview Content Information: 1. Purpose of
Program: The purpose of the Family Self-Sufficiency (FSS) program for
Public Housing is to link participating families to the supportive
services they need to achieve self-sufficiency and no longer need
public assistance.
2. Funding Available: The Department expects to award a total of
approximately $22,950,000 ($15,000,000 of appropriations and $7,950,000
of carryover) under the FSS program in Fiscal Year 2005.
3. Award Amounts: Award amounts will be based on locality pay rates
for professions similar to that of an FSS program coordinator.
Individual award amounts will not exceed $65,000 to pay for the annual
salary and fringe benefits of the program coordinator.
4. Eligible Applicants: Eligible applicants are PHAs and tribes/
TDHEs that administer public housing programs. Renewal applicants and
new applicants to the program must have an approved FSS Action Plan on
file with their local HUD field office prior to this NOFA's application
deadline. Please see the Threshold Requirements section for more
information.
Nonprofit organizations and resident associations are not eligible
for funding under this program.
5. Cost Sharing/Match Requirement: There is no match requirement
under this funding program.
6. Grant term: The grant term for FSS is one year from the
execution date of the grant agreement.

----------------------------------------------------------------------------------------------------------------
Total
Grant program funding Eligible applicants Maximum grant amount
----------------------------------------------------------------------------------------------------------------
Public Housing Family Self-Sufficiency... $22,950,000 PHAs, tribes/TDHEs only.... $65,000 maximum salary
amount
----------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

A. Definition of Terms

1. Action Plan describes the policies and procedures of the PHA or
tribe/TDHE for operation of a local FSS program, and contains the
following information (for a full description of the minimum amount of
information the Action Plan must contain, please see 24 CFR 984.201):
a. Family demographics. A description of the number, size,
characteristics, and other demographics (including racial and ethnic
data), and the supportive services needs of the families expected to
participate in the FSS program;
b. Estimate of participating families. A description of the number
of eligible FSS families who can reasonably be expected to receive
supportive services under the FSS program, based on available and
anticipated federal, tribal, state, local, and private resources;
c. Eligible families from other self-sufficiency programs. The
number of families participating in other federal, state, or local
self-sufficiency programs (provide program name and sponsoring
organization) that are expected to participate in the FSS program.
d. FSS Family selection procedures. A statement indicating the
procedures to be utilized by select families participating in the FSS
program.
e. Incentives to encourage participation. Description of the FSS
account and other incentives the PHA will offer participating families.
f. Outreach efforts. The Action Plan must describe the efforts the
PHA or tribe/TDHE will make to recruit FSS participants.
g. FSS activities and supportive services consist of a description
of the activities and supportive services that will be provided by
public and private sources.
h. Additional requirements. Additional requirements are contained
in 24 CFR Part 984.
2. Contract Administrator means an overall grant administrator and/
or a financial management agent used by a troubled PHA to oversee the
implementation of the grant and/or the financial aspects of the grant.
3. Indian Tribe (``tribe'') means any tribe, band, nation, or other
organized group or a community of Indians, including any Alaska native
village, regional, or village corporation as defined in or established
pursuant to the Alaska Native Claims Settlement Act, and that is
recognized as eligible for the special programs and services provided
by the United States to Indians because of their status as Indians
pursuant to the Indian Self Determination and Education Act of 1975, or
any state-recognized tribe eligible for assistance under section 4
(12)(C) of NAHASDA.
4. NAHASDA-assisted resident means a tribal member living in
housing assisted by the Native American Housing Assistance and Self-
Determination Act (NAHASDA) of 1996.
5. Past Performance is a threshold requirement. HUD's field offices
will evaluate data provided by applicants and their past performance to
determine whether an applicant has the capacity to manage the FSS grant
program. The area Office of Native American Programs (ONAP) will review
past performance for tribal/TDHE submissions. PHAs or tribes/TDHEs that
have managed a HUD-funded FSS program for more than five years must be
able to demonstrate that families who have participated in the FSS
program for five years are actually achieving self-sufficiency and/or
have significantly increased their earned income. Please see the
section on Threshold Requirements for more information.
6. Person with disabilities means a person who:
(1) Has a condition defined as a disability in section 223 of the
Social Security Act;
(2) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance Bill of Rights Act; or
(3) Is determined to have a physical, mental, or emotional
impairment which:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live
independently; and
(iii) Is of such a nature that such ability could be improved by
more suitable housing conditions.
The term ``person with disabilities'' does not exclude persons who
have immunodeficiency syndrome (HIV/AIDS) or any conditions arising
from the etiologic agent for AIDS. In addition, no individual shall be
considered a person with disabilities, for purposes of eligibility for
low-income housing, solely on the basis of any drug or alcohol
dependence.
The definition provided above for persons with disabilities is the
proper definition for determining program qualifications. However, the
definition of a person with disabilities contained in section 504 of
the Rehabilitation Act of 1973 and its implementing regulations must be
used for purposes of reasonable accommodations.
7. Program Coordinator under the Family Self-Sufficiency (FSS)
program is someone responsible for linking FSS program participants to
supportive services. Program Coordinators will work with the Program
Coordinating Committee and local service providers to ensure that the
necessary services and linkages to community resources are

[[Page 14089]]

being made; ensuring that the services included in participants'
contracts of participation are provided on a regular, ongoing and
satisfactory basis; making sure that participants are fulfilling their
responsibilities under the contracts and that FSS escrow accounts are
established and properly maintained for eligible families. FSS
coordinators may also perform job development functions for the FSS
program.
8. Project is the same as ``low-income housing project'' as defined
in section 3(b)(1) of the United States Housing Act of 1937 (42 U.S.C.
1437 a (b)(1)) (1937 Act).
9. Secretary means the Secretary of Housing and Urban Development.
10. Tribally Designated Housing Entity (TDHE) is an entity
authorized or established by one or more Indian tribe to act on behalf
of each such tribe authorizing or establishing the housing entity.

B. Program Description

1. The FSS program provides funding for PHAs to pay for the salary
and fringe benefits of a program coordinator who will link families to
the supportive services they need to achieve self-sufficiency.
2. A PHA administering the FSS program must use a Program
Coordinating Committee (PCC) to secure the necessary resources to
implement the FSS program. A PCC is made up of representatives of
businesses, local government, job training and employment agencies,
local welfare agencies, educational institutions, childcare providers,
and nonprofit service providers, including faith-based and other
community organizations. See 24 CFR 984.202 for more information.
3. HUD is looking for applications that either build on existing
FSS programs or propose to implement a new Public Housing FSS program.
Applicants who propose to link to other ROSS-funded self-sufficiency
programs will receive five additional points (see Rating Factor 3 at
Section V.A.1.c. (1)(a)(i)).

C. Regulations Governing the FSS Program

The FSS program is governed by 24 CFR Part 984.

II. Award Information

A. Total Funding: The Department expects to award a total of
approximately $22,950,000 ($15,000,000 of appropriations and $7,950,000
of carryover) under the PH Family Self-Sufficiency program. Funding
amounts for individual grantees will be contingent upon HUD field
office approval.
B. Grant Period: One year. The grant period shall begin the day the
grant agreement and the form HUD-1044, ``Assistance Award/Amendment''
are signed.
C. Grant Extensions. Requests to extend the grant term beyond the
originally established term must be submitted in writing by the grantee
to the local HUD field office. Such requests must be done prior to
grant termination and with at least 60 days notice to give the field
office a reasonable amount of time to fully evaluate the request.
Requests must explain why the extension is necessary, what work remains
to be completed, and what was accomplished to date. Extensions may be
granted one time only by the field office for a period not to exceed
six months.
D. Type of Award: Grant agreement.

III. Eligibility Information

A. Eligible Applicants: Eligible applicants are public housing
agencies (PHAs), which administer public housing programs and tribes/
TDHEs. New and renewal applicants to the program must have an approved
FSS Action Plan on file with their local HUD field office prior to this
NOFA's application deadline.
Nonprofit organizations and resident associations are not eligible
for funding under this program.
B. Cost Sharing or Matching: There is no match requirement under
this funding program.
C. Other: 1. Threshold Requirements. Applicants must respond to
each threshold requirement clearly and thoroughly by following the
instructions below. If your application fails one threshold requirement
(regardless of the type) it will be considered a failed application.
The following are threshold requirements that are applicable to this
ROSS component:
a. Past Performance. HUD's field offices will evaluate data
provided by applicants and their past performance to determine whether
an applicant has the capacity to manage the FSS program. The area
Office of Native American Programs (ONAP) will review past performance
for tribal/TDHE submissions. For applicants required to have a contract
administrator, field offices will evaluate the contract administrator's
past performance. Using Rating Factor 1, the field office will evaluate
applicants' past performance. If applicants fail to address what is
requested in Rating Factor 1, their application will fail this
threshold and will not receive further consideration.
b. Contract Administrator Partnership Agreement. PHAs that are
troubled at the time of application are required to submit a signed
Contract Administrator Partnership Agreement. The agreement must be for
the entire grant term. The grant award shall be contingent upon having
a signed Partnership Agreement included in the application. Troubled
PHAs are not eligible to be contract administrators. Grant writers who
assist applicants prepare their FSS applications are ineligible to be
contract administrators. For more information on contract
administrators, please see the section on Program Requirements below.
Please see the General Section for instructions on how to submit the
required information with your electronic application.
c. FSS Action Plan. New applicants to the program must have a HUD
approved FSS Action Plan on file with their local HUD field (or ONAP)
office prior to this NOFA's application deadline. PHAs with previously
approved Housing Choice Voucher (HCV) FSS Action Plans may either amend
their HCV FSS Action Plan to include the FSS program or may submit a
separate FSS Action Plan for HUD field office (ONAP) approval. New PH
FSS Action Plans and amendments to existing Action Plans must be
submitted to applicants' local HUD field office well enough in advance
to ensure sufficient time for field office approval of the FSS Action
Plan prior to the NOFA deadline. FSS Action Plans must comply with 24
CFR 984.201.
d. Minimum Score for All Fundable Applications. Applications that
pass all threshold requirements and go through the ranking and rating
process, must receive a minimum score of 75 in order to be considered
for funding.
e. The Dun and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section for information regarding the
DUNS requirement. You will need to obtain a DUNS number to receive an
award from HUD. You will need a DUNS number to complete your Grants.gov
registration. Registration is required for electronic submission. See
the General Section for a discussion of the Grants.gov registration
process.
2. Program Requirements:
a. Hiring a FSS program coordinator. Funds awarded to PHAs under
this NOFA may only be used to employ or retain the services of a FSS
program coordinator for the one year grant term. A part-time program
coordinator may be retained where appropriate. The FSS program
coordinator must:
(1) Work with the PCC and with local service providers to ensure
that FSS

[[Page 14090]]

program participants are linked to the supportive services they need to
achieve self-sufficiency.
(2) Ensure that the services included in participants' contracts of
participation are provided on a regular, ongoing and satisfactory
basis, that participants are fulfilling their responsibilities under
the contracts and that FSS escrow accounts are established and properly
maintained for eligible families. All of these tasks should be ensured
through case management. FSS coordinators may also perform job
development functions for the FSS program.
(3) Under normal circumstances, a full-time FSS program coordinator
should be able to serve approximately 50 FSS program participants,
depending on the coordinator's case management functions.
(4) Monitor the progress of program participants and evaluate the
overall success of the program. For more information on how to measure
performance, please see Rating Factor 4 in the ``Application Review
Information'' section of this NOFA.
b. Outreach. Applicants are encouraged to reach out to persons with
disabilities who are public/Indian Housing residents and might be
interested in participating in the FSS program. Applicants should
include agencies on their FSS PCC that work with and provide services
for families with disabilities.
c. Eligible families. Current residents of public/Indian housing
are eligible. Eligible families who are currently enrolled or
participating in local public/Indian housing self-sufficiency programs
are also eligible.
d. Contract of participation. Each family that is selected to
participate in an FSS program must enter into a contract of
participation with the PHA or tribe/TDHE that operates the FSS program.
The contract shall be signed by the head of the FSS family.
e. Contract term. The contract with participating families shall be
for five years. During this time each family will be required to
fulfill its contractual obligations. PHAs or tribes/TDHEs may extend
contracts for no more than two years for any family that requests an
extension of its contract provided the PHA or tribe/TDHE finds that
good cause exists to provide an extension. This extension request must
be in writing. See 24 CFR 984.303 for more information on contracts of
participation.
f. Escrow accounts for very low or low income participating
families. Such accounts shall be computed using the guidelines set
forth in 24 CFR 984.305. Note: FSS families who are not low-income are
not entitled to an escrow/credit.
g. Number of Program Coordinators.
(1) Renewal Applicants.
(a) Maintaining Program Size. Applicants that received funding from
the Operating Fund or the 2004 FSS NOFA may apply for renewal of each
FSS coordinator position(s) that has been filled by the applicant in
either of the past two years under the Operating Fund or the 2004 FSS
NOFA.
Funding for more than one program coordinator position is
contingent upon HUD field office approval. For renewal applicants, HUD
will fund a one percent increase over the amount most recently funded
but not to exceed $65,000 for the FSS program coordinator(s) salary and
fringe benefits.
(b) Expanding Program Size. Applicants wishing to expand their FSS
program may in addition to requesting funds for their current FSS
program coordinator(s), also request funds for one additional FSS
coordinator. Note: Funding priority will be given to renewing existing
staff positions for renewal applicants and to applicants wishing to
implement a new program (see new applicants below). If sufficient
funding is available to fund expanding applicant's existing programs,
HUD will do so in accordance with the selection process under Section
V(B).
(2) New Applicants. A PHA or tribe/TDHE that has not received
funding under the Operating Fund for a FSS Program Coordinator may
apply for only one program coordinator position as follows:
(a) Up to one full-time FSS coordinator position for a PHA or
tribe/TDHE with HUD approval to administer an FSS program of 25 or more
FSS slots.
(b) Up to one full-time position per application for joint PHA/
tribe/TDHE applicants that have HUD approval to administer a total of
at least 25 FSS slots between or among them.
h. Contract Administrator. The Contract Administrator must assure
that the financial management system and procurement procedures that
will be in place during the grant term will fully comply with 24 CFR
part 85. CAs are expressly forbidden from accessing HUD's Line of
Credit Control System (LOCCS) and submitting vouchers on behalf of
grantees. Contract administrators must also assist PHAs/tribes/TDHEs to
meet HUD's reporting requirements, see Section VI.C. ``Reporting'' for
more information. Contract administrators may be: Local Housing
Agencies; community-based organizations such as Community Development
Corporations (CDCs), churches, temples, synagogues, mosques; nonprofit
organizations; State/Regional associations and organizations. Troubled
PHAs are not eligible to be contract administrators. Grant writers who
assist applicants in preparing their FSS applications are also
ineligible to be contract administrators. Organizations that the
applicant proposes to use as the contract administrator must not
violate any conflicts of interest as defined in 24 CFR Part 84 or 24
CFR Part 85.
3. Number of Applications Permitted:
a. General. Applicants may submit only one application under this
category. Applicants may submit one application for each of the other
funding categories under ROSS (Resident Service Delivery Models-Family,
Resident Service Delivery Models-Elderly/Persons with Disabilities and
Homeownership Supportive Services) and one application under the Public
Housing Neighborhood Networks grant program (tribes/TDHEs are not
eligible applicants for the Public Housing Neighborhood Networks grant
program); however, applicants must submit separate applications for
each funding category.
b. Joint applications. Two or more PHAs or tribes/TDHEs may join
together to submit an application under this NOFA. Joint applications
must designate a lead applicant. Only the lead applicant is subject to
threshold requirements as outlined in this NOFA, however both lead and
non-lead applicants are subject to the Threshold requirements outlined
in Section III. C. of the General Section. The lead applicant must be
registered with Grants.gov and submit the application using the
Grants.gov portal. The lead applicant must be registered with
Grants.gov and submit the application using the Grants.gov portal.
Applicants who submit joint applications may not also submit separate
applications as sole applicants under this NOFA.
4. Eligible Participants: All program participants must be
residents of public/Indian housing or residents of other housing
assisted with funding made available under the 2005 Appropriations Act
(e.g., residents receiving tenant-based or project-based voucher
assistance, as well as elderly and disabled residents).
5. Compliance with Program Requirements. In addition to the program
requirements specific to the FSS program, all applicants and grantees
must comply with the program requirements contained in Section III.C.
of the General Section.

[[Page 14091]]

IV. Application and Submission Information

A. Obtaining an Application Package: There is no application kit
this year. Please refer to the General Section for information on how
to submit your application electronically. Copies of this published
NOFA and application forms for this program may be downloaded from the
grants.gov web site at http://www.grants.gov/APPLY. If you have
difficulty accessing the information you may call the Grants.gov help
desk toll-free at (800) 518-GRANTS or sending an email to
Grants.gov">Support@Grants.gov. The operators will assist you in accessing the
information.
B. Content and Form of Application Submission: 1. Application
Format: Before preparing an application to the FSS program, applicants
should carefully review the program description, ineligible activities,
threshold requirements, and the General Section. Applicants should also
review each rating factor found in the ``Application Review
Information'' section before writing a narrative response. Applicants'
narratives should be as descriptive as possible, ensuring that every
requested item is addressed. Applicants should make sure to include all
requested information, according to the instructions found in this NOFA
and where applicable, in the General Section. This will help ensure a
fair and accurate review of your application.
2. Content and Format for Submission:
a. Content of Application: Applicants must write narrative
responses to each of the rating factors described in this section.
Applicants responses must demonstrate that they have the necessary
capacity to successfully manage this grant program. Applicants should
ensure that their narratives are written clearly and concisely so that
HUD reviewers, who may not be familiar with the FSS program, may fully
understand your proposal. HUD encourages applicants to carefully review
each rating factor, the regulations governing the FSS program, 24 CFR
part 984, and the General Section prior to responding to each rating
factor.
b. Format of Application: (1) Applications may not exceed 35
narrative pages. Narrative pages must be submitted as separate
electronic files, formatted as double-spaced, single-sided documents.
Each file should have the pages numbered consecutively. Use Times New
Roman font style, and font size 12. Supporting documentation, required
forms, and certifications will not be counted toward the 35 narrative
page limit. See the General Section for information on how to submit
documents that are not in electronic format. Applicants should make
every effort to submit only what is necessary in terms of supporting
documentation. Please see the General Section for instructions on how
to submit supporting documentation with your electronic application.
(2) The following checklist has been provided to assist applicants
ensure they submit all required forms and information. Electronic
application filers should make sure the file names for their narratives
reflect the labels in the checklist. Each narrative must be in a
separate file with all the files zipped together and sent as an
attachment in the application submittal. (Note: Applicants who receive
a waiver to submit paper applications, must submit their applications
in a three-ring binder, with TABS dividing the sections as indicated
below):
TAB 1: Required Forms:
1. Acknowledgement of Application Receipt (HUD-2993), for paper
application submissions only (you must have an approval waiver to
submit a paper application);
2. SF-424 Application for Federal Assistance;
3. SF-424 Supplement, Survey on Ensuring Equal Opportunity for
Applicants;
4. Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers (HUD-27300);
5. HUD-52751ROSS Fact Sheet
6. HUD-424 CB Grant Application Detailed Budget;
7. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
8. HUD-2880 Applicant Disclosure/Update Report;
9. HUD-2990 Certification of Consistency with RC/EZ/EC-II Strategic
Plan (if applicable);
10. HUD-2991 Certification of Consistency with the Consolidated
Plan (if applicable);
11. Certification of Consistency with the Indian Housing Plan if
applicable (HUD-52752);
12. SF-LLL Disclosure of Lobbying Activities (if applicable);
13. SF-LLL-A Disclosure of Lobbying Activities Continuation Sheet
(if applicable);
14. HUD-2994 Client Comments and Suggestions (optional); and
15. Facsimile Transmittal (HUD-96011).
TAB 2: Threshold Requirements:
[sbull] Contract Administrator Partnership Agreement (required for
troubled PHAs) (HUD-52755)
TAB 3: Rating Factor 1 and ROSS Program Forms
1. Narrative.
2. Chart A: HUD 52756 Program Staffing.
3. Chart B: HUD 52757 Applicant/Administrator Track Record.
4. Resume(s)/Position Description(s).
TAB 4: Narrative for Rating Factor 2.
TAB 5: Rating Factor 3.
1. Narrative.
2. HUD 52767 Family Self-Sufficiency Funding Request Form.
TAB 6: Rating Factor 4 and ROSS Program Forms.
1. Narrative.
2. HUD 96010 Logic Model.
C. Submission Dates and Times: 1. Due Dates: The application
submission date is June 20, 2005. Please see the General Section for
application submission and timely receipt requirements.
2. Proof of Timely Submission. Please see the General Section for
this information. Applicants that fail to meet the deadline for
application receipt will not receive funding consideration.
D. Intergovernmental Review: Not applicable.
E. Funding Restrictions: 1. Reimbursement for Grant Application
Costs: Applicants who receive an award under this program cannot use
FSS grant funds to pay for any costs incurred with the preparation of
their FSS grant application.
2. Covered Salaries: a. Program Coordinator: All applicants may
hire a qualified program coordinator to run the grant program. The FSS
program will fund up to $65,000 in combined annual salary and fringe
benefits for a full-time program coordinator. For audit purposes,
applicants must have documentation on file demonstrating that the
salary they pay the program coordinator is comparable to similar
professions in their local area.
b. Contract Administrator: FSS funds cannot be used to hire or pay
for the services of a Contract Administrator.
c. Eligible Salaries. FSS funds may only be used for the types of
salaries described in this section according to the restrictions
described herein. FSS funds may not be used to pay for salaries of any
other kind.
3. Administrative Costs. FSS funds cannot be used to pay for
administrative costs.
4. Ineligible Activities. Grant funds may not be used for
ineligible activities. Ineligible activities include:
a. The salary of an FSS coordinator for the Housing Choice Voucher
FSS program;
b. Services for FSS program participants;
c. Elderly/Disabled Service Coordinator salary and fringe benefits;

[[Page 14092]]

d. Wages and/or salaries to participants for receiving supportive
services and/or training programs;
e. The purchase of food;
f. The purchase, lease, or rental of land;
g. New construction, materials costs;
h. Rehab or physical improvements;
i. Entertainment costs; j. Purchase, lease, or rental of vehicles;
k. Stipends;
l. Cost of application preparation; and
m. Costs that exceed limits identified in the NOFA for the
following: Program Coordinator.
n. FSS funds cannot be used to hire or pay for the services of a
Contract Administrator.
F. Other Submission Requirements: a. Electronic Delivery. Beginning
in FY2005, HUD requires applicants to submit applications
electronically through www.grants.gov/Apply. Applicants interested in
applying for funding must submit their applications electronically via
the Web site http://www.grants.gov/Apply. This site has easy to follow
step-by-step instructions that will enable you to apply for HUD
assistance. The www.grants.gov/Apply feature includes a simple, unified
application process to enable applicants to apply for grants online.
b. Waivers to the Electronic Submission Process: Applicants may
request a waiver to the electronic submission process (see Section IV.F
of the General Section for more information). Applicants who are
granted a waiver must submit their applications to: HUD Grants
Management Center (GMC), Mail Stop: Public Housing FSS Program, 501
School Street, SW., 8th floor, Washington, DC 20024. Please see the
General Section for detailed mailing and delivery instructions as the
procedures have changed significantly for this year.
c. Number of Copies. Only applicants receiving a waiver to the
electronic submission requirement must submit an original and two paper
copies of the application. One of the copies must be sent to the area
field office. See Section IV and Appendix C of the General Section for
requirements for waiver and paper copy application submission
requirements.

V. Application Review Information

A. Criteria

1. Factors for Award Used To Evaluate and Rate Applications to the
FSS program: The factors for rating and ranking applicants and maximum
points for each factor are provided below. The maximum number of points
available for this program is 102. This includes two RC/EZ/EC-II bonus
points. The SuperNOFA contains a certification that must be completed
in order for the applicant to be considered for RC/EZ/EC-II bonus
points. A listing of federally designated Empowerment Zones (EZs),
Renewal Communities (RCs), or Enterprise Communities, designated by
USDA in round II (EC-IIs), is available on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. The agency certifying to
RC/EZ/EC-II status must be identified in the listing on HUD's Web site.

Note: Applicants should carefully review each rating factor
before writing a response. Applicants should make sure their
narratives thoroughly address the Rating Factors below and to
include all requested information, according to the instructions
found in this NOFA. This will help ensure a fair and accurate
application review.

a. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (45 Points)
In rating this factor, HUD will consider the extent to which the
proposal demonstrates that the applicant will have qualified and
experienced program coordinator(s) dedicated to administering the
program.
(1) Proposed Program Staffing (10 Points).
(a) Staff Experience (5 Points). The knowledge and experience of
the proposed program coordinator(s) in planning and managing programs
for which funding is being requested. Experience will be judged in
terms of recent, relevant and successful experience of the program
coordinator(s) to undertake eligible program activities. In rating this
factor, HUD will consider experience within the last 5 years to be
recent; experience similar to the functions of an FSS program
coordinator to be relevant; and experience producing specific
accomplishments to be successful. A greater amount of points will be
received based on recent and related experience proposed staff have in
successfully completing similar tasks. The following information should
be provided in order to provide HUD an understanding of proposed
staff's experience and capacity:
(i) The staff's relevant educational background and/or work
experience; and
(ii) Relevant and successful experience running programs whose
activities are similar to the FSS Program.
(b) Staff Capacity (5 Points). Applicants will be evaluated based
on whether they have staff in place or will be able to quickly access
qualified professional(s), to administer the FSS program in a timely
and effective fashion. Applicants' requesting to implement a new FSS
program or to expand their existing program must describe their ability
to immediately begin implementing an FSS program. Applicants may scan
resumes (or position descriptions where staff is not yet hired) for the
program coordinator position so they become an electronic attachment to
your Grants.gov application. Please see the General Section for
instructions on how to submit the required information with your
electronic application. (Resume(s)/position description(s) do not count
toward the 35-page limit.)
(2) Past Performance of Applicant/Contract Administrator (25
Points). Applicants' narrative must describe how they (or their
contract administrator) achieved actual results in assisting low-income
families and individuals in achieving economic self-sufficiency or
moving from welfare to gainful employment. Renewal applicants should
include facts and statistics in their narrative from past annual
performance reports and/or the FSS addendum to HUD Form 50058.
Applicants that have managed a HUD-funded FSS program for more than
five years must be able to demonstrate that families who have
participated in the FSS program for five years are actually achieving
self-sufficiency and/or have significantly increased their earned
income.
Applicants will be evaluated according to the following criteria:
(a) Achievement of specific, measurable participant outcomes in
terms of benefits gained by participating residents. (15 Points).
Applicants should describe and clearly demonstrate results their
participants have achieved through the FSS program, for example: Higher
incomes, higher rates of employment, increased savings; and moving out
of subsidized housing to market-rate housing.
(b) Describe success in attracting and keeping residents involved
in past grant-funded training programs (5 Points). HUD wants to see
that applicants' grant-funded programs benefited significant numbers of
participating residents/families;
(c) Description of timely fund expenditure throughout the term of
past grants (5 Points). Timely means regular drawdowns throughout the
life of the grant, i.e. quarterly drawdowns, with all funds expended by
the end of the grant term;
(3) Program Administration and Fiscal Management (10 Points).
(a) Program Administration and Accountability (5 Points).
Applicants

[[Page 14093]]

should describe how they will manage the program and how HUD can be
sure that there is program accountability.
(b) Fiscal Management (5 Points). In rating this factor,
applicants' skills and experience in fiscal management will be
evaluated. If applicants have had any audit or material weakness
findings in the past five years, they will be evaluated on how well
they have addressed them. Applicants must provide the following:
(i) A complete description of their fiscal management structure,
including fiscal controls currently in place including those of a
contract administrator for applicants required to have a contract
administrator, (troubled PHAs);
(ii) Applicants must list any audit findings in the past five years
(HUD Inspector General, management review, fiscal, etc.), material
weaknesses and what has been done to address them;
(iii) Applicants who are required to have a contract administrator,
must describe the skills and experience the contract administrator has
in managing federal funds.
b. Rating Factor 2: Need (10 Points)
In responding to this factor, you will be evaluated on the extent
to which you describe and document the level of need for an FSS program
coordinator in the communities you serve.
In responding to this factor, you must include:
(1) Socioeconomic Profile (5 points). A socioeconomic profile of
the eligible residents to be served by your program, including
education levels, income levels, the number of single-parent families,
etc.
(2) Number of People to Be Served (5 points). Renewal applicants
must provide the number of people being served and whether they will
fill slots left by graduating participants. New applicants must provide
the number of slots they will fill. Applicants applying to expand their
FSS program, must provide the number of slots they will add to their
program.
c. Rating Factor 3: Soundness of Approach (30 Points)
In rating this factor HUD will consider:
(1) Quality of Your Proposal (26 points). This factor evaluates
your application based on the following criteria:
(a) Scope of Services (12 points). Your narrative should refer to
the FSS Action Plan submitted to your local HUD field office and it
must describe how many people you plan to serve, whether you will
expand your program over time, and how your program will:
(i) Link with other ROSS-funded self-sufficiency programs; (5
points)
(ii) Involve community partners in the delivery of services; (4
points) and
(iii) Link to comprehensive services versus a small range of
services geared toward enhancing economic opportunities for residents
(3 points).
(b) Feasibility and Demonstrable Benefits (10 points). This factor
examines whether your proposal is logical, feasible and likely to
achieve its stated purpose during the term of the grant. HUD's desire
is to fund applications that will quickly produce results and advance
the purposes of the FSS program.
(i) Timeliness (5 Points). This subfactor evaluates whether your
proposal is ready to be implemented shortly after grant award, but not
to exceed three months following the execution of the grant agreement.
Your proposal must indicate timeframes and deadlines for accomplishing
major activities.
(ii) Description of the problem and solution (5 Points). Your
proposal will be evaluated based on how well your proposal and approach
to case management address the needs described in Rating Factor 2.
(c) Salary Appropriateness/Efficient Use of Grant (4 Points). You
will be evaluated based on whether the salary you propose for the
program coordinator is comparable to similar professions in your local
area. In addition, your narrative must justify the salary you propose
to pay the program coordinator by using local pay rates for comparable
professions.
(d) Ineligible Activities. Two points will be deducted for each
ineligible activity proposed in the application, as identified in
Section IV (E). For example, you will lose 2 points if you propose
costs that exceed the limits identified in the NOFA for a Project
Coordinator.
(2) Addressing HUD's Policy Priorities (4 points). HUD wants to
improve the quality of life for those living in distressed communities.
HUD's grant programs are a vehicle through which long-term, positive
change can be achieved at the community level. Your proposal will be
evaluated based on how well it meets the following HUD policy
priorities:
(a) Improving the Quality of Life in Our Nation's Communities (1
point). In order to receive points in this category, your narrative
must indicate how your FSS program will help residents successfully
transition from welfare to work and earn higher wages.
(b) Providing Full and Equal Access to Grassroots Faith-Based and
Other Community-Based Organizations in HUD Program Implementation (1
point). HUD encourages applicants to partner with grassroots
organizations, e.g., civic organizations, grassroots faith-based and
other community-based organizations. These grassroots organizations
have a strong history of providing community services such as
developing first-time homeownership programs, creating economic
development programs, providing job training and other supportive
services. In order to receive points under this factor, your narrative
must describe how you will work with these organizations and what types
of services they will provide.
(c) Policy Priority for Increasing the Supply of Affordable Housing
Through the Removal of Regulatory Barriers to Affordable Housing (up to
2 points). Under this policy priority, higher rating points are
available to: (1) Governmental applicants that demonstrate successful
efforts in removing regulatory barriers to affordable housing, and (2)
nongovernmental applicants undertaking activities in jurisdictions that
have carried out successful efforts in removing barriers. For
applicants to obtain the policy priority points for efforts to
successfully remove regulatory barriers, applicants would have to
complete form HUD 27300, ``Questionnaire for HUD's Initiative on
Removal of Regulatory Barriers.'' A copy of HUD's Notice entitled
America's Affordable Communities Initiative, HUD's Initiative on
Removal of Regulatory Barriers: Announcement of Incentive Criteria on
Barrier Removal in HUD's 2004 Competitive Funding Allocations'' can be
found on HUD's Web site at http://www.hud.gov/grants/index.cfm. The
information and requirements contained in HUD's regulatory barriers
policy apply to this FY 2005 NOFA. A description of the policy priority
and a copy of form HUD 27300 can be found in the General Section
Applicants are encouraged to read the Notice as well as the General
Section to obtain an understanding of this policy priority and how it
can impact their score. A number of questions expressly request the
applicant to provide brief documentation with their response. Other
questions require that for each affirmative statement made, the
applicant must supply a reference, URL, or a brief statement indicating
where the back-up information may be found, and a point of contact,
including a telephone number and/or e mail address. The electronic copy
of the HUD 27300 has space to identify a URL or reference that the
material is being scanned and

[[Page 14094]]

attached to the application as part of the submission or faxed to HUD
following the facsimile submission instructions.
d. Rating Factor 4: Achieving Results and Program Evaluation (15
Points)
(1) An important element in this year's NOFA is the development and
reporting of performance measures and outcomes. This factor emphasizes
HUD's determination to ensure that applicants meet commitments made in
their applications to help families achieve true self-sufficiency.
Applicants must demonstrate how they propose to measure their success
and outcomes as they relate to the Department's Strategic Plan.
(2) HUD requires FSS applicants to develop an effective,
quantifiable, outcome-oriented plan for measuring performance and
determining that goals have been met. Applicants must use the Logic
Model form (HUD-96010) for this purpose.
(3) Applicants must establish interim benchmarks, or outputs, for
their proposed program that lead to the ultimate achievement of
outcomes. ``Outputs'' are the direct products of a program's
activities. Examples of outputs are: the number of eligible families
that participate in supportive services, the number of families
enrolled, the number of families with increased earned income, the
number of families who have left assisted housing altogether, or the
number of households that develop an escrow account. ``Outcomes'' are
benefits that the residents, families and/or communities have accrued
during or after participation in the FSS program. Applicants must
clearly identify the outcomes to be achieved and measured. Examples of
outcomes are: increasing residents' financial stability (e.g.,
increasing assets of a household through savings or escrow), increasing
the number of FSS graduates, or increasing employment stability (e.g.,
whether persons assisted obtain or retain employment for one or two
years after job training completion). Outcomes are not the actual
development or delivery of services or program activities.
(4) This rating factor requires that applicants identify program
outputs, outcomes, and performance indicators that will allow HUD and
applicants to measure performance and accountability. Performance
indicators should be objectively quantifiable and measure actual
achievements against anticipated achievements. Applicants' narrative
and Logic Model should identify what applicants are going to measure,
how they are going to measure it, and the steps they have in place to
make adjustments to their work or management practices if performance
targets begin to fall short of established benchmarks and timeframes.
Applicants must include the standards, data sources, and measurement
methods they will use to measure performance.
(5) In order to respond to this factor, applicants should use the
sample performance measures (HUD-52758) located in the Appendix as a
guide. Applicants will be evaluated based on how they propose to
measure their program's outcomes, e.g. whether the Logic Model tracks
activities and outcomes resulting from the proposed activities, whether
the Logic Model identifies evaluation tools and sources, and whether
the Logic Model provides output and outcome information for the short,
medium and long-term.

B. Review and Selection Process

1. Review Process: Four types of reviews will be conducted: a
screening to determine if you are eligible to apply for funding under
the FSS grant category; whether your application submission is
complete, on time and meets the threshold requirements; a review by the
field office (or ONAP) to evaluate past performance and whether there
is an approved FSS Action Plan on file with the field office; and a
technical review to rate your application based on the four rating
factors provided in this NOFA.
2. Selection Process: The selection process is designed to achieve
geographic diversity of grant awards throughout the country. HUD will
first select the highest ranked application from each of the ten
federal regions and DPONAP for funding. After this ``round,'' HUD will
select the second highest ranked application in each of the ten federal
regions (the second round). HUD will continue this process with the
third, fourth, and so on, highest ranked applications in each federal
region and DPONAP until the last complete round is selected for
funding. If available funds exist to fund some but not all eligible
applications in the next round, HUD will make awards to those remaining
applications in rank order (by score) regardless of region and DPONAP
and will fully fund as many as possible with remaining funds. If
remaining funds are too small to make an award, they may be transferred
to another ROSS funding category.
3. Tie Scores. In the event of a tie between two applications from
the same region, HUD will select the application that was received
first.
4. Deficiency Period. Applicants will have fourteen calendar days
to provide missing information requested from HUD. For other
information on correcting deficient applications, please see the
General Section.

VI. Award Administration Information

A. Award Notices: HUD will make announcements of grant awards after
the rating and ranking process is completed. Grantees will be notified
by letter and will receive instructions for the steps they must take to
access funding and begin implementing grant activities. Applicants who
are not funded will also receive letters via U.S. postal mail.
B. Debriefings: Applicants who are not funded may request a
debriefing. Applicants requesting to be debriefed must send a written
request to: Iredia Hutchinson, Director, Grants Management Center, 501
School Street, SW., Suite 800, Washington, DC 20024. See the General
Section for additional information on debriefings.
C. Administrative and National Policy Requirements: 1.
Environmental Impact. No environmental review is required in connection
with the award of assistance under this NOFA. The reason being the NOFA
only provides funds for employing a coordinator who provides public and
supportive services and/or a contract administrator who provides
administrative and management services. Theses services listed above
are categorically excluded from environmental review under the National
Environmental Policy Act of 1969 (42 U.S.C. 4321) and not subject to
compliance actions for related environmental authorities under 24 CFR
50.19(b)(3), (4) and (12).
2. Applicable Requirements. Grantees are subject to regulations and
other requirements found in:
a. OMB Circular A-87 ``Cost principles for State, Local, and Indian
Tribal Governments'';
b. OMB Circular A-133 ``Audits of States, Local Governments, and
Non-Profit Organizations'';
c. HUD Regulations 24 CFR Part 984 ``Section 8 and Public Housing
Family Self-Sufficiency Program''; and
d. HUD Regulations 24 CFR Part 85 ``Administrative Requirements for
Grants and Cooperative Agreements to State, Local, and Federally
Recognized Indian Tribal Governments''.
3. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Applicants and grantees must also comply with Section 3 of
the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u and
ensure that training, employment, and other economic opportunities
shall, to the greatest extent feasible, be directed toward low and very
low-income persons, particularly those who are recipients of government
assistance for housing and

[[Page 14095]]

to business concerns which provide economic opportunities to low and
very low-income persons.
4. Fair Housing and Civil Rights Laws. Applicants and their
subrecipients must comply with all Fair Housing and Civil Rights laws,
statutes, regulations, and Executive Orders as enumerated in 24 CFR
5.105(a), as applicable. Please see the General Section for more
information.
5. Provision of Services to Individuals with Limited English
Proficiency (LEP). Successful applicants and grantees must seek to
provide access to program benefits and information to LEP individuals
through translation and interpretive services in accordance with HUD's
LEP Recipient Guidance 68 FR 70968.
6. Communications. Successful applicants should ensure that notices
of and communications during all training sessions and meetings be
effective for persons who have hearing and/or visual disabilities
consistent with Section 504, see 24 CFR Part 8.6.
D. Reporting: 1. Semi-Annual Performance Reports. Grantees shall
submit semi-annual performance reports to the field office. These
progress reports shall include financial reports (SF-269A or its
successor), the Logic Model showing achievements to date against
proposed outputs and outcomes, and your evaluation procedures and
activities undertaken to ensure that the project remains on schedule,
within budget and that you are achieving the goals established. A
narrative describing milestones, work plan progress, and problems
encountered and methods used to address these problems must also be
included. HUD anticipates that some of the reporting of financial
status and grant performance will be through electronic or Internet-
based submissions. Grantees shall use quantifiable data to measure
performance against goals and objectives outlined in their Logic Model.
Applicants that receive awards from HUD should be prepared to report on
additional measures that HUD may designate at time of award.
Performance reports are due to the field office on July 30 and January
31 of each year. If reports are not received by the due date, grant
funds will be suspended until reports are received.
2. Reporting Using HUD-50058 Addendum. Grantees must also report on
PH FSS program participants to PIC using the HUD-50058 addendum to
report on the enrollment, progress, and exit of individual families.
Failure to report to PIC is a violation of the program and may result
in grant termination.
3. Final Report. All grantees shall submit a final report to their
local field office. This will include a financial report (SF-269A or
its successor) and a narrative evaluating overall performance against
goals. Grantees shall use quantifiable data to measure performance
against goals and use the Logic Model as part of their final report
submission. The financial report shall contain a summary of salary
expenditures made from the beginning of the grant agreement to the end
of the grant agreement and shall include any unexpended balances. The
final narrative, Logic Model, and financial report shall be due to the
field office 90 days after the termination of the grant agreement.

VII. Agency Contact(s)

VIII. Other Information

A. Code of Conduct: See the General Section for more information.
B. Transfer of Funds. If transfer of funds from any of the ROSS
programs does become necessary, HUD will give first priority to
Homeownership Supportive Services, second priority to Family Self-
Sufficiency, third priority to RSDM--Family, and fourth priority to
RSDM--Elderly/Disabled. HUD does not have the discretion to transfer
funds for the Neighborhood Networks program to any other funding
category under ROSS.
C. Paperwork Reduction Act: The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average eight hours per annum per
respondent for the application and grant administration. This includes
the time for collecting, reviewing, and reporting the data for the
application, semi-annual reports and final report. The information will
be used for grantee selection and monitoring the administration of
funds. Response to this request for information is required in order to
receive the benefits to be derived.
D. Appendix of Forms. The forms specific to the FSS under the ROSS
Program follow.

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Housing Opportunities for Persons With AIDS (HOPWA) Overview
Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development (CPD), Office
of HIV/AIDS Housing.
B. Funding Opportunity Title: Housing Opportunities for Persons
With AIDS (HOPWA).
C. Announcement Type: Initial Announcement

[[Page 14110]]

D. Funding Opportunity Number: The Federal Register number for this
NOFA is: FR-4900-N-14. The OMB approval number for this program is
2506-0133.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.241
Housing Opportunities for Persons With AIDS Program.
F. Dates: The application submission date is on May 27, 2005 for
the Renewal of expiring HOPWA permanent supportive housing projects and
for New and Continuing HOPWA applications. Refer to the General Section
for application submission and timely receipt requirements.
G. Additional Overview Information:
1. Purpose of the Program: To provide States and localities with
the resources and incentives to devise Long-term comprehensive
strategies for meeting the housing and related supportive service needs
of low-income persons with Human Immunodeficiency Virus/Acquired
Immunodeficiency Syndrome (HIV/AIDS) and their families. Grant
recipients will measure client outcomes to assess how housing
assistance results in creating or maintaining stable housing, reduces
risks of homelessness, and improves access to healthcare and other
needed support. States, units of general local government, and
nonprofit organizations interested in applying for funding under this
grant program should carefully review the General Section and detailed
information listed in this Program NOFA. There is no separate
Application Kit for this Program NOFA.
2. Available Funds. Approximately $27,925,000 in FY2005 funding is
made available along with approximately $9,052,000 in remaining FY2004
funds. These amounts may be adjusted based on the approved
appropriations for the Department's HOPWA program for Fiscal Year 2005.
The Department's 2004 SuperNOFA, published on May 14, 2004, stated that
HUD would issue a Notice at a later date to award any remaining 2004
HOPWA competitive funds for new and continuing projects. The selection
of the 2004 Renewals for permanent supportive housing projects was made
on October 25, 2004 for the award of $20,175,475 to 22 eligible
projects. The remaining amount of approximately $9,052,000 is being
made available through this Notice.
This Notice makes available funding for three types of HOPWA
competitive grants: (1) Renewals of expiring HOPWA projects that
conduct permanent supportive housing activities (Renewals); (2) new
awards for permanent supportive housing activities to be conducted by
States and units of general local government that are not eligible to
receive HOPWA formula allocations (Long-term projects); and (3) awards
for new and continuing Special Projects of National Significance (SPNS)
demonstration projects that will undertake new housing service delivery
models or housing project activities that include plans to provide
HOPWA clients with permanent housing assistance by the end of the
operating period.
Remaining FY2004 funds will be made available for new long-term
projects and, if funds remain, for new and continuing SPNS
demonstration projects, in the order of their ranking in their category
of grants.
FY2005 funds will be made available in the following priority
order: (1) Renewal of expiring HOPWA grants providing permanent
supportive housing as described in Renewal of Permanent Supportive
Housing Grants; (2) and if FY2005 funds remain, new awards for long-
term projects; and (3) then awards for new and continuing Special
Projects of National Significance (SPNS) demonstration projects.
3. Eligible Applicants. States, units of general local government,
and nonprofit organizations may apply for HOPWA competitive funding
under this Program NOFA. Eligibility requirements are contained below.
4. Match. There are no cost sharing or matching requirements for
applications under this program NOFA. However, requests to fund
projects under this Program NOFA will be reviewed for leveraging, see
Section IV.B.
5. Authorities. If you are interested in applying for funding under
this program, please review carefully the General Section and the
following sections of this Program NOFA. For more information on
eligible activities under the HOPWA Program, see the HOPWA program
regulations at 24 CFR part 574 and the AIDS Housing Opportunity Act (42
U.S.C. 12901-12912), which govern the program.

Full Text of Announcement

Funding Opportunity Description

A. Program Description

1. Renewal of Permanent Supportive Housing Grants. Under the
Department's Appropriations Act, the Secretary is required to renew
qualifying expiring contracts for permanent supportive housing. HUD
will renew previously funded competitive grants that meet the
eligibility requirements below and all program requirements.
Applications will be reviewed on a pass/fail threshold review system
and are not required to address the Department policy priorities
described in the General Section.
2. New Long-Term Projects for Permanent Supportive Housing. HUD
will award funds for permanent supportive housing activities through a
competitive selection process for new Long-term projects that provide
housing and related supportive services to low-income persons living
with HIV/AIDS and their families in areas that are not eligible for
HOPWA formula allocations.
3. New and Continuing SPNS Demonstration Grants. HUD will award new
and continuing Special Projects of National Significance (SPNS)
demonstration grants through a competitive selection process. SPNS
demonstration projects will undertake new housing service delivery
models or housing project activities that include plans to provide
HOPWA clients with permanent housing assistance by the end of the
operating period under the award. Consistent with the selection
considerations established at 42 U.S.C. 12903(c)(3)(C), demonstration
projects will help show program successes or lessons learned in
planning, operating and evaluating an innovative type of service
delivery model for the purposes of demonstrating potential
replicability in the HOPWA program, in addition to other housing
programs throughout the nation.
For purposes of this Program NOFA, ``New and Continuing projects''
refers to new Long-term projects and new and continuing SPNS
demonstration projects collectively.
4. Definitions for all HOPWA grants.
a. Chronically Homeless Person. A chronically homeless person is
defined as an unaccompanied homeless individual with a disabling
condition who has either been continuously homeless for a year or more
OR has had at least 4 episodes of homelessness in the past 3 years. A
disabling condition is defined as a diagnosable substance abuse
disorder, serious mental illness, developmental disability, or chronic
physical illness or disability, including the co-occurrence of two or
more of these conditions.
b. Long-term Project. The term ``Long-term Project'' refers to
projects established by State or local government applicants that are
part of Long-term Comprehensive Strategies (Long-term) which provide
housing and related supportive services for low-income persons living
with HIV/AIDS and their families in areas that are not eligible for
HOPWA formula allocations.
c. SPNS Demonstration Grant or Project. The term SPNS demonstration
grant refers to Special Projects of National Significance (SPNS) awards
for

[[Page 14111]]

new housing project activities or service delivery models for providing
housing assistance to eligible persons. In conjunction with these
activities, SPNS demonstration projects must include specific plans to
provide HOPWA clients with permanent housing assistance by the end of
the operating period under the award. SPNS demonstration grants will
only be awarded to transitional, short-term and emergency housing
projects. Funding for SPNS demonstration projects is provided on a one-
time only basis. These projects do not provide permanent supportive
housing and, therefore, will not be eligible for renewal under the
current criteria for permanent supportive housing projects. HOPWA
support for participants is expected to terminate as they become more
self-sufficient, move to or benefit from permanent housing programs, or
establish stable permanent housing through other means.
d. Expiring Grant is defined by the end date in the grant agreement
signed with HUD on the existing project (including any amendment or
extension approved by HUD) which results in an existing agreement
expiring in Federal Fiscal Year 2005 (i.e., from October 1, 2004 to
September 30, 2005), or will expire within 18 months after the date of
the publication of this Program NOFA.
e. Lease or Occupancy Agreement. In establishing that an eligible
person has obtained permanent supportive housing and a legal right to
continue in that housing unit, the lease or occupancy agreement must be
for a term of at least one year. The lease or occupancy agreement must
also be automatically renewable upon expiration, except on reasonable
prior notice by either the tenant or the landlord.
f. Nonprofit Organization. Non-profit organization means any non-
profit organization (including a State or locally chartered, nonprofit
organization) that: (1) Is organized under State or local laws; (2) Has
no part of its earnings inuring to the benefit of any member, founder,
contributor or individual; (3) Has a functioning accounting system that
is operated in accordance with generally accepted accounting
principles, or has designated an entity that will maintain such an
accounting system; and (4) Has among its purposes significant
activities related to providing services or housing to persons with
acquired immunodeficiency syndrome or related diseases, as clarified to
include infection with the human immunodeficiency virus (HIV).
g. Permanent Supportive Housing. Permanent supportive housing is
defined as housing in which the eligible person has a continuous legal
right to remain in the unit and which provides the eligible person
ongoing supportive services through qualified providers. HUD will
consider a grant to provide permanent supportive housing if 51 percent
or more of HOPWA program activity funds are used: (1) To provide for
the development or operation of permanent housing or rental assistance
for permanent housing units where ongoing supportive services are made
available through other leveraged resources; and (2) to provide for
supportive services for residents in permanent housing; or (3) in some
combination of these.
As provided in Section III.C.2.(i), ``Grant Purpose and Agreements
to Operate Eligible Permanent Supportive Housing Grants'', you must
include in your grant files a copy of the standard lease form or
occupancy agreement used for residents of the project. The lease or
occupancy agreement must meet the definition for such agreements
provided above. Failure to maintain this project documentation of the
client's lease or occupancy agreement will constitute a grant default.
The requirements governing termination of housing are located in 24 CFR
574.310(e).
h. Transitional Housing. For purposes of this notice, the term
``transitional housing'' means housing, the purpose of which is to
facilitate the movement of eligible person(s) to permanent housing
within 24 months. The eligible person(s) may remain in transitional
housing for a longer period if permanent housing for the eligible
person(s) has not been located or the eligible person(s) requires
additional time to prepare for independent living. However, no more
than half of the eligible persons may remain in that project longer
than 24 months. Failure to observe this requirement may constitute a
grant default, which could result in grant sanctions (including
deobligation).

B. Statutory and Regulatory Requirements

If you are interested in applying for funding under this program,
please review carefully the General Section and this Program NOFA. For
more information on the HOPWA program, including eligible uses of
funds, see the HOPWA program regulations at 24 CFR part 574 and the
AIDS Housing Opportunity Act (42 U.S.C. 12901-12913), which govern the
program.

C. Availability of Other HOPWA Resources

1. Formula Allocations. Applicants are advised to also consider
seeking funds from the formula component of the HOPWA program and from
other resources. Ninety percent of the HOPWA program is allocated by
formula to eligible States and qualifying cities. In FY2005, HUD
expects that the approximately $251 million in HOPWA funds will be
distributed by formula to the qualifying cities for 83 eligible
metropolitan statistical areas (EMSAs) and to 39 eligible States for
areas outside of EMSAs. The formula amounts are subject to the amounts
approved by Congress for Fiscal Year 2005. Recipients of formula funds
must follow HUD's Consolidated Plan process. Information on
consolidated planning, including HOPWA formula programs and
descriptions of previously awarded competitive grants, is available on
the HUD Web site at www.hud.gov/grants.
2. National HOPWA Technical Assistance. To apply for funding to
serve as a provider of HOPWA technical assistance, you must submit an
application for funds under the Community Development Technical
Assistance (CDTA) part of the SuperNOFA. The CDTA notice makes HOPWA
funds available to organizations qualified to provide technical
assistance support to HOPWA grantees and project sponsors.
Organizations seeking help in managing their HOPWA project, such as
advice or other help needed in planning, operating, reporting to HUD
and evaluating HOPWA programs, can request technical assistance by
contacting their State or area CPD office.

II. Award Information

A. Total. Approximately $27,925,000 in FY2005 funding along with
approximately $9,052,000 in carry-over FY2004 funds will be awarded
under this HOPWA Program NOFA.
B. Number and Timing of Awards. HUD anticipates that projects
awarded under this Notice will be announced by August 30, 2005. It is
expected that selected Renewal Projects will continue program
activities under a new grant agreement for an additional three years.
The start date for the new agreement shall be immediately following the
end date of the existing agreement so there is continuity of service.
The period of performance for new Long-term projects is three years,
with the potential for HUD approval of a one-time extension of up to 12
months. These grants may be eligible for Renewal as expiring permanent
supportive housing projects.

[[Page 14112]]

The period of performance for new and continuing SPNS demonstration
projects is three years, with the potential for HUD approval of a one-
time extension of up to 12 months. These grants do not provide
permanent supportive housing and, therefore, will not be eligible for
Renewal under the current criteria for permanent supportive housing
projects.
C. Maximum Grant Award. In order to fairly distribute available
funding, the maximum grant award that you may receive is:
1. For program activities: $1,300,000 (e.g., activities that
directly benefit eligible persons);
2. For grant administrative costs of the grantee: 3 percent of the
awarded grant amount (e.g., an additional $39,000 if the maximum grant
is awarded);
3. For grant administrative costs for project sponsors: 7 percent
of the amounts received by the project sponsor under the grant (e.g.,
an additional $91,000 if the maximum grant is awarded);
4. Total maximum grant amount for all categories of grant awards
under this NOFA is: $1,430,000.
D. Average Grant Award. Based on the results of the 2004 HOPWA
competition, the average grant award for the 22 grants selected was
$916,600.

III. Eligibility Information

A. Eligible Applicants

1. Eligibility for Funding to Nonprofit Organizations. If you are a
nonprofit organization, you must also satisfy the nonprofit
requirements established in the definition for eligible nonprofit
organization found in 24 CFR 574.3 and in the definitions section of
this Program NOFA. In the case that a nonprofit organization is being
added to your Renewal project in your application, or a sponsor's legal
status has changed due to merger or other action, you will also need to
submit the related required information described in Section IV.B of
this Program NOFA.
2. General Eligibility for Renewal of Expiring Grants for Permanent
Supportive Housing. Eligible applicants are States, units of general
local government, and nonprofit organizations that have been awarded
funds under a previous HOPWA national competition and operated their
projects under a signed grant agreement with HUD. To be eligible, your
project must provide permanent supportive housing to eligible persons
under an expiring grant and meet the threshold requirements established
under this Program NOFA to continue to receive funding for your
project.
3. Additional Eligibility for Renewal and Continuing Projects. To
be eligible for a Renewal or continuing grant, you must be operating
your existing HOPWA competitive project in a manner that meets program
requirements. This is evidenced by not having a record of poor
performance or unresolved grants management issues with your existing
project. HUD will consider any evidence of poor performance taking
place up to the date of the public announcement of awards under this
NOFA. Unresolved problems may include: HUD knowledge that planned
activities remain significantly delayed in their implementation; a
significant number of planned housing units are vacant; required annual
progress reports are not timely filed with HUD; unresolved actions
pending under a HUD notice of default on your current grant or
significant citizen complaints are unresolved or not responded to with
justified reasons. Weak performance may also be evident if more than 50
percent of grant funds remain recorded as unexpended as of the
application due date for Renewals under this Program NOFA, as measured
by reimbursements filed with HUD's financial system.
4. General Eligibility on New and Continuing Applicants and
Sponsors. States, units of general local government, and nonprofit
organizations may apply under the Special Projects of National
Significance (SPNS) demonstration grants category to propose new or
continuing projects which will provide residents with permanent housing
assistance by the end of their operating period.
However, States and units of general local government are
encouraged to apply under the ``Long-term'' category, if the project
entails new permanent supportive housing activities in areas that did
not receive HOPWA formula allocations in FY2004 or are not designated
to receive allocations in FY2005. Applicants under the Long-term
category of grants will be reviewed, rated, and ranked with other
applications under this funding category. Nonprofit organizations are
not eligible to apply directly for Long-term grants, but may serve as a
project sponsor for an eligible State or local government applicant.

B. Cost Sharing or Matching

There are no cost sharing or matching requirements for applications
under this program NOFA. However, requests to fund projects under this
Program NOFA will be reviewed for leveraging, see Section IV.B.
paragraphs 3.e. for renewals and 4.f. for new and continuing projects.

C. Other Eligibility Requirements

1. Threshold Requirements for All Applications. Applicants must
meet the Threshold requirement identified in the General Section. HUD
will also review your application to determine that you are eligible
for funding, as follows:
a. Eligible Applicant. (1) Your application is consistent with the
requirements of Section III of this Program NOFA for eligibility based
on applicant requirements, project sponsor requirements and the lack of
any unresolved management issues for Renewal and continuing grants; and
(2) Your application complies with the Dun and Bradstreet Data
Universal Numbering System (DUNS) Number Requirement. Beginning in
Federal Fiscal Year 2004, any applicant seeking funding directly from
HUD must obtain a DUNS number and include it in their SF-424
Application for Federal Assistance submission. Failure to provide a
DUNS number can prevent you from obtaining an award. This policy is
pursuant to OMB Policy issued in the Federal Register on June 27, 2003
(68 FR 38402). The Grants.gov registration process for applying on line
requires the applicant have a DUNS number to be authenticated. More
information on the requirement of the DUNS Number can be found in the
General Section.
b. Expiring Grants. For a Renewal or continuing grant, your
application is consistent with the definition for a HOPWA expiring
grant in Section I.A. of this Program NOFA.
c. Permanent Supportive Housing Projects. For a Renewal or new
Long-term project, your application is consistent with the definition
for a HOPWA permanent supportive housing grant in Section I.A of this
Program NOFA.
d. Eligible Project Sponsors. Your application is consistent with
the requirements for eligibility of project sponsors, as follows:
If the project sponsor is a nonprofit organization, that
organization must also satisfy the nonprofit requirements established
in the definition of eligible nonprofit organization found in 24 CFR
574.3 and in the definition section of this Program NOFA. In the case
that the organization's nonprofit status has changed since the time of
your original application to HUD under the prior competition, or a
nonprofit organization is being added to your Renewal or New and
Continuing project, you will need to submit the required information

[[Page 14113]]

described in Section IV.B. of this Program NOFA.
To the maximum extent possible, the Renewal project should continue
with the same project sponsors, as documented in the prior HOPWA award
or amendments to that award as approved by HUD. HUD will consider the
merits for changing a project sponsor as sufficient if the new sponsor
evidences the capacity to enhance project operations or improve
responsiveness to eligible persons. Such examples for changing a
project sponsor may be that a new project sponsor has greater
management, financial, or program service delivery capacity to conduct
program activities or a prior project sponsor is no longer in
operation, had evidence of inefficient or unresponsive behavior under
their prior service, or has merged with another entity.
2. Program Requirements. All grant recipients must also meet the
following program requirements, including performance goals and
operational benchmarks and conduct project activities in a consistent
and ongoing manner over the approved grant operating period. If a
selected project does not meet the appropriate requirement, HUD
reserves the right to cancel or withdraw the grant funds.
a. General Provisions. The provisions outlined within the General
Section apply to the HOPWA program unless otherwise stated within this
Program NOFA. Specifically, you are encouraged to review, Section
III.C., Other: Requirements and Procedures Applicable to All Programs.
b. Environmental Requirements. All HOPWA assistance is subject to
the National Environmental Policy Act and applicable related Federal
environmental authorities. While some eligible activities, such as
tenant-based rental assistance, supportive services, operating costs,
and administrative costs, are excluded from environmental review
because of the lack of environmental impact, other activities require
environmental review. All new facility-based projects must undergo an
environmental review. In accordance with Section 856(h) of the AIDS
Housing Opportunities Act and the HOPWA regulations at 24 CFR 574.510,
environmental reviews for HOPWA activities are to be completed by
responsible entities (including units of general local government,
States, Indian tribes, and Alaska Native villages) in accordance with
24 CFR part 58. Applicants or grantees that are not a responsible
entity must request the unit of general local government to perform the
environmental review. HOPWA grantees and project sponsors may not
commit or expend any grant or non-federal funds on project activities
until HUD has approved a ``Request for Release of Funds and
Certification'' (RROF), form HUD-7015.15, on compliance with the
National Environmental Policy Act and implementing regulations at 24
CFR part 58 (Environmental Review Procedures for Entities Assuming HUD
Environmental Responsibilities) and the environmental certification
from the responsible entity (other than those listed in 24 CFR
58.22(f), 58.34 or 58.35 (b) for which the responsible entity documents
its findings of exemption or exclusion for the environmental review
record (24 CFR 58.34 (b) or 24 CFR 58.35 (d)). The recipient, its
project partners and their contractors may not acquire, rehabilitate,
convert, lease, repair, dispose of, demolish, or construct property for
a project, or commit or expend HUD or local funds for such eligible
activities, until the responsible entity (as defined in 58.2) has
completed the environmental review procedures required by 24 CFR part
58 and the environmental certification and RROF have been approved. HUD
will not release grant funds if the recipient or any other party
commits grant funds (i.e., incurs any costs or expenditures to be paid
or reimbursed with such funds) before the recipient submits and HUD
approves its RROF (where such submission is required). The recipient
shall supply all available, relevant information necessary for the
responsible entity to perform, for each property, any environmental
review required.
c. Required HOPWA Performance Goals. Grant recipients must conduct
activities consistent with their planned annual housing assistance
performance output goals, objectively measure actual achievements
against anticipated achievements, and report on their actual
performance housing outputs and client outcomes. Applicants are
requested to use the HOPWA Budget Form found in the appendices in this
Program NOFA for recording the funding for housing assistance
activities that are associated with these performance outputs,
including any funding request for HOPWA funds and/or your commitment to
use other funds for this purpose. Applicants must establish a
reasonable client outcome goal on achieving housing stability to be
quantified after each year of operation to demonstrate client outcomes.
HUD expects that each HOPWA grantee will show that at least half of the
beneficiaries achieve stable housing in their program during the
operating year, as shown by stable housing arrangements for the
household at the end of each operating year. The grantee will assist in
establishing a baseline on annual performance to help measure how
future efforts lead to the achievement of higher levels of housing
stability. On a national basis, HUD has established the goal that over
80 percent of clients will be shown to be in stable housing situations
by 2008.
(1) Required Output. The projected number of low-income households
with persons living with HIV/AIDS expected to benefit from HOPWA
assistance by the type of housing support to be provided through your
project during each operating year.
(2) Required Outcome. Through the use of HOPWA housing assistance
and related supportive services, the number of eligible persons shown
annually to have established or maintained housing stability, along
with reduced risks of homelessness, and improved access to healthcare,
and other support for eligible persons.
d. Optional Program Performance Goals. (1) Optional Outputs. In
addition to required performance goals described in the paragraph
above, you may include other measures or annual indicators, such as the
projected numbers of persons, client contacts by service, the number of
permanent housing client plans established by case managers, the number
of jobs created through a job training or skills development program or
other measures of the numbers to be served through each activity during
each project operating year.
(2) Optional Outcomes. In addition, you may establish other outcome
goals, such as: increase the access to permanent housing for eligible
persons to enable these households to become more self-sufficient as
evidenced by increase in income or reduced need for housing or other
Federal or non-federal subsidies and support. In addition, outcomes
should also address the challenge of homelessness for persons living
with HIV/AIDS and their families, including persons who are chronically
homeless, by enabling them to move from transitional housing to
permanent housing with appropriate supportive services assistance.
e. HUD Logic Model. To illustrate the planning for the use of
resources, project activities, required outputs and outcomes, and other
grantee identified goals, and for reporting on annual accomplishments,
you must use the Logic Model (Form HUD-96010) in the General Section to
meet these application requirements. Applicants

[[Page 14114]]

must make use of the required elements in paragraph (a) in this form.
f. HOPWA Facility Use Period Requirement. Any building or structure
assisted with amounts under this part will be maintained as a facility
to provide assistance for eligible persons: (1) For not less than 10
years in the case of assistance involving new construction, substantial
rehabilitation or acquisition of a building or structure; and (2) for
not less than three years in cases involving substantial rehabilitation
or repair of a building structure.
g. Grant Purpose and Agreements to Provide Permanent Supportive
Housing. As a requirement for the receipt of these Federal funds, the
grant applicant agrees to maintain project eligibility and related
documentation on the following:
(1) Agreement to Continue the Provision of Permanent Housing. For
projects providing permanent housing, your application constitutes an
agreement that you will continue to provide permanent supportive
housing support to HOPWA eligible persons over the operating period of
this grant. This agreement must insure that at least 51 percent of the
HOPWA program activity funds awarded to your project are used for this
purpose and any new funds and related commitment of other funds will
continue to provide permanent supportive housing to eligible persons
for the planned annual outputs.
(2) Agreement to Continue the Use of Other Resources. If your
project will rely on other State, local, Federal, or private resources
to provide the permanent housing or supportive services portion of your
project as documented and approved by HUD in commitment letters for
leveraging, you must ensure that the other resources will continue to
be available for that purpose for project beneficiaries throughout
their commitment periods under the term of the grant. Failure to use
committed resources as documented and approved by HUD for leveraging
will constitute a grant default which could result in grant sanctions,
including the reduction in amounts awarded for supportive services for
which the commitment is not evidenced in grant operations.
(3) Agreement on Permanent Client Occupancy. For projects providing
permanent housing, excluding short-term mortgage, rent, and utility
payments projects, you must agree to maintain evidence that the client
has a continuous legal right to remain in the unit or property and has
access to ongoing supportive services provided through qualified
providers. You must include in your grant files a copy of the standard
lease form or occupancy agreement used for residents of the project.
The lease or occupancy agreement must be for a term of at least one-
year. The lease or occupancy agreement must also be automatically
renewable upon expiration, except on reasonable prior notice by either
the tenant or the landlord. The requirements governing termination of
housing are located in 24 CFR 574.310(e). Failure to maintain this
project documentation of the client's lease or occupancy agreement will
constitute a grant default.
h. Execution of Grant Agreement and Obligation of Awards. HOPWA
grants are obligated upon execution of the grant agreement Applicants
selected for receiving FY2005 funding must execute grant agreements, as
soon as practicable but no later than six months after the notice of
selection. For applicants selected for receiving FY2004 funding under
this competition, the grant agreement must be executed as soon as
practicable, but by no later than September 15, 2005, consistent with a
statutory requirement for the obligation of the FY2004 funds.
i. Disbursement of Funds. Under this Program NOFA, grant recipients
must fully expend their grant in a consistent and ongoing manner, and
complete the use of the funds by no later than three years following
the effective date or the operation start date in the grant agreement,
unless HUD has approved a one-time extension of the grant agreement
term of an additional 12 months or less. A time limit on grant
expenditures, that is established in the National Defense Authorization
Act for Fiscal Year 1991, requires the expenditure of all HOPWA funds
awarded under the FY2004 Appropriations Act by September 30, 2010, and
HOPWA funds awarded under the FY2005 Appropriations Act by September
30, 2011. After September 30, 2010 (for FY04 funds) and September 30,
2011 (for FY05 funds), any unexpended funds shall be canceled and,
thereafter, shall not be available for obligation or expenditure for
any purpose.
j. Site Control through Acquisition or Lease. If you acquire or
lease a site for housing activities, you are required to gain site
control within one year from the date of your notice of selection by
HUD.
k. Rehabilitation or New Construction. If you propose to use HOPWA
funds for rehabilitation or new construction activities for housing
projects, you must agree to begin the rehabilitation or construction
within 18 months, and all rehabilitation or construction work must be
complete within the terms of your grant agreement with HUD.
l. Project Operations. If funds are used for operating costs of
existing housing facilities, you must agree to begin to use these funds
within six months, consistent with the terms of your grant agreement
with HUD. If funds for a New and Continuing project, are to be used for
operating costs, in connection with the new construction or substantial
rehabilitation of housing facilities, the amount of funds designated
for operating costs must be limited to the amount to be used during the
portion of the planned three-year period for your grant agreement for
which the facility will be operational and assisting eligible persons.
Delays in the project's development activities, such as the planned
completion of the construction or rehabilitation activities, could
result in the loss of funds designated for operating costs, if such
funds remain in excess after the authorized use period for this award.
For example, if you expect to take two years to complete the
rehabilitation of the facility, any operating costs could only be
requested for use in the remaining one-year of the planned three-year
operating period for this award.
3. Eligible Activities. a. Renewal Project Guidelines.
(1) The activities to be renewed must be ongoing forms of support
over three years.(2) The Renewal application may also establish a
reasonable level of operating costs for a permanent supportive housing
facility that involved the use of HOPWA funding for its acquisition,
new construction, leasing or rehabilitation in the prior or original
grant. Subject to standards set forth in applicable OMB Circulars, you
may establish your request for operating costs based on current costs
for operating your project (or a housing project of a similar type and
size) as the reasonable and necessary operating costs for maintaining
the investment in these permanent housing projects over the term of the
Renewal grant.
(3) Administrative costs for grantees and project sponsors, which
must include the use of funds for data collection on project outcomes,
are available as part of your Renewal budget request. HUD expects that
the use of administrative funds for data collection will help to ensure
strong program management and result in accurate reporting of outputs
and outcomes.
b. General Guidelines on Eligible Activities Applying to All
Projects
(1) Proposed Project Activities. In your application, you must
specify the activities and budget amounts for which

[[Page 14115]]

HOPWA funds are being requested, consistent with the eligible
activities found in the HOPWA regulations at 24 CFR 574.300-340. For
SPNS demonstration grants, activities are limited to those entailing
transitional, short-term and emergency housing assistance. A copy of
the regulations may be downloaded from www.hud.gov/offices/cpd/aidshousing/lawsregs/index.cfm. You are encouraged to review the HOPWA
regulations before seeking funding. HUD will not approve proposals that
depend on a prospective determination as to how program funds will be
used. For example, a proposal to establish a local request-for-proposal
process to select either activities, or to select project sponsors, and
other similar proposals that have the effect of delaying the obligation
of funds due to the unplanned use of HOPWA funds, will not be approved.
(2) Additional Guidance on Use of Program Funds.
(a) Housing Assistance.
(i) HOPWA projects must demonstrate that housing assistance is the
main focus of their project. Please indicate if you propose to use
HOPWA funds to provide permanent supportive housing (as defined in
Section I.A.1.a). If you are proposing emergency or transitional
housing assistance, your plan must include linkages to permanent
supportive housing. As found at 24 CFR 574.300(b)(8), operating costs
for housing include the day-to-day operating costs for the housing
project, including costs for maintenance, security, operations,
insurance, utilities, furnishings, equipment, supplies, and other
incidental costs for the housing activities, such as costs for staff
involved in the housing functions of this project.
(ii) As addressed in the rating criteria for New and Continuing
projects, to receive the maximum points under the rating criteria, your
project must clearly address the housing needs of eligible persons
through the direct use of HOPWA funds for eligible housing costs.
(b) Supportive Services. Many of the eligible persons who will be
served by HOPWA may need other support in addition to housing. It is
important that you design programs that enhance access to those
existing mainstream resources through community wide strategies to
coordinate assistance to eligible persons. These mainstream programs
include: healthcare; AIDS drug assistance, and other services funded
through the Ryan White CARE Act; other Federal programs such as
Medicaid, Children's Health Insurance Program, Temporary Assistance for
Needy Families, Food Stamps, Mental Health Block Grant, Substance Abuse
Block Grant, Workforce Investment Act, and the Welfare-to-Work grant
program; and other State, local and private sources. Further, to help
ensure that selected projects address housing related purposes, no more
than 35 percent of the proposed budget for program activities
undertaken by New and Continuing project recipients, and no more than
35 percent of the maximum grant amount for program activities for a
Renewal grant, can be designated for supportive services costs.
Applications will be reviewed for leveraging resources, including
commitments to provide additional supportive services in an amount
equal to or greater than the total amount requested for supportive
services, as described in Section IV.B.5. In addition, HUD will not
award funds for the acquisition, lease, rehabilitation, or new
construction of a supportive services-only facility. Additional
restrictions and limitations that apply to supportive services such as
healthcare costs can be found at 24 CFR 574.300. HUD will not provide
funds for medications. Costs for staff engaged in delivering the
supportive service is part of the supportive service activity cost, and
should not be listed as operating costs or ``other'' costs in the
application's proposed budget.
(c) Permanent Housing Placement Assistance. Permanent housing
placement services at 574.300(b)(7) may also be used in connection with
the provision of housing support provided under these awards. Permanent
housing placement costs may involve costs associated with helping
eligible persons establish a new residence where ongoing occupancy is
expected to continue, including rental application fees, related credit
checks and reasonable security deposits necessary to move persons to
permanent housing, provided such deposits do not exceed two months of
rent. Leveraged resources could involve other forms of move-in support,
such as essential housing supplies, smoke alarms, standard furnishings,
minor repairs to the unit associated with move-in, and other incidental
costs for occupancy of the housing unit. While these items are not
eligible as permanent housing placement costs, grantees may make use of
other leveraged funds for these costs. Applicants should note that
permanent housing placement is a type of supportive service and,
therefore, the leveraging guidelines described in Section IV.B.5, will
apply to requests for such assistance.
(d) Other HUD-Approved Activities. You may propose other activities
not already authorized at 24 CFR 574.300(b), subject to HUD's approval.
Your proposal should address the expected beneficial impact of this
alternative activity in addressing housing needs of eligible persons by
describing the project impact and the identified performance output and
client outcome measures for this activity.

IV. Application and Submission Information

A. Addresses To Request Application Package

Copies of the published NOFAs and application forms for HUD
programs announced through NOFA may be downloaded from the Grants.gov
Web site at http://www.grants.gov/Apply or, if you have difficulty
accessing the information, you may receive customer support from
Grants.gov by calling their Support Desk at (800) 518-GRANTS or sending
an e-mail to [email protected]. The operators will assist you in
accessing the information. If you do not have internet access and need
to obtain a copy of the NOFA, you can contact HUD's NOFA Information
Center toll-free at (800) HUD-8929. Persons with hearing or speech
impairments may also call toll-free at (800) HUD-2209.

B. Content and Form of Application Submission

HOPWA applicants are not required to provide the forms,
certifications, and assurances listed in the General Section unless
stated below. The following certifications must be included with your
application. All certifications and forms, except those found in the
General Section, are included in the appendices in this Program NOFA.
1. Required and Optional Forms: Applicants are requested to submit
the following information:
a. Application for Federal Assistance (SF-424).
b. Survey on Ensuring Equal Opportunity for Applicants (SF-424
Supplement).
c. Program Outcome Logic Model (HUD-96010).
d. Certification of Consistency with the Consolidated Plan (HUD-
2991).
e. Certification of Consistency with the RC/EZ/EC-II Strategic Plan
(HUD-2990)--if applicable to the service area of your project.
f. Applicant/Recipient Disclosure/Update Report (HUD-2880).
g. Disclosure of Lobbying Activities (SF-LLL), if applicable.

[[Page 14116]]

h. HOPWA Application Budget Summary, including HOPWA Applicant
Certifications (form HUD-40110-B).
i. Acknowledgement of Application Receipt (HUD-2993), if applicable
due to an approved waiver of the electronic submission requirement.
j. Client Comments and Suggestions (HUD-2994) (Optional).
2. Additional HOPWA guidance on forms.
a. Application for Federal Assistance (SF-424). In completing the
SF-424, a number of items in other required forms may be completed or
automatically populated though the use of the electronic Grants.gov
application. In applying for HOPWA grant funds, the applicant's
signature on the SF-424 will also show agreement for following the
Program Requirements found at III.C.2., including all of the items
under paragraph f. HOPWA Facility Use Period Requirement. For the HOPWA
program, the following items on the SF-424 would be completed as
follows:

--Item 7--The applicable letters are ``A'' for State; ``B, C, or D''
for a unit of local government; or ``O'' for Nonprofit;
--Item 9--Grants.gov will enter U.S. Department of Housing and Urban
Development or HUD;
--Item 10--Grants.gov will enter 14.241 and the title ``Housing
Opportunities for Persons With AIDS Program'' or ``HOPWA'' for the
Catalog of Federal Domestic Assistance;
--Item 15--You must complete the budget on page 1 along with more
detailed information on the HOPWA Application Budget Summary form
described below. Please make sure that both the Total Amount on page 1
and the ``Total Budget'' section on the Budget form are the same. In
the event that the total budgets are in conflict, HUD will refer to the
HOPWA Application Budget Summary form.
--Item 16--Check ``No''.

b. HOPWA Application Budget Summary (form HUD-40110-B). Please
complete the HOPWA Application Budget Summary (form HUD-40110-B) that
will provide a summary of the total budget for this project, the annual
HOPWA amounts to be used in each of the three years of operation and
description budget by project sponsor of the HOPWA funds to be used by
each sponsor. On this form, you must provide a short narrative which
outlines each of your requested budget line items and how the funds
will be used, including the amount of requested funding by line item
for you and your project sponsors. The summary items will be more fully
described in the applicable narrative sections of your application.
c. Certification of Consistency with the Consolidated Plan (HUD-
2991). Except as stated below, you must include a Consolidated Plan
certification from the applicable State or local government official
for submitting the appropriate plan for the areas in which activities
are targeted to be carried out. The authorizing official from the State
or local government must sign this certification. If your project will
be carried out on a national basis or will be located on a reservation
of an Indian tribe, or in one of the U.S. Territories of Guam, the
Virgin Islands, American Samoa, or the Northern Mariana Islands, you
are not required to include a Consolidated Plan certification from
these areas with your application.
3. Application Content for Renewal Applications. The following
provides the applicant with an overview of the information required for
Renewal Applications. The criteria that the Renewal Application will be
reviewed and rated on can be found in Section V.A.1, of this Program
NOFA. For your narrative responses, please number the pages and include
a header and a footer that provides the name of the applicant, the
program name, and type of application (i.e., Renewal).
a. Executive Summary and Synopsis. On no more than five double-
spaced pages, please provide an Executive Summary of the proposed
Renewal project, beginning with a two or three sentence synopsis of the
focus or special purposes of your project. The summary should provide
an overview of the main components of your planned HOPWA project,
including any updated elements from the original project application
and your annual housing output for your next operating year. In the
Executive Summary, please provide the name of the grantee and any
project sponsors, along with contact names, phone numbers, and e-mail
addresses.
b. Organizational Capacity Narrative. If a new project sponsor(s)
is added to the Renewal proposal, please describe the capacity of the
project sponsor(s) to conduct program activities. Follow the procedures
in the General Section for submitting this documentation. You must
submit documentation of the organization's nonprofit status and HIV/
AIDS purposes, as described in Section III.A. on eligibility with your
HOPWA application and maintain a copy in your project files in order to
able to produce them upon request. In your statement, please address
the extent to which the project sponsor(s) have the past organizational
experience and knowledge: in serving persons with HIV/AIDS and their
families; in programs similar to those proposed in your application; in
monitoring and evaluating program performance and disseminating
information on project outcomes; and, in achieving the purpose for
which funds were provided, as measured by expenditures and measurable
progress in operating the project. Please provide this narrative
information on no more than two double-spaced typed pages. If you are
adding more than one project sponsor, you may include up to two
additional pages per project sponsor.
c. Provision of Current Permanent Supportive Housing Narrative. On
no more than four double-spaced pages, demonstrate how your project
provides permanent supportive housing through HOPWA and/or other
resources, and report on how the project has been meeting housing
assistance outputs compared to planned and approved number of
households or units of housing under the current grant. Include the
type of assistance and number of housing units being provided and a
description of the supportive services provided. Additionally, your
description should outline how HOPWA and other funding, if applicable,
work together to provide permanent supportive housing, including any
efforts that have helped clients achieve greater self-sufficiency
through access to other ongoing housing options, which do not depend on
HOPWA funds. Describe how your project has been meeting planned
performance benchmarks, as appropriate, in program development and
operation; in meeting project performance goals, such as, that the
number of persons assisted is comparable to the number that was planned
at the time of the application; and is expending funds consistent with
the existing agreement with HUD. Also describe how you evaluated
project data on performance, adjusted program activities and shared
information that you have gained from your lessons learned on these
past activities.
d. Achieving New Results and Program Evaluation Narrative. On no
more than three double-spaced pages identify the housing benefits or
outcomes of your Renewal program including your activities, related
project benchmarks, and performance output indicators over the next
three grant operating years. Your application should address your
evaluation plan or method for collecting data on HUD program measures
to evidence achievement of your project's goals and objectives and to
establish a baseline for

[[Page 14117]]

client outcomes. You must also complete and submit as part of your
application the Logic Model Form (HUD-96010) to illustrate your plans
for the use of resources, project activities, outputs, outcomes, and
goals.
e. Documentation of Leveraging for Supportive Services for Renewal
Projects. If your Renewal project requests funding for supportive
services, your application will be reviewed for leverage. As described
in paragraph 5 of this section, you must demonstrate evidence of
commitments from other State, local, Federal, or private resources to
provide additional supportive services for project beneficiaries of an
equal or at a greater value in order to qualify for an increase in any
budget line item (BLI) above 100 percent of the approved BLI for your
existing grant up to the 120 percent limit. You must follow
instructions for documenting leveraging as established in paragraph 5
of this section. The total of all leveraged resources to provide
supportive services must at least equal the requested totals for HOPWA
supportive service funds in Line 10 and Line 11 of the Application
Budget Summary in order to qualify the application for an increase in
any budget line item (BLI) above 100 percent of the approved BLI for
the existing grant up to the 120 percent limit. Attempts to falsify or
failure to maintain and produce these letters of commitment upon
request could lead to the termination of the awarded grant. Note that
if your Renewal application does not request funds for supportive
services and this is a change to your existing grant, you must continue
to utilize other sources to provide a reasonable level of supportive
services that is similar to that previously provided.
f. Proof of Nonprofit Status and AIDS Purpose. In the case that a
project sponsor is being added, or a sponsor's legal status has changed
due to merger or other action, you will also need to submit the related
required information described in Section IV.B.4.b of this Program
NOFA.
4. Application Content for New Long-term, and New and Continuing
SPNS Demonstration Project Applications. The following is an overview
of the information required for applications for new Long-term
projects, and for new and continuing Special Projects of National
Significance (SPNS) demonstration grants. Long-term projects provide
permanent housing and related supportive services to low-income persons
living with HIV/AIDS and their families in areas that are not eligible
for HOPWA formula allocations. New and continuing SPNS demonstration
projects will undertake new housing service delivery models or housing
project activities that include plans to provide HOPWA clients with
permanent housing assistance by the end of the operating period under
the award. The review criteria for Long-term, and new and continuing
SPNS demonstration applications can be found in Section V.A.2 of this
Program NOFA. For your narrative responses, please number the pages and
include a header and a footer that provides the name of the applicant,
the program name and type of application (i.e. Long-term or SPNS
demonstration project).
a. Executive Summary and Synopsis. On no more than five double-
spaced pages, please provide an Executive Summary of the proposed
project, beginning with a two to three sentence synopsis of the focus
or special purposes of your project. The summary should provide an
overview of the main components of your planned HOPWA project and the
annual housing output for the first year or operations. In the
Executive Summary, please provide the name of the grantee and any
project sponsors, along with contact names, phone numbers, and e-mail
address. For projects involving sites, for example, a structure where
HOPWA funds will be used for construction, acquisition, rehabilitation,
leasing, operating costs, and/or project-based rental assistance,
please provide the address of the site and describe any other resources
that are needed to complete the development of this housing facility.
Please identify if the site is a Confidential Site (HUD will not
release the address of the site) or is a Public Site (HUD may release
the address to inform clients and the public).
Please indicate which of the following special populations your
project will serve by operating a project that intentionally targets
assistance, such as the provision of housing and related supportive
services, client outreach and assessment of the needs, and any project
evaluation activities on the assistance provided to this population of
persons with special needs. Please indicate the number of special
population households likely to be assisted through the housing
assistance planned in your project (note: your responses will be used
by HUD to respond to public inquiries):
[sbull] Chronically Homeless and/or other homeless persons
[sbull] Veterans
b. Proof of Nonprofit Status and AIDS Purpose. Excluding situations
where nonprofit documentation was submitted to HUD under prior SPNS
applications and there has been no change in project sponsor(s), all
applicants must provide a copy of the nonprofit documentation for each
sponsor that is a non-profit organization consistent with the standards
under paragraph (1). Applicants must also provide documentation
consistent with paragraph (2) below to demonstrate that each sponsor's
organizational documents include a purpose of significant activities
related to providing housing or services to persons with HIV/AIDS. For
submission of the documentation in paragraphs (1) and (2) on paper
forms, you should follow the directions in the General Section.
(1) HUD will accept as evidence of your nonprofit status:
(a) A copy of the Internal Revenue Service (IRS) ruling providing
tax-exempt status under Section 501(c) (3), (4), (6), (7), (9) or (19)
of the IRS code; or
(b) A ruling from the Treasury Department of the Commonwealth of
Puerto Rico granting income tax exemption under section 101 of the
Income Tax Act of 1954, as amended (13 LPRA 3101); or
(c) Documentation that the applicant is a certified United Way
agency; or
(d) Copy of your most recent completed tax statement, Form IRS-990
or Form 990-EZ; or
(e) All of these:
(i) a certification by the appropriate official of the jurisdiction
where the nonprofit was organized that your organization was so
organized and is in good standing;
(ii) a certification from a designated official of the organization
that no part of the net earnings of the organization inures to the
benefit of any member, founder, contributor, or individual; that the
organization has a voluntary board; and that the organization practices
nondiscrimination in the provision of assistance in accordance with
applicable program requirements; and
(iii) an opinion letter from an independent public accounting (IPA)
firm that the nonprofit has a functioning accounting system that
provides for each of these (the letter must mention all of them).
(A) Accurate, current, and complete disclosure of the financial
results of each federally funded project;
(B) Records that identify adequately the source and application of
funds for federally funded activities;
(C) Effective control over and accountability for all funds,
property and other assets;
(D) Comparison of outlays with budget amounts;
(E) Written procedures to minimize the time elapsing between the
transfer of

[[Page 14118]]

funds to the recipient from the U.S. Treasury and the use of funds for
program purposes;
(F) Written procedures for determining reasonableness, allocable,
and allowable costs; and
(G) Accounting records including cost accounting records that are
supported by source documentation.
(2) We will accept as evidence of your organization's HIV/AIDS-
related purpose, a copy of the organization's articles of incorporation
and by-laws, mission statement, program management plan, or other
organizational policy document which evidences the organization's
activities or objectives related to providing services or housing to
persons with HIV/AIDS.
c. Capacity of Applicant and Project Sponsors and Relevant
Organizational Experience Narrative. On no more than five double-spaced
typed pages for the Applicant, and no more than two double-spaced pages
per additional sponsor, demonstrate the extent to which you and any
project sponsors have the organizational resources necessary to
successfully implement your proposed activities in a timely manner.
d. Need/Extent of the Problem Narrative. On no more than five
double-spaced typed pages define your planned service area and
demonstrate the need for funding eligible activities in the area to be
served.
e. Soundness of Approach: Model Qualities and Responsiveness/
Coordination Narrative. On no more than twenty double-spaced typed
pages address the method by which your plan meets your identified
needs. Demonstrate how your project will provide its planned activities
through HOPWA and other resources, and how it will serve as a model
with exemplary qualities to address the ongoing housing and supportive
service needs of eligible persons within a replicable operational
framework.
f. Documentation of Leveraged Resources. As described in paragraph
5 of this section, to receive a leverage score for your project, please
provide evidence of commitments that demonstrate your ability to secure
community resources for housing, supportive services and other program-
related activities that can be combined with HUD's funds to achieve
program purposes and assist eligible persons in addressing their
supportive housing needs. To receive a maximum score for leverage, you
must: (1) Demonstrate leveraged resources of equal or greater value to
the total amount being requested for program activities (excluding
administrative costs); and (2) if the project requests funds for
supportive services, demonstrate leveraged resources that include
commitments to provide additional supportive services that are of equal
or greater value to the total amount requested for supportive services.
To meet leveraging criterion (2), the total of all leveraged resources
for additional supportive services must at least equal the requested
totals for HOPWA supportive service funds in Line 10 and Line 11 of the
Application Budget Summary. If you do not request funding for
supportive services, your application will be reviewed and rated based
on leveraging criterion (1). If you request funding for supportive
services, you must meet both leveraging criteria to receive the maximum
leveraging score. You must follow instructions for documenting
leveraging as established in paragraph 5 of this section. Attempts to
falsify or failure to maintain and produce these letters of commitment
upon request could lead to the termination of the awarded grant.
g. Achieving Results and Program Evaluation Narrative. On no more
than five double-spaced typed pages demonstrate your commitment to
ensuring that the goals that you set forth and your performance will be
assessed in a clear and effective manner. Address how you will
implement the HOPWA program goals and identify the benefits or outcomes
of your program including your activities, benchmarks, and interim
activities or performance indicators. Provide an evaluation plan that
will objectively measure actual achievements against anticipated
achievements.
5. Application Content on Leveraging for All Types of Applications.
To receive consideration for leveraged resources as noted in paragraphs
3.e. and 4.f. of this section, all types of applications must be
supported by evidence of commitments from other State, local, Federal,
or private entities to provide additional support to project
beneficiaries. To receive maximum scores for leveraging, any New and
Continuing project must: (1) Demonstrate leveraged resources that are
of equal or greater value to the total amount being requested for
program activities (excluding administrative costs); and (2) if the
project requests funds for supportive services, demonstrate leveraged
resources that include commitments to provide additional supportive
services that are of equal or greater value to the amount requested for
supportive services. For any Renewal project requesting funds for
supportive services, in order to receive any budget line increases for
the project, the Renewal must show leveraged resources that include
commitments to provide additional supportive services that are of equal
or greater to the amount requested for supportive services.
Applicants must document the commitment of leveraged resources as
provided in this section. This section requests that the applicant
provide a list or chart for the commitments and include: (1) The name
of the organization or entity that will contribute leveraged resources
for the activities to be undertaken to support project beneficiaries
and note if the organization will serve as a project sponsor; (2) a
description of the work to be accomplished, such as the type of housing
assistance or supportive service activities to be undertaken to support
the project; and (3) a statement of the value of the leveraged
contribution; (4) the submission of an electronic copy or facsimile
transmittal of these letters of commitment with your HOPWA application;
and (5) retention of a copy in your project files in order to enable
you to produce them upon request. The letter of commitment must
evidence that the use of any leveraged funds will be used during the
operating period for the award, identify the value of the commitment,
and be signed by an authorized representative of the organization
making the commitment of the resource. Other HOPWA funds, such as
formula allocations, may not be used for this purpose in determining
leveraging.
The commitment of resources must be evidenced by use the
appropriate language as described below:
(i) Applicant or Third Party Cash Resources. If this proposal is
funded, (applicant name or third party name) commits $(amount) (of its
own funds, if applicant, or to applicant name, if third party) for
(type of activity) to be made available to the HOPWA program. These
funds will be available from (date) to (date). (Signature and Title of
authorized representative and date).
(ii) Non-Cash Resources. If this proposal is funded,
(organization's name) commits to make available (type of resource)
valued at $(amount) to the HOPWA program proposed by (applicant name).
These resources will be made available to the HOPWA program from (date)
to (date). (Signature and Title of authorized representative and date)
The donation of a third party professional service should be valued at
the professional's customary charge. The value of materials to be
contributed to the project by a third party or by the applicant may
also be counted as leveraging.

[[Page 14119]]

(iii) Volunteer Time. If this proposal is funded, (name of the
organization or of self), commits to provide (number of hours) of
volunteer time from (date) to (date) to provide (type of activity) to
the HOPWA program proposed by (applicant name). The total value of
these services, based on $10.00 per hour, is $(amount). (Signature and
Title, and date) Time to be contributed to the project by volunteers
should be valued at $10.00 per hour. In the case of individuals
volunteering their time directly to the applicant, the applicant should
list itself as the organization.
(iv) Contribution of a Building. If this proposal is funded,
(applicant name) pledges the building at (site address) to the HOPWA
program. The building has a fair market value of $(amount). A licensed
independent real estate appraiser made this appraisal, which is based
on comparable properties in the area. (Signature of applicants
authorized representative and date) Ownership of a building or portion
of a building to be used in the project may be counted as leveraging.
The fair market value of the building or portion of the building being
contributed may be counted. Do not send an appraisal to HUD, but keep
documentation of fair market value on file. The contribution of land
(as a leveraged resource for new construction) should be treated the
same as contribution of a building. You will need to keep documentation
of the fair market value on file, particularly if it is improved land
and you wish to include the value of the improvements in the
contribution.
(v) Contribution of a Building to be Acquired with HOPWA Funds. If
this proposal is funded, (applicant name) commits the building at (site
address) for the HOPWA program. The building has a fair market value of
$(amount). A licensed independent real estate appraiser made this
appraisal, which is based on comparable properties in the area. The
HOPWA request for the building is $(amount). Therefore, the
contribution is the difference between the fair market value and the
HOPWA request, or $(amount). (Signature of applicants authorized
representative and date) The difference between the documented fair
market value and the portion paid for with HOPWA funds may be counted
as leveraging. Maintain documentation of fair rental value on file.
(vi) Contribution of Leasehold Interest. If this proposal is
funded, (applicant name) commits the leasehold interest at (site
address) for the HOPWA program. The fair rental value of this site is
$(amount) annually, and at constant value will amount to $(amount) over
(term of the lease, up to three years). An appropriate independent
third party made this appraisal, which is based on comparable
properties in the area. The total leasing cost over the term of the
lease to be paid with HOPWA funds is $(amount). Therefore, the
contribution is the difference between the HOPWA leasing cost and the
fair rental value, or $(amount). (Signature of applicants authorized
representative and date) The difference between the fair rental value
(for a term up to three years) and the cost of the lease to be paid for
with HOPWA funds may be counted as leveraging.
The Department will periodically monitor the use of your
commitments by requiring the collection of information in annual
progress reports to establish that the leveraged resources are being
used, as committed, in undertaking the project. Failure to provide
evidence of these additional resources could result in a notice of
default and affect the project's continued access to federal funds
awarded under this Program NOFA.

C. Submission Dates

Application Submission Date. Your completed application must be
submitted and received electronically by Grants.gov no later than
11:59:59 p.m. Eastern time on May 27, 2005. Failure to meet the
appropriate submission and receipt date requirements will result in the
application being ineligible for funding under this NOFA. Please follow
the application submission and timely receipt requirements for the
electronic submission of your application that are established in the
General Section. All documentation submitted as part of the application
must be received by the application submission date. All parts of an
electronic application must be submitted via the Grants.gov portal with
additional documentation as called for in this NOFA provided via
electronic facsimile transmittal in accordance with the requirements
stated in the General Section. For electronic applications, HUD will
not accept parts of an application submitted through the mail. For
applications receiving a waiver of the electronic application
submission requirements, the entire application must be submitted in
hard paper copy format with the required number of copies.

D. Intergovernmental Review

The HOPWA program is not subject to Executive Order (EO) 12372,
Intergovernmental Review of Federal Programs.

E. Funding Restrictions

1. Limitations on Maximum Grant Amounts. Your request for Renewal
funding or for New and Continuing funding must be consistent with the
following limitations on maximum grant amounts:
a. For program activities (e.g., activities that directly benefit
eligible persons): A maximum of no more than $1,300,000, subject to the
limitations in this section;
b. For grant administrative costs of the grantee: A maximum of no
more than an additional $39,000, subject to the limit on administrative
costs of three percent of the amount requested for project activities
in your application for grantees.
c. For grant administrative costs for project sponsors: A maximum
of no more than an additional $91,000, subject to the limit on
administrative costs of seven percent of the amount requested for
project activities to be conducted by project sponsors in your
application.
d. Total for maximum grant amount: $1,430,000, subject to
applicable limitations in this section and if funds are requested for a
term of less than three years, HUD reserves the right to reduce these
amounts in a proportionate manner.
2. Limitation on Supportive Services. Your request for the
supportive services line item in program activities must be consistent
with the program limits of not more than 35 percent of the proposed
budget for program activities undertaken by New and Continuing project
recipients, and not more than 35 percent of the maximum grant amount
for program activities for a Renewal grant program activity costs for a
Renewal grant (i.e., not more than $455,000 over a three-year period).
Consistent with the standards described in Section IV.B.5, on
Leveraging, of this Program NOFA, requests for supportive services must
be leveraged with commitments to provide supportive services in order
to: (1) Qualify a Renewal grant applicant for an increase in any budget
line item (BLI) above 100 percent of the approved BLI for their
existing grant up to the 120 percent limit; or (2) qualify a New and
Continuing applicant for the maximum leveraging score.
3. Limitation on Prospective Determinations. HUD will not approve
proposals that depend on a prospective determination as to how program
funds will be used. More specifically, proposals to establish a local
request-for-proposal process to select either activities or project
sponsors, and other

[[Page 14120]]

similar proposals that have the effect of delaying the obligation of
funds due to the unplanned use of HOPWA funds, will not be approved.
4. Additional Limitation on Renewal Grants. If applying for a
Renewal project the following funding restrictions apply:
a. Your request for program activity costs may not include a
request for funds for acquisition, new construction, or for
rehabilitation costs, or costs involving new housing facility sites,
such as operating costs or leasing.
b. Your request for program activity costs must request amounts for
continuing a previously approved project at about the same level of
housing provided in the previous grant. If your Renewal application
does not request funds for supportive services and this is a change to
your existing grant, you must continue to utilize other sources to
provide a reasonable level of supportive services that is similar to
that previously provided. If the application is consistent with the
leveraging guidelines, the amounts may exceed 100 percent but must not
be more than 120 percent of the amount awarded or approved by HUD in
the current grant for an activity, including any amendments affecting
this amount that were approved by HUD, prior to the publication of this
Program NOFA, except as provided in the following paragraph. If an
application fails to provide leverage for supportive services in an
amount at least equal to the amount of the request for supportive
services, the funding by BLI for all activities will be restricted to
100 percent of the BLI for the approved existing project.
c. In the case of a permanent supportive housing project in which
acquisition, new construction, or rehabilitation was a major component
of the original project, a reasonable amount of operating funds may be
requested for a housing project which exceed the 120 percent budget
line item limit of the previous paragraph. The amount requested must be
based on information for the current cost of operating the housing
project (or a housing project of a similar type and size) but the
request may not exceed the limit on maximum for program activities
established in paragraph (1)(a) above. HUD reserves the right to adjust
requests under this paragraph to the scale of projects of similar size
and purpose.
d. Funds for acquisition, new construction or for rehabilitation
costs will not be renewed. These capital development activities are not
ongoing or available for additional sites. If you wish to undertake
additional capital development activities, significantly expand your
activities (beyond the allowance in this notice for requests up to 120
percent of the existing budget line item), continue a project that is
not eligible as a permanent supportive housing project, or to add
funding for new activities, you must apply and compete for funding as a
New and Continuing project.
5. Limitation on Ineligible Activities. HUD will not provide funds
under this notice for the purposes of conducting resource
identification activities to establish, coordinate and develop housing
assistance resources, and/or technical assistance for community
residence activities, since these types of activities are funded
through the national HOPWA technical assistance funds being made
available under the Community Development Technical Assistance (CDTA)
NOFA. HUD will not provide additional funds for data collection on
project outcomes, as such activities in collecting performance data and
reporting to HUD are required as a central grants management function,
which is already covered under administrative costs. Further, eligible
HOPWA costs do not involve costs for personal items, such as grooming,
clothing, pets, financial assistance, consumer credit payments,
entertainment activities, personal vehicle maintenance and repairs,
property taxes, condominium fees and other non-housing-related costs.
Eligible costs are also subject to additional HOPWA standards at 24 CFR
part 574.

F. Other Submission Requirements

1. Electronic Delivery. Beginning in FY2005, HUD requires
applicants to submit applications electronically through
www.grants.gov. Applicants interested in applying for funding must
submit their applications electronically via the web site http://www.grants.gov. This site has easy to follow step-by-step instructions
that will enable you to apply for HUD assistance. The www.grants.gov/Apply feature includes a simple, unified application process to enable
applicants to apply for grants online. Please see Section IV.F. of the
General Section for instructions for submitting leveraging
documentation, certifications, and other required forms.
2. Waivers to the Electronic Submission Process: Applicants may
request a waiver to the electronic submission process (see Section IV.F
of the General Section for more information). Applicants who are
granted a waiver must submit their applications to the address
identified in Appendix C of the General Section. Please see the General
Section for detailed mailing and delivery instructions as the
procedures have changed significantly for this year.
3. Number of Copies. Only applicants receiving a waiver to the
electronic submission requirement may submit a paper copy application.
See the General Section for more information about waiver of the
electronic submission requirement.

V. Application Review Information

A. Criteria

1. Renewal Project Applications
a. General. HUD will conduct a threshold review of all Renewal
applications based on the requirements found under Section III.C. to
determine eligibility for the Renewal of HOPWA grants that provide
permanent supportive housing under an expiring grant.
b. Criteria on New Sponsors. In the case that a project sponsor is
being added, or a sponsor's legal status has changed due to merger or
other action, HUD will conduct a substantive review of the project
sponsor's ability to develop and operate your proposed program and a
pass/fail review based on the requirements for an eligible project
sponsor established in Section III.
(1) With regards to new project sponsor(s), HUD will consider the
organization's past experience and knowledge: in serving persons with
HIV/AIDS and their families; in programs similar to those proposed in
your application; in monitoring and evaluating program performance and
disseminating information on project outcomes; and in achieving the
purpose for which funds were provided, as measured by expenditures and
measurable progress in operating the project. A proposed sponsor that
fails to meet the conditions established for adding a sponsor or fails
to demonstrate sufficient capacity will be ineligible to receive
program funds.
(2) In reviewing the elements of organizational capacity as stated
above, HUD will rate the proposed sponsor on the basis of 20 points,
with a minimum of 14 points required for selection of this sponsor as
eligible in demonstrating sufficient capacity. HUD will consider the
extent to which your proposal demonstrates the following capacity, and
will award the highest points (20 to 16 points) to those with direct,
extensive, clear and satisfactory experience, moderate scores (15 to 10
points) to those with direct but not as extensive experience or where
the experience covers most but not all of these items; and lower scores
(9 to 2 points) if the experience is limited,

[[Page 14121]]

indirect, on only some of the items or for which only limited or no
information is provided. An organization with unresolved management
issues affecting their HOPWA proposal will be scored at the lowest
level (1 point):
(a) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants, and
contractors in planning and managing the kind of activities for which
you are requesting funds. The project sponsor will be reviewed in terms
of recent, relevant, and successful experience of staff to undertake
eligible program activities, including experience and knowledge in
serving low-income persons with HIV/AIDS and their families.
(b) The project sponsor's experience in managing complex
interdisciplinary programs, especially those involving housing and
community development programs directly relevant to the work activities
proposed and carrying out grant management responsibilities.
(c) If the project sponsor received funding in previous years in
the program area for which you are currently seeking funding, the
sponsor's past experience will be reviewed in terms of its ability to
attain demonstrated measurable progress in the implementation of the
grant award. Measurable progress is defined as: meeting performance
benchmarks, as applicable, in program development and operation;
meeting project goals and objectives, such as, that the number of
persons assisted was comparable to the number that was planned at the
time of application; submitting timely performance reports; and
expending prior funding as outlined in the prior proposal with no
outstanding audit or monitoring issues.
2. Criteria for New and Continuing Projects Applications
a. Departmental Policy Priorities. As outlined in Section V of the
General Section, HUD has identified policy priorities that New and
Continuing project applicants are encouraged to address through their
proposed project plans. HUD has identified four Departmental policy
priorities as being applicable for new HOPWA projects. Applications for
HOPWA funding will receive rating point(s) for each applicable
Department policy priority initiative addressed through the proposed
program activities and performance goals and objectives. Applicants
must demonstrate how these priorities will be addressed through the
Soundness of Approach of the application as outlined under Rating
Factor 3. Under the points available for Rating Factor 3, one or two
Rating Points, as specified below, will be awarded for each of the
following addressed priorities:
(1) In accordance with Section V of the General Section, for
applicants seeking HOPWA funds for capital development activities,
including rehabilitation or new construction, for one rating point
under project soundness of approach, you are encouraged to: Institute
visitability and universal design standards in these activities
undertaken with HOPWA funds. Visitability standards allow a person with
mobility impairments access into the home, but do not require that all
features be made accessible; and such standards incorporate universal
design in the construction or rehabilitation of housing undertaken with
HOPWA funds. Universal design provides housing that is usable by all
without the need for adaptation or specialized design.
(2) For one rating point under project soundness of approach, you
are encouraged to propose projects in which the grantee, or the project
sponsor(s), fulfills the policy priority for being a nonprofit
grassroots community-based organization, including faith-based
organizations, as defined in Section V of the General Section.
(3) For one rating point under project soundness of approach, you
are encouraged to propose applications in which the grantee, or project
sponsor(s), commits to follow the Energy Star standard in any new
construction or rehabilitation activity to be undertaken in the
proposed project with HOPWA or other funds. The Energy Star standard is
as defined in Section V of the General Section.
(4) For up to two rating points under project soundness of
approach, you are encouraged to propose an application in which the
grantee, or project sponsor(s), if it is a State or local government
agency, as defined in Section V of the General Section, completes the
regulatory barriers policy questionnaire and provides the required
documentation or provides a Web site URL where the information can be
readily found.
b. Program Policies--Target Population. Prior to the award of other
New and Continuing projects, HUD reserves the right to select the two
highest rated applications (but not any that are rated at less than 75
points) that demonstrate that the planned HOPWA activities and
activities supported by leveraged funds will serve the special
population of HOPWA eligible person who are chronically homeless
persons with HIV/AIDS. A chronically homeless person is defined as ``an
unaccompanied homeless individual with a disabling condition who has
either been continuously homeless for a year or more OR has had at
least 4 episodes of homelessness in the past 3 years.'' Persons who are
infected with HIV are more likely to be able to follow complex
treatment regimens if they have a reliable address where they can be
reached by care providers, a safe place to keep medications,
refrigeration for drugs that require it, and other necessities that
many of us take for granted. HUD is encouraging applications that
strive to create additional models for permanent housing for eligible
persons living with HIV/AIDS that are experiencing chronic
homelessness. Applicants must work collaboratively with the local
Continuum of Care Plans to create these models for persons living with
HIV/AIDS and their families and demonstrate a plan for the integration
of HOPWA activities with those systems such as the use of HMIS. HMIS
participation is required for all recipients of award funding under
this Program NOFA whose projects intentionally target HOPWA eligible
persons who are homeless or chronically homeless. In a number of
Continuum of Care communities, HOPWA projects are directly involved in
providing outreach, assessment, housing and supportive services to
HOPWA eligible persons who are homeless at the time they enter into
program support. HMIS activities or the use of related information
technology systems may already be operating to support the delivery of
housing information services to these HOPWA clients.
c. Application Selection Process for New and Continuing Projects.

Rating Factor 1: Capacity of the Applicant and Project Sponsors and
Relevant Organizational Experience (20 Points) (Minimum for Funding
Eligibility--14 points)

Address the following factor using not more than five (5) double-
spaced, typed pages. For each project sponsor, you may add two
additional pages. This factor addresses the extent to which you and any
project sponsor have the organizational resources necessary to
successfully implement your proposed activities in a timely manner. If
you will be using project sponsor(s) in your project, you must identify
each project sponsor in your application. HUD will award up to 20
points based on your and any project sponsor's ability to develop and
operate your proposed

[[Page 14122]]

program in relation to which entity is carrying out an activity.
a. With regards to both you and your project sponsor(s), you should
demonstrate:
(1) Past experience and knowledge in serving persons with HIV/AIDS
and their families;
(2)Past experience and knowledge in programs similar to those
proposed in your application including HOPWA formula funding;
(3)Experience and knowledge in monitoring and evaluating program
performance and disseminating information on project outcomes; and
(4)Past experience as measured by expenditures and measurable
progress in achieving the purpose for which funds were provided.
b. In reviewing the elements of the paragraph above, HUD will
consider:
(1) The knowledge and experience of the proposed project director
and staff, including the day-to-day program manager, consultants, and
contractors in planning and managing the kind of activities for which
you are requesting funds. You and any project sponsor will be judged in
terms of recent, relevant, and successful experience of staff in
undertaking eligible program activities.
(2) Your and/or the project sponsor's experience in managing
complex interdisciplinary programs, especially those involving housing
and community development programs directly relevant to the work
activities proposed and carrying out grant management responsibilities.
(3) If you and/or the project sponsor received funding in previous
years in the program area for which you are currently seeking funding,
you and your project sponsor's past experience will be evaluated in
terms of the ability to attain demonstrated measurable progress in the
implementation of your grant awards. Measurable progress is defined as:
(a) Meeting applicable performance benchmarks in program
development and operation;
(b) Meeting project goals and objectives, such as the HOPWA output
for number of homeless assisted in comparison to the number that was
planned at the time of the application;
(c) Submitting timely performance reports; and
(d)Expending prior funding as outlined in the existing HOPWA grant
agreement with HUD with no outstanding audit or monitoring issues.
Applicants must receive a minimum of 14 points in Rating Factor 1:
Capacity of the Applicant and Project Sponsors and Relevant
Organizational Experience to be eligible for funding under this Program
NOFA.

Rating Factor 2: Need/Extent of the Problem (15 Points)

Address the factor using not more than five (5) double-spaced,
typed pages. Up to 15 points will be awarded for this factor.
(a) AIDS Cases (5 Points). You must define your planned service
area. HUD will obtain AIDS surveillance information pertinent to that
area from the Director of the Centers for Disease Control and
Prevention. Up to five points will then be awarded based on the
relative numbers of AIDS cases and per capita AIDS incidence within
your service area, in metropolitan areas of over 500,000 population and
in areas of a state outside of these metropolitan areas, in the state
for proposals involving state-wide activities, and in the nation for
proposals involving nation-wide activities.
(b) Description of Unmet Housing Need (10 Points). Up to ten points
will be awarded based on demonstration of need for funding eligible
housing activities in the area to be served. To receive the maximum
points, demonstrate that substantial housing and related service needs
of eligible persons and/or the target population, as outlined in
Section V.A., are not being met in the project area and that reliable
statistics and data sources (i.e. Census, health department statistics,
research, scientific studies, and Needs Analysis of Consolidated Plan
and /or Continuum of Care documentation) show this unmet need. To
receive the maximum points, show that your jurisdiction's Consolidated
Plan and Analysis of Impediments to Fair Housing Choice, Continuum of
Care Homeless Assistance plans (if homeless persons are to be served),
and comprehensive HIV/AIDS housing plans are applicable to your project
and identify the level of the problem and the urgency of the need.
(1) If you apply for a SPNS demonstration grant, you must describe
a housing need that is not currently addressed by other projects or
programs in the area including reference to the area's existing HOPWA
programs and how the planned activity will complement these in a manner
that is consistent with the community's plan for a comprehensive and
coordinated approach to housing needs of persons living with HIV/AIDS
which establishes stable housing for clients and helps foster greater
self sufficiency and independence. Also, describe any unresolved or
emerging issues and the need to provide new or alternative forms of
assistance that, if provided, would enhance your area's programs for
housing and related care for persons living with HIV/AIDS and their
families. You must also describe how your project will enhance the
community's Consolidated Plan strategies for providing affordable
housing and access to related mainstream services to HOPWA eligible
persons; or
(2) If you apply as a Long-term project, you must describe the
housing need that is not currently addressed by other projects or
programs in the area including any HOPWA competitive grants and how the
planned activity will complement these in a manner that is consistent
with the community's plan for a comprehensive and coordinated approach
to housing needs of persons living with HIV/AIDS. You must also
describe any unresolved or emerging issues and/or the need to provide
forms of assistance that enhances the community's strategy for
providing housing and related services to eligible persons.
HUD will evaluate your presentation of statistics and data sources
based on soundness, reliability, and the specificity of information to
the target population and the area to be served. If you propose to
serve a subpopulation of eligible persons on the basis that these
persons have been traditionally and are currently underserved (e.g.,
persons with multiple disabilities including AIDS or chronically
homeless eligible persons), your application must demonstrate the need
for this targeted effort through statistics and data sources that
support the need of this population in your service area. Programs may
serve a qualified subpopulation of persons with AIDS based on the
presence of another disability or group of disabilities, only if doing
so is necessary to provide this subpopulation with as effective
housing, benefits, aid, or services as that provided to others. See 24
CFR 8.4(b)(1)(iv).

Rating Factor 3: Soundness of Approach: Responsiveness, Coordination
and Public Policy Priorities, and Model and Demonstration Qualities (45
Points)

Address this factor on not more than twenty (20) double-spaced,
typed pages. Include the HOPWA Budget Forms found in Appendix A. This
factor addresses the method by which your plan meets your identified
needs. HUD will award up to 45 points (15 for responsiveness, 5 for
coordination, 5 for public policy priorities, and 20 for model
qualities) based on the extent to which your plan evidences a sound
approach for conducting the HOPWA activities in a manner that is
responsive

[[Page 14123]]

to the needs of eligible persons and that your plan for project
coordination will offer model qualities in providing supportive housing
opportunities for eligible persons with access to mainstream health and
human welfare services, when compared to other applications and
projects funded under previous HOPWA competitions.
a. Responsiveness, Coordination, and Public Policy Priorities (25
Points). HUD will award up to 25 points (Responsiveness--15 Points and
Coordination--5 Points and Public Policy Priorities--5 Points) based on
how well your project plans respond to the unmet needs in housing and
related supportive services for the eligible population, including
target populations outlined under Section V.A. You should demonstrate
the extent to which you have coordinated your activities and the
activities of your project sponsors with other organizations that are
not directly participating in your proposed work activities. This
involves organizations with which you share common goals and objectives
in assisting eligible persons. In order to ensure that resources are
used to their maximum effect within the community, it is important that
you demonstrate collaboration and leveraging of other resources from
state, local, and private funding resources.
(1) Responsiveness (15 Points). To receive the highest rating in
this element your application must address:
[sbull] The projected number of persons to be served through each
activity for each year of your program; The projected number of housing
units, by type, to be provided through your project, by year, over a 3-
year period; and
[sbull] The specific organizations, either through an agreement
with your organization or through funding from your project, that will
provide housing, and agreements with organizations that will provide
mainstream supportive services, or other activities.
Include a description of the roles and responsibilities of your
project sponsors and/or other organizations within your project plan
and how these will be coordinated in conducting eligible activities. To
receive the maximum points for your project plan, you must explain and
describe the eligible housing activities you or your project sponsor
intend to conduct, where these activities will take place (either on
site or at another location), and how those activities will benefit
eligible persons. Please describe:
(a) Housing Activities. You must demonstrate how the emergency,
transitional, or permanent housing needs of eligible persons will be
addressed through one or more of the HOPWA eligible activities and
through any other resources and how such activities are coordinated
with other available housing assistance. Your plan for housing
assistance must include:
(i) Access to permanent supportive housing for Long-term
applicants. If you propose a new Long-term Project for Permanent
Supportive Housing, you must describe how eligible persons will access
permanent housing options through your project and through any specific
commitments with other community housing providers, even if your
project involves some initial emergency or transitional assistance for
clients, to achieve housing stability goals for clients.
(ii) Access to supportive housing for new or continuing SPNS
Demonstration Grant applicants. If you propose a new or continuing SPNS
demonstration project, you must describe how eligible persons will
access emergency, short-term and transitional housing support options
through your project and through any specific commitments with other
community housing providers. Consistent with the definition of a SPNS
Demonstration Grant or Project, this description must include specific
plans to provide HOPWA clients with permanent housing assistance by the
end of the operating period under this award, including plans to
facilitate the movement of eligible persons receiving transitional
housing support to independent living arrangements within 24 months.
(iii) Description of Housing Site. You must describe any
appropriate site features including use of universal design,
accessibility, visitability, and access to other community amenities
associated with your project.
(iv) Development and Operations Plan. You must describe a
development and/or operations plan for the emergency, transitional, or
permanent housing assistance you are proposing to provide. For rental
assistance programs, this will include your plan for providing rental
assistance, proposed housing sites if project-based, and length of stay
if less than ongoing permanent supportive housing. If you are proposing
to use HOPWA funds for the acquisition, rehabilitation, or new
construction of a housing facility, your plan must also document that
you have secured other funding sources, including plans for
coordinating the use of other resources that are committed to meeting
leveraging, have identified and secured a site(s), and must provide
rehabilitation/construction timelines consistent with the three year
use of grant funds. HOPWA funds are not intended for use as the initial
or sole funding source for capital development housing projects.
(v) Operational Procedures. Describe your outreach, intake, and
assessment procedures, as well as how eligible persons will receive
housing support with access to medical care and other supportive
services provided by other organizations. Describe the use of housing
being funded from other sources, and how your project provides for
ongoing assessments of the housing service benefits received by
eligible persons. Include a description of how a client moves through
the housing program from outreach, intake, client assessment, the
delivery of housing services, the use of emergency, transitional, or
permanent housing, and when appropriate, the outplacement to more self-
sufficient independent housing.
(b) Supportive Service Activities. You must describe how the
supportive service needs of eligible persons will be addressed with
HOPWA assistance (subject to applicable limitations) and the use of any
additional leveraged resources by describing the type of supportive
services that will be offered directly by the program and/or how
agreements and project plans will assure that services will be accessed
and coordinated from other mainstream health and human welfare sources.
Explain the connection of these services in helping eligible persons
obtain and/or maintain stable housing. Supportive service costs may
represent no more than 35 percent of your proposed budget for program
activities. In describing your supportive services delivery plan
explain:
(i) How agreements provide that eligible persons will have access
to mainstream programs that offer healthcare and other supportive
services, as discussed in Section III.C.4;
(ii) How project plans ensure that eligible persons will
participate in decision making in the project operations and
management; and
(iii) Your plan for delivering supportive services through a
comprehensive plan that shows how agreements provide that eligible
persons access medical care and other mainstream supportive services to
address their needs.
(c) Additional Activities. You must describe your plan for
utilizing other requested HOPWA funds (described at 24 CFR 574.300(b)).
Explain how these activities will be integrated into your overall plan
in the provision of housing and related supportive services to eligible
persons.

[[Page 14124]]

(d) Other Activities. As authorized by statute and in addition to
the activities at 24 CFR 574.300(b), you may propose other activities
in your application, which can be undertaken only if approved by HUD
due to their relevance in addressing the housing needs of eligible
persons. You must describe the reason for the need to request
authorization for ``other activities'' and the benefits likely to
occur, if the activities are authorized. Also address how the project
would operate, or not, if such request were not approved.
(2) Coordination (5 Points). You should demonstrate the extent to
which you have coordinated your activities and the activities of your
project sponsors with other organizations that are not directly
participating in your proposed work activities. This involves
organizations for which you share common goals and objectives. You will
be rated on the extent to which you demonstrate you have:
(a) Coordinated your proposed activities with those of other groups
or organizations within the community or region prior to submission, to
best complement, support, and coordinate all housing and supportive
service activities including specific reference to how the proposal is
coordinated with existing HOPWA programs in that area (formula and
competitive) and how the planned efforts complement the existing
programs;
(b) Developed your project through consultation with other
organizations, groups, or consumers involved with area HIV/AIDS housing
and service planning, including planning under the Ryan White CARE Act
and other federal planning. The highest rated applicant will
demonstrate that the project is closely and fully integrated with HUD's
planning processes, such as the jurisdiction's Consolidated Planning
process or the community's Continuum of Care Homeless Assistance
planning process (if homeless persons are to be served by proposed
activities and related use of Homeless Management Information Systems
(HMIS) to coordinate benefits for clients);
(c) Coordinated with other HUD-funded programs outside of the
Consolidated Planning process, for example, accessing additional
housing resources through a local public housing authority; and
(d) Coordinated with mainstream resources including private, other
public, and mainstream services and housing programs. To achieve the
maximum points, applicants must evidence explicit agency strategies to
coordinate client assistance with mainstream health, social service and
employment programs for which eligible persons may benefit.
(3) Public Policy Priorities (5 points). Applications for HOPWA
funding will receive rating point(s) for each applicable Department
policy priority initiative addressed through the proposed program
activities and performance goals and objectives. Applicants must
demonstrate how these priorities will be addressed:
(a) In accordance with Section V of the General Section, for
applicants seeking HOPWA funds for capital development activities,
including rehabilitation or new construction, for one rating point
under project soundness of approach, your application describes the use
of universal design and visitability standards in these development
activities undertaken with HOPWA funds and incorporate universal design
in the construction or rehabilitation of housing undertaken with HOPWA
funds. Visitability standards allow a person with mobility impairments
access into the home, but do not require that all features be made
accessible. Universal design provides housing that is usable by all
without the need for adaptation or specialized design.
(b) For one rating point under project soundness of approach, your
application involves participation as the grantee, or as a project
sponsor(s), by a non-profit grassroots community-based organization,
including faith-based organizations, as defined in Section V of the
General Section.
(c) For one rating point under project soundness of approach, your
application involves a housing development activity and the grantee, or
project sponsor(s), commits to promote energy efficiency by adopting
the Energy Star standard in any new construction or rehabilitation
activity to be undertaken in the proposed project with HOPWA or other
funds. The Energy Star standard is as defined in Section V of the
General Section.
(d) For two rating points under project soundness of approach, your
application involves an state or local government agency as the
grantee, or as a project sponsor(s), and that agency completes the
regulatory barriers policy questionnaire, including providing the
required documentation, as defined in Section V of the General Section.
b. Model and Demonstration Qualities (20 Points). HUD will award up
to 20 points based on your service delivery plan and how well it will
serve as a model for a New and Continuing project by the end of the
operating period. HUD expects the proposed project to show exemplary
and/or innovative qualities that address the ongoing permanent housing
needs (with access to supportive services) of eligible persons within a
replicable operational framework. To receive the maximum points, you
must offer a housing plan that describes the following:
(1) Policy Priorities. If applicable to your application, describe
how you will meet the Departmental policy priorities for assisting the
special population of HOPWA eligible persons who are chronically
homeless persons with HIV/AIDS. HUD is encouraging applications that
strive to create additional models for permanent housing for persons
living with HIV/AIDS that are experiencing chronic homelessness.
Applicants addressing this population must work collaboratively with
the local Continuum of Care Plans to create this permanent housing for
persons living with HIV/AIDS and their families.
(2) Project Management and Oversight. Describe your method for
managing and overseeing activities, including those of your
organization, your project sponsor, and any other organization.
Identify staff members who are responsible for management and oversight
of the project and activity implementation and sustainability plans.
(3) Evaluation Plan. In addition to required HOPWA outputs and
outcomes your evaluation plan should identify what you are going to
measure, how you are going to measure it, the steps you have in place
to make adjustments to your work plan if performance targets are not
met within established timeframes, and how you plan to share successes
and lessons learned in undertaking your activities with other
communities.
(4) Model and Demonstration Features. Describe how the planned
efforts for the type of proposed project, Long-term or SPNS
demonstration, will represent model or exemplary qualities in service
delivery, management, or other features in connection with other HOPWA
funded projects in your community including any local assessment of
these features. For a Long-term project, the features must involve
permanent supportive housing activities to be undertaken in a non-
formula area. A SPNS demonstration project must involve a plan and
commitments to place residents in permanent housing by the end of the
operating period by showing exemplary and/or innovative qualities. If
you propose a new program, or an alternative method of meeting the
needs of your eligible population, describe how the innovative
qualities of your activities will result in knowledge gained or lessons
learned for achieving

[[Page 14125]]

greater housing opportunities and supportive services for persons
living with HIV/AIDS. HUD will rate your application higher if you
provide strong evidence that your methods will yield qualities that
will benefit or expand knowledge in serving eligible persons, when
compared to other applications and HOPWA projects. In order to learn
about qualities of previously funded and ongoing HOPWA projects, you
may review the HOPWA Executive Summaries for HOPWA grantees at http://www.hud.gov/offices/cpd/aidshousing.
(5) Descriptive Budget. HUD will review your budget in describing:
(a) How each amount of requested funding for you and your project
sponsors will be used and the related use of leveraged resources;
(b) How each line item will relate to your description of planned
eligible HOPWA activities, as defined in Section III.A of this Program
NOFA; and
(c) The clarity and completeness of your summary statement of the
planned activities for your project by budget line item and the use of
any leveraged funds or other resources by the grantee and sponsor(s).
You must complete the HOPWA Project Budget Form as described above.
Please note that only the forms are required in connection with your
narrative under this Model Qualities section.

Rating Factor 4: Leverage and Sustainability (10 Points)

This factor addresses your ability to secure community resources
that can be combined with HUD's funds to achieve program purposes and
to ensure sustainability of the housing efforts once HOPWA funds are
expended. HUD will award up to 5 points based on the extent to which
resources from other public or private sources have been committed at
the time of application to support your project, including the use of
leveraged resources to provide additional supportive service activities
and other housing and program support for eligible persons if
documentation is provided that is consistent with the standards
described in Section IV.B.5, on Leveraging. Also up to 5 points will be
awarded based on your demonstrated sustainability, which addresses the
extent to which your program exhibits a plan with identified resources
to be financially self-sustaining by decreasing dependence on Federal
funding and relying more on state, local and private funding so your
activities can be continued after your Federal grant award period is
complete. The efforts to sustain programs may also involve other
management changes, such as consolidation or merger of administrative
functions to improve efficiencies and reduce overhead or program costs,
in order to better maintain the housing efforts.
a. In establishing leveraging, HUD will not consider other HOPWA-
funded activities, entitlement benefits inuring to eligible persons, or
conditional commitments that depend on future fund-raising or actions.
In assessing the use of acceptable leveraged resources, HUD will
consider the likelihood that State and local resources will be
available and continue during the operating period of your grant and
sustain activities beyond that period of Federal support. In evaluating
this factor, HUD will also consider:
(1) The extent to which you document leveraged resources, such as
funding and/or in-kind services from governmental entities, private
organizations, resident management organizations, educational
institutions, or other entities to achieve the ongoing purposes of the
project for which you are requesting HOPWA funds;
(2) The extent to which the agreements for documented resources
evidence that you have partnered with other entities to make more
effective use of available public or private resources. Partnership
arrangements may include funding or in-kind services from local
governments or government agencies, nonprofit or for-profit entities,
private organizations, educational institutions, or other entities that
are willing to partner with you on proposed activities, or partnering
with other program funding recipients to make more effective use of
resources within the geographic area covered by your award.
b. To receive any points under this criterion, you must document in
your application the commitment of resources that will be used in the
project during its operation and the efforts to sustain activities
beyond the period of HOPWA support. If you request funding for
supportive services, you must document (1) the commitment of other
leveraged resources that at least equal the amount of the HOPWA request
for program activities (not including administrative costs); and (2)
leveraging for additional supportive services that at least equals the
amount requested for supportive services activities in order to receive
the highest leveraging points. If you do not request supportive
services, to receive the highest leveraging points, you must document
the commitment of other leveraged resources that at least equal the
amount of the HOPWA request for program activities (not including
administrative costs).

Factor 5: Achieving Results and Program Evaluation (Maximum 10 Points)

Address this factor on not more than five (5) double-spaced, typed
pages. Under this factor, HUD will award 10 points based on how well
your application demonstrates a commitment to ensuring that the goals
that you set forth and your performance will be assessed in a clear and
effective manner. HUD will analyze how well you have clearly
implemented the required HOPWA program output and outcome goals and
identified other stated benefits or outcomes of your program including
your activities, benchmarks, and interim activities or performance
indicators with timelines. HUD will award the highest points to
applications that demonstrate an evaluation plan that will objectively
measure actual achievements against anticipated achievements.
Benchmarks or outputs that are identified in your application
should be measurable indicators of actual achievements that help
achieve the program outcome goals for the HOPWA Program. These outcome
goals must include ``a'' that is listed below and may include but not
be limited to:
a. Under the standard required HOPWA outcome measure, increase the
amount of housing assistance provided to eligible persons, to establish
or maintain housing stability, reduce the risks of homelessness for
eligible persons, and improve access to healthcare and other support;
b. Increase the access to permanent housing for low-income eligible
persons, to enable these households to become more self-sufficient
(optional);
c. Improve the housing conditions in which low-income and homeless
eligible persons and their families live, to increase the number of
persons living in housing that is safe, decent, and sanitary
(optional); and
d. Address the challenge of homelessness for persons living with
HIV/AIDS and their families, including persons who are chronically
homeless, by helping them more to permanent housing with appropriate
support, with coordinated homeless assistance effort (optional).
Program output measures for your application for the HOPWA Program
must include ``a'' which is listed below and may include but not
limited to:
a. Under the standard required HOPWA output measure, the projected
number of households to be assisted in HOPWA supported housing units by
type (tenant-based rental assistance, STRMU payments and assistance in

[[Page 14126]]

housing facilities) to be provided to eligible households through your
project during each project-operating year; and
b. The projected number of households including single persons to
be served through each activity during each project-operating year
(optional).
Your application should also address your evaluation plan for the
New and Continuing project. Evaluation is defined as your method for
collecting data on HUD program measures to evidence achievement of your
project's goals and objectives. HUD will assess your method for
reviewing this data and your basis for making relative adjustments in
project implementation based on outcomes and lessons learned. Your
evaluation plan must include how you propose to utilize administrative
costs or other leveraged support to conduct this activity. HUD will
award a greater number of points for projects that also provide for a
plan for the dissemination of information from the lessons learned from
your proposed activities. Your application must include the Logic Model
Form (HUD-96010). In addition to using the required HOPWA output
measures, applicants may create their own set of activities, other
outputs, and project outcomes.

B. Reviews and Selection Process

1. Renewal of Permanent Supportive Housing Project Applications
a. Selection of Renewal Applications. To the degree that funds are
available up to the amount made available under the Department's FY2005
appropriation for this competition, the Department will select for
funding all Renewal requests from applicants that meet program
requirements (including passing a threshold review for a need for
Renewal). HUD will also review requests and adjust funding consistent
with funding restrictions found in Section IV. If the amount of the
approvable request for Renewal activities for all eligible applicants
is greater than the amount made available by this notice up to the
amount of Fiscal Year 2005 funds, HUD will select all of the approvable
Renewal applications and allocate awards to each based on a pro rata
reduction to the amount available under this notice. This action will
help to ensure that all eligible and performing Renewal grants receive
funding that allows their continued operation.
b. HUD Reviews. HUD staff will conduct this review, including staff
from Community Planning and Development at Headquarters and HUD's State
and area field offices.
c. Policy Priorities. Applicants seeking Renewal funding under this
Program NOFA are not required to address HUD's policy priorities.
Applicants are also encouraged to review and voluntarily address
relevant HUD's policy priorities as outlined in the General Section.
Please note in your application if you undertake any of these optional
program efforts.
2. HOPWA New and Continuing Project Applications
a. Threshold Reviews. HUD will review your HOPWA application to
ensure that it meets the threshold requirements found in Section
III.C.2 of the General Section and Section III.C of this Program NOFA
pertaining to a request for a new Long-term project or a SPNS
demonstration project.
b. HUD Reviews. HUD staff will conduct this review, including staff
from Community Planning and Development at Headquarters and HUD's State
and area field offices.
c. Procedures for the Rating and Selection of Applications. HUD
will rate all HOPWA applications based on the factors listed above. The
points awarded for the factors total 100. In addition, up to 2 bonus
points for projects in RC/EZ/EC-II areas may be available under Section
V.A of the General Section.
Whether your HOPWA application is conditionally selected will
depend on your overall ranking compared to other applications within
each of the two categories of assistance, Long-term projects, or SPNS
demonstration projects. Funds made available from federal fiscal year
2004 will be used to fund the highest rated applications in the order
of their ranking that propose new Long-term projects, and if any such
funds remain after these selections, for new or continuing SPNS
demonstration projects. Funds made available from Federal fiscal year
2005 will be used to fund the priority selection of expiring Renewal
projects that undertake permanent supportive housing activities. If any
such 2005 funds remain after these selections, then the funds will be
used to fund additional New and Continuing projects that are the next
highest rated applications in the order of their ranking that propose:
(a) Additional new Long-term projects, if applicable after the
selections made above with 2004 funds, and then (b) additional new or
continuing SPNS demonstration projects. HUD will select applications in
rank order in each category of assistance to the extent that funds are
available, except as outlined in this Program NOFA, where HUD reserves
the right to select applications that target the priority eligible
populations to ensure selection of two projects addressing the housing
needs of persons who are chronically homeless. In allocating amounts to
the categories of assistance, HUD reserves the right to ensure that
sufficient funds are available for the selection of at least one
application with the highest ranking under each category of assistance.
HUD will not select an application that is rated below 75 points, nor
will an application be funded if it receives a Rating Factor 1--
Capacity score lower than 14 points.
In the event of a tie between applications in a category of
assistance, HUD reserves the right to break the tie by selecting the
proposal that was scored higher on a rating criterion in the following
order: Soundness of Approach; Responsiveness and Model Qualities
(Rating Factor 3); Achieving Results and Program Evaluation (Rating
Factor 5); Capacity of the Applicant and Relevant Organizational
Experience (Rating Factor 1); Need/Extent of the Problem (Rating Factor
2); and Leveraging Resources (Rating Factor 4).

C. Anticipated Announcement and Award Dates

The anticipated announcement of the projects selected under this
notice is no later than August 30, 2005.

VI. Award Administration Information

A. Award Notices

1. Applicant Notification. HUD will notify the eligible applicants
of their conditional selection or rejection for awards by email or by a
letter to be mailed to the applicant's authorized official at the
address or e-mail address provided in your application. For
conditionally selected applicants, the CPD Division of HUD's State or
area office will provide a second letter with a copy of a proposed
grant agreement along with instructions on any adjustments to the grant
amount requested and other conditions identified during the review for
conducting planned activities and on the close out of the current
grant.
2. Award Modifications. After reviewing each application, HUD
reserves the right to take each of the following actions:
a. HUD reserves the right to make award adjustments as outlined in
Section IV.A.2, Adjustments to Funding, of the General Section of the
SuperNOFA.
b. In the event that a conditionally-selected applicant is unable
to meet any conditions for funding within the specified time, HUD
reserves the right to not make an award to that applicant. In

[[Page 14127]]

the event that a conditionally-selected applicant is continuing to
operate under the prior grant, and has sufficient funds to continue
current operations for at least six months following the date of
notification of selection, HUD may take any of the following actions:
(i) Follow procedures to terminate the prior grant and recapture
remaining funds after this date, consistent with the terms of the
applicable grant agreement and 24 CFR 574.500(c); or (ii) adjust the
amount of the new award by the amount of funds remaining after this
date in the prior grant.
c. In making awards to New and Continuing projects, HUD may offer
less then the full amount requested to applicants that have received
sufficient points to be selected, but for which there are insufficient
funds remaining to provide the full funding request. HUD may also use
funds from an award reduced under item b, above, to restore amounts to
a funding request that had been reduced in this competition due to the
application's lower rating status;
d. If an applicant turns down an award, an award is not made, or if
there are sufficient award adjustments to make additional awards
feasible, HUD reserves the right to: (a) Offer an award to the next
highest rated application(s) in this competition in their rank order;
(b) add remaining or recaptured amounts to the funds that become
available for a future competition; or (c) restore amounts to a funding
request that had been reduced in this competition.
3. Applicant Debriefing. Applicants requesting to be debriefed must
send a written request to: Department of Housing and Urban Development;
Attention: Office of HIV/AIDS Housing; 451 Seventh Street, SW., Room
7212; Washington, DC 20401-7000. Telephone number is (202) 708-1934.
Persons with hearing or speech challenges may access the above number
via TTY (text telephone) by calling the Federal Information Relay
Service at 800-877-8339 (this is a toll-free number). Additional
information regarding debriefing can be found in the General Section.

B. Administrative and National Policy Requirements

1. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Toward Government Contractors' Labor Relations on
Federal and Federally Funded Contract Projects. See Section III.C. of
the General Section for the information on how to meet this
requirement.
2. Procurement of Recovered Materials. See Section III.C. of the
General Section for the information on how to meet this requirement.

C. Reporting

1. Six-Month Report. For any new project, you must provide an
initial report to the Field Office and HUD Headquarters on the startup
of the planned activities within six months of your selection. Your
report must outline your accomplishments and identify any barriers or
issues for which the Department may provide assistance on the start-up
on your new award. Renewal and continuing projects are not required to
file this report.
2. Measuring Performance. You must report after each year of
operation on the annual accomplishments of your projects under the
HOPWA Annual Progress Report (form HUD-40110-B), including the required
performance measures described in Section III.C.2.c. of this Program
NOFA on Required HOPWA Performance Goals including reporting on annual
housing outputs and client outcomes in achieving housing stability,
reduced risks of homelessness, and improved access to healthcare and
other needed support. For each reporting period, you must provide a
completed Logic Model showing progress to date against projected
outputs and outcomes contained in your approved grant agreement. HUD
will use these reports and information obtained from HUD financial
systems, along with any remote or on-site monitoring, to measure your
progress and achievements in evaluating your performance on your HOPWA
grant.
3. Beneficiary Information. HUD requires that funded recipients
collect racial and ethnic beneficiary data. It has adopted the Office
of Management and Budget's Standards for the collection of Racial and
Ethnic Data. In view of these requirements, you should use one of the
following:
[sbull] HUD-27061, Racial and Ethnic Data Reporting Form
(instructions for its use) found on www.HUDclips.org;
[sbull] A comparable program form (HOPWA--Annual Performance Report
(APR) form HUD-40110-C); or
[sbull] A comparable electronic data system for this purpose.

VII. Agency Contacts

A. For Further Information and Technical Assistance (TA). For
technical assistance in downloading an application package from
Grants.gov/Apply, contact the Grant.gov help desk at 800-518-Grants or
by sending an e-mail to [email protected]. For programmatic
information, you may contact the HUD field office serving your area.
You can find the telephone number for the State or Area Office of
Community Planning and Development on HUD's Web site: www.hud.gov/offices/adm/grants/fundsavail.cfm. HUD staff may assist with program
questions, but may not assist in preparing your application. Persons
with hearing or speech challenges may access the above number via TTY
(text telephone) by calling the toll-free Federal Information Relay
Service at 800-877-8339.
B. Seeking Technical Assistance (TA) in Developing a HOPWA
Application. HOPWA TA providers may not provide technical assistance in
the drafting of responses to HUD's NOFA due to the unfair advantage
such assistance gives to one organization over another. If HUD
determines that HOPWA technical assistance has been used to draft a
HOPWA application, HUD reserves that right to reject the application
for funding. If, after your application has been selected for an award,
HUD determines that HOPWA technical assistance was used to draft your
application, the award will be withdrawn and you may be liable to
return to HUD any funds already spent.
C. Satellite Broadcast. HUD will hold information broadcasts via
satellite for potential applicants to learn more about the program and
preparation of the application. For more information about the date and
time of the broadcast, you should consult the HUD Web site at
www.hud.gov/grants.

VIII. Other Information

A. Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2506-0133. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
control number. Public reporting burden for the collection of
information is estimated to average 413 hours per annum per respondent
for the application and grant administration. This includes the time
collecting, reviewing, and reporting the data for the application,
semi-annual reports and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required

[[Page 14128]]

in order to receive the benefits to be derived.
B. Instructions on Filling Out Required HOPWA Application Budget
Form (HUD-40110-B).
Complete a separate ``Detailed Project Budget and Housing Outputs''
page (Section B) for the Grantee and for each Project Sponsor receiving
HOPWA funds under this application. Specific instructions:
1. Name of Organization: Enter the complete legal name of the
organization (grantee or project sponsor). (If you are completing an
electronic application, this data element is pre-populated after you
have completed the SF 424 information.)
2. Zip Code: Enter the zip code of the local headquarters of the
grantee or sponsor. (For electronic applications, this information is
pre-populated once you enter the information on the SF 424.
3. Type: Mark if you are completing this form for the grantee or
project sponsor, as applicable.
4. Grassroots: Indicate if the grantee or sponsor is a grassroots
faith-based or other community-based grassroots organization (see
General Section for definitions).
5. Eligible Activity Description: Provide a brief description in
each of the appropriate ``Eligible Activity'' categories for each
activity for which you are seeking funding. This description should be
a 1-2 line summary of the activity.
Example 1: Tenant-Based Rental Assistance Description: ``Provide
Long-term, tenant-based rental assistance through the ``Rent
Project'' to 25 individuals and 10 families per year over a three-
year grant period (average $5,000 per household per year).''
Example 2: Supportive Services Description: ``One employee
(0.5FTE) will provide case management, nutritional services, and
mental health counseling to 45 individuals in the AIDS Housing
facility each year for the three years of the grant term.''
Example 3: Permanent Housing Placement Description: ``Funds for
first months rent and security deposits and help in completing
housing forms for 25 households per year to move them to permanent
rental housing at $60,000 for the three years of the grant term.''
6. Budget: For each HOPWA Eligible Activity (lines 1-15), enter the
amount of requested HOPWA funds in the ``Totals'' column. In the
columns labeled ``Yr. 1'', ``Yr. 2'' and ``Yr. 3'', indicate in whole
dollars how you plan to spend the total funds over each of the project
years. If you are a submitting a new application and requesting funds
for Facility Development (lines 1-3), do not allocate Facility
Operations funds (lines 4-6) until the facility is developed and
operational.
7. # of Housing Units / # of Households: Indicate the number of
housing units or households, as applicable, that will be assisted
during each program year for which you are seeking funds.
8. Total HOPWA Request: Total the ``Budget'' amounts at the bottom
of the page.
C. Instructions on Completing HUD's Logic Model (Form HUD-96010).
(Note: Below are specific instructions for completing HUD's Logic Model
for the HOPWA program. Refer to the General Instructions for further
guidance on completing the Logic Model.)
The HOPWA program is intended to achieve the overall outcome that
persons assisted have been enabled to establish and/or better maintain
a stable living environment in housing that is safe, decent and
sanitary and to reduce the risks of homelessness and improve access to
healthcare and other supportive services. In addition, output is
measured each year on the number of units of housing/households
supported with HOPWA funds. Projects may also show how efforts foster
greater self-sufficiency and independence for clients from public
support. The outcomes and outputs on the Logic Model will be used as a
guide to assist HUD and grant recipients to measure the impact of the
HOPWA program in achieving HUD's objectives. At the end of each year of
assistance, HOPWA recipients should consider the effects of their
efforts and compare results to the planned outputs and the prior year's
outcome baseline on stable housing as part of an assessment of program
success. These assessments will help inform the community as well as
HUD in assessing past performance and helping to direct future efforts.
For example, if an assessment shows that some activities are not
helping beneficiaries achieve the desired outcome, recipients should
consider what alternatives or enhancements to program efforts might
better meet this goal. By its nature, short-term housing support is
expected to provide a temporary and unstable housing outcome if persons
remain dependent on this type of assistance.
Specific Instructions:
Program Name: Enter ``HOPWA''(For electronic application filers
this information is pre-populated once you have completed the SF 424
information).
Component Name: ``New'' or ``Continuing'' or ``Renewal'', as
applicable.
Strategic Goals: Enter ``2,4'' which conform to HUD's strategic
goals to ``Promote decent affordable housing'' and ``Ensure equal
opportunity in housing''
Policy Priorities: Below are HUD's policy priorities. HOPWA efforts
are established under item 1 in providing housing support and item 6 in
helping to end chronic homelessness. In addition to those items
(whichever is appropriate), applicants could add to attainment of the
other items. In the Policy Priorities column, enter the numbers which
best identify the priorities that apply to your application, including
1 and/or 6 along with any optional addition priority.
1. Provide increased homeownership and rental opportunities for low
and moderate-income persons, persons with disabilities, the elderly,
minorities and families with limited English proficiency. (HOPWA
included)
2. Improving our nation's communities
3. Encourage accessible design features
4. Provide full and equal access to grassroots faith-based and
other community-based organizations in HUD program implementation
5. Participation of minority-serving institutions in HUD programs
Ending chronic homelessness (HOPWA funded homeless projects
included).
6. Removal of regulatory barriers to affordable housing.
7. Participation in Energy Star.
Problem, Need or Situation: Provide a general statement of need
that provides the rationale for the proposed service or activity (i.e.,
describe the problem that you are addressing with your HOPWA
application program).
Service or Activity: Identify the services that you are providing
to address the Problem, Need or Situation identified above.
Output Goal: Using the figures from the `` of Units'' and
`` of Households'' section of the ``Detailed Project Budget
and Housing Outputs'' section of form 40110-B, identify the Short-Term,
Intermediate and Long-term output goals of your project.
For example: a short-term output goal might be ``to provide 14
units of housing for persons with HIV/AIDS and their families,'' an
intermediate output goal might be ``to assist 20 family members to find
jobs,'' and a Long-term output goal might be ``to assist 4 households
to purchase a home.''
Output Result:1 Do not complete this column in the application--
this will be used in annual progress reporting.
Achievement Outcome Goals: Identify the number of households who
will be able to:
(a) Establish and/or better maintain stable housing,

[[Page 14129]]

(b) Reduce their risks of homelessness or
(c) Improve their access to healthcare and other needed support.
The achievement of stable housing for HOPWA beneficiaries is
defined as the number of clients who will remain in residence in the
housing program or who leave the program through outplacement to other
permanent housing options, including private resources, and those with
a reasonable expectation of self sufficiency and independence after
their HOPWA assistance.
End Results: Do not complete this section.
Measurement Reporting Tools: Refer to general instructions on the
Logic Model.
Evaluation Process: Refer to general instructions on the Logic
Model.

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Housing for People who are Homeless and Addicted to Alcohol

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development
B. Title: Housing for People Who Are Homeless and Addicted to
Alcohol
C. Announcement Type: Initial announcement
D. Funding Opportunity Number: The Federal Register number is FR-
4950-N-33; the OMB approval number is pending.
E. Catalog of Federal Domestic Assistance Number: 14.235
F. Dates: The application submission date is May 19, 2005.
G. Additional Overview Content Information:
1. Applicants for funding should carefully review the requirements
identified in this Program NOFA and the General Section. Unless
otherwise stated in this Program NOFA, the requirements of the General
Section apply.
2. This NOFA announces the availability of approximately $10
million to award approximately ten two-year grants ranging up to
approximately $1 million per award. This two-year, competitive
demonstration program, developed in consultation with the Interagency
Council on Homelessness as required in Public Law 108-7, is designed to
provide supportive housing assistance to chronically homeless persons
who have been living on the streets for at least three hundred sixty-
five (365) days over the last five (5) years and have a long term
addiction to alcohol, otherwise known as serial inebriates. Clients
served by these funds will have been living on the streets at the time
of initial contact and will have no history of living in transitional
or permanent housing over the last five years. Grantees will partner
with local law enforcement and court systems and other relevant
institutions to identify eligible clients for this program. Grantees
will demonstrate existing relationships with service providers,
including grassroots community-based organizations including faith-
based organizations, to ensure the comprehensive supportive services
needs of the clients are addressed (through other funds). The project
must be located within a Continuum of Care that has at least 100 people
who are chronically homeless and unsheltered, according to the
Continuum of Care or a recent official count.

Full Text of Announcement

I. Funding Opportunity Description

A. Background. Research suggests that as many as 150,000 people
experience chronic homelessness in this country. People experiencing
chronic homelessness frequently suffer from addiction to alcohol or
other disabling conditions, and they are homeless for extended periods
of time or experience multiple episodes of homelessness. For the most
part, persons who are chronically homeless get help for a short time
but soon fall back to the streets and shelters. Because the long-term
needs of these persons are not comprehensively addressed, they cycle
through the homeless system and consume a significant portion of
available emergency resources. When persons who are chronically
homeless have access to basic assistance, like housing and treatment,
research suggests a reduction in the costs of expensive emergency
interventions.
People who have been living on the streets for a very long time
with a primary diagnosis of alcoholism are a particularly difficult to
serve homeless sub-population. Research indicates that 38 percent of
the overall homeless population experiences problems with alcohol.
Since evidence has shown that in certain communities alcoholism among
the homeless population is a major problem, including high utilization
of public resources, emergency medical services and the court system,
this demonstration targets this very difficult to serve population.
B. Program Description. This demonstration targets chronically
homeless persons who have been living on the streets for at least three
hundred and sixty-five (365) days over the last five (5) years and have
a long-term addiction to alcohol, otherwise described as serial
inebriates. Clients served by these funds will have been living on the
streets at the time of initial contact and will have no history of
living in transitional or permanent housing over the last five years.
It is the intent of Congress that funds awarded under this NOFA support
innovative solutions, which frequently result when local community
organizations work together. Building upon existing collaborations,
grantees are expected to work in conjunction with local law enforcement
agencies and courts, including the police department, sheriffs
department, superior court, city attorney, and/or city council, to
identify and refer eligible clients to projects funded by this program.
After clients are identified as having a long-term addiction to alcohol
and having lived on the streets for at least 365 days over the last
five years, the provider will determine, on a case-by-case basis, if
they need to be stabilized in programs (not funded through this
initiative), such as a residential treatment center, detoxification
center or other jail diversion program, for up to six months prior to
being placed into permanent supportive housing (funded through this
initiative).
Once the grantee, working in conjunction with the relevant
supportive service providers and the homeless client, determines that
the client is ready, grant funds for this initiative may be used to
provide permanent supportive housing for the client. Up to five percent
of the funds are available for providers to help clients identify and
obtain permanent supportive housing. HUD expects that approximately
half of the projects awarded will provide grants for leasing that are
project-based projects, and the other half will provide grants that are
tenant-based projects. Comprehensive alcoholism treatment services,
along with other relevant services, must be provided in a manner deemed
appropriate by the grantee and are subject to requirements of the
Supportive Housing Program regulations and other applicable laws and
regulations. Clients must be assisted in accessing relevant mainstream
service delivery systems, Food Stamps, Supplemental Security Income
(SSI), and Medicaid, for example.
Following this demonstration period, funded projects may be
eligible to apply, on a competitive basis, as a renewal project through
the Continuum of Care for Supportive Housing Program--Permanent Housing
(SHP-PH).
C. Authority. Public Law 108-7, approved February 20, 2003 (111
Stat. 494) authorizes this two-year demonstration program. The
Supportive Housing Program is authorized by Title IV, Subtitle C, of
the Stewart B. McKinney-Vento Homeless Assistance Act (McKinney-Vento
Act), 42 U.S.C. 11381.
D. Definitions. 1. Chronic homelessness refers to an unaccompanied
homeless individual with a disabling condition who has either been
continuously homeless for a year or more OR has had at least four (4)
episodes of homelessness in the past three (3) years. To be considered
chronically homeless, persons must have been sleeping in a place not
meant for human habitation (e.g., living on the streets) and/or in an
emergency shelter during that time. An episode is a separate, distinct,
and sustained stay on

[[Page 14137]]

the streets and/or in an emergency homeless shelter.
2. For the purpose of this NOFA, disabling condition is defined as
``a diagnosable substance use disorder, serious mental illness,
developmental disability, or chronic physical illness or disability,
including the co-occurrence of two or more of these conditions. A
disabling condition limits an individual's ability to work or perform
one or more activities of daily living.''
3. A serial inebriate is defined as a chronically homeless person
who has been living on the streets for at least 365 days over the last
five years and who has a long-term addiction to alcohol. (To be
eligible for this program, clients served by these funds will be living
on the streets at the time of initial contact and will have no history
of living in transitional or permanent housing over the last five
years.)

II. Award Information

This NOFA announces the availability of approximately $10 million
to award approximately ten grants ranging up to approximately $1
million per award.

III. Eligibility Information

A. Eligible Applicants. Eligible applicants are States, local
government, other government agencies, and public and private nonprofit
organizations that are part of a Continuum of Care in jurisdictions
that have at least 100 people who are chronically homeless and
unsheltered.
B. Eligible Activities. Eligible activities are limited to leasing
of housing and limited housing search and administrative expenses. For
the purpose of this NOFA, housing activities include only leasing and
housing search.
C. Other. 1. Eligible clients. Eligible clients are chronically
homeless persons who have been living on the streets for at least 365
days over the last five years and who have a long-term addiction to
alcohol. (To be eligible for this program, clients served by these
funds will be living on the streets at the time of initial contact and
will have no history of living in transitional or permanent housing
over the last five years.)
2. Threshold Requirements.
a. Ineligible Applicants. HUD will not consider an application from
an ineligible applicant.
b. Applicants, and Sub-grantees, must meet the Threshold
Requirements in the General Section of the SuperNOFA.
c. Compliance With Fair Housing and Civil Rights Laws.
(1) Applicants must comply with all applicable fair housing and
civil rights requirements in 24 CFR 5.105(a). In addition to these
requirements, there may be program-specific threshold requirements
identified in the individual Program NOFAs.
(2) If you, the applicant:
(a) Have been charged with an ongoing systemic violation of the
Fair Housing Act; or
(b) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an on-going pattern or practice of
discrimination; or
(c) Have received a letter of findings identifying ongoing systemic
noncompliance under Title VI of the Civil Rights Act of 1964, Section
504 of the Rehabilitation Act of 1973, or Section 109 of the Housing
and Community Development Act of 1974; and
(d) The charge, lawsuit or letter of findings referenced in subpart
(a), (b), or (c) above has not been resolved to HUD's satisfaction
before the application deadline, then you are ineligible and HUD will
not rate and rank your application.
(2) Examples of actions that would normally be considered
sufficient to resolve the matter include, but are not limited to:
(a) A voluntary compliance agreement signed by all parties in
response to a letter of findings;
(b) A HUD-approved conciliation agreement signed by all parties;
(c) A consent order or consent decree; or
(d) An issuance of a judicial ruling or a HUD Administrative Law
Judge's decision.''
d. Affirmatively Furthering Fair Housing. Under Section 808(e)(5)
of the Fair Housing Act, HUD has a statutory duty to affirmatively
further fair housing. HUD requires the same of its funding recipients.
If you are a successful applicant, you will have a duty to
affirmatively further fair housing opportunities for classes protected
under the Fair Housing Act. Protected classes include race, color,
national origin, religion, sex, disability, and familial status. The
application should include specific steps to:
(1) Overcome the effects of impediments to fair housing choice that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, you, the applicant, have a duty to carry out the specific
activities provided in your responses to the rating factors that
address affirmatively furthering fair housing.
3. Program Requirements. a. Applicants must be a part of a
Continuum of Care. Please provide as documentation a copy of the
Continuum of Care Planning Process Organization that was submitted in
the most recent Continuum of Care competition.
b. The project must be located within a Continuum of Care that has
at least 100 people who are chronically homeless and unsheltered,
according to the Continuum of Care or a recent official count. Please
identify by program year and date of submission the most recent
Continuum of Care documentation submitted to HUD, so HUD staff can
confirm that the jurisdiction has identified the required 100 people.
c. All clients are expected to receive necessary supportive
services from the time they are identified and as long as necessary
after they are placed into permanent supportive housing.
d. Grantees shall derive all supportive services funds, including
substance abuse treatment, from other public or private sources,
including community-based organizations, inclusive of faith-based
organizations.
e. Funds made available under this NOFA are subject to the program
regulations at 24 CFR part 583.
f. Grantees currently operating facilities or activities that serve
homeless persons may only receive SHP funding if the project proposes
to increase the number of homeless persons served.
g. Safeguarding Resident/Client Files. In maintaining resident
files, HUD funded recipients shall observe state and local laws
concerning the disclosure of records that pertain to individuals.
Further, recipients are required to adopt and take reasonable measures
to ensure that resident/client files are safeguarded.
h. Environmental Impact. Activities under this NOFA are subject to
the environmental review provisions set out at 24 CFR 583.230. A
recipient, its project partners and their contractors may not commit or
expend any assistance or nonfederal funds on project activities (other
than those listed in 24 CFR 58.22(c), 58.34 or 58.35(b)) until HUD has
approved a Request for Release of Funds and environmental certification
from the responsible entity. The expenditure or commitment of
assistance or nonfederal funds for such activities prior to this HUD
approval may result in the denial of assistance for the project under
consideration.
D. Match. For the purposes of this two-year demonstration program,
applicants must match all funds provided through this initiative on at

[[Page 14138]]

least a dollar for dollar basis with cash for supportive services. Cash
already claimed as leverage or match as part of the Continuum of Care
activities may not be claimed to offset this match requirement.
Grantees shall derive services funds from public or private sources,
including community-based organizations, inclusive of faith-based
organizations, but shall not derive services funds from other HUD-
funded homeless assistance grants. Refer to 24 CFR 84.23 (for
nonprofits) and 85.24 (for state and local governments) for information
governing matching funds, but note that the cash requirements of this
two-year demonstration program are more restrictive than the
requirements that may apply to other grant programs.

IV. Application and Submission Information

A. Addresses to Request Application Package. Applicants may
download the NOFA from the Grants.gov Web site at http://www.grants.gov. If you have difficulty accessing the information you
may call the grants.gov help desk at 800-518-GRANTS. The operator will
assist you in accessing the information. Please see the General Section
for information on electronic application submission, procedures for
requesting a waiver, and timely submission and receipt requirements.
B. Content and Form of Application Submission. 1. Required
Materials. There is no separate application kit. This notice contains
all the information necessary for submission of your application.
a. In addition to the required narratives, please include in your
application each item in the order listed below:
(1) SF-424, Application for Federal Assistance.
(a) Every section should be completed.
(b) When completing box 15, the component selected should be
either:
i. Permanent Housing for Persons with Disabilities, or
ii. Safe Havens--Permanent (Safe haven projects have the
characteristics of permanent housing and will require participants to
execute a lease agreement.)
(2) HUD-2991, Certification of Consistency with Consolidated Plan.
(3) SF-424-SUPP, Survey on Ensuring Equal Opportunity for
Applicants.
(4) HUD 27300, America's Affordable Communities Initiative.
(5) HUD-96011, Facsimile Transmittal.
(6) HUD-96010, Program Outcome Logic Model.
(7) SF-LLL, Disclosure of Lobbying, if applicable.
(8) HUD 40112.1, Program Project Information.
(9) HUD 40112.2, Number of Beds and Participants Charts. (The
period of performance for all grants awarded through this NOFA will be
up to two-years.)
(a) This section is composed of two charts:
(i) Chart 1 is for recording the number of beds/bedrooms in the
project.
(ii) Chart 2 is for recording the number of participants to be
served.
(b) Instructions for Completing Chart 1 and Chart 2. Note: If your
project is funded, you will be responsible for achieving the numbers
submitted.
(i) In the first column, please enter the requested information for
all items at a point in time (a given night). You should only fill out
this column if you propose to use existing facilities to serve the
homeless. If not, enter ``N/A'' in this column.
(ii) In the second column, enter the new number of beds and persons
served at a point in time if this project is funded.
(iii) In the third column, enter the projected level (columns 1 and
2 added together) that your project will attain at a point in time.
(iv) In the fourth column, enter the number of persons to be served
over the grant term.
(10) HUD 40112.3, Leasing Information.
(a) Leasing Units for Housing.
(i) Housing space may be in the form of scattered-site leased
units, or within a structure. The structures to be leased may be
structures currently configured for, or structures to be converted to
provide, supportive housing and/or supportive services.
(ii) If you propose to lease units in more than one metropolitan or
non-metropolitan area, fill in the appropriate number of tables for
each area with a different FMR or actual rent. Please submit multiple
copies of this Chart as needed to accommodate projects using more than
one FMR or actual rent.
(iii) Enter the number of unit(s) by the bedroom size to be leased
and the lower of the actual rent or the FMR as published in the Federal
Register on October 1, 2004. (FMRs may be found using this WEB site:
http://www.huduser.org/datasets/fmr.html) The space to be leased may be
scattered-site (e.g., one-bedroom apartments in five different
apartment complexes) or contained within a structure (e.g., a group
home with six bedrooms).
(iv) Multiply the number of units by the FMR or actual rent,
whichever is lower, by the length of the grant ( of units x
FMR or actual rent x months based on grant term) and enter the result
in the total column.
(v) Please note that the FMR for a single room occupancy (SRO) unit
is equal to 75 percent (0.75) of the 0-bedroom FMR. The FMRs for unit
sizes larger than 4-bedrooms are calculated by adding 15 percent to the
4-bedroom FMR for each extra bedroom. For example, the FMR for a 5-
bedroom unit is 1.15 times the 4-bedroom FMR, and the FMR for a 6-
bedroom unit is 1.30 times the 4-bedroom FMR.
(vi) Chart A should be filled out only if you will lease individual
units or structures that are currently configured for housing and/or
services and, therefore, an FMR or actual rent can be used. If you have
negotiated an actual rent (s) which is lower than the FMR, please use
that amount instead of the FMR. The actual rent may not exceed the FMR.
(vii) If your project has been approved for exception rents use
those amounts when completing these charts AND submit your current
approval letter with this document.
(b) Leased Structure(s) for Housing
(i) If you will lease a structure or portion of a structure for
housing, fill out Chart B below using a monthly leasing cost that is
comparable to and no more than the rents being charged for similar
space in the area. This applies to structures already configured for
housing and for those that will be converted. If your project has more
than one structure, reproduce Chart B and fill it out starting with
structure 2.
(ii) Multiply the monthly leasing costs by the number of months
requested for funding and enter the result in the total column.
(iii) Chart B should be filled out only if you will lease a
structure or portion of a structure for which an FMR is not applicable.
(11) HUD 40112.4, Additional Key Information. HUD needs the
information in this form to respond to public and Congressional
inquiries about program benefit.
(12) SF 424A, Budget Information--Non-Construction. Only Complete
Sections A and C.
(a) In Section A, column (a) which is labeled ``Grant Program
Function or Activity'', the applicant must list the activities that
will be funded through this grant and provided as cash match:
i. Row 1 should state leasing;
ii. Row 2 should state housing search assistance;
iii. Row 3 should state administration.

[[Page 14139]]

iv. Row 4 should state services.
(b) Columns (b), (c) and (d) of Section A should be left blank.
(c) In column (e) of Section A, list the funds you are requesting
through this NOFA in rows 1 through 3. NOTE: Although column (e) is
labeled ``Federal,'' do not enter all Federal Funds in this column.
Enter only those funds requested from this NOFA.
(d) Use column (f) of Section A to indicate the other funds you are
committing to this project. Note: Although column (f) is labeled ``Non-
Federal,'' use this column to show all funds, Federal and non-federal,
other than the SHP funds listed in column (e), which will support this
project. Column (g) is a calculated field and should equal your total
project budget.
(e) Column (a) of Section C, Non-Federal Resources, contains
calculated fields and will list leasing, housing search assistance,
administration and services in rows one through four.
(f) Use columns (b) Applicant, (c) State and (d) Other of Section C
should to show the non-federal cash match for each of the activities
listed in rows one through four.
(g) Column (e) of Section C should total the amount of cash match
for each of the activities. Note: Column (e) row 12 must be equal to or
greater than your total grant request shown in Section A column (e) row
5 in order to satisfy the match requirement.
(13) Budget Narrative. A one-page narrative must be submitted that
explains how the applicant arrived at the cost estimates for any line
items, including match items.
2. Required Certifications. By signing the SF-424 cover page:
a. The governing body of your organization has duly authorized the
application for federal assistance. In addition, by signing and/or
electronically submitting your application, you certify that the
Authorized Organization Representative signing the application:
(1) has the legal authority to apply for Federal assistance and the
institutional, managerial, and financial capacity (including funds to
pay for any non-federal share of program costs) to plan, manage and
complete the program as described in the application; and will provide
HUD any additional information it may require; and
(2) will administer the award in compliance with requirements
identified and contained in the Notice of Funding Availability as
applicable to the program for which funds are awarded and in accordance
with requirements applicable to the program.
b. No appropriated Federal funds have been paid or will be paid, by
or on behalf of the applicant to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, or an employee of a Member of Congress, in connection with
this application for Federal assistance or any award of funds resulting
from the submission of this application for Federal assistance, or its
extension, renewal, amendment, or modification. If funds other than
Federal appropriated funds have been or will be paid for influencing or
attempting to influence the persons listed above, the applicant agrees
to complete and submit Standard Form LLL, Disclosure Form to Report
Lobbying, as part of its applications submission package. The applicant
further agrees to and certifies that it will require all subawards at
all tiers including subgrants and contracts to similarly certify and
disclose accordingly.
C. Submission Date and Times. Applications must be submitted to and
received by Grants.gov on or before 11:59:59 p.m. eastern time on May
19, 2005. Please be sure to read the General Section for timely
submission and receipt requirements as submission requirements have
substantially changed this year. Failure to follow the submission
requirements and procedures may affect your ability to receive an award
of funds.
D. Intergovernmental Review.

This program is excluded from an Intergovernmental Review.

E. Funding Restrictions. 1. Housing funds available through this
initiative may only be used to provide grants for leasing, limited
housing search assistance and administration.
2. No more than 5 percent of each project award may be used for
housing search assistance.
3. No more than 5 percent of each project award may be used for
administrative costs, such as accounting, preparing HUD reports,
obtaining audits, and other costs associated with administering the
grant.
4. Costs for new construction, rehabilitation, acquisition,
operating costs, and supportive services are not allowable costs for
reimbursement under this NOFA.
5. Under no circumstances may SHP leasing funds be used to lease
units or structures owned by the project sponsor, the selectee, or
their parent organizations. This includes organizations that are
members of a general partnership where the general partnership owns the
structure.
6. Activities undertaken to benefit populations other than the
target population as defined in Section I.B, above, will not be funded.
7. Clients served by these funds must be living on the streets at
the time of initial contact and will have no history of living in
transitional or permanent housing over the last five years.
F. Other Submission Requirement. Applicants receiving a waiver to
the electronic submission requirement may submit a paper copy
application. Applicants that have received a waiver of the electronic
submission requirement should consult the General Section for
application submission instructions including Appendix C for the
correct mailing address and number of copies.

V. Application Review Information.

A. Criteria. The following are descriptions of the rating factors
upon which the application will be scored. The total number of pages
allotted to each rating factor is specified. Additional narrative or
lists, other than those specified in the rating factors below, will not
be considered. Lists that are requested in a rating factor are not
included in the page limit.
1. Capacity of the Applicant and Relevant Organizational Staff
(Points 20). Up to 20 points will be awarded based on the following
questions (two pages total):
a. What experience does the applicant have in providing supportive
housing and collaborating with agencies that provide an array of needed
supportive services to persons who have been living on the streets for
at least 365 days over the last five years and who have a long-term
addiction to alcohol.
b. What existing relationships does the applicant have with law
enforcement agencies, courts, substance abuse service systems and other
supportive services organizations, sub-contractors, consultants, sub-
recipients, and members of consortia that are firmly committed to the
project?
c. How have the applicant and partner agencies demonstrated the
management and organizational capability to manage this collaboration?
d. What is the applicants' past performance in managing public or
private funds and the timely use of funds received from Federal, State
or local sources?
2. Need/Extent of Problem (Points 10). (one page total):
This factor addresses the extent to which (a) there is a need for
funding the proposed activities described in the applicant's work plan,
and (b) the degree to which the applicant's work

[[Page 14140]]

plan substantively addresses departmental policy priorities. Please
note, there must be at least 100 people who are chronically homeless
and unsheltered in your Continuum of Care.
a. Needs Data (5 points).
Please provide in the response, the extent to which the community
the applicant serves has documented the extent of homelessness and the
presence of persons who are chronically homeless and addicted to
alcohol in its Continuum of Care, Consolidated Plan, Analysis of
Impediments to Fair Housing Choice (AI), or other planning documents.
Briefly describe where the target population will come from and the
outreach plan to bring them into the project. Please describe the
approach in identifying the needs of the target population. Higher
points will be awarded to applicants that can quantify the number/
percent reduction in overall homelessness and chronic homelessness to
be achieved by the proposed work plan.
b. Departmental Policy Priorities (5 points).
The Departmental policy priorities are described in detail in the
General Section. The following four priorities apply for the purpose of
this NOFA. Indicate if, and describe how, the applicant's work plan
substantively addresses each of these departmental policy priorities.
Applicants are advised to review the policy priorities in the General
Section, to assure they fully understand the meaning of each, prior to
responding to this sub-factor.
In scoring this section, the applicant will receive one point for
each of the departmental policy priorities (1)--(3) that the work plan
substantively addresses. Up to 2 points are available for priority (4).
The activities the applicant proposes in its projected work plan,
detailed in Factor 3 of this NOFA, must address the policy priorities
for priorities (1)-(3) in order to receive rating points. Points will
only be awarded to applicants for policy priority (4) if the submission
includes the required documentation or URL sites where the
documentation can be found.
(1) Providing Full and Equal Access to Grassroots, Faith-Based and
Other Community-Based Organizations in HUD Program Implementation.
Please describe how the applicant encourages the involvement of faith-
based and community-based organizations in developing and implementing
the proposed project, and the extent to which these groups participate
in developing their work plans.
(2) Ending Chronic Homelessness. Please describe how the program
meets this policy priority. The applicant should be mindful of the
requirements of the regulations implementing Section 504 of the
Rehabilitation Act, in particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1) and
8.4(d).
(3) Participation in Energy Star. To obtain the policy priority
points for energy star, the applicant must set quantitative goals for
activities such as replacing worn products or facilities such as light
bulbs, water heaters, furnaces, etc., with Energy Star products to
reduce operating costs.
(4) Removal of Regulatory Barriers to Affordable Housing. To obtain
the policy priority points for efforts to successfully remove
regulatory barriers, applicants must complete form HUD-27300,
``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers.'' Copies of HUD's notices published on this issue, can be
found on HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Under this policy priority, higher rating points are available to:
(a) Governmental applicants that are able to demonstrate successful
efforts in removing regulatory barriers to affordable housing and
(b) Nongovernmental applicants that are associated with
jurisdictions that have undertaken successful efforts in removing
barriers.
3. Soundness of Collaborative Approach (Points 40). Up to 40 points
will be awarded based on the extent to which the applicant collaborates
with the identified partners to accomplish the goals described in
response to this rating factor. (10 pages total):
a. The applicant should provide memoranda of agreement that clearly
specify the roles and signatures of the partners involved in this
collaboration, including, but not limited to, law enforcement agencies,
courts, substance abuse service systems and other supportive services
organizations, sub-contractors, consultants, sub-recipients, and
members of consortia. The memoranda are not included in the page
limitation.
b. How will the applicant work with the partners identified in the
memoranda, the local Continuum of Care and partner agencies to develop
and implement this program? How does this program support existing
homeless and housing plans in the jurisdiction?
c. What role will the police department, sheriffs department,
superior court, city attorney, city council, and/or local hospitals
have in identifying eligible clients? How will clients be referred to
the program?
d. How will the applicant and partners determine that the clients
have lived on the streets for at least 365 days over the past five
years and are addicted to alcohol? How will the applicant and partners
determine that the clients have been living on the streets at the time
of initial contact and have no history of living in transitional or
permanent housing over the last five years?
e. How will the applicant and partner providers determine if
clients need to be stabilized in programs, such as residential
treatment centers, detoxification centers or other jail diversion
programs (for up to six months) before being placed into permanent
housing? What role will the clients have in this determination?
f. How will participants be assisted both to obtain and remain in
permanent housing? How will housing be identified and how will the
client be assisted in finding housing? What role will the limited
housing search assistance provided through this initiative have in
identifying suitable housing for the clients? What role will the
clients have in selecting the permanent housing?
g. What type of housing will be provided? How do the TYPE (e.g.,
apartments, group home) and SCALE (e.g. number of units, number of
persons per unit) of the proposed housing will fit the needs of the
participants? Will existing structures be utilized? If this will be an
expansion of an existing project, what new housing will be available as
a result of this initiative? How will the housing be accessible to
persons with disabilities in accordance with applicable laws?
h. Where will the housing be located? To what extent will the
project integrate both the grantees and clients into the community
being served?
i. Has the applicant set goals to reduce operating costs through
energy efficiency when selecting housing providers, treatment centers,
and other community facilities? How will the applicant work with
partner treatment centers, and housing providers to undertake program
activities and capital maintenance planning, to replace worn products
or facilities such as light bulbs, water heaters, furnaces, etc., with
Energy Star products to reduce operating costs?
j. If the applicant selected the permanent housing for persons with
disabilities component where more than 16 persons will reside in a
structure, what local market conditions necessitate the development of
a project of this size and how the housing will be integrated into the
neighborhood?
k. If the applicant selected the innovative supportive housing
component projects, explain how the

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project represents an approach that is new to the area, is a sensible
model for others, and can be replicated in other communities.
l. What basic COMMUNITY AMENITIES (e.g., medical facilities,
grocery store, recreation facilities, schools, etc.) will be readily
ACCESSIBLE (e.g., walking distance, bus, etc.) to the clients?
m. What supportive services (not funded through this grant) will
the participants receive? Applicants must demonstrate how the
comprehensive substance abuse treatment services will be made available
for the clients through other public or private sources. Demonstrate
for each of the following:
(1) How the TYPE (e.g., case management, job training) and SCALE
(e.g., the frequency and duration) of the supportive services proposed
will fit the needs of the participants.
(2) WHERE the supportive services will be provided and what
TRANSPORTATION will be available to participants to access those
services.
(3) The details of the plan to ensure that all homeless clients
will be individually assisted to identify, apply for and obtain
benefits under which of the following mainstream health and social
services programs for which they are eligible: SSI, TANF, Medicaid,
Food Stamps, SCHIP, Workforce Investment Act and Veterans Health Care
programs.
n. How will participants be assisted both to increase their incomes
and to maximize their ability to live independently and achieve self-
sufficiency? Please describe how services and treatment will be linked
to housing so that the target population will be able to achieve his or
her own degree of self sufficiency or quality of life.
o. How is the proposed program a cost-effective approach to meeting
the needs of the target population? In the attached budget, please
indicate the housing, housing search assistance and administration
(funded through this initiative) and services (not funded through this
initiative), with the appropriate partner match.
p. How is the proposed program innovative, as defined by the
applicant? How is the program different from any other program in the
community and is the program replicable?
q. How will the project be sustained once the term of the grant has
expired?
4. Leveraging Resources (Points 20). Up to 20 points will be
awarded based on the applicants' answers to the following (two pages
total):
a. What resources are the applicant and its partners bringing to
the collaboration to achieve the goals and objectives?
b. Please describe the expectations regarding federal grant support
and maximization of other (non-grant) revenue relative to the proposed
plan, including a description of leveraging resources.
c. What is the total grant dollars per client/unit and total cost
per client/unit?
5. Achieving Results and Program Evaluation (Points 10). Applicants
are required to complete HUD-96010, Program Outcome Logic Model. Up to
10 points will be awarded to the extent that the applicant provides the
following: (one page total):
a. Goals, output and outcome measures that are clearly specified
and measurable;
b. Contact information for the lead entity responsible for each
measure;
c. Reasonable benchmarks to achieve the tasks with an accompanying
timeline;
d. Reasonable plan for measurement and timely adjustment if the
applicant is not meeting the specific outcomes within the established
timeframes;
e. The extent to which performance feedback and continuous
improvement are integral to the design of the proposed project;
f. A plan for evaluating the effectiveness of the program.

B. Reviews and Selection Process

Personnel of the Department of Housing and Urban Development will
review Grant applications internally. The Assistant Secretary for
Community Planning and Development will select the applications for
award.
1. Ranking: The score for all ranking factors will be summed to
obtain a total score for each project submitted under this NOFA.
2. Selection and Adjustments to Funding: a. Selection. Projects
will be awarded based on national ranking as described above and
according to the provisions for diversity described below. The awarding
of funds may be conditional upon receipt of further information, as
requested. When insufficient funds remain to fund all projects
requesting funding that receive the same total score, ties will be
broken among such projects by comparing scores received by the projects
for each of the following scoring factors, in the order shown:
Soundness of Collaborative Approach, Capacity, and Leveraging
Resources. Please see section IV.A of the General Section for more
information about award administration.
b. Adjustments to Funding. In order to ensure maximum geographic
diversity in the awards, no individual project applicant and no one
unit of general local government will be awarded more than 10 percent
of the total amount of available resources under this NOFA. HUD
reserves the right to make selections out of rank order to provide for
geographic distribution of funds.

VI. Award Administration Information

A. Award Notices

1. Selected Applicants. Selected applicants will be notified in
writing. As necessary, selected applicants will subsequently be
requested to submit additional project information, which may include
documentation to show the project is financially feasible;
documentation of firm commitments for cash match; documentation showing
site control; information necessary for the performance of an
environmental review, where applicable; and such other documentation as
specified in writing to the applicant that confirms or clarifies
information provided in the application. Selected applicants will be
notified of the deadline for submission of additional information. If a
selected applicant is unable to meet any conditions for fund award
within the specified timeframe, those funds may be withdrawn and
instead used to select the next highest ranked application(s) from the
competition for which there are sufficient funds available.
2. Corrections to Deficient Applications. See the General Section.

B. Administrative and National Policy Requirements

Additional Non-discrimination and Other Requirements. You, the
applicant, and your subrecipients must comply with:
a. Civil Rights Laws, including the Americans with Disabilities Act
of 1990 (42 U.S.C. 1201 et seq.), the Age Discrimination Act of 1974
(42 U.S.C. 6101 et seq.) and Title IX of the Education Amendments Act
of 1972 (20 U.S.C. 1681 et seq.).
b. Economic Opportunities for Low- and Very Low-Income Persons
(Section 3). Certain programs to be issued during FY2005 require
recipients of assistance to comply with Section 3 of the Housing and
Urban Development Act of 1968 (Section 3), 12 U.S.C. 1701u (Economic
Opportunities for Low- and Very Low-Income Persons in Connection with
Assisted Projects) and the HUD regulations at 24 CFR part 135,
including the reporting requirements at subpart E. Section 3 requires
recipients to ensure that, to the greatest extent

[[Page 14142]]

feasible, training, employment, and other economic opportunities will
be directed to low- and very-low income persons, particularly those who
are recipients of government assistance for housing, and business
concerns that provide economic opportunities to low- and very low-
income persons.
c. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. See the General
Section.
d. Executive Order 13166, ``Improving Access to Services for
Persons With Limited English Proficiency (LEP).'' Executive Order 13166
seeks to improve access to federally assisted services, programs and
benefits for individuals with limited English proficiency. Applicants
obtaining an award from HUD must seek to provide access to program
benefits and information to LEP individuals through translation and
interpretive services in accordance with LEP Guidance published on
December 19, 2003 (68 FR 70968). For assistance and information
regarding your LEP obligation, go to http://www.LEP.gov.
e. Executive Order 13279, ``Equal Protection of the Laws for Faith-
Based and Community Organizations.'' See the General Section.
f. Accessible Technology. See the General Section.
g. Procurement of Recovered Materials. See the General Section.
h. Participation in HUD-Sponsored Program Evaluation. See the
General Section.
i. Salary Limitation for Consultants. See the General Section.
j. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance Programs. See the General Section.
k. Conflicts of Interest. See the General Section.
l. Relocation. The SHP program is subject to the requirements of
the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, as amended (URA). If activities under this grant
result in displacement or relocation, grantees must comply with URA.
See General Section.
m. Public Access, Documentation, and Disclosure. See the General
Section of the SuperNOFA for more information on this topic.

C. Reporting

See the General Section for more information. The applicant shall
submit semiannual reports and a final report to HUD. For each reporting
period, as part of your required report to HUD, you must include a
completed Logic Model (Form 96010). HUD will use this information to
determine progress of the grantees toward meeting their goals. Grantee
performance will be measured by the number of persons who are serial
inebriates that moved off the streets and were placed into permanent
housing. It is expected that local evaluations will include measuring
progress toward accomplishing the tasks described in the grant
application and providing for collection of quantitative and
qualitative data that permits measurement of progress toward achieving
the outputs and outcomes envisioned by the goals and objectives
contained in the application. Grantees must collect outcome information
on clients served to be compared against benchmarks throughout the term
of the grant.

VII. Agency Contact

You may contact Marianne Nazzaro, Office of Special Needs,
Department of Housing and Urban Development, Room 7208, 451 Seventh
Street, SW., Washington, DC 20410-7000; telephone (202) 708-1590,
extension 2076 (this is not a toll-free number); e-mail [email protected]. This number can be accessed via TTY by calling the
toll-free Federal Information Relay Service at 1-800-877-8339.

VIII. Other Information

Paperwork Reduction Act Statement. The information collection
requirements in this NOFA have been submitted to OMB for approval under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and approval
is pending. Under the Paperwork Reduction Act, 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.

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BILLING CODE 4210-32-C

Assisted Living Conversion Program (ALCP) for Eligible Multifamily
Housing Projects

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Housing Assistance and Grant Administration.
B. Funding Opportunity Title: The Assisted Living Conversion
Program for Eligible Multifamily Projects.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The OMB Approval Number is: 2502-
0542. The Federal Register number for this NOFA is: FR-4950-N-06.
E. Catalog of Federal Domestic Assistance (CFDA) Number: The
Assisted Living Conversion Program for Eligible Multifamily Housing
Projects is 14.314.
F. Dates: Application Deadline Date: The application must be
submitted to HUD on June 22, 2005.
G. Optional, Additional Overview Content Information: The purpose
of this program is to provide grants for the conversion of some or all
of the dwelling units in an eligible project into assisted living
facilities (ALFs) for frail elderly persons. Private nonprofit owners
of eligible developments interested in applying for funding under this
grant program should carefully review the General Section and the
detailed information listed in this program NOFA. Funding will only be
provided for those items related to the conversion. There is no
separate Application Kit for this NOFA.
The ALCP will fund those applications that may impact Federal
problem solving and policymaking and that are relevant to HUD's policy
priorities and annual goals and objectives. (Refer to the General
Section for discussion of these priorities and annual goals and
objectives).

Full Text of Announcement

I. Funding Opportunity Description

Program Description. Assisted living facilities (ALFs) are designed
to accommodate frail elderly persons and people with disabilities who
need certain support services (e.g., assistance with eating, bathing,
grooming, dressing, and home management activities). ALFs must provide
support services such as personal care, transportation, meals,
housekeeping, and laundry. Frail elderly person means an individual 62
years of age or older who is unable to perform at least three
activities of daily living (ADLs) as defined by the regulations for
HUD's Section 202 Program (Supportive Housing for the Elderly) at 24
CFR 891.205. Assisted living is defined in section 232(b)(6) of the
National Housing Act (12 U.S.C. 1715w).
The ALCP provides funding for the physical costs of converting some
or all of the units of an eligible multifamily development into an ALF,
including unit configuration and related common and services space and
any necessary remodeling, consistent with HUD or the state's statute/
regulations (whichever is more stringent). Typical funding will cover
basic physical conversion of existing project units, as well as related
common and services space. There must be sufficient community space to
accommodate a central kitchen or dining facility, lounges, recreation,
and other multiple-areas available to all residents of the project, or
office/staff spaces in the ALF. When food is prepared at an off-site
location, the preparation area of the facility must be of sufficient
size to allow for the installation of a full kitchen, if necessary. You
must provide supportive services for the residents either directly or
through a third party. Your application must include a firm commitment
for the supportive services to be offered within the ALF as part of the
application. You may charge assisted living residents for meals and/or
service fees. Residents may contract with third party agencies directly
for nursing, therapy, or other services not offered by the ALF.
The Assisted Living Conversion Program is authorized by Section
202(b) of the Housing Act of 1959 (12 U.S.C. 1701q-2) and the
Consolidated Appropriations Act, 2005 (Public Law 108-447, approved
December 8, 2004. The FY2005 Appropriations Act provides $24,800,000
which reflects a .008 percent across-the-board rescission pursuant to
Public Law 108-447) for grants under Section 202b of the Housing Act of
1959 for the conversion of eligible projects to assisted living or
related use and for emergency capital repairs. The Department has set-
aside $25 million for emergency capital repairs. The eligibility
requirements for obtaining funding for emergency capital repairs are
described in a separate HUD Notice. Any unused funds from the emergency
capital repairs set-aside will be returned to the funds allocated for
eligible multifamily assisted projects.

II. Award Information

A. Available Funds

This NOFA makes available approximately $35 million including
carryover funds. Approximately $5,000,000 will be provided for the
conversion of one unused or underutilized commercial property to an
Assisted Living Facility. The remaining $30,000,000 will be fair shared
and used for the physical conversion of eligible multifamily assisted
housing projects or portions of projects to ALFs.
The allocation formula used to fair share the $30,000,000 for the
ALCP reflects demographic characteristics of age and incidence of
frailty that would be expected for program participants. The FY2005
formula consists of one data element from the 2000 decennial census:
The number of non-institutional elderly population aged 75 years or
older with a disability. A fair share factor for each state was
developed by taking the sum of the persons aged 75 or older with a
disability within each state as a percentage of the sum of the same
number of persons for the total United States. The resulting percentage
for each state was then adjusted to reflect the relative difference in
the cost of providing housing among the states. The total of the grant
funds available was multiplied by the adjusted fair share percentage
for each state, and the resulting funds for each state were totaled for
each Hub.
The ALCP grant funds fair share allocations, based on the formula
above, to the 18 multifamily Hubs are as shown on the following chart:

B. FY2005 Allocation

FY 2005 Allocation for the Assisted Living Conversion Program (ALCP) of
Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
Hub Grant authority
------------------------------------------------------------------------
Boston............................................... $1,588,725.95
Buffalo.............................................. 746,836.56
New York............................................. 1,606,125.87
Philadelphia......................................... 3,065,533.23
Baltimore............................................ 1,198,041.27
Greensboro........................................... 1,241,678.78
Atlanta.............................................. 2,360,579.84
Jacksonville......................................... 3,173,145.72
Chicago.............................................. 2,017,999.24
Columbus............................................. 1,301,531.19
Detroit.............................................. 1,036,426.41
Minneapolis.......................................... 985,420.01
Fort Worth........................................... 2,756,098.28
Kansas City.......................................... 1,996,643.65
Denver............................................... 647,769.64
Los Angeles.......................................... 1,649,145.84
San Francisco........................................ 1,720,039.06

[[Page 14150]]

Seattle.............................................. 908,259.47
------------------
Total............................................ $30,000,000.00
------------------------------------------------------------------------

The ALCP Grant Agreement, when fully executed, obligates and
contracts the HUD funds. This Agreement establishes the legal
relationship between HUD and the ALCP award recipient. The period of
performance will be based on the scope of work but shall not exceed 18
months.

III. Eligibility Information

A. Eligible Applicants

Only private nonprofit owners of eligible multifamily assisted
housing developments specified in section 683(2) (B), (C), (D), (E),
(F), and (G) of the Housing and Community Development Act of 1992 (Pub.
L.102-550, approved October 28, 1992) and private nonprofit owners of
an unused or underutilized commercial property may apply for and become
the recipient of an ALCP grant.

Note: If your eligibility status changes during the course of
the grant term, making you ineligible to receive the grant (e.g.,
prepayment of mortgage, sale/TPA of property, opting out of a
Section 8 Housing Assistance Payment (HAP) contract, or the transfer
of the grant to a single asset entity), HUD retains the right to
terminate the grant and recover funds made available through this
NOFA.

1. Ineligible Applicants. Ineligible applicants are:
a. Owners of developments designed specifically for people with
disabilities.
b. Owners of Section 232 developments.
c. Property management companies and agents of property management
companies.
d. Limited dividend partnerships.
e. Nonprofit Public Agencies.
f. Owners of unused/underutilized hospitals or other health-related
facility which are considered to be eleemosynary institutions rather
than commercial enterprises.
2. Eligible Developments. Eligible projects must be owned by a
private, nonprofit entity and designated primarily for occupancy by
elderly persons. Projects must have been in occupancy for at least five
years from the date the form HUD-92485, Permission to Occupy Project
Mortgage, was approved by HUD's Construction Manager as Chief
Architect, and have completed final closing. Additionally, eligible
projects must meet one of the following criteria:
a. Section 202 direct loan projects with or without Section 8
rental assistance,
b. Section 202 capital advance projects receiving rental assistance
under their Project Rental Assistance Contract (PRAC),
c. Section 515 rural housing projects receiving Section 8 rental
assistance,
d. Other projects receiving Section 8 project-based rental
assistance,
e. Projects subsidized with Section 221(d)(3) below-market interest
mortgage,
f. Projects assisted under Section 236 of the National Housing Act.
g. Unused and underutilized commercial properties owned by a
private nonprofit.

B. Cost Sharing or Matching

No matching required.

C. Other

1. Eligible conversion activities are:
a. Retrofitting to meet Section 504 accessibility requirements,
minimum property standards for accessibility and/or building codes and
health and safety standards for ALFs in that jurisdiction.
Examples are items such as addition of:
(1) Sprinkler systems;
(2) An elevator or upgrades thereto;
(3) Lighting upgrades;
(4) Major physical or mechanical systems of projects necessary to
meet local code or assisted living requirements;
(5) Upgrading to accessible units for the ALF with moveable
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures,
closets, hardware and grab bars, widening of doors, etc.;
(6) Upgrades to safety and emergency alert systems;
(7) Addition of hallway railings; and
(8) Medication storage and workstations;
b. Retrofitting to add, modify and/or outfit common space, office
or related space for ALF staff including a service coordinator and file
security, and/or a central kitchen/dining facility to support the ALF
function (e.g., outfit lounge/common space/dining furniture, kitchen
equipment for cooking/serving and dishware).
c. Retrofitting to upgrade a regular unit to an accessible unit for
a person/family with disabilities who is being displaced from an
accessible unit in the portion of the project that is being converted
to the ALF, where another accessible unit is not available.
d. Temporary relocation (not applicable to commercial property).
e. Consultant, architectural, and legal fees.
f. Vacancy payments not more than 30 days after conversion to an
ALF.
g. Any excess Residual Receipts (over $500/unit) and Reserve for
Replacement funds (over $1000/unit) in Project Accounts that are not
approved for another use at the time of application to HUD under this
NOFA are considered available funds and must be applied toward the cost
of conversion activities. Before making this determination, however,
HUD staff will consider the extent of repair/replacement needs
indicated in the most recent Real Estate Assessment Center (REAC)
physical inspection and not yet approved and any ongoing commitments
such as non-grant-based service coordinator or other funding, where
existing, deduct the estimated costs of such items from the reserve for
replacement and residual receipts balances to determine the extent of
available residual receipts and reserve for replacement funds for the
ALCP. (This paragraph is not applicable to commercial properties.)
2. Threshold Requirements. In addition to the threshold criteria
outlined in the General Section, applicants must meet the following
requirements to receive funding for this program.
a. Be an eligible applicant. HUD will only award funding to
eligible applicants.
b. You cannot request more funds than allocated for your
jurisdiction. (See the allocation chart above in Section II.B.)
c. You must provide commitment and funding support letters from the
appropriate funding organizations and the appropriate licensing
agency(ies). HUD will reject your application if the commitment and
support letter(s) from the appropriate funding organizations and the
appropriate licensing agency(ies):
(1) Are not submitted by the application submission date as part of
your application for financial assistance;
(2) Indicate that the ALF units, facilities, meals and supportive
services to be provided are not designed to meet the special needs of
the residents who will reside in the ALF as defined in this NOFA.
(3) Do not show commitment for funding the meals and supportive
services proposed; or
(4) Indicate that the project as proposed will not meet the
licensing requirements of the appropriate state/local agency(ies).

[[Page 14151]]

d. You must comply with all applicable statutory requirements to
the project specified in Section 202(b) and statutory requirements
under Section 232(b)(6).
e. Minimum Size Limits for an ALF. An ALF must be economically
feasible. Consistent with HUD Handbook 4600.1, CHG-1, the minimum size
for an ALF is five units.
f. You must submit an original and four copies of your completed
ALCP application, if you requested and received a waiver of the
electronic submission requirement.
3. Program Requirements. a. Have a residual receipts account
separate from the Reserve for Replacement account, or agree to
establish this account as a condition for getting an award(s).
b. You must be in compliance with your Loan Agreement, Capital
Advance Agreement, Regulatory Agreement, Housing Assistance Payment
contract, Project Rental Assistance Contract, Rent Supplement or LMSA
contract, or any other HUD grant or contract document. (Not applicable
to applicants of unused and underutilized commercial property.)
c. You must file a form HUD-2530 for all construction contractors,
architects, consultants, and service provider organizations under
direct contract with you that will be engaged under this NOFA.
d. Your project must meet HUD's Uniform Physical Conditions
Standards at 24 CFR part 5, subpart G. Meeting these standards as
described, means that the project, based on the most recent REAC
physical inspection report and responses thereto, must have a
``satisfactory'' rating as evidenced by a score of 60 or better or a
HUD-approved and on schedule repair plan for developments scoring less
than 60. Additionally, the project must have no uncorrected and
outstanding Exigent Health and Safety violations. Finally, the project
must not have on file a management review with a rating of ``minimally
satisfactory'' or ``unsatisfactory'' with open and unresolved findings.
(Not applicable to applicants of unused or underutilized commercial
property)
e. You must submit an agreement to pursue appropriate ALF licensing
in a timely manner.
f. Meals and Supportive Services. You must develop and submit a
Supportive Services Plan (SSP) for the services and coordination of the
supportive services, which will be offered in the ALF to the
appropriate state or local organization(s), which are expected to fund
those supportive services. (See below in Section IV.B.8.for
information, which must be in the SSP.) You must submit one copy of
your SSP to each appropriate state or local service funding
organizations well in advance of the application deadline, for
appropriate review. The state or local funding organization(s) must
return the SSP to you with appropriate comments and an indication of
the funding commitment, which you will then include with the
application you submit to HUD.
g. Licensing Requirements. You must ALSO submit the SSP to the
appropriate organization(s), which license ALFs in your jurisdiction.
The licensing agency(ies) must approve your plan, and must also certify
that the ALF and the proposed supportive services identified in your
SSP, are consistent with local statute and regulations and well
designed to serve the needs of the frail elderly and people with
disabilities who will reside in the ALF portion of your project.
h. Your ALF facility must be licensed and regulated by the state
(or if there is no state law providing such licensing and regulation,
by the municipality or other subdivision in which the facility is
located). Each assisted living unit must include its own kitchen,
bathroom, bedroom, living/dining area (1 bedroom unit) or kitchen,
bathroom, bedroom/living/dining area (efficiency unit) and must meet
the state and/or local licensing, building, zoning, and other
requirements for an ALF.
i. Your ALF must be available to qualified elderly persons and
persons with disabilities, consistent with the rules and payment plans
of the state, who need and want the supportive services in order to
remain independent and avoid premature institutionalization.
j. Your ALF's residents must be tenants or residents of the
multifamily project and must comply with the requirements applicable to
the project. Thus, you cannot charge additional rent over what is
charged to residents in the non-ALF portion of the project. All
admissions to the ALF must be through the applicable project admissions
office. However, persons accepted into the ALF also must sign an ALF
admissions agreement, which shall be an addendum to the applicable
project lease. (Not applicable to applicants of unused or underutilized
commercial property.)
k. At a minimum, your ALF must provide room, board, and continuous
protective oversight (CPO). CPO involves a range of activities and
services that may include such things as awareness by management and
staff of the occupant's condition and location as well as an ability to
intervene in a crisis for dependent and relatively independent
occupants on a 24-hour basis.
The two occupant groups in an ALF are:
(1) Independent Occupants. Awareness by management and staff of the
occupant's condition and whereabouts as well as the availability of
assistance for the occupants as needed.
(2) Dependent occupants. Supervision of nutrition, assistance with
medication and continuous responsibility for the occupants' welfare.
l. Anyone moving into an ALF unit must agree to accept as a
condition of occupancy the board and services required for the purpose
of complying with state and local law and regulation.

m. Your ALF must provide three meals per day to each resident.

(1) Residents whose apartments have kitchens must take at least the
number of meals a day provided by the facility, per their mandatory
meals requirement, or as required by state or local rules, if more
stringent. If the facility does not have a mandatory meals plan, then
state and local rules govern.
(2) Residents in projects which were originally constructed without
kitchens in their units must take such meals as required by their
mandatory meals agreement, or by the state's mandated requirements if
more stringent (e.g., two meals, two snacks daily).
In either case, ALF management must coordinate meal requirements
with the needs of residents who are out part of the day (e.g., in day
care). The meal program may not be operated at a profit by the project
owner.
n. Priority admissions for ALF units are as follows: (Not
applicable to applicants of unused or underutilized commercial
structures.)
(1) Current residents desiring an ALF unit and meeting the program
requirements (no resident can be required to accept an ALF unit).
(2) Qualified individuals or families needing ALF services who are
already on the project's waiting list;
(3) Qualified individuals or families in the community needing ALF
services wanting to be added to the project's waiting list.
(4) Qualified disabled non-elderly persons needing assisted living
services are eligible to occupy these units on the same basis as
elderly persons, except for section 202 project rental assistance
contracts (PRAC) projects and unused/underutilized commercial
properties.
o. The management of the project must set up a separate waiting
list for ALF units. ALF units must be for

[[Page 14152]]

eligible residents who meet the admissions/discharge requirements as
established for assisted living by state and local licensing, or HUD
frailty requirements under 24 CFR 891.205 if more stringent.
p. Upon receipt of a grant under this program, all project owners
participating in the ALCP must provide a Declaration of Restrictive
Covenants (DRC), which will be recorded with the land, to retain the
low income character of the housing, and to maintain the project
(including the ALF), as a moderate-, low-, or very low-income facility
(as appropriate) for at least 20 years beyond the current 40-to 50-year
term of the mortgage loan or capital advance. Recipients of grant funds
to convert unused or underutilized commercial property must provide a
DRC for at least 20 years or for the term of the mortgage on the
property whichever is longer.
q. The ALCP requires service coordination for linking the ALF to
available services in the community for low-income persons. All
projects funded under this NOFA must have sufficient service
coordination in place, or request additional funds, if appropriate, to
ensure that services meeting licensing requirements are available to
ALF residents on an ongoing basis. Service coordination must be
described in the application (see Section IV.B.8.b. and c. of this
NOFA). If you need to enhance an existing service coordination program
or add one where it does not exist, you may apply for funding through
the Service Coordinator NOFA, published elsewhere in the SuperNOFA, and
attach a copy of the form SF-424 indicating the request to the ALCP
application. Alternatively, you may show evidence that funding for the
enhanced service coordination is provided by other sources and indicate
such funding on the form SF-424 which is exhibit 10(a) of your ALF
application. If you are funded under this NOFA and requested new or
enhanced service coordination you will be funded first under the
service coordinator NOFA.
(1) The ALF must be staffed either directly or through coordination
with local agencies, depending on state regulations or local
requirements. These may also serve non-ALF residents of the project on
a time available and appropriate fee basis.
(2) If you are a Section 202 PRAC project owner or an owner with
unused or underutilized commercial properties, you are NOT eligible to
request funding under the service coordinator NOFA. Section 202 PRAC
owners can pay for the service coordinator out of PRAC funds.
(3) The ALF may cater to the special needs of residents depending
on their condition or diagnosis, such as Alzheimer's disease. If it
does so, the design/environment of such facilities must accommodate
those needs, e.g., dementia special care unit. However, the ALF cannot
provide a service it is not licensed by the state or locality to
provide.
(4) Owners of Section 202/PRAC projects are reminded that they may
include a PRAC payment of up to $15/unit/month not to exceed 15 percent
of the total program cost, consistent with 24 CFR 891.225(b)(2) to
cover part of the cost of meals and/or supportive services for frail
elderly residents, including residents of the ALF.
(5) Training for ALF staff is an eligible project cost under
existing operating procedures.
For further information on ALFs, please refer to Handbook 4600.1,
CHG-1, ``Mortgage Insurance for Residential Care Facilities,'' Chapter
13. This Handbook and recent ALF program Notices are accessible through
HUDCLIPS on HUD's Web site. The URL for the HUDCLIPS Database Selection
Screen is http://www.hudclips.org/cgi/index.cgi. These notices are in
the Handbooks and Notices--Housing Notices database. Enter only the
number without the letter prefix (e.g., 99-16) in the ``Document
number'' to retrieve the program notice.
For further guidance on service coordinators, please refer to
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's
Handbook,'' which is also available through the HUDCLIPS database.
r. Your ALF's operation must be part of the project owner's
management organization. Some or all of its functions may be contracted
out. The ALF must predicate its budget on a two-tiered structure under
which board and supportive service income and expenses must be
maintained separately and independently from the regular income and
expenses of the applicable project. The two components of ALF costs
are:
(1) Charges/payment for board, which may be on a sliding scale or
any other equitable fee system; and
(2) Charges/payment for necessary supportive services, which may
include a combination of resident fees, Medicaid and/or other third
party payments.
s. Prohibition Against Lobbying Activities. The Byrd Amendment
prohibits ALCP recipients of Federal contracts, grants, or loans from
using appropriated funds for lobbying activities. (Refer to Section
III.C. of the General Section for further instructions regarding this
requirement.)
4. Additional Non-discrimination and Other Requirements. Comply
with the requirements of the Fair Housing Act, Executive Order 11063,
Title VI of the Civil Rights Act, the Age Discrimination Act of 1975,
Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C.
1701u) and the implementing regulations at 24 CFR part 135, the
affirmative fair housing marketing requirements of 24 CFR part 200,
subpart M, and the implementing regulations at 24 CFR part 108, which
requires that the project be marketed to those least likely to apply,
including those who are not generally served by the agency
administering the program, and other applicable federal, state, and
local laws prohibiting discrimination and promoting equal opportunity,
including affirmatively furthering fair housing, and other
certifications listed in the application. (Refer to Section III.C.4.of
the General Section for additional requirements and information.)
a. Comply with section 232 of the National Housing Act, as
applicable; the Uniform Federal Accessibility Standards (24 CFR 40.7);
section 504 of the Rehabilitation Act of 1973 and HUD's implementing
regulations at 24 CFR part 8; and the Americans with Disabilities Act
of 1990 for all portions of the development physically affected by this
proposal.
b. Comply with the Davis-Bacon requirements and the Contract Work
Hours and Safety Standards Act as applied to this program. While it has
been determined that Davis-Bacon does not apply statutorily to the
ALCP, the Department has administratively determined that Davis-Bacon
standards and overtime rates in accordance with the Contract Work Hours
and Safety Standards Act will be adhered to in any ALCP conversion
grant in which the total cost of the physical conversion to an ALF (and
including any additional renovation work undertaken at the same time)
is $500,000 or more (this includes ALCP grant funds, owner funds, or
any third party funds loaned or granted in support of the conversion or
other renovation for the project associated with this grant), AND in
which the ALF portion of the project is 12 units or more.
c. Ensuring the Participation of Small Business, Small
Disadvantaged Businesses, and Woman-Owned Businesses. HUD is committed
to ensuring that small businesses, small disadvantage businesses, and
woman-owned businesses participate fully in HUD's direct contracting
and in

[[Page 14153]]

contracting opportunities generated by HUD's financial assistance.
(Refer to the General Section for further instructions regarding this
requirement.)
d. Executive Order 13166, Improving Access to Persons with Limited
English Proficiency (LEP). ALCP applicants must seek to improve access
to persons with limited English proficiency by providing materials and
information in languages other than English.
e. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD has undertaken a review of all
policies and regulations that have implications for faith-based and
community organizations, and has established a policy priority to
provide full and equal access to grassroots faith-based and other
community-based organizations. (Refer to Section III.C. of the General
Section for specific instructions regarding this requirement.)
f. Accessible Technology. The Rehabilitation Act Amendments of 1998
apply to all electronic information technology (EIT) used by an ALCP
recipient for transmitting, receiving, using, or storing information to
carry out the responsibilities of the ALCP awards. (Refer to Section
III.C. of the General Section for specific instructions regarding this
requirement.)
g. Participation in HUD-Sponsored Program Evaluation. As a
condition of the receipt of ALCP funds, successful applicants are
required to cooperate with all HUD staff or contractors performing HUD-
funded research and evaluation studies.
h. Comply with Executive Order 13202, Preservation of Open
Competition and Government Neutrality toward Government Contractors'
Labor Relations on Federal and Federally Funded Construction Projects.
(Refer to the General Section for additional information on this
requirement).
i. OMB Circulars and Government-wide Regulations Applicable to
Financial Assistance. ALCP applicants are subject to the Administrative
Requirements of OMB Circular A-133, Audits of States, Local Governments
and Non-Profit Organizations; OMB Circular A-122, Cost Principles for
Non-Profit Institutions; the administrative requirements of 24 CFR part
84; and the procurement requirements of 24 CFR 84.44. (Refer to the
General Section for additional information on this requirement).
j. Environmental Requirements. Your ALCP application is subject to
the National Environmental Policy Act of 1969 and applicable related
federal environmental authorities. (See 24 CFR part 50, as applicable.)
An environmental review will be completed by HUD before awarding any
grant under this program. ALCP projects are 'critical actions' for
purposes of 24 CFR part 55 and must comply with requirements applicable
to 'critical actions.' Including floodplain management review
requirements, if proposed to be carried out in the 500-year floodplain.
k. Make applications and other materials available in languages
other than English that are common in the community, if speakers of
these languages are found in significant numbers and come into frequent
contact with the program. For further guidance on serving persons with
Limited English Proficiency (LEP) in HUD assisted programs, see the
recently published HUD LEP guidance, 'Notice of Guidance to Federal
Assistance Recipients Regarding Title VI Prohibition Against National
Origin Discrimination Affecting Limited English Proficient Persons,''
68 FR 70968 (December 19, 2003) or Section III of the General Section.

IV. Application and Submission Information

A. Addresses to Request Application Package

All information for requesting an application is included in this
NOFA and Section IV. A. of the General Section. The application for the
ALCP is available on the Internet from the grants.gov Web site at
http://www.grants.gov/FIND. If you have difficulty accessing the
information, you can receive customer support from Grants.gov by
calling the help line at (800) 518-Grants or by sending an e mail to
[email protected]. If you do not have access, you may obtain an ALCP
application by calling the NOFA Information Center at (voice) 800-HUD-
8929 (800-483-8929). Persons with a hearing or speech impairment may
call the Center's TTY number at 800-HUD-2209. Please be sure to provide
your name, address (including zip code), and telephone number
(including area code).
1. Application Kits. There is no application kit for the ALCP. All
the information you need to apply for this program is available in this
NOFA and available on http://www.grants.gov/Apply. (Refer to Section
IV. A. of the General Section for further information.)
2. For Technical Assistance. Before the ALCP application due date,
HUD staff will be available to provide you with general guidance and
technical assistance. However, HUD staff is not permitted to assist in
preparing your application. For technical support for downloading the
ALCP application or submitting the application, call the toll free
Grants.gov Customer Support line at 1-800-518-Grants or send an email
message to [email protected].

B. Content and Form of Application Submission

There are ten required exhibits under the ALCP, including
prescribed forms and certifications. In cases where your articles of
incorporation and by-laws have NOT changed since the project was
originally approved by HUD, your signature on the SF-424 signifies that
you are self-certifying to that effect--that the documents on file with
HUD are current--is sufficient. Exhibits for which self-certification
of currency is possible are denoted below by double asterisks (**.)
In addition to the relief of paperwork burden, you will not have to
submit certain new/recent information and exhibits you have previously
prepared. See individual item descriptions, below to identify such
items. An example of such an item may be the FY2003 Annual Financial
Statement. Your application must include all of the information,
materials, forms, and exhibits listed below (Please see the General
Section for instructions on how to submit third party and other
documents such as Articles of Incorporation; by-laws; copies of
original plans; evidence of financial commitment; letter(s) from zoning
officials; etc. ):
1. Application Summary for the Assisted Living Conversion Program,
Form HUD-92045, and evidence that you are a private nonprofit
organization or nonprofit consumer cooperative and have the legal
ability to operate an ALF program, per the following:
a. Articles of Incorporation, constitution, or other organizational
documents, or self-certification of these documents if there has been
no change in the Articles since they were originally filed with HUD**
and
b. By-laws, or self-certification of by-laws, if there has been no
change in the by-laws since they were originally filed with HUD**
2. A description of your community support:
a. A description of your links to the community at large and to the
minority and elderly communities in particular; and
b. A description of your efforts to involve elderly persons,
including minority elderly persons and persons with disabilities in:
(1) The development of the application;

[[Page 14154]]

(2) The development of the ALF operating philosophy;
(3) Review of the application prior to submission to HUD; and
(4) Your intent whether or not to involve eligible ALF residents in
the operation of the project.
c. A description of your involvement in your community's
Consolidated Planning and Analysis of Impediments to Fair Housing (AI)
processes including:
(1) An identification of the lead/facilitating agency(ies) that
organizes and/or administers the process;
(2) A listing of the Consolidated Plan/AI issue areas in which you
participate; and
(3) The level of your participation in the process, including
active involvement with any neighborhood-based organizations,
associations, or any committees that support programs and activities
that enhance projects or the lives of residents of the projects, such
as the one proposed in your application.
If you are not currently active, describe the specific steps you
will take to become active in the Consolidated Planning and AI
processes. (Consult the local HUD office for the identification of the
Consolidated Plan community process for the appropriate area.)
d. A description of how the assisted living facility will implement
practical solutions that will result in assisting residents in
achieving independent living and improved living environment. The
description should include a discussion of performance goals with
performance indicators (refer to Section V.B. of the General Section
for further detail).
e. A description of how you have supported state and local efforts
to streamline processes and procedures in the removal of regulatory
barriers to affordable housing. To obtain up to 2 points for this
policy priority you must complete the Form HUD-27300, Questionnaire for
HUD's Initiative on Removal of Regulatory Barriers and provide the
required documentation. See Rating Factor 3 in Section V.A.3 of this
NOFA for more details
3. Evidence of your project being occupied for at least five years
prior to the date of application to HUD. (Not applicable to applicants
of unused or underutilized commercial property.)
4. A market analysis of the need for the proposed ALF units,
including information from both the project and the housing market,
containing:
a. Evidence of need for the ALF by current project residents: (Not
applicable to applicants of unused or underutilized commercial
property.)
(1) A description of the demographic characteristics of the elderly
residents currently living in the project, including the current number
of residents, distribution of residents by age, race, and sex, an
estimate of the number of residents with frailties/limitations in
activities of daily living, and an estimate of the number of residents
in need of assisted living services. (Not applicable to applicants of
unused or underutilized commercial property.)
(2) A description of the services currently available to the
residents and/or provided on or off-site and what services are lacking;
(Not applicable to applicants of unused or underutilized commercial
property.)
b. Evidence of the need for ALF units by very low-income elderly
and disabled households in the market area; a description of the trend
in elderly and disabled population and household change; data on the
demographic characteristics of the very low-income elderly in need of
assisted living services (age, race, sex, household size, and tenure)
and extent of residents with frailty/limitations in existing federally
assisted housing for the elderly (HUD and Rural Housing Service); and
an estimate of the very low-income elderly and disabled in need of
assisted living taking into consideration any available state or local
data.
c. A description of the extent, types, and availability and cost of
alternate care and services locally, such as home health care; adult
day care; housekeeping services; meals programs; visiting nurses; on-
call transportation services; health care; and providers of supportive
services who address the needs of the local low income population.
d. A description of how information in the community's Analysis of
Impediments to Fair Housing Choice was used in documenting the need for
the ALF (covering items in c. above.
5. A description of the physical construction aspects of the ALF
conversion, including the following:
a. How you propose to carry out the physical conversion (including
a timetable and relocation planning). Completion of Exhibit 10(i.)
Logic Model will assist in completing your response to this Exhibit.
b. A short narrative stating the number of units, special design
features, community and office space/storage, dining and kitchen
facility and staff space, and the physical relationship to the rest of
the project. Also, you must describe how this design will facilitate
the delivery of services in an economical fashion in the most
integrated setting appropriate to the needs of the participating
residents with disabilities and accommodate the changing needs of the
residents over at least the next 10 years.
c. A description on how the project will promote energy efficiency,
including any plans to incorporate energy efficiency features in the
design and operation of the ALF through the use of Energy Star labeled
products and appliances. Applicants that meet this policy priority will
receive two points under Rating Factor 3 in Section V.A.3 of this NOFA.
Refer to the General Section for further information on this
requirement or for further information about Energy Star see http://www.energystar.gov.
d. A copy of the original plans for all units and other areas of
the development, which will be included in the conversion. (If you are
applying to convert an unused or underutilized commercial facility to
assisted living, provide a copy of the original plans of the facility
as well as a copy of the plans of the facility as most recently
operated, if different).
e. A description of the conversion must clearly address how the
units will conform to the accessibility requirements described in the
Uniform Federal Accessibility Standards (UFAS). (For example, all door
openings must have a minimum clear opening of 32 inches; and, all
bathrooms and kitchens must be accessible to and functional for persons
in wheelchairs.)
f. Architectural sketches of the conversion to a scale of \1/4\
inch to one foot that indicate the following:
(1) All doors being widened;
(2) Typical kitchen and bathroom reconfiguration: show all
wheelchair clearances, wall reinforcing, grab bars, and elevations of
counters and work surfaces;
(3) Bedroom/living/dining area modification, if needed;
(4) Any reconfigured common space;
(5) Added/reconfigured office and storage space;
(6) Monitoring stations, and
(7) The kitchen and dining facility.
All architectural modifications must meet section 504 and ADA
requirements as appropriate.
g. A budget showing estimated costs for materials, supplies,
fixtures, and labor for each of the items listed in Section IV.B.5.f,
items (1) through (7), above.
h. Include firm financial commitment letters with specific dollar
amounts from appropriate organization(s) for conversion needs (within
the scope of the ALF conversion NOFA) which will be supported by non-
HUD funding.

[[Page 14155]]

i. A description of any relocation of current tenants including a
statement that: (Not applicable to applicants of unused or
underutilized commercial property.)
(1) Indicates the estimated cost of temporary relocation payments
and other related services;
(2) Identifies the staff organization that will carry out the
relocation activities; and
(3) Identifies all tenants that will have to be temporarily moved
to another unit within the development OR from the development during
the period that the physical conversion of the project is under way.

Note: If any of the relocation costs will be funded from sources
other than the alcp grant, you must provide evidence of a firm
financial commitment of these funds. When evaluating applications,
HUD will consider the total cost of proposals (i.e., cost of
conversion, temporary relocation, service coordinator, and other
project costs).

6. A description of any retrofit or renovation that will be done at
the project (with third party funds) that is separate and distinct from
the ALF conversion. With such description, include as part of your
application submission firm commitment letters from third party
organizations in specific dollar amounts that will cover the cost of
any work outside the scope of this NOFA.
7. A letter from the local zoning official indicating evidence of
permissive zoning. Also, showing that the modifications to include the
ALF into the project as proposed are permissible under applicable
zoning ordinances or regulations.
8. A supportive services plan (SSP), a copy of which must be
submitted to the appropriate state and/or local agency as instructed in
Section III.C.3.f. above in this NOFA. For those applicants needing to
contact state Medicaid offices, a list is provided on the Internet at
http://www.cms.hhs.gov/medicaid. The SSP must include:
a. A description of the supportive services needed for the frail
elderly the ALF is expected to serve. This must include at least (1)
meals and such other supportive services required locally or by the
state, and (2) such optional services or care to be offered on an ``as
needed'' basis.
Examples of both mandatory and optional services (which will vary
from state to state) are: two meals and two snacks or three meals
daily; 24-hour protective oversight; personal care; housekeeping
services; personal counseling, and transportation.
b. A description of how you will provide the supportive services to
those who are frail and have disabilities (i.e., on or off-site or
combination of on or off-site), including an explanation of how the
service coordination role will facilitate the adequate provision of
such services to ALF residents, and how the services will meet the
identified needs of the residents. Also indicate how you intend to fund
the service coordinator role.
c. A description of how the operation of your ALF will work.
Address: (1) General operating procedures; (2) ALF philosophy and how
it will promote the autonomy and independence of the frail elderly and
persons with disabilities; (3) what will the service coordination
function do and the extent to which this function already exists, or
will be augmented or new; (4) ALF staff training plans; and (5) the
degree to which and how the ALF will relate to the day-to-day
operations of the rest of the project.
d. The monthly individual rate for board and supportive services
for the ALF listing the total fee and components of the total fee for
the items required by state or local licensing, and list the
appropriate rate for any optional services you plan to offer to the ALF
residents. Provide an estimate of the total annual costs of the
required board and supportive services you expect to provide and an
estimate of the amount of optional services you expect to provide.
e. List who will pay for the board and supportive services and the
amount. For example, include such items as:
(1) Meals by sponsors--$20.
(2) Housekeeping services by the City government--$30.
(3) Personal care by State Department of Health--$60.
(4) Service paid for by state program--$40.
(5) Fees paid by tenants--$83.
The amounts and commitments from both tenants and/or providers must
equal the estimated amounts necessary to cover the monthly rates for
the number of people expected to be served. If you include tenant fees
in the proposal, list and show any proposed scaling mechanism. All
amounts committed/collected must equal the annualized cost of the
monthly rates calculated by the expected percentage of units filled.
f. A support/commitment letter from EACH listed proposed funding
source per paragraph e. above, for the planned meals and supportive
services listed in the application. The letter must cover the total
planned annual commitment (and multiyear amount total, if different),
length of time for the commitment, and the amounts payable for each
service covered by the provider/paying organization. There must be a
letter from EACH participating organization listed in paragraph e,
above.
g. A support letter from EACH governmental agency that provides
licensing for ALFs in that jurisdiction.
h. A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. (If you are
applying to convert an unused or underutilized commercial facility to
assisted living, provide information on your relevant experience in
arranging for and/or delivering supportive services to frail elderly
persons). The description should include any supportive services
facilities owned/operated; your past or current involvement in any
project-based programs that demonstrates your management capabilities.
The description should include data on the facilities and specific
meals and/or supportive services provided on a regular basis, the
racial/ethnic composition of the populations served, if available, and
information and testimonials from residents or community leaders on the
quality of the services.

Note: If a funds request for service coordination for the ALF
and/or the whole project is included as part of this application,
the Form SF-424, indicating the dollars requested must be attached
as Exhibit 10(a). Do NOT attach the whole service coordinator
application.

9. A description of your project's resources: (Items (9)(a)-(b) are
not applicable to applicants of unused or underutilized commercial
property.)
a. A copy of the most recent project Reserve and Replacement
account statement, and a Reserve for Replacement analysis showing plans
for its use over the next five years, and any approvals received from
the HUD field office to date.
b. A copy of the most recent Residual Receipts Account statement.
Indicate any approvals for the use of such receipts from the field
office for over $500/unit.
c. Annual Financial Statement (AFS). If your FY2005 AFS was due to
REAC more than 120 days BEFORE the due date for this application, in
the interest of reducing work burden, only include the date that it was
sent to REAC. If the AFS was due to REAC 120 days or less from the due
date of this application, you MUST include a paper copy of your AFS.
For commercial properties, submit the most recent financial statement
or annual report.

[[Page 14156]]

10. Forms and Certifications. The following exhibits, forms,
certifications, and assurances are required:
a. Form SF-424, Application for Federal Assistance*, and compliance
with Executive Order 12372 (a certification that you have submitted a
copy of your application, if required, to the state agency (Single
Point of Contact) for state review in accordance with Executive Order
12372 (refer to the General Section for instructions in submitting this
form).
b. SF-424 Supplement, Survey for Ensuring Equal Opportunity for
Applicants*.
c. Form HUD-424-CB, Grant Applications Detailed Budget*.
d. Form HUD-424-CBW, Grant Application Detailed Budget worksheet*.
e. Form HUD-2880, Applicant/Recipient Disclosure/Update Report*,
including Social Security and Employment Identification numbers. A
disclosure of assistance from other government sources received in
connection with the project.
f. Form HUD-2991, Certification of Consistency with the
Consolidated Plan* for the jurisdiction in which the proposed ALF will
be located. The certification must be made by the unit of general local
government if it is required to have, or has, a complete Plan.
Otherwise, the certification may be made by the state, or by the unit
of general local government if the project will be located within the
jurisdiction of the unit of general local government authorized to use
an abbreviated strategy, and if it is willing to prepare such a Plan.
All certifications must be made by the public official responsible
for submitting the plan to HUD. The certifications must be submitted by
the application submission deadline date set forth herein. The Plan
regulations are published in 24 CFR part 91.
g. Form HUD-2530, Previous Participation Certification. This form
will provide HUD with a report of all your previous participation in
HUD multifamily projects. This is in addition to the ``Name Check
Review'' process. Refer to the General Section for information on this
requirement under ``Name Check Review''.
h. Standard Form-LLL, Disclosure of Lobbying Activities*.
i. Form HUD-96010, Program Outcome Logic Model*.
j. Form HUD-27300, Removal of Regulatory Barriers* (and supporting
documentation).
k. Certification of Consistency with RC/EZ/EC-II Strategic Plan
(HUD-2990), if applicable.
l. Form HUD-96011, Facsimile Transmittal Cover Page. This form must
be used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
*Copies of these forms may be found in the General Section. The
electronic version of the NOFA contains all forms required for
submitting the ALCP application. The form SF-424-B, Assurances and
Certifications, is no longer required as a separate submission. Refer
to the General Section for further information on this requirement.

C. Submission Date and Time

1. Application Submission Date. Beginning this year, and unless you
received a waiver to the electronic application submission
requirements, your completed ALCP application must be submitted through
the http://www.grants.gov/Apply and must be received by Grants.gov no
later than 11:59:59 Eastern Time on the application submission date.
(Refer to Section IV.F. of the General Section for further instructions
on the delivery and receipt of applications.

D. Intergovernmental Review

1. Executive Order 12372. ALCP applicants are subject to the
Executive Order 12372 process. Standard Form 424, Application for
Federal Assistance, includes compliance with Executive Order 12372 (a
certification that you have submitted a copy of your application, if
required, to the state agency (Single Point of Contact) for state
review. (Also, refer to Section IV.D. of the General Section for
instructions on the intergovernmental review process.)
2. You must submit a Supportive Services Plan (SSP) for the
services and coordination of the supportive services that will be
offered in the assisted living facility (ALF) to the appropriate state
or local organization(s), which are expected to fund those supportive
services. You must submit one copy of your SSP to each appropriate
state or local service funding organizations well in advance of the
application deadline, for appropriate review. The state or local
funding organization(s) must return the SSP to you with appropriate
comments and an indication of the funding commitment, which you will
then include with the application you submit to HUD.
You must ALSO submit the SSP to the appropriate organization(s)
that license ALFs in your jurisdiction. The licensing agency(ies) must
approve your plan, and must also certify that the ALF and the proposed
supportive services identified in your SSP, are consistent with local
statute and regulations and well designed to serve the needs of the
frail elderly and people with disabilities who will reside in the ALF
portion of your project.

E. Funding Restrictions

1. Costs of meals and supportive services are NOT covered by this
HUD grant. These items must be paid for through other sources (e.g., a
mix of resident fees and/or third party providers). Evidence of third
party commitment(s) must be included as part of the application. The
assisted living supportive services program must promote independence
and provide personal care assistance based on individual needs in a
home-like environment. In accordance with Section 504 of the
Rehabilitation Act of 1973 and HUD's regulations at 24 CFR 8.4(d), the
project must deliver services in the most integrated setting
appropriate to the needs of qualified individuals with disabilities.
2. This program does NOT allow permanent displacement of any
resident living in the project at the time the application was
submitted to HUD. (HUD will only provide temporary relocation costs for
current tenants if they must vacate their unit while conversion work is
underway (normal temporary relocation costs include increases in rent,
reconnection of telephones, moving costs, and appropriate out-of-pocket
expenses). (Not applicable to applicants of commercial property.)
3. Ineligible Activities. You may not use funds available through
this NOFA to:
a. Add additional dwelling units to the existing project (not
applicable to applicants of commercial property);
b. Pay the costs of any of the necessary direct supportive services
needed to operate the ALF;
c. Purchase or lease additional land;
d. Rehabilitate (see definition at 24 CFR 891.105) the project for
needs unrelated directly to the conversion of units and common space
for assisted living.
e. Use the ALCP to reduce the number of accessible units in the
project that are not part of the ALF (not applicable to applicants of
commercial property);
f. Permanently displace any resident out of the project (permanent
relocation is prohibited under this program)
g. Increase the management fee.
h. Cover the cost of activities not directly related to the
conversion of the units and common space. (i.e., if an

[[Page 14157]]

applicant is applying to convert 24 units on 2 floors of a 5-story
elderly housing development and the inspection by the Fire Marshal
reveals that sprinklers must be installed in the entire building, ALCP
funds will be used only to install sprinklers for the 24 units on the 2
floors requested in the application. The cost to install sprinklers in
the remaining units must be paid for out of other resources.
i. Transfer the ALCP grant to any other entity. If you are awarded
an ALCP grant, you are expected to be the recipient of the grant and to
carry out the conversion activities. The Department will not approve
the transfer of the ALCP grant to any other entity.

F. Other Submission Requirements

Application Submission and Receipt Procedures. HUD has implemented
new procedures that impact application submission procedures. Refer to
Section IV.F. of the General Section for specific procedures for the
mailing of applications.
1. Electronic Delivery. Beginning in fiscal year 2005, ALCP
applicants must submit their applications electronically through http:/
/www.grants.gov/Apply, unless a waiver is granted.
a. The http://www.grants.gov/Apply offer a simple, unified
application process. There are six ``Get Started'' steps to complete at
the http://www.grants.gov Web site. ALCP applicants should read the Get
Started steps carefully. Also, the site contains registration
checklists to help you through the process. Refer to Section IV. F of
the General Section for further details on this requirement.
b. DUNS requirement. All ALCP applicants must have a DUN and
Bradstreet Universal Data Numbering Systems (DUNS) number. The DUNS
number must be included in the data entry field labeled
``organizational DUNS'' on the form SF-424. Instructions for obtaining
a DUNS number can be found at either http://www.hud.gov/offices/adm/grants/duns.cfm or http://www.Grants.gov/GetStarted.
c. Central Contractor Registry and Credential Provider
Registration. In addition to having a DUNS number, ALCP applicants
applying electronically through Grants.gov must register with the
Federal Central Contractor Registry and with a Credential Provider.
Refer to the General Section on how to meet this requirement.
d. Electronic signature. ALCP applications submitted through
grants.gov constitute submission as an electronically signed
application. Refer to the General Section for further details on this
requirement.
2. Instructions on how to submit an electronic application to HUD
via grants.gov/Apply: Grants.gov has a full set of instructions on how
to apply for funds on its Web site at http://www.grants.gov/CompleteApplication. Refer to the General Section on how to meet this
requirement.
3. Waiver of Electronic Submission Requirement. HUD will only
accept electronic applications submitted through http://www.grants.gov
unless the ALCP applicant has received a waiver. Refer to the General
Section for further instructions on this requirement.
4. Proof of Timely Submission. ALCP applicants must submit their
applications to http://www.grants.gov in time for receipt at Grants.gov
by 11:59:59 p.m. eastern time on the application submission date of
June 22, 2005. (Refer to the General Section for specific procedures
regarding proof of timely submission of applications.)

V. Application Review Information

A. Criteria

HUD will rate ALCP applications that successfully complete
technical processing using the Rating Factors set forth below and in
accordance with the application submission requirements identified in
Section IV.B. above. The maximum number of points an application may
receive under this program is 102. This includes two RC/EZ/EC-II bonus
points, as described in the General Section and Section V.A.6. below.
HUD wants to make its programs more effective, efficient, and
accessible by expanding opportunities for grassroots organizations to
participate in developing solutions for their own neighborhood. The
Department encourages applicants to partner, fund, or sub-contract with
grassroots organizations, including faith-based and other community-
based organizations in conducting their work programs. (Refer to the
policy priorities contained in the General Section for the definition
of ``grassroots organizations'').
1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (20 Points). This factor addresses your capacity
to carry out the conversion in a timely, cost-conscious and effective
manner. It also addresses your experience at providing the proposed
supportive services you intend to make available at the ALF for elderly
residents, especially in such areas as meals, 24-hour staffing and on-
site health care. Submit information responding to this factor in
accordance with Application Submission Requirements in Sections
IV.B.5.a. and b. and 8.a. through c and h. of this NOFA.
In rating this factor, HUD will consider the extent to which your
application demonstrates your ability to carry out a successful
conversion of the project and to implement the plan to deliver the
supportive services on a long-term basis, considering the following:
a. (9 points). The time frame planned for carrying out the physical
conversion of the development to the ALF.
b. (10 points). Your past experience in providing or arranging for
supportive services either on or off site for those who are frail. (If
you are applying to convert an unused or underutilized commercial
facility to assisted living and you do not own or operate a project
with frail elderly residents, you must provide information on any past
experience in providing or arranging supportive services for those who
are frail.) Examples are: Meals delivered to apartment of resident or
in a congregate setting (2 points), arranging for or providing personal
care (3 points), providing 24-hour staffing (1 point), providing or
making available on-site preventive health care (2 points) and other
support services (2 points).
c. (1 point). The Department will provide 1 point to those
applicants who currently or propose to partner, fund, or subcontract
with grassroots organizations. HUD will consider an organization a
``grassroots organization'' if the organization is headquartered in the
local community and has a social services budget of $300,000 or less;
or has six or fewer full-time equivalent employees. (Refer to the
General Section for further information on policy priority points for
activities related to grassroots organizations.)
2. Rating Factor 2: Need/Extent of the Problem (20 Points). This
factor addresses the extent to which the conversion is needed by the
categories of elderly persons and persons with disabilities that the
ALF is intended to serve (very low-income elderly persons and persons
with disabilities who have limitations in three or more activities of
daily living). The application must include evidence of current needs
among project residents (not applicable to applicants proposing to
convert unused or underutilized commercial facilities) and needs of
potential residents in the housing market area for such persons
including economic and demographic information on very low-income,
frail, elderly, and persons with disabilities and information on
current

[[Page 14158]]

assisted living resources in the market area.
The factor also addresses your inability to fund the repairs or
conversion activities from existing financial resources. In making this
determination, HUD will consider project financial information or the
organization's financial information for unused or underutilized
commercial facilities. Submit information responding to this factor in
accordance with Application Submission Requirements in Sections
IV.B.2.c., 4.a. through d., and 9.a. through c. of this NOFA. In
evaluating this factor, HUD will consider:
a. (7 points). The need for assisted living among the elderly and
disable residents of the project taking into consideration those
currently in need and the depth of future needs given aging in place.
(Not applicable to applications to convert unused or underutilized
commercial facilities to assisted living.)
b. (3 points (10 points for applications to convert unused or
underutilized commercial facilities to assisted living.)). The need for
assisted living among very low-income elderly persons and persons with
disabilities in the housing market area.
c. (9 points). Insufficient funding for any needed conversion work,
as evidenced by the project's financial statements and specifically the
lack of excess Reserve for Replacement dollars and residual receipts.
If the available Reserve for Replacement and residual receipts are less
than 10 percent of the total funds needed = 9 points; if the available
Reserve for Replacement and residual receipts are 10-50 percent of need
= 5 points; and, if the available Reserve for Replacement and residual
receipts are 51 percent or more of the total funds needed = 0 points).
For commercial properties, if the available working capital is 10
percent or more of the total conversion = 5 points; if the working
capital is less than 10 percent of the total conversion = 9 points.
d. (1 point). The Department will provide one point to those
applications which establish a connection between the proposed ALF and
the community's Analysis of Impediments to Fair Housing Choice (AI) or
other planning document that analyzes fair housing issues and is
prepared by a local planning or similar organization.
3. Rating Factor 3: Soundness of Approach (40 Points). This factor
addresses the quality and effectiveness of your proposal in addressing
the proposed conversion, effectiveness of service coordination and
management planning and the meals and supportive services which the ALF
intends to provide, whether the jurisdiction in which the ALF is
located has taken successful efforts to remove regulatory barriers to
affordable housing, whether you will incorporate energy efficiency in
the design and operation of the assisted living facility and the extent
to which you have evidenced general support for conversion by
participating in your community's Consolidated Planning Process,
involving the residents in the planning process (not applicable to
applications proposing to convert unused or underutilized commercial
facilities). There must also be a relationship between the proposed
activities, the project's and the community's needs and purposes of the
program funding for your application to receive points for this factor.
Submit information responding to this factor in accordance with
Application Submission Requirements in Sections IV.B.2.a. through c.
and e., IV.B.4.e., IV.B.5.b. through e., IV. B.8.a. through e., g., and
h. of this NOFA. In evaluating this factor, HUD will consider the
following:
a. (11 points). The extent to which the proposed ALF design will
meet the special physical needs of frail elderly persons or persons
with disabilities expected to be served at reasonable cost (consider
the ALF design: meets needs = 11 points; ALF design partially meets
needs = 5 points; and ALF design does not meet needs = 0 points).
b. (11 points). The extent to which the ALF's proposed management
and operational plan ensures that the provision of both meals and
supportive services planned will be accomplished over time. (Consider
ALF design/management plan: meets needs of management operations = 11
points; ALF design/management plan partially meets needs of management
operations = 5 points; and ALF design/management plan does not meet
needs of management operations = 0 points.)
c. (7 points). The extent to which the proposed supportive services
meet the anticipated needs of the frail elderly and disabled residents
(does meet = 7 points; partially meets needs = 4 points; and, does not
meet needs = 0 points); and
d. (7 points). The extent to which the service coordination
function is addressed and explained as onsite and sufficient, onsite
and augmented or new, and addresses the ongoing procurement of needed
services for the residents of the ALF (does meet = 7 points, partially
meets = 4 points, does not meet = 0 points).
e. (2 points). The steps you have taken which support State and
local efforts in streamlining processes and procedures that eliminate
redundant requirements, statutes, regulations and codes which impede
the availability of affordable housing. To receive points for removal
of regulatory barriers, applicants must include in their response the
completed Questionnaire HUD Form 27300. (Refer to the General Section
for further information.
f. (2 points). Describe how you plan to incorporate energy
efficiency activities in the design or the operation of the assisted
living facility through the use of Energy Star labeled products and
appliances.
4. Rating Factor 4: Leveraging Resources (10 Points). This factor
addresses your ability to secure other community resources that can be
combined with HUD's grant funds to achieve program purposes. For the
ALCP to succeed, you must generate local funding for the necessary
supportive services to operate the ALF. HUD also encourages local
funding for some of the necessary conversion work, or other work needed
in the project (e.g., general modernization) which is NOT specifically
linked to the ALF).
Submit information responding to this factor in accordance with
Application Submission Requirements in Section IV.B.5.h. and i., B.6.,
and B.8.e. through g. of this NOFA.
a. (5 points). The extent to which there are commitments for the
funding needed for the meals and the supportive services planned for
the ALF and that the total cost of the estimated budget of the ALF is
covered. Consider 90 percent or more commitment of the total budget
with no more than 10 percent for meals and services = 5 points; 80-89.9
percent with no more than 20 percent for meals and services = 4 points;
65-79.9 percent with no more than 35 percent for meals and services = 3
points; 40-64.9 percent with no more than 60 percent for meals and
services = 2 points; less than 40 percent commitment of the total
budget with no more than 60 percent support for meals and services = 0
points.
b. (3 points). The extent of local organizations' support, which is
firmly committed to providing at least 50 percent of the total cost of
ALF conversion (consider 50% or more = 3 points, 20-49.9 percent = 2
points, and under 20 percent = 0 points).
c. (2 points). The extent of local organizational support which is
firmly committed to providing funds for additional repair or retrofit
necessary for the project NOT specifically directed to activities
eligible under this NOFA (funds firmly committed = 2 points, funds not
committed = 0 points).

[[Page 14159]]

5. Rating Factor 5: Achieving Results and Program Evaluation (10
Points). This factor reflects HUD's goal to embrace high standards of
ethics, management and accountability. This factor emphasizes HUD's
commitment to ensure that promises you make in the application are
kept; and to ensure performance goals with outcomes are established and
are met (refer to Section V.B. of the General Section for more detail).
Outcomes may include the extent to which your project will implement
practical solutions that will result in assisting residents in
achieving independent living and an improved living environment, as
well as the extent to which the project will be viable absent HUD funds
but rely more on state, local, and private funds. Submit information
responding to this factor in accordance with Application Submission
Requirements in Section IV.B.2.d., 5.a. through g., and 8.a. through e.
of this NOFA. Completion of the Form HUD-96010, Program Outcome Logic
Model will assist you in completing your response to this requirement.
a. (4 points). Describe the extent to which your conversion time
frame reflects the length of time it will take to convert the units
describing how residents will benefit from the conversion of the units;
and how the converted units will result in ALF residents being able to
age in place;
b. (2 points). Describe the extent to which your assisted living
facility will implement practical solutions that will result in
assisting residents in achieving independent living and improved living
environment.
c. (2 points). Demonstrate how the project will be viable absent
HUD funds while relying more on state, local, and private funds.
d. (2 point). Describe the extent to which the ALFs operating
philosophy promotes the autonomy and independence of the frail elderly
persons it is intended to serve (is fully addressed = 2 points, no or
not addressed = 0 points).
6. Bonus Points (2 bonus points). The project to be converted is
located in an RC/EZ/EC-II area, as described in the General Section.

B. Reviews and Selection Process

1. The ALCP will fund those applications that may impact federal
problem solving and policymaking and that are relevant to HUD's policy
priorities and annual goals and objectives. (Refer to the General
Section for discussion of these priorities and annual goals and
objectives). For the Assisted Living Conversion Program, applicants who
include work activities that specifically address the policy priorities
of removing barriers to affordable housing and promoting energy
efficiency in the design and operation of the ALF will receive
additional points. For information pertaining to the removal of
barriers to affordable housing see http://www.hud.gov/grants/index.cfm
and for information about Energy Star see http://www.energystar.gov.
2. Review for Curable Deficiencies. You should ensure that your
application is complete before submitting it to HUD electronically
through the http://www.grants.gov/Apply Web site. If you received a
waiver of the electronic submission requirement, you must submit an
original and four copies to the appropriate HUD Hub Office. Submitting
fewer than the original and four copies of the application is not a
curable deficiency and will cause your application to be considered
non-responsive to the NOFA and returned to you.
HUD will screen all applications received by the deadline for
curable deficiencies. With respect to correction of deficient
applications, HUD may not, after the application due date and
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider
any unsolicited information an applicant may want to provide. HUD may
contact an applicant to clarify an item in the application or to
correct curable deficiencies. Please note, however, that HUD may not
seek clarification of items or responses that improve the substantive
quality of a response to any rating factors. In order not to
unreasonably exclude applications from being rated and ranked, HUD may
contact applicants to ensure proper completion of the application and
will do so on a uniform basis for all applicants. A curable deficiency
is a missing Exhibit or portion of an Exhibit that will not affect the
rating of the application. In each case, under this NOFA, the
appropriate HUD Multifamily Hub office will notify you in writing by
describing the clarification or curable deficiency. You must submit
clarifications or responses to curable deficiencies in accordance with
the information provided by the Hub office within 14 calendar days of
the date of HUD notification. (If the due date falls on a Saturday,
Sunday, or Federal holiday, your correction must be received by HUD on
the next day that is not a Saturday, Sunday, or Federal holiday.) If
the deficiency is not corrected within this time period, HUD will
reject the application as incomplete, and it will not be considered for
funding. The following is a list of the deficiencies that will be
considered curable in ALCP applications:

Exhibits

[sbull] ^* Application Summary.
[sbull] ^* Articles of Incorporation, or certification of
Articles of Incorporation.
[sbull] ^* By-laws, or certification of by-laws.
[sbull] Evidence of occupancy for at least five years (not
applicable to commercial facilities).
[sbull] Original project plans.
[sbull] Relocation Plan (not applicable to commercial property).
[sbull] Evidence of Permissive Zoning.
The appropriate Hub office will notify you in writing if your
application is missing any of the exhibits listed above and you will be
given 14 days from the date of the HUD notification to submit the
information required to cure the noted deficiencies. The exhibits
identified by an asterisk (*) must be dated on or before the
application deadline date. If not so dated the application will be
rejected.
After the completeness review, HUD staff will review your
application to determine whether the application meets the threshold
requirements.
3. Threshold Review. Only those ALCP applications that meet all
threshold requirements will be eligible to receive an award.
Applications that do not pass threshold will be rejected. (See Section
III.C 2. above of this NOFA for threshold requirements).
4. Appeal Process. Upon rejection of an ALCP application, HUD must
send a letter to the Owner outlining all reasons for rejection. The
Owner has 14 calendar days from the date of the letter to appeal the
rejection. If the Owner submits an appeal, which causes the rejection
to be overturned, the application is then rated, ranked, and submitted
to the selection panel for consideration. If the Owner does not appeal
or does appeal but the rejection is not overturned, the application
remains a reject.
5. Review Panels. The Office of Housing's Multifamily Hubs will
establish panels to review all eligible applications that have passed
threshold.
6. Rating of Applications (See paragraph below for selection of
applications for commercial properties).
HUD staff teams will review and rate ALCP applications in
accordance with the Ranking and Selection procedures outlined below.
All applications will be either rated or technically rejected at the
end of technical review. If your application meets all program
eligibility requirements after completion of

[[Page 14160]]

technical review, it will be rated according to the rating selection
factors in Section V.A. above of this NOFA. HUD reserves the right to
reduce the amount requested in the application if any proposed
components are ineligible or if the cost of items is not deemed
reasonable. HUD will NOT reject an ALCP application based on technical
review without notifying you of that rejection with all the reasons for
the rejection, and providing you an opportunity to appeal. As discussed
above, you will have 14 calendar days from the date of HUD's written
notice to appeal a technical rejection to the Multifamily Hub where the
applications were sent originally. HUD staff will make a determination
on an appeal before finalizing selection recommendations.
7. Ranking and Selection Procedures. (Paragraphs (5)(a)-(d) are not
applicable to applications from owners of commercial properties.)
Applications submitted in response to this NOFA that are eligible,
pass threshold and have a total score of 75 points (or more) are
eligible for ranking and selection. (Applications for the conversion of
commercial properties with a score of at least 75 points will not be
ranked but will be submitted to HUD Headquarters for selection.)
a. Hub staff teams will be established for ALCP review in each Hub
to do the application ratings.
b. From within rank order, Hub staff teams in each of the 18 Hubs
will select the highest ranked applications from within that Hub in
rank order, which can be funded from within the dollars available. Each
Hub will select applications based on rank order up to and including
the last application that can be funded out of each Hub's allocation.
Hubs must not skip over any applications in order to select one based
on the funds remaining.
c. After making the initial selections, however, Hubs may use any
residual funds to select the next rank-ordered application by reducing
the dollars requested by no more than 10 percent and reducing the
number of units proposed, but in no case reducing the number of units
below the financial threshold feasibility of five ALF units.
d. Funds remaining after these processes are completed will be
returned to HUD Headquarters. HUD Headquarters will use these funds to
restore units to any project reduced as a result of using the residual
grant funds in a Hub. Finally, HUD will use these funds for selecting
one or more additional applications based on the Hubs rating and
rankings, beginning with the highest rated application within the 18
Hubs. Only one application will be selected per Hub from the national
residual amount. If there are no approvable applications in other Hubs,
the process will begin again with the selection of the next highest
rated application within the remaining Hubs. This process will continue
until all approvable applications are selected using the available
remaining funds. If there is a tie score between two or more
applications, and there are insufficient residual funds to cover all
tied applications, HUD Headquarters staff will choose the winning
application(s) by lottery and/or reduction of grant requests consistent
with the instructions above.
e. Only one application will be selected using the $5 million set-
aside to provide grant funds to a private nonprofit applicant proposing
to convert an unused or underutilized commercial property into assisted
living. HUD Multifamily Hubs will review applications for commercial
properties for completeness and compliance with the eligibility
criteria set forth in Section III. of this NOFA. Hub staff will forward
applications to Headquarters providing the application was received by
the deadline date, meets all eligibility criteria, proposes reasonable
costs for eligible activities, includes all technical corrections by
the designated deadline date and must have received a score of 75
points or more. Headquarters will select only one on a first-come,
first-served basis that can be funded within the money available.

Note: Only one application that can be fully funded will be
selected. Any remaining funds after this selection process will be
returned to the funds allocated for eligible multifamily assisted
projects.

VI. Award Administration Information

A. Award Notices

1. The Grant Agreement, and the Form HUD-1044, signed by both the
Recipient and Grant Officer, shall serve as the authorizing award
documents. Unsuccessful applicants will be notified, by mail, within 30
days of the announcement of the awards.
2. Adjustments to Funding. a. HUD will not fund any portion of your
application that is not eligible for funding under specific program
statutory or regulatory requirements; does not meet the requirements if
this notice; or may be duplicative of other funded programs or
activities. Only the eligible portion of your application will be
funded.
3. Applicant Debriefing. All requests for debriefing must be made
in writing and submitted to the local Hub in which you applied for
assistance. Materials provided to you during your debriefing will
include the final scores you received for each rating factor, final
evaluator comments for each rating factor, and the final assessment
indicating the basis upon which assistance was provided or denied.
Information regarding this procedure may be found in the General
Section.

B. Administrative and National Policy Requirements. See Section III.C.
of this NOFA and the General Section.

C. Reporting

1. Recipients of funding under this program NOFA shall submit a
progress report every six months after the effective date of the Grant
Agreement. Progress reports shall include reports on performance using
the Logic Model (form HUD 90610) approved in your award agreement and
financial progress.

VII. Agency Contacts

A. For Further Information and Technical Assistance

You should contact the Multifamily Hub where you will be mailing
your ALCP Application. (Please refer to Hub telephone numbers in
Appendix 1 of this NOFA.)
You also may contact Faye Norman, Housing Project Manager at (202)
708-3000, extension 2482 or Aretha Williams, Director, Grant Policy and
Management Division, Room 6138 at (202) 708-3000, extension 2480 for
questions regarding the ALF grant award process. These are not toll-
free numbers. Ms. Norman can be reached by e-mail at [email protected] and Ms. Williams at [email protected]. Both
Ms. Norman and Ms. Williams are located at the U.S. Department of
Housing and Urban Development; 451 Seventh Street, SW.; Washington, DC
20410.
If you have a hearing or speech impairment, you may access the
telephone number via TTY by calling the Federal Information Relay
Service at 800-877-8339.
Application. All information for the submission of your application
is included in this NOFA and the General Section. You may also obtain
an ALCP application by calling the NOFA Information Center at (voice)
800-HUD-8929 (800-483-8929). Persons with a hearing or speech
impairment may call the Center's TTY number at 800-HUD-2209. Please be
sure to provide your name, address (including zip code), and telephone
number (including area code). The application is also available on the
Internet through the HUD Web site at http://www.hud.gov.grants/
index.cfm.

[[Page 14161]]

Note: There is a separate application for service coordinator
funds (which is necessary for those needing to enhance or add
service coordination per Section III. of this NOFA).

VIII. Other Information

A. Paperwork Reduction Act.

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (4 U.S.C. 3501-3520) and assigned
OMB control number 2502-0542. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 2,550 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting data for the application, semi-annual reports, and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.

B. Appendices

Appendix 1 presents the list of HUD offices. Appendix 2 to this
NOFA provides the forms that are specific to this NOFA.

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BILLING CODE 4210-32-C

Service Coordinators in Multifamily Housing

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of the Assistant Secretary for Housing-Federal
Housing Commissioner.
B. Funding Opportunity Title: Service Coordinators In Multifamily
Housing.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is FR-4950-N-21. The OMB approval number for this program is 2502-
0447.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.191,
Multifamily Housing Service Coordinators.
F. Dates: The application submission date is June 24, 2005. (All
applications must be submitted and received by http://www.grants.gov no
later than 11:59:59 p.m. Eastern Time on the application submission
date. See submission details in the General Section.)
G. Optional Additional Overview Information: 1. Available Funds.
Approximately $49.6 million in fiscal year 2005 funds is available for
the Service Coordinator program. Of these funds, approximately $10
million is available in this NOFA for funding new Service Coordinator
programs.
2. Purpose of the program: The Service Coordinator program allows
multifamily housing owners to assist elderly individuals and nonelderly
people with disabilities living in HUD-assisted housing and in the
surrounding area to obtain needed supportive services from the
community, to enable them to continue living as independently as
possible in their homes.
3. Eligible Applicants: Only owners of eligible multifamily
assisted developments may apply for and become the recipient of grant
funds.
Full Text of Announcement:

I. Funding Opportunity Description

A. The Service Coordinator Program

The Service Coordinator Program provides funding for the employment
and support of Service Coordinators in insured and assisted housing
developments that were designed for the elderly or nonelderly persons
with disabilities and continue to operate as such. Service Coordinators
help residents obtain supportive services from the community that are
needed to enable independent living and aging in place.
A Service Coordinator is a social service staff person hired or
contracted by the development's owner or management company. The
Service Coordinator is responsible for assuring that elderly residents,
especially those who are frail or at risk, and those non-elderly
residents with disabilities are linked to the supportive services they
need to continue living independently in their current homes. All
services should meet the specific desires and needs of the residents
themselves. The Service Coordinator may not require any elderly
individual or person with a disability to accept any specific
supportive service(s).
You may want to review the Management Agent Handbook 4381.5
REVISION-2, CHANGE-2, Chapter 8 for further guidance on service
coordinators. This Handbook is accessible through HUDCLIPS on HUD's Web
site at http://www.hudclips.org. The Handbook is in the Handbooks and
Notices--Housing Notices database. Enter the Handbook number in the
``Document Number'' field to retrieve the Handbook.

B. Authority

Section 808 of the Cranston-Gonzalez National Affordable Housing
Act (Pub. L. 101-625, approved November 28, 1990), as amended by
sections 671, 674, 676, and 677 of the Housing and Community
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992),
and section 851 of the American Homeownership and Economic Opportunity
Act of 2000 (Pub. L. 106-569, approved December 27, 2000).

C. Definition of Terms Used in This Program NOFA

1. ``Activities of daily living (ADLs)'' means eating, dressing,
bathing, grooming, and household management activities, as further
described below:
a. Eating--May need assistance with cooking, preparing, or serving
food, but must be able to feed self;
b. Bathing--May need assistance in getting in and out of the shower
or tub, but must be able to wash self;
c. Grooming--May need assistance in washing hair, but must be able
to take care of personal appearance;
d. Dressing--Must be able to dress self, but may need occasional
assistance; and
e. Home management activities--May need assistance in doing
housework, grocery shopping, laundry, or getting to and from activities
such as going to the doctor and shopping, but must be mobile. The
mobility requirement does not exclude persons in wheelchairs or those
requiring mobility devices.
2. ``At-risk elderly person'' is an individual 62 years of age or
older who is unable to perform one or two ADLs, as defined in the above
paragraph.
3. ``Frail elderly person'' means an individual 62 years of age or
older who is unable to perform at least three ADLs as defined in the
above paragraph.
4. ``People with disabilities'' means those individuals who:
a. Have a disability as defined in Section 223 of the Social
Security Act;
b. Have a physical, mental, or emotional impairment expected to be
of long, continued, and indefinite duration that substantially impedes
the individual's ability to live independently; or
c. Have a developmental disability as defined in Section 102 of the
Developmental Disabilities Assistance and Bill of Rights Act of 2000,
(42 U.S.C. Section 15002).
5. ``Reasonable costs'' mean that costs are consistent with
salaries and administrative costs of similar programs in your Field
office's jurisdiction.
D. Functions of a Service Coordinator.
The major functions of the Service Coordinator include the
following:
1. Refer and link the residents of the development to supportive
services provided by the general community. Such services may include
case management, personal assistance, homemaker, meals-on-wheels,
transportation, counseling, occasional visiting nurse, preventive
health screening/wellness, and legal advocacy.
2. Educate residents on service availability, application
procedures, client rights, etc.
3. Establish linkages with agencies and service providers in the
community. Shop around to determine/develop the best ``deals'' in
service pricing, to assure individualized, flexible, and creative
services for the involved resident. Provide advocacy as appropriate.
4. Provide case management when such service is not available
through the general community. This might include evaluation of health,
psychological and social needs, development of an individually tailored
case plan for services, and periodic reassessment of the resident's
situation and needs. Service Coordinators can also set up a
Professional Assessment Committee (PAC) to assist in performing initial
resident assessments. (See the guidance in the Congregate Housing
Services Program (CHSP) regulations at 24 CFR 700.135 (or 1944.258 for
Rural Housing developments).
5. Monitor the ongoing provision of services from community
agencies and keep the case management and provider agency current with
the progress of the

[[Page 14169]]

individual. Manage the provision of supportive services where
appropriate.
6. Help the residents build informal support networks with other
residents, family and friends.
7. Work and consult with tenant organizations and resident
management corporations. Provide training to the development's
residents in the obligations of tenancy or coordinate such training.
8. Create a directory of providers for use by both development
staff and residents.
9. Educate other staff of the management team on issues related to
aging in place and Service Coordination, to help them to better work
with and assist the residents.

E. Basic Qualifications of Service Coordinators and Aides

1. Service Coordinator qualifications include the following:
a. A Bachelor of Social Work or degree in Gerontology, Psychology
or Counseling is preferable; a college degree is fully acceptable. You
may also consider individuals who do not have a college degree, but who
have appropriate work experience.
b. Knowledge of the aging process, elder services, disability
services, eligibility for and procedures of federal and applicable
state entitlement programs, legal liability issues relating to
providing Service Coordination, drug and alcohol use and abuse by the
elderly, and mental health issues.
c. Two to three years experience in social service delivery with
senior citizens and/or people with disabilities. Some supervisory or
management experience may be desirable if the Service Coordinator will
work with aides.
d. Demonstrated working knowledge of supportive services and other
resources for senior citizens and/or non-elderly people with
disabilities available in the local area.
e. Demonstrated ability to advocate, organize, problem-solve, and
provide results for the elderly and people with disabilities.
2. Aides working with a Service Coordinator should have appropriate
education or experience in working with the elderly and/or people with
disabilities. An example of an aide position could be an internship or
work-study program with local colleges and universities to assist in
carrying out some of the Service Coordinator's functions.

II. Award Information

A. Available Funding

The Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2004) provides approximately $50 million to fund
Service Coordinators and the continuation of existing Congregate
Housing Services Program (CHSP) grants. (The $50 million appropriation
is subject to a 0.80 percent across-the-board rescission pursuant to P.
Law 108-447.) Approximately $10 million of the available $49.6 million
will be used to fund new Service Coordinator programs. The remaining
amount of $39.6 million will be used to fund one-year extensions to
expiring Service Coordinator and CHSP grants.

B. Maximum Grant Award

There is no maximum grant amount. The grant amount you request will
be based on the Service Coordinator's salary and the number of hours
worked each week by that Service Coordinator (and/or aide). You should
base your determination of the appropriate number of weekly work hours
on the number of people in the development who are frail or at-risk
elderly or non-elderly people with disabilities. Under normal
circumstances, a full-time Service Coordinator should be able to serve
about 50-60 frail or at-risk elderly or non-elderly people with
disabilities on a continuing basis. Your proposed salary must also be
supported by evidence of comparable salaries in your area. Gather data
from programs near you to compare your estimates with the salaries and
administrative costs of currently operating programs. HUD Field staff
can provide you with contacts at local program sites.
HUD provides funding in the form of three-year grants. HUD may
renew grants subject to the availability of funds and the grantee's
acceptable performance and compliance with program requirements. HUD
will determine performance based on the information given in the
grantee's semi-annual performance, financial status reports and
periodic Logic Model forms submitted throughout the course of the grant
term.

III. Eligibility Information

A. Eligible Applicants.

1. You must meet all of the applicable threshold requirements of
Section III.C of the General Section.
2. You must be an owner of a development assisted under one of the
following programs:
a. Section 202 Direct Loan;
b. Project-based Section 8 (including Section 8 Moderate
Rehabilitation), or
c. Section 221(d)(3) below-market interest rate, and 236
developments that are insured or assisted.
3. You must be approved to conduct new business with the
Department, based on HUD's evaluation of the applicant's previous
participation activities as reported on the ``Previous Participation
Certification'', form HUD-2530.
4. Additionally, developments listed in paragraph III.A.2, above,
are eligible only if they meet the following criteria:
a. Have frail or at-risk elderly residents and/or non-elderly
residents with disabilities who together total at least 25 percent of
the building's residents. (For example, in a 52-unit development, at
least 13 residents must be frail, at-risk, or non-elderly people with
disabilities.)
b. Were designed for the elderly or persons with disabilities and
continue to operate as such. This includes any building within a mixed-
use development that was designed for occupancy by elderly persons or
persons with disabilities at its inception and continues to operate as
such, or consistent with title VI, subtitle D of the Housing and
Community Development Act of 1992 (Pub. L. 102-550). If not so
designed, a development in which the owner gives preferences in tenant
selection (with HUD approval) to eligible elderly persons or nonelderly
persons with disabilities, for all units in that development.
c. If FHA insured or financed by a Section 202 Direct Loan, are
current in mortgage payments or are current under a workout agreement.
d. Meet HUD's Uniform Physical Conditions Standards (codified in 24
CFR part 5, subpart G), based on the most recent physical inspection
report and responses thereto, as evidenced by a score of 60 or better
on the last physical inspection or by an approved plan for developments
scoring less than 60.
e. Are in compliance with their regulatory agreement, Housing
Assistance Payment (HAP) Contract, and any other outstanding HUD grant
or contract document.
f. Have no available project funds (i.e., Section 8 operating
funds, residual receipts, excess income, or surplus cash) that could
pay for a Service Coordinator program. (``Available funds'' are those
that require HUD approval for their use and are not needed to meet
critical project needs.) Field office staff will make this
determination based on financial records maintained by the Department
and information provided

[[Page 14170]]

by the applicant in the grant application.
5. If your eligibility status changes during the course of the
grant term, making you ineligible to receive a grant (e.g., due to
prepayment of mortgage, sale of property, or opting out of a Section 8
HAP contract), HUD has the right to terminate your grant.
6. Ineligible Applicants and Developments. a. Property management
companies, area agencies on aging, and other like organizations are not
eligible applicants for Service Coordinator funds. Such agents may
prepare applications and sign application documents if they provide
written authorization from the owner corporation as part of the
application. In such cases, the owner corporation must be indicated on
all forms and documents as the funding recipient. If an agent is
preparing the application for an owner, the owner must authorize the
agent as the Authorized Organization Representative (AOR) in the
Grants.gov Registration process. If you are applying in paper copy
format, you must provide a letter from the owner authorizing the
submission by the agent on their behalf. Refer to Section IV.F.2 of the
General Section for more detailed registration information.
b. Developments not designed for the elderly, nonelderly people
with disabilities, or those no longer operating as such;
c. Section 221(d)(4) and Section 515 developments without project-
based Section 8 assistance;
d. Section 202 and 811 developments with a Project Rental
Assistance Contract (PRAC). Owners of Section 202 PRAC developments may
obtain funding by requesting an increase in their PRAC payment
consistent with Handbook 4381.5 REVISION-2, CHANGE-2, Chapter 8;
e. Conventional public housing, as such term is defined in section
3(b) of the United States Housing Act of 1937), and units assisted by
project-based Housing Choice Vouchers, as set forth in 24 CFR Part 983.
f. Renewals of existing Section 8 Service Coordinator subsidy
awards or grants. HUD currently provides one-year extensions to these
subsidy awards and grants through a separate funding action.

B. Cost Sharing or Matching Requirement

None required.

C. Other

1. Eligible Activities. a. Service Coordinator Program grant funds
may be used to pay for the salary, fringe benefits, and related support
costs of employing a service coordinator. Support costs may include
quality assurance, training, travel, creation of office space, purchase
of office furniture, equipment, and supplies, computer hardware,
software, and Internet service, and indirect administrative costs.
b. You may use grant funds to pay for Quality Assurance (QA) in an
amount that does not exceed ten percent of the Service Coordinator's
salary. Eligible QA activities are those that evaluate your program to
assure that the position and program are effectively implemented. A
qualified, objective third party must perform the program evaluation
work and must have work experience and education in social or health
care services. Your QA activities must identify short and long term
program outcomes and performance indicators that will help you measure
your performance. On-site housing management staff cannot perform QA
and you may not augment current salaries of in-house staff for this
purpose.
c. You may propose reasonable costs associated with setting up a
confidential office space for the Service Coordinator. Such expenses
must be one-time only start-up costs. Such costs may involve
acquisition, leasing, rehabilitation, or conversion of space. The
office space must be accessible to people with disabilities and meet
the Uniform Federal Accessibility Standards (UFAS) requirements of
accessibility. HUD field office staff must approve both the proposed
costs and activity and must perform an environmental assessment on such
proposed work prior to grant award.
d. You may use funds to augment a current Service Coordinator
program, by increasing the hours of a currently employed Service
Coordinator, or hiring an additional Service Coordinator or aide on a
part-or full-time basis. Likewise, Assisted Living Conversion Program
(ALCP) applicants may apply for new or augmented Service Coordinator
costs to serve Assisted Living residents and/or all residents of the
development.
e. You may use funds to continue a Service Coordinator program that
has previously been funded through other sources. In your application,
you must provide evidence that this funding source has already ended or
will discontinue within six months following the application deadline
date and that no other funding mechanism is available to continue the
program. This applies only to funding sources other than the subsidy
awards and grants provided by the Department through program Notices
beginning in FY1992. HUD currently provides one-year extensions to
these subsidy awards and grants through a separate funding action.
f. You may provide service coordination to low-income elderly
individuals or nonelderly people with disabilities living in the
vicinity of an eligible development. Community residents should come to
your housing development to meet with and receive service from the
Service Coordinator, but you must make reasonable accommodations for
those individuals unable to travel to the housing site.
2. Threshold Requirements. a. At the time of submission, grant
applications must contain the materials in Section IV.B.2.a and e of
this Program NOFA in order to be considered for funding. If any of
these items is missing, HUD will immediately reject your application.
b. In cases where field office staff request information in
response to technical deficiencies in applications, applicants must
submit the response by the designated deadline date. If requested
responses are not received by this date, HUD will reject the
application.
c. DUN and Bradstreet Universal Numbering System (DUNS) Number
Requirement. Refer to the General Section for information regarding the
DUNS requirement. You will need to obtain a DUNS number to receive an
award from HUD.
3. Program Requirements. In managing your Service Coordinator
grant, you must meet the requirements of this Section. These
requirements apply to all activities, programs, and functions used to
plan, budget, and evaluate the work funded under your program.
a. You must make sufficient separate and private office space
available for the Service Coordinator and/or aides to meet with
residents, without adversely affecting normal activities.
b. The Service Coordinator must maintain resident files in a
secured location. Files must be accessible ONLY to the Service
Coordinator, unless residents provide signed consent otherwise. These
policies must be consistent with maintaining confidentiality of
information related to any individual per the Privacy Act of 1974.
c. Grantees must ensure that the Service Coordinator receives
appropriate supervision, training, and ongoing continuing education,
consistent with statutory and HUD administrative requirements. This
includes 36 hours of training in age-

[[Page 14171]]

related and disability issues during the first year of employment, if
the Service Coordinator has not received recent training in these
areas, and 12 hours of continuing education each year thereafter.
d. Grantees are responsible for any budget shortfalls during the
three-year grant term.
e. As a condition of receiving a grant, Section 202 developments
without a dedicated residual receipts account must amend their
regulatory agreement and open such an account, separate from their
Reserve for Replacement account.
f. Subgrants and Subcontracts. You may directly hire a Service
Coordinator or you may contract with a qualified third party to provide
this service.
g. Environmental Requirements. It is anticipated that most
activities under this program are categorically excluded from the
National Environmental Policy Act (NEPA) and related environmental
authorities under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant
funds will be used to cover the cost of any activities which are not
exempt from environmental review requirements--such as acquisition,
leasing, construction, or building rehabilitation, HUD must perform an
environmental review to the extent required by 24 CFR part 50, prior to
grant award. HUD Field office staff will determine the need for an
environmental assessment, based on the proposed program activities.
4. Submission Information. a. Single Applications. (1) You may
submit one application that contains one or more developments that your
corporation owns. submitting one application for each project you own
will increase your chances of selection in the lottery. You may also
submit one application that contains multiple projects you own, to
reduce preparation time and resources.
Each application must propose a stand-alone program at separate
developments. The developments must all be located in the same field
office jurisdiction.
(2) If you wish to apply on behalf of developments located in
different field office jurisdictions, you must submit a separate
application to each field office.
b. Joint Applications. You may join with one or more other eligible
owners to share a Service Coordinator and submit a joint application.
In the past, joint applications have been used by small developments
that joined together to hire and share a part or full-time Service
Coordinator.
c. Application Submission Requirements for ALCP Applicants. (1) If
you are an ALCP applicant and you request new or additional Service
Coordinator funds specifically for your proposed Assisted Living
Program, you must submit an application containing all required
documents listed in Section IV.B of this Program NOFA. You may include
a copy of all standard forms submitted as part of your ALCP
application.
(2) If you currently do not have a Service Coordinator working at
the development proposed in your ALCP application and your ALCP
application is selected to receive an award, HUD will fund a Service
Coordinator to serve either ALCP residents only or all residents of the
development dependent upon your request. If your development currently
has a Service Coordinator, you may request additional hours for the
Service Coordinator to serve the Assisted Living residents. If you
request additional hours, you must specify the number of additional
hours per week and provide an explanation based on the anticipated
needs of the Assisted Living residents. If you request Service
Coordinator funding to serve all residents of your development,
indicate whether or not your request should be entered into the
national lottery if your ALCP application is not selected to receive an
award. Provide this information in your related narrative, pursuant to
paragraph IV.B.2.e(6) of this NOFA.

IV. Application and Submission Information

A. Addresses to Request Application Package

Applicants may download the Instructions to the application found
on the grants.gov Web site at http:// www.Grants.gov./Apply. The
instructions contain the General Section and Program Section of the
published NOFA as well as forms that you must complete and attach as a
zip file to your application submission. If you have difficulty
accessing the information you may call the Grants.gov Support desk toll
free 800-518-GRANTS or e-mailing your questions to Grants.gov">Support@Grants.gov.
The Support Desk staff will assist you in accessing the information.
Please remember that you must be registered to submit an application
utilizing Grants.gov. Your registration allows you to electronically
sign the application and Grants.gov to authenticate that the
application was submitted by the appropriate organization staff with
legal authority to submit the application on behalf of the applicant.
Please see the General Section for information regarding the
registration process or ask for registration information from the
Grants.gov Support Desk. Please be aware that the registration process
is a separate process from requesting e-mail notification of funding
opportunities and should be done as soon as you download the
application from the grants.gov Web site. If you are not sure if you
are already registered, the Grants.gov Support Desk can assist in
verifying whether you are or are not registered.

B. Content and Form of Application Submission

Your application must contain the items listed in paragraphs 1 and
2, below. These items include the standard forms listed in Section IV.B
of the General Section that are applicable to this funding Notice
(collectively referred to as the ``standard forms''). The standard
forms and other required forms are part of the electronic application
found at www.grants.gov/Apply. The items are as follows:
1. Standard Forms.
a. Application for Federal Assistance (SF-424)
b. SF-424 Supplement--Survey on Ensuring Equal Opportunity for
Applicants.
c. If engaged in lobbying, the Disclosure Form Regarding Lobbying
(SF-LLL)
d. Applicant/Recipient Disclosure/Update Report Form (HUD-2880)
e. Logic Model, (HUD-90610)
f. Acknowledgment of Application Receipt (HUD-2993), not required
for electronic applications
g. Client Comments and Suggestions (HUD-2994), optional
h. Facsimile Transmittal Cover Page (HUD-96011). This form must be
used as part of the electronic application to transmit third party
documents and other information as described in the General Section as
part of your electronic application submittal (if applicable).
2. Other Application Items. All applications for funding under the
Service Coordinator Program must include the following documents and
information:
a. Service Coordinator First-Time Funding Request, form HUD-91186.
b. Previous Participation Certification, form HUD-2530.
c. If more than one owner is proposing to share a Service
Coordinator, one agency must designate itself the ``lead''. When the
legal signatory for the owner corporation signs the application, the
owner indicates agreement to administer grant funds for all the housing
developments listed in the application.
d. Evidence of comparable salaries in your local area.

[[Page 14172]]

e. Narrative Statements Describing Your Program.
(1) Explain your method of estimating how many residents of your
development are frail or at-risk elderly or non-elderly people with
disabilities. Please document that individuals meeting these criteria
make up at least 25 percent of your resident population. (Do not
include elderly individuals or people with disabilities who do not live
in the eligible developments included in your application.)
(2) Explain how you will provide on-site private office space for
the Service Coordinator, to allow for confidential meetings with
residents. If construction is planned, also include a plan and a cost-
estimate.
(3) Your quality assurance program evaluation activities and
itemized list of estimated expenses for this activity if included in
your request for funding. Indicate the type of professional or entity
that will perform the work if known at this time or the criteria you
will use to select the provider.
(4) If you wish to augment an existing program, describe your
program's needs and explain how the additional staff hours requested
will help meet these needs.
(5) A description of your plan to address community resident needs,
if applicable to your program.
(6) If you are applying for an ALCP grant in conjunction with your
Service Coordinator application, describe how the new or additional
Service Coordinator hours will support your proposed assisted living
program. Indicate if you want your Service Coordinator application
entered into the lottery if your ALCP application is not selected to
receive an award.
f. Evidence that no project funds are available to fund a Service
Coordinator program. You must include a copy of your development's most
recent bank statement, showing the project's current residual receipts
or excess income balance (if any). It is incumbent upon the applicant
to demonstrate that no such project funds are available.
g. If applicable, provide evidence that prior funding sources for
your development's Service Coordinator program are no longer available
or will expire within six months following the application deadline
date.
h. If an agent is preparing the application for an owner, the owner
must authorize the agent as the Authorized Organization Representative
(AOR) in the Grants.gov Registration process. If you are applying in
paper copy format, you must provide a letter from the owner authorizing
the submission by the agent on their behalf.
i. A DUNS number. Refer to the General Section for information
regarding the DUNS requirement.

C. Submission Dates and Times

Applicants must follow the submission requirements discussed in
Section IV.C of the General Section.

D. Intergovernmental Review

Intergovernmental review is not applicable to this program.

E. Funding Restrictions

1. Alternative Funding for Service Coordinators. If your
development has available Section 8 operating funds, residual receipts,
or excess income, not needed for critical project expenses, you must
use these project funds prior to receiving grant monies. Owners may
submit requests to use Section 8 operating funds, residual receipts, or
excess income pursuant to instructions in Housing's Management Agent
Handbook 4381.5, REVISION-2, CHANGE-2, Chapter 8 and Housing Notice H
02-14. HUD field staff may approve use of these project funds at any
time, consistent with current policy. You should discuss these
alternative-funding options with your field office staff prior to
submitting a grant application.
2. Ineligible Activities and Program Costs. a. You may not use
funds available through this NOFA to replace currently available
funding from other sources for a Service Coordinator or for some other
staff person who performs service coordinator functions.
b. Owners with existing service coordinator subsidy awards or
grants may not apply for renewal or extension of those programs under
this NOFA. HUD will provide extension funds through a separate funding
process.
c. You cannot hire an additional part or full-time Service
Coordinator for the sole purpose of serving community residents.
d. Grant recipients may not use grant funds to pay for supervision
performed by property management staff. (Management fees already pay
for such supervision.)
e. Cost overruns associated with creating private office space and
usual audit and legal fees are not eligible uses of grant funds.
f. The cost of application preparation is not eligible for
reimbursement.
g. Grant funds cannot be used to increase a project's management
fee.
h. Grant funds may not cover the cost of Service Coordinator-
related training courses for members of a development's management
staff who do not directly provide Service Coordination. Owners must use
their management fees to pay this expense.
i. Owners/managers cannot use Reserve for Replacement funds to pay
costs associated with a Service Coordinator program.
j. Congregate Housing Services Program grantees may not use these
funds to meet statutory program match requirements and may not use
these funds to replace current CHSP program funds to continue the
employment of a service coordinator.
k. Grantees cannot use grant funds to pay PAC members for their
services.
l. The grant amount allowed for QA may not exceed ten percent of
the Service Coordinator's salary.
3. Prohibited Service Coordinator Functions. During work hours paid
for by this grant, Service Coordinators may not perform the following
activities:
a. Act as a recreational or activities director;
b. Provide supportive services directly;
c. Act as a Neighborhood Networks program director or coordinator,
and
d. Perform property management work, regardless of the funding
source used to pay for these activities.

F. Other Submission Requirements

1. Application Submission and Receipt Procedures. Carefully review
the procedures presented in Section IV.F of the General Section. All
applicants submitting Service Coordinator applications must submit
applications electronically. Please pay particular attention to the
portion of Section IV.F. of the General Section that explains how to
submit Third Party Letters, Certifications or Narrative Statements
electronically as part of your application.
2. Waiver of Electronic Submission Requirement. During FY2005, HUD
will only accept electronic applications submitted through
www.grants.gov unless the applicant has received a waiver from the
Department. Please see the General Section for detailed instructions
and timelines for requesting a waiver of the mandatory electronic
submission requirement.
3. Application Copies. Applicants submitting electronic
applications must submit just one application to http://www.grants.gov.
Applicants who receive a waiver for electronic submission must submit
an original and two copies to the field office with jurisdiction over
the housing developments included in your application.
4. Field Office Addresses. If you are granted a waiver to the
electronic application submission requirement,

[[Page 14173]]

you must submit an original and two hard copies of your application to
the field office with jurisdiction over the housing developments
identified in your application. If you send your application to the
wrong local HUD Office, it will be rejected. Therefore, if you are
uncertain as to which local HUD Office to submit your application, you
are encouraged to contact the local HUD Office that is closest to your
project's location to ascertain the Office's jurisdiction and ensure
that you submit your application to the correct local HUD Office. For a
list of field office addresses, see HUD's Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

V. Application Review Information

A. Criteria

1. HUD will not award Service Coordinator Program grant funds
through a rating and ranking process. Instead, the Department will hold
one national lottery for all applications determined to be eligible by
Multifamily Hub and Multifamily Program Centers.
2. Threshold Eligibility Review. HUD Multifamily field office staff
will review applications for completeness and compliance with the
eligibility criteria set forth in Section III of this NOFA. Field
office staff will deem an application eligible if the electronic
application was submitted and received by http:\\www.Grants.gov no
later than 11:59:59 p.m. on June 24, 2005. For applicants who submitted
a paper copy of their application, the application was submitted by the
deadline date and meets the application timely receipt requirements for
paper copy submission in the General Section. To be eligible for the
lottery, in addition to meeting the timely submission requirement, an
applicant must meet all eligibility criteria; propose reasonable costs
for eligible activities, and, if technical corrections are requested
during the review process, provide the technical correction(s) by the
timeframe stated in the request.

B. Review and Selection Process

1. Funding Priorities.
a. Prior to the lottery, HUD will fund Service Coordinator
applications submitted by FY2005 ALCP applicants, whose ALCP
applications are selected for funding under that program's NOFA. HUD
estimates that approximately $500,000 will be used to fund ALCP Service
Coordinator applications. Any funds not used by the ALCP program to
fund service coordinators will be added to the funds available for the
National Lottery.
b. After setting aside funds for ALCP applicants, and prior to the
lottery, HUD will next fund all applications submitted by owners who
are applying for grant funds to continue a currently operating program
previously funded by project funds. As stated in paragraph III.A.4.f of
this NOFA, such applications are eligible only if project funds are no
longer available to continue the program.
2. Selection Process.
a. HUD will use remaining funds to make grant awards through the
use of a national lottery. A computer program performs the lottery by
randomly selecting eligible applications.
b. HUD will fully fund as many applications as possible with the
given amount of funds available. After all fully fundable applications
have been selected by lottery, HUD may make an offer to partially fund
the next application on the lottery's list, in order to use the entire
amount of funds allocated. If the applicant selected for partial
funding turns down the offer, HUD will make an offer to partially fund
the next application on the lottery list. HUD will continue this
process until an applicant accepts the partial funding offer.
3. Reduction in Requested Grant Amount. HUD may make an award in an
amount less than requested, if:
a. HUD determines that some elements of your proposed program are
ineligible for funding;
b. There are insufficient funds available to make an offer to fully
fund the application;
c. HUD determines that reduced grant amount would prevent
duplicative Federal funding.
4. Corrections to Deficient Applications. Section V.B.4 of the
General Section provides the procedures for corrections to deficient
applications.

VI. Award Administration Information

A. Award Notices

HUD field staff will send, by postal or overnight mail, selection
letters and grant agreements to the award recipient organization. The
grant agreement is the obligating document and funds are obligated once
the HUD grant officer signs the agreement. Field staff will send non-
selection letters during this same period of time. If your application
is rejected, field staff may notify you by letter any time during the
application review process.

B. Administrative and National Policy Requirements

None.

C. Reporting

All award recipients must submit the following reports on a yearly
basis:
1. Two Semi-Annual Financial Status Reports (SF-269-A), for each
half-year period of the Federal fiscal year;
2. Two Semi-Annual Service Coordinator Performance Reports, (HUD-
92456), for each half-year period of the Federal fiscal year;
3. Two completed Logic Model forms, HUD-96010, submitted as an
attachment to each Semi-Annual Performance Report. The Logic Model must
present performance information on a short term basis, corresponding to
each six-month reporting period; on an intermediate basis, i.e.
annually, and in the long-term, reporting results for the entire grant
term showing progress related to program outputs and outcomes as
specified in your approved Logic Model incorporated into your grant
agreement. The objectives of the Service Coordinator program are to
enhance a resident's quality of life and ability to live independently
and to age in place. The data that HUD collects on the performance
report and Logic Model measures, in a quantitative form, the grantee's
success in meeting these intended program outcomes.
4. Periodic reimbursement requests (i.e., Payment Voucher, form
HUD-50080-SCMF), providing program expenses for the associated time
period, and submitted in accordance with the due dates stated in the
grant agreement. Grantees must request grant payments directly
following the end of each agreed-upon time period and the funds must
reimburse those program costs already incurred.
5. If your grant includes Quality Assurance activities, you must
provide a copy of at least one annual report that your QA provider
submits to you each year. You must submit this copy along with the
semi-annual financial and performance reports that are due on October
30 of each year. The QA provider's report that you submit to HUD must
include the following information: who performed the QA work, when the
review(s) was conducted, and the results of the evaluation. The results
should include such information as how many residents were served, the
types of services they receive, the training sessions attended by the
Service Coordinator, and the extent of resident satisfaction with the
program. HUD will use this report, in tandem with other reports and
performance data, to determine a grantee's acceptable program
performance.

[[Page 14174]]

VII. Agency Contacts

You may contact your local HUD field office staff for questions you
have regarding this NOFA and your application. Please contact the
Multifamily Housing Resident Initiatives Specialist or Service
Coordinator contact person in your local office. If you are an owner of
a Section 515 development, contact the HUD field office that monitors
your Section 8 contract. If you have a question that the field staff is
unable to answer, please call Carissa Janis, Housing Project Manager;
Office of Housing Assistance and Grants Administration; Department of
Housing and Urban Development; 451 Seventh Street, SW., Room 6146;
Washington, DC 20410-8000; (202) 708-3000, extension 2487 (this is not
a toll-free number). If you are hearing-or speech-impaired, you may
access this number via TTY by calling the Federal Information Relay
Service at 800-877-8339.

VIII. Other Information

A. Satellite Broadcast

HUD will hold an information program for potential applicants via
satellite broadcast to learn more about the program and preparation of
the application. For more information about the date and time of the
broadcast, you should contact your local field office staff or consult
the HUD Web site at http://www.hud.gov.

B. Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2502-0477. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 50.25 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data for the application, semi-annual reports and
final report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.

C. Appendices

Appendix A to this NOFA presents the list of HUD offices. Appendix
B to this NOFA provides the forms that are specific to this NOFA.

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Section 202 Supportive Housing for the Elderly Program (Section 202
Program)

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Housing.
B. Funding Opportunity Title: Section 202 Supportive Housing for
the Elderly.
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: The Federal Register number for this
NOFA is FR-4950-N-19. The OMB Approval Number for this program is 2502-
0267.
E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.157,
Section 202 Supportive Housing for the Elderly.
F. Dates: Application Submission Date: The application submission
date is on or before May 31, 2005. Refer to Section IV of this NOFA and
to the General Section for information on application submission
requirements.
G. Optional, Additional Overview Content Information:
1. Purpose of the Program. This program provides funding for the
development and operation of supportive housing for very low-income
persons 62 years of age or older.
2. Available Funds. Approximately $462.9 million in capital advance
funds, plus associated project rental assistance contract (PRAC) funds
and any carryover funds available.
3. Types of Funds. Capital advance funds will cover the cost of
developing the housing. PRAC funds will cover the difference between
the HUD-approved operating costs of the project and the tenants'
contributions toward rent (30 percent of their adjusted monthly
income).
4. Eligible Applicants. Private nonprofit organizations and
nonprofit consumer cooperatives. (See Section III.C.3.k of this program
NOFA for further details and information regarding the formation of the
Owner corporation).
5. Eligible Activities. New construction, rehabilitation, or
acquisition (with or without rehabilitation) of housing. (See Section
III.C.1. below of this program NOFA for further information.
6. Match Requirements. None required.
7. Local HUD Offices. The local HUD office structure, for the
purpose of implementing the Section 202 program, consists of 18
Multifamily Hub Offices. Within the Multifamily Hubs, there are
Multifamily Program Centers with the exception of the New York Hub, the
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future
references shall use the term ``local HUD office'' unless a more
detailed description is necessary as in Limitations on Applications and
Ranking and Selection Procedures, below.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description. HUD provides capital advances and contracts
for project rental assistance in accordance with 24 CFR part 891.
Capital advances may be used for the construction or rehabilitation of
a structure, or acquisition of a structure with or without
rehabilitation (including structures from the Federal Deposit Insurance
Corporation (FDIC)). Capital advance funds bear no interest and are
based on development cost limits in Section IV.E.3. Repayment of the
capital advance is not required as long as the housing remains
available for occupancy by very low-income elderly persons for at least
40 years.
PRAC funds are used to cover the difference between the tenants'
contributions toward rent (30 percent of adjusted income) and the HUD-
approved cost to operate the project. PRAC funds may also be used to
provide supportive services and to hire a service coordinator in those
projects serving frail elderly residents. The supportive services must
be appropriate to the category or categories of frail elderly residents
to be served.
B. Authority. The Section 202 Supportive Housing for the Elderly
Program is authorized by section 202 of the Housing Act of 1959 (12
U.S.C. 1701q), as amended by section 801 of the Cranston-Gonzalez
National Affordable Housing Act (Pub. L. 101-625; approved November 28,
1990); the Housing and Community Development Act of 1992 (Pub. L. 102-
550; approved October 28, 1992), the Rescissions Act (Pub. L. 104-19;
enacted on July 27, 1995); the American Homeownership and Economic
Opportunity Act of 2000 (Pub. L. 106-569; approved December 27, 2000);
and the Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2004).
C. Calculation of Fund Reservation. If selected, you will receive a
fund reservation that will consist of both a reservation of capital
advance funds and a reservation of contract authority (one year) and
budget authority (five years) for project rental assistance.
1. Capital Advance Funds. The reservation of capital advance funds
is based on a formula which takes the development cost limit for the
appropriate building type (elevator, non-elevator) and unit size(s) and
multiplies it by the number of units of each size (including a unit for
a resident manager, if applicable) and then multiplies the result by
the high cost factor for the area. The development cost limits can be
found in Section IV.E.3. of this program section of the SuperNOFA.
2. PRAC Funds. The PRAC contract authority is determined by
multiplying the number of revenue units for elderly persons by the
appropriate operating cost standard. The PRAC budget authority is
determined by multiplying the PRAC contract authority by 5 (years). The
operating cost standards will be published by Notice.

II. Award Information

A. Available Funds.

For FY2005, approximately $462.9 million is available for capital
advances for the Section 202 Supportive Housing for the Elderly
Program. The Consolidated Appropriations Act, 2005 (Pub. L. 108-447,
approved December 8, 2004) provides $747,000,000 for capital advances,
including amendments to capital advance contracts, for supportive
housing for the elderly as authorized by section 202 of the Housing Act
of 1959 (12 U.S.C. 1701q), as amended by section 801 of the Cranston-
Gonzalez National Affordable Housing Act (Pub. L. 101-625, approved
November 28, 1990), for project rental assistance, amendments to
contracts for project rental assistance, and $3 million for the renewal
of expiring contracts for such assistance for up to a one-year term,
for supportive housing for the elderly under section 202(c)(2) of the
Housing Act of 1959 as well as the amount of $450,000 to be transferred
to the Working Capital Fund, all of which is subject to a .8 percent
across-the-board rescission pursuant to Public Law 108-447.
Additionally, of the amount appropriated, $50 million is provided for
service coordinators and the continuation of congregate services
grants, up to $25 million is provided for assisted living conversion
grants and emergency capital repairs, and $18 million is provided for a
Section 202 Demonstration Planning Grant program.
The announcement of the availability of the funds for the service
coordinators and the continuation of congregate services as well as the
Assisted Living Conversion program is covered elsewhere in this
SuperNOFA.
The announcement of the availability of funds for emergency capital
repairs and the Section 202 Demonstration Planning Grant program will
be addressed in a future Federal Register.

[[Page 14189]]

In accordance with the waiver authority provided in the
Consolidated Appropriations Act, 2005, the Secretary is waiving the
following statutory and regulatory provision: The term of the project
rental assistance contract is reduced from 20 years to 5 years. HUD
anticipates that at the end of the contract terms, renewals will be
approved subject to the availability of funds. In addition to this
provision, HUD will reserve project rental assistance contract funds
based on 75 percent rather than on 100 percent of the current operating
cost standards for approved units in order to take into account the
average tenant contribution toward rent.
The allocation formula used for Section 202 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY2005 formula consists of one data element from
the 2000 Census: number of one-person elderly renter households
(householder age 62 and older) with incomes at or below the applicable
Section 8 very low-income limit, and with housing conditions. Housing
conditions are defined as paying more than 30 percent of income for
gross rent, or occupying a unit lacking some or all kitchen or plumbing
facilities, or occupying an overcrowded unit (1.01 persons per room or
more).
Under Section 202, 85 percent of the total capital advance amount
is allocated to metropolitan areas and 15 percent to nonmetropolitan
areas. In addition, each local HUD office jurisdiction receives
sufficient capital advance funds for a minimum of 20 units in
metropolitan areas and 5 units in nonmetropolitan areas. The total
amount of capital advance funds to support these minimum set-asides are
subtracted from the respective (metropolitan or nonmetropolitan) total
capital advance amounts available. The remainder is fair shared to each
local HUD office jurisdiction whose fair share exceeds the minimum set-
aside based on the allocation formula fair share factors described
below.

Note: The allocations for metropolitan and nonmetropolitan
portions of the local HUD office jurisdictions reflect the
definitions of metropolitan and nonmetropolitan areas as of the 2000
Census, as defined by the Office of Management and Budget at that
time.

A fair share factor is developed for each metropolitan and
nonmetropolitan portion of each local HUD office jurisdiction by
dividing the number of elderly renter households in the respective
metropolitan and nonmetropolitan portion of the jurisdiction by the
total number of elderly rental households in the metropolitan and
nonmetropolitan portions of the United States. The resulting percentage
for each local HUD office jurisdiction is then adjusted to reflect the
relative cost of providing housing among the local HUD office
jurisdictions. The adjusted needs percentage for the applicable
metropolitan or nonmetropolitan portion of each jurisdiction is then
multiplied by the respective total remaining capital advance funds
available nationwide. Based on the allocation formula, HUD has
allocated the available capital advance funds as shown on the following
chart:

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B. Type of Award

Capital Advance and Project Rental Assistance Contract Funds for
new Section 202 applications.

C. Type of Assistance Instrument

The Agreement Letter stipulates the terms and conditions for the
Section 202 fund reservation award as well as the submission
requirements following the fund reservation award. The duration of the
fund reservation award for the capital advance is 18 months from the
date of issuance of the fund reservation.

D. Anticipated Start and Completion Date

Immediately upon your acceptance of the Agreement Letter, you are
expected to begin work toward the submission of a Firm Commitment
Application, which is the next application submission stage. You are
required to submit a Firm Commitment Application to the local HUD
office within 180 days from the date of the Agreement Letter. Initial
closing of the capital advance and start of construction of the project
are expected to be accomplished within the duration of the fund
reservation award period as indicated in the above paragraph regarding
the Type of Assistance Instrument. Final closing of this capital
advance is expected to occur

[[Page 14193]]

no later than six months after completion of project construction.

III. Eligibility Information

A. Eligible Applicants

Private nonprofit organizations and nonprofit consumer cooperatives
who meet the threshold requirements contained in the General Section of
the SuperNOFA and Section III.C. 2. of this NOFA are the only eligible
applicants under this Section 202 program. Neither a public body nor an
instrumentality of a public body is eligible to participate in the
program.
Applicant eligibility for purposes of applying for a Section 202
fund reservation under this NOFA has not changed; i.e., all Section 202
Sponsors and Co-Sponsors must be private nonprofit organizations and
nonprofit consumer cooperatives. However, the Owner corporation, when
later formed by the Sponsor, may be (1) a single-purpose private
nonprofit organization that has tax-exempt status under Section
501(c)(3) or Section 501(c)(4) of the Internal Revenue Code of 1986,
(2) nonprofit consumer cooperative, or (3) for purposes of developing a
mixed-finance project pursuant to the statutory provision under Title
VIII of the American Homeownership and Economic Opportunity Act of
2000, a for-profit limited partnership with a private nonprofit
organization as the sole general partner.
See Section IV.E.2. regarding limits on the total number of units
and projects for which you may apply for funding.

B. Cost Sharing or Matching

No cost sharing or match is required; however, you are required to
make a commitment to cover the estimated start-up expenses, the minimum
capital investment of one-half of one percent of the HUD-approved
capital advance, not to exceed $10,000 or for a national Sponsor not to
exceed $25,000, and any funds required in excess of the capital
advance, including the estimated cost of any amenities or features (and
operating costs related thereto) which are not covered by the capital
advance. You make such a commitment by signing the Form HUD-92042,
Sponsor's Resolution for Commitment to Project in Exhibit 8(g) of the
application found in Section IV.B.

C. Other

1. Eligible Activities. Section 202 capital advance funds must be
used to finance the development of housing through new construction,
rehabilitation, or acquisition with or without rehabilitation. Capital
advance funds may also be used in combination with other non-Section
202 funding sources leveraged by a for-profit limited partnership (of
which a single-purpose private nonprofit organization is the sole
general partner) to develop a mixed-finance project, including a mixed-
finance project for additional units over and above the Section 202
units. The development of a mixed-use project in which the Section 202
units are mortgaged separately from the other uses of the structure is
not considered a mixed-finance project. Project rental assistance funds
are provided to cover the difference between the HUD-approved operating
costs and the amount the residents pay (each resident pays 30 percent
of adjusted income) as well as to provide supportive services to frail
elderly residents.

Note: For purposes of approving Section 202 capital advances,
HUD will consider proposals involving mixed-financing for additional
units over and above the Section 202 units. However, you must obtain
funds to assist the additional units with other than PRAC funds. HUD
will not provide PRAC funds for non-Section 202 units.

A portion of the PRAC funds (not to exceed $15 per unit/per month)
may be used to cover some of the cost of any supportive services for
those frail elderly or those elderly determined to be at-risk of being
institutionalized. The balance of the cost for services must be paid
for from sources other than the capital advance or PRAC funds. Also,
the cost of employing a service coordinator for those projects serving
principally the frail elderly (when at least 25 percent of the
residents will be frail or determined to be at-risk of being
institutionalized) is an eligible use of PRAC funds. Section 202
projects receiving Congregate Housing Services assistance under Section
802 of the National Affordable Housing Act are not eligible to use
capital advance or PRAC funds for supportive services or the cost of a
service coordinator.
2. Threshold Requirements for Funding Consideration. In addition to
the threshold criteria outlined in the General Section of the SuperNOFA
(such as the inclusion of a DUN and Bradstreet Data Universal Numbering
System (DUNS) Number on the SF-424), the following threshold
requirements must be met:
a. Non-Responsive Application. Your application will be considered
non-responsive to the NOFA and will not be accepted for processing if
you:
(1) submit less than the required number of copies (an original and
four copies are required if you requested and received approval for a
waiver of the electronic submission requirement). Refer to the General
Section of the SuperNOFA for information on application submission and
receipt procedures;
(2) request more units than were allocated in either the
metropolitan or nonmetropolitan allocation category to the local HUD
office that will be reviewing your application or 125 units, whichever
is less (see the allocation chart in Section II.A. above); or
(3) request less than the minimum number of 5 units per site.
(4) request assistance for housing that you currently own or lease
that is already occupied by elderly persons.
b. Other Criteria.
(1) You, or a Co-Sponsor, must have experience in providing housing
or services to elderly persons.
(2) You and any Co-Sponsor must be eligible private nonprofit
organizations or nonprofit consumer cooperatives with tax exempt status
under Internal Revenue Service code.
(3) Your application must contain acceptable evidence of site
control (see Exhibit 4(d)(i) of the application in Section IV.B. of
this program section of the SuperNOFA).
(a) Evidence of Site Control. You must provide evidence of site
control as described in this section and Exhibit 4(d)(i) of Section
IV.B. of this program section of the SuperNOFA).
(b) Historic Preservation. You are required to send a letter to the
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to
initiate consultation with their office and requests their review of
your determinations and findings with respect to the historical
significance of your proposed project. Appendix B to this program
section of the SuperNOFA contains a sample letter to the SHPO/THPO that
you may adapt for your use, if you so choose. You must include a copy
of your letter to the SHPO/THPO in your application. You must also
include in your application either:
(i) The response letter(s) from the SHPO/THPO, or
(ii) A statement from you that you have not received a response
letter(s) from the SHPO/THPO.
(c) Contamination. HUD must determine if a proposed site contains
contamination and, if so, HUD must be satisfied that it is eliminated
to the extent necessary to meet non site-specific Federal, State or
local health standards. You must assist HUD by doing the following:
(i) Phase I Environmental Site Assessment (ESA). You must submit a
Phase I ESA, prepared in accordance with the ASTM Standards E 1527-00,
as amended, completed or updated no

[[Page 14194]]

earlier than six months prior to the application deadline date. The
Phase I ESA must be completed and submitted with the application.
Therefore, it is important that you start the Phase I ESA process as
soon after publication of the SuperNOFA as possible. To help you choose
an environmentally safe site, HUD invites you to review the document
``Choosing an Environmentally Safe Site'' which is available on HUD's
Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm and
the ``Supplemental Guidance, Environmental Information'', in Appendix C
to this program section of the SuperNOFA.
(ii) Phase II ESA. If the Phase I ESA indicates the possible
presence of contamination and/or hazards, you must decide whether to
continue with this site or choose another site. Should you choose
another site, the same Phase I ESA process identified above must be
followed for the new site. However, if you choose to continue with the
original site on which the Phase I ESA indicated contamination or
hazards, you must undertake a detailed Phase II ESA by an appropriate
professional. In order for your application to be considered for review
under this FY2005 funding competition, the Phase II must be received by
the local HUD office on or before June 30, 2005.
(iii) Clean-up.--If the Phase II ESA reveals site contamination,
the extent of the contamination and a plan for clean-up of the site
must be submitted to the local HUD office. The plan for clean-up must
include a contract for remediation of the problem(s) and an approval
letter from the applicable Federal, State, and/or local agency with
jurisdiction over the site. In order for your application to be
considered for review under this FY2005 funding competition, this
information must be received by the local HUD office on or before June
30, 2005.

Note: Clean-up could be an expensive undertaking. You must pay
for the cost of any clean-up and/or remediation. If the application
is approved, clean-up must be completed prior to initial closing.
Completion of clean-up means that HUD must be satisfied that the
contamination has been eliminated to the extent necessary to meet
non site-specific federal, state or local health standards, with no
active or passive remediation still taking place, no capping over of
any contamination, and no monitoring wells. However, it is
acceptable if contamination remains solely in groundwater that is at
least 25 feet below the surface.

(d) Asbestos. Asbestos is a hazardous substance commonly used in
building products until the late 1970s. Therefore, you must submit one
of the following with your application:
(i) If there is no pre-1978 structure on the site, a statement to
this effect, or
(ii) If there is a pre-1978 structure on the site, an asbestos
report which is based on a thorough inspection to identify the location
and condition of asbestos throughout any structures. In those cases
where suspect asbestos is found, it would either be assumed to be
asbestos or would require confirmatory testing. If the asbestos report
indicates the presence of asbestos or the presence of asbestos is
assumed, and if the application is approved, HUD will condition the
approval on an appropriate mix of asbestos abatement and an asbestos
Operations and Maintenance Plan.
(4) There must be a market need for the number of units proposed in
the area of the project location.
(5) You are required to include a Supportive Services Plan that
describes the supportive services proposed to be provided to the
anticipated occupants, including a description of the public or private
funds that are expected to fund the proposed services and the manner in
which the services will be provided to the proposed residents (see
Exhibit 5 in Section IV.B. of this program section of the SuperNOFA).
You must not require residents to accept any supportive services as a
condition of occupancy or admission.
(6) Delinquent Federal Debt. Refer to the General Section of the
SuperNOFA for information regarding delinquent Federal debt.
3. Program Requirements. By signing Form HUD-92015-CA, Supportive
Housing for the Elderly Section 202, Application for Capital Advance
Summary Information, you are certifying that you will comply with all
program requirements listed in the General Section of the SuperNOFA as
well as the following requirements:
a. Statutory and Regulatory Requirements. In addition to the
statutory, regulatory, threshold and public policy requirements listed
in the General Section of this SuperNOFA, you must comply with all
statutory and regulatory requirements listed in Sections I and III of
this program NOFA.

b. Application/Project Size Limits.

(1) Application Limits Applicable to Sponsors or Co-Sponsors. A
Sponsor or Co-sponsor may not apply for more than 200 units of housing
for the elderly in a single Hub or more than 10 percent of the total
units allocated to all HUD offices. Affiliated entities (organizations
that are branches or offshoots of a parent organization) that submit
separate applications are considered a single entity for the purpose of
this limit.
(2) Maximum Project Size. No single application may propose the
development of a project for more than the number of units allocated to
a local HUD office (in either the metropolitan or nonmetropolitan
allocation category, depending on the location of your proposed
project) or 125 units, whichever is less. For example, the local HUD
office, which has jurisdiction over the area of your proposed project,
was allocated 80 units (metropolitan) and 20 units (nonmetropolitan)
for a total of 100 units. You cannot apply for more than 80 units if
your proposed project is in a metropolitan area and no more than 20
units if the project is in a nonmetropolitan area.
(3) Minimum Project Size. The minimum number of units that can be
applied for in one application is five units. If the proposed project
will be a scattered-site development, the five-unit minimum requirement
will apply to each site.
c. Minimum Capital Investment. If selected, you must provide a
minimum capital investment of one-half of one percent of the HUD-
approved capital advance amount, not to exceed $10,000 in accordance
with Sec. 891.145, with the following exception. If you, as Sponsor or
Co-Sponsor, have one or more Section 202 or one or more Section 811
project(s) under reservation, construction, or management in two or
more different HUD geographical regions (Hubs), the minimum capital
investment shall be one half of one percent of the HUD-approved capital
advance amount, not to exceed $25,000.
d. Accessibility. Your project must meet accessibility requirements
published at 24 CFR 891.120, 24 CFR 891.210, and Section 504 of the
Rehabilitation Act of 1973, and, if new construction, the design and
construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100. In addition, 24 CFR
8.4(b)(5) prohibits the selection of a site or location which has the
purpose or effect of excluding persons with disabilities from the
federally assisted program or activity. HUD will award higher points to
applications that add accessible design features beyond those required
under civil rights laws and regulations. Refer to Section V.A. below
and the General Section of the SuperNOFA for information regarding the
policy priority of encouraging accessible design.
e. Conducting Business in Accordance with HUD Core Values and
Ethical Standards. You are not subject to the

[[Page 14195]]

requirements of 24 CFR parts 84 and 85 as outlined in the General
Section of the SuperNOFA, except that the disposition of real property
may be subject to 24 CFR part 84. However, you are still subject to the
core values and ethical standards as they relate to the conflict of
interest provisions in 24 CFR 891.130. To ensure compliance with the
program's conflict of interest provisions, you are required to sign a
Conflict of Interest Resolution and include it in your Section 202
application. Further, if awarded a Section 202 fund reservation, the
officers, directors, board members, trustees, stockholders and
authorized agents of the Section 202 Sponsor and Owner entities will be
required to submit to HUD individual certifications regarding
compliance with HUD's conflict of interest requirements.
f. National Environmental Policy Act. You must comply with the
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and
applicable related environmental authorities at 24 CFR 50.4, HUD's
programmatic implementing regulations at 24 CFR part 50 and 24 CFR
891.155(b), especially, but not limited to, the provision of
information to HUD at 24 CFR 50.31(b) and you must comply with any
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
Under 24 CFR part 50, HUD has the responsibility for conducting the
environmental reviews. HUD cannot approve any site unless it first
completes the environmental review. In rare cases where HUD is not able
to complete the environmental review, it is due to a complex
environmental issue that could not be resolved during the time period
allocated for application processing. Thus, HUD requires you to attempt
to obtain comments from the State/Tribal Historic Preservation Officer
(see Exhibit 4(d)(ix) of Section IV.B. below) to help HUD complete the
environmental review on time. It is also why HUD may contact you for
additional environmental information. So that you can review the type
of information that HUD needs for its preparation of the environmental
review as well as the type of information requests that HUD may make to
you, you are invited to go to the following Web site to view the HUD
form 4128, including the Sample Field Notes Checklist, which HUD uses
to record the environmental review: www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
g. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. Refer to the
General Section of the SuperNOFA for information regarding Executive
Order 13202.
h. Fair Housing Requirements. Refer to the General Section of the
SuperNOFA for information regarding fair housing requirements.
i. Economic Opportunities for Low and Very Low-Income Persons
(Section 3). You must comply with Section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low-Income Persons) and its implementing regulations at 24
CFR part 135. You must ensure that training, employment and other
economic opportunities shall, to the greatest extent feasible, be
directed toward low and very low-income persons, particularly those who
are recipients of government assistance for housing and to business
concerns which provide economic opportunities to low and very low-
income persons. To comply with Section 3 requirements you are hereby
certifying that you will strongly encourage your general contractor and
subcontractors to participate in local apprenticeship programs or
training programs registered or certified by the Department of Labor's
Office of Apprenticeship, Training, Employer and Labor Services or
recognized State Apprenticeship Agency.
j. Design and Cost Standards. You must comply with HUD's Section
202 design and cost standards (24 CFR 891.120 and 891.210), the Uniform
Federal Accessibility Standards (24 CFR 40.7), Section 504 of the
Rehabilitation Act of 1973 and HUD's implementing regulations at 24 CFR
part 8, and for covered multifamily dwellings designed and constructed
for first occupancy after March 13, 1991, the design and construction
requirements of the Fair Housing Act and HUD's implementing regulations
at 24 CFR part 100, and, where applicable, the Americans with
Disabilities Act of 1990.
HUD has adopted a wide-ranging energy action plan for improving
energy efficiency in all program areas. As a first step in implementing
the energy plan, HUD, the Environmental Protection Agency (EPA) and the
Department of Energy (DoE) have signed a joint partnership to promote
energy efficiency in HUD's affordable housing efforts and programs. The
purpose of the Energy Star partnership is to promote energy efficiency
of the affordable housing stock, but also to help protect the
environment. Although it is not a requirement, you are nonetheless
encouraged to promote energy efficiency in design and operations and
your application will receive one (1) point if you describe your plans
for doing so in the proposed project. You are urged especially to
purchase and use Energy Star-labeled products. Program activities can
include developing Energy Star promotional and information materials,
outreach to low- and moderate-income renters on the benefits and
savings when using Energy Star products and appliances, and promoting
the designation of community buildings and homes as Energy Star
compliant. For further information about Energy Star, see http://www.energystar.gov or call 1-888-STAR-YES (1-888-782-7937) or for the
hearing-impaired, 1-888-588-9920 TTY.
k. Formation of Owner Corporation. You must form an Owner entity
(in accordance with 24 CFR 891.205) after issuance of the capital
advance fund reservation and must cause the Owner entity to file a
request for determination of eligibility and a request for capital
advance, and must provide sufficient resources to the Owner entity to
ensure the development and long-term operation of the project,
including capitalizing the Owner entity at firm commitment processing
in an amount sufficient to meet its obligations in connection with the
project over and above the capital advance amount.
l. Davis-Bacon. You must comply with the Davis-Bacon requirements
(12 U.S.C. 1701q(j)(5)) and the Contract Work Hours and Safety
Standards Act in accordance with 24 CFR 891.155(d).

IV. Application and Submission Information

A. Addresses to Request Application Package

All information required to complete and return a valid application
is included in the General Section and this program section of the
SuperNOFA, including appendices. Copies of the General Section, this
program section, and the required forms and appendices are available
and may be downloaded from the Grants.gov Web site at http://www.grants.gov.
You may request general information, copies of the General Section
and program section of the SuperNOFA (including appendices), and
required forms from the NOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) Monday through Friday, except on federal holidays. When
requesting information, please refer to the name of the program you are
interested in. Be sure to provide your name, address (including zip
code), and telephone number (including area code).

[[Page 14196]]

B. Content and Form of Application Submission

The exhibits to be included in your application are contained in
the body of this program section of the SuperNOFA. There will not be a
separate Application Kit provided this year. Before preparing your
application, you should carefully review the requirements of the
regulations (24 CFR part 891) and general program instructions in
Handbook 4571.3 REV-1, Section 202 Capital Advance Program for Housing
the Elderly. Note: Section 1001 of Title 18 of the United States Code
(Criminal Code and Criminal Procedure, 72 Stat. 967) applies to all
information supplied in the application submission. (18 U.S.C. 1001,
among other things, provides that whoever knowingly and willfully makes
or uses a document or writing containing any false, fictitious,
fraudulent statement or entry, in any matter within the jurisdiction of
any department or agency of the United States, shall be fined not more
than $10,000 or imprisoned for not more than five years, or both.)
The Application for a Section 202 Capital Advance consists of four
parts with a total of eight Exhibits. Included with the eight Exhibits
are prescribed forms, certifications and resolutions. The components of
the Application are:

Part 1--Application Form for Section 202 Supportive Housing--Capital
Advance (Exhibit 1).
Part 2--Your Ability to Develop and Operate the Proposed Project
(Exhibits 2 and 3).
Part 3--The Need for Supportive Housing for the Target Population in
the Area to be Served, Site Control and Suitability of Site, Adequacy
of the Provision of Supportive Services and of the Proposed Project
(Exhibits 4 and 5).
Part 4--General Application Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
Appendix A--Listing of Local HUD Offices.
Appendix B--Letter Requesting SHPO/THPO Review.
Appendix C--Supplemental to Choosing an Environmentally Safe Site.

Your application must include all of the information, materials,
forms, and exhibits listed below (unless you were selected for a
Section 202 fund reservation within the last three funding cycles). If
you qualify for this exception, you are not required to submit the
information described in Exhibits 2(a), (b), and (c), which are the
articles of incorporation, (or other organizational documents), by-
laws, and the IRS tax exemption, respectively. If there has been a
change in any of these documents since your previous HUD approval, you
must submit the updated information in your application. The local HUD
office will verify your indication of previous HUD approval by checking
the project number and approval status with the appropriate local HUD
office based on the information submitted.
In addition to this relief of paperwork burden in preparing
applications, you will be able to use information and exhibits
previously prepared for prior applications under Section 202, Section
811, or other funding programs. Examples of exhibits that may be
readily adapted or amended to decrease the burden of application
preparation include, among others, those on previous participation in
the Section 202 or Section 811 programs, your experience in the
provision of housing and services, supportive services plans, community
ties, and experience serving minorities.
For programmatic information, you MUST contact the appropriate
local HUD office about the submission of applications within the
jurisdiction of that Office.

Note: You may propose a scattered site project in one
application, in which case the minimum unit requirement per site and
the maximum number of units per application as specified in Section
III.C.3.b. above apply.

[Exception: see exhibit to determine if you may be exempt from
submitting these documents.]

(2) Exhibit 3: Your purpose, community ties and experience:
(a) Purpose(s), current activities, how long you have been in
existence.
(b) Ties to the community at large, to the target population, and
description of geographic areas served.
(c) Local government support for project.
(d) Letters of support for your organization and for the proposed
project.
(e) Housing and/or supportive services experience.
(f) Efforts to involve target population.
(g) Description of practical solutions to be implemented.
(h) Project Development Timeline.
(i) Description of how project will remain viable.
(i) if service funds are depleted.
(ii) for state-funded services, if state changes policy.
(iii) if the need for project changes.
(j) Description of efforts to remove barriers to affordable
housing.
c. Part III--The need for supportive housing for the target population
in the area to be served, site control and suitability of site,
adequacy of the provision of supportive services and of the proposed
project
(1) Exhibit 4: Project information including:
(a) Evidence of need for project.
(b) How project will benefit target population and community.
(c) A narrative description of the project, including:
(i) Building design.
(ii) Whether and how project will promote energy efficiency.
(iii) If applicable, description of plans and actions to create a
mixed-finance project for additional units and the number of additional
units.
(d) Evidence of site control and permissive zoning.
(i) Site control document(s).
(ii) Evidence site is free of limitations, restrictions, or
reverters.
(iii) Evidence of permissive zoning or statement of proposed action
required to make project permissible.
(iv) Evidence of compliance with the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (URA)
site notification requirement.
(v) Narrative topographical/demographic description of site/area

[[Page 14197]]

suitability, how site will promote greater housing opportunities for
minorities/target population.
(vi) Racial composition/concentration map of site.
(vii) Phase I Environmental Site Assessment.
(viii) Asbestos Statement or Report.
(ix) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO).
(x) Response from SHPO/THPO or statement that SHPO/THPO failed to
respond.
(2) Exhibit 5: Supportive Services Plan.
LV. (a) Description of services.
(b) Public/private funding sources for proposed services.
(c) Manner in which services will be provided.
d. Part IV--General application requirements, certifications and
resolutions
(1) Exhibit 6: Other Applications.
(a) A list of applications, if any, you are submitting to any other
local HUD Office in response to the FY 2005 Section 202 or Section 811
NOFA, and required information about each.
(b) A list of all FY 2004 and prior year Section 202 or Section 811
projects to which you are a party and the required information about
each.
(2) Exhibit 7: A statement that:
(a) Identifies all persons occupying property on application
submission date.
(b) Indicates estimated cost of relocation payments/other services.
(c) Identifies staff organization that will carry out relocation
activities.
(d) Identifies all persons who have moved from site within past 12
months.
(3) Exhibit 8: Certifications and Resolutions:
(a) Standard Form 424, Application for Federal Assistance.
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants.
(c) Standard Form LLL, Disclosure of Lobbying Activities, if
applicable.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report.
(e) Form HUD-2991, Certification of Consistency with the
Consolidated Plan.
(f) Form HUD-92041, Sponsor's Conflict of Interest Resolution.
(g) Form HUD-92042, Sponsor's Resolution for Commitment to Project.
(h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC-
II Strategic Plan.
(i) Form HUD-2530, Previous Participation Certification.
(j) Form HUD-96010, Logic Model.
(k) Form HUD-27300, Questionnaire for HUD's Initiative on Removal
of Regulatory Barriers.
(l) Form HUD-96011, Facsimile Transmittal to be used for faxing
third party letters and other documents for your electronic application
in accordance with the instructions in the General Section.

2. General Applications Requirements.

a. Part I--Application Form for Section 202 Supportive Housing--Capital
Advance
(1) Exhibit 1--Form HUD-92015-CA, Supportive Housing for the
Elderly Section 202, Application for Capital Advance Summary
Information. Refer to Section IV.B.3. of this program section for a
copy of this form.
b. Part II--Your ability to develop and operate the proposed project.
(1) Exhibit 2--Evidence of your legal status (Private nonprofit or
nonprofit consumer cooperative (If another organization(s) is co-
sponsoring the application with you, each Co-Sponsor must also submit
the following):
(a) Articles of Incorporation, constitution, or other
organizational documents;
(b) By-laws;
(c) IRS tax exemption ruling (this must be submitted by all
Sponsors, including churches).

[Exception: if you received a Section 202 fund reservation within
the last three funding cycles, you are not required to submit the
documents described in (a), (b), and (c) above. instead, submit the
project number of the latest application and the local hud office to
which it was submitted. if there have been any modifications or
additions to the subject documents, indicate such, and submit the
new material.]

(2) Exhibit 3--Your purpose, community ties and experience:
(a) A description of your purpose(s), current activities, and how
long you have been in existence.
(b) A description of your ties to the community in which your
project will be located and to the minority and elderly communities in
particular, including a description of the specific geographic area(s)
in which you have served.
(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.).
(d) Letters of support for your organization and for the proposed
project from organizations familiar with the housing and supportive
services needs of the target population that you expect to serve in the
proposed project.
(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
and/or supportive services facilities that you sponsored, own and/or
operate, your past or current involvement in any programs other than
housing that demonstrates your management capabilities (including
financial management) and experience, your experience in serving the
target population (the elderly and/or families and minorities); and the
reasons for receiving any increases in fund reservations for developing
and/or operating previously funded Section 202 or Section 811 projects.
The description should include data on the facilities and services
provided, the racial/ethnic composition of the populations served, if
available, and information and testimonials from residents or community
leaders on the quality of the activities. Examples of activities that
could be described include housing counseling, nutrition and food
services, special housing referral, screening and information projects.
(f) A description of your efforts to involve members of the target
population (elderly persons, including minority elderly persons) in the
development of the application as well as your intent to involve the
target population in the development and operation of the project.
(g) A description of the practical solutions you will implement
which will enable residents of your project to achieve independent
living. In addition, describe the educational opportunities you will
provide for the residents and how you will provide them. This
description should include any activities that will enhance the quality
of life for the residents. And, finally, describe how your proposed
project will be an improved living environment for the residents when
compared to their previous place of residence.
(h) Describe your plan for completing the proposed project. Include
a project development timeline which lists the major development stages
for the project with associated dates that must be met in order to get
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the
project, including final closing. Completion of Exhibit 8(j), Logic
Model, will assist you in completing your response to this Exhibit.
(i) Describe how you will ensure that your proposed project will
remain viable as housing with the availability of supportive services
for the target population for the 40-year capital advance period. This
description should address the measures you would take should any of
the following occur:

[[Page 14198]]

(i) funding for any of the needed supportive services becomes
depleted;
(ii) if, for any state-funded services for your project, the state
changes its policy regarding the provision of supportive services to
projects such as the one you propose; or
(iii) if the need for housing for the population you will be
serving wanes over time, causing vacancies in your project.
(j) A description of the successful efforts the jurisdiction in
which your project will be located has taken in removing regulatory
barriers to affordable housing. To obtain up to 2 points for this
policy priority, you must complete the optional Form HUD-27300,
``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers'' in Exhibit 8(k) of the application AND provide the necessary
URL references or submit the documentary evidence.
c. Part III--The need for supportive housing for the target population,
site control and suitability of site, adequacy of the provision of
supportive services and of the proposed project.
(1) Exhibit 4--Need and Project Information.
(a) Evidence of need for supportive housing. Include a description
of the category or categories of elderly persons the housing is
intended to serve and evidence demonstrating sustained effective demand
for supportive housing for that population in the market area to be
served, taking into consideration the occupancy and vacancy conditions
in existing federally assisted housing for the elderly (HUD and the
Rural Housing Service (RHS)) e.g., public housing, state or local data
on the limitations in activities of daily living among the elderly in
the area; aging in place in existing assisted rentals; trends in
demographic changes in elderly population and households; the numbers
of income eligible elderly households by size, tenure and housing
condition; the types of supportive services arrangements currently
available in the area; and the use of such services as evidenced by
data from local social service agencies or agencies on aging. Also, a
description of how information in the community's or (where applicable)
the state's Consolidated Plan, Analysis of Impediments to Fair Housing
Choice (AI) or other planning document that analyzes fair housing
issues was used in documenting the need for the project.
(b) A description of how the proposed project will benefit the
target population and the community in which it will be located.
(c) Description of the project.
(i) Narrative description of the building design including a
description of the number of units with bedroom distribution, any
special design features, including any features that incorporate
visitability standards and universal design, amenities, and/or
commercial and community spaces, and how this design will facilitate
the delivery of services in an economical fashion and accommodate the
changing needs of the residents over the next 10-20 years.

Note: If the community spaces, amenities, or features do not
comply with the project design and cost standards of 24 CFR
891.120(a) and (c) and the special standards of 24 CFR 891.210, you
must demonstrate your ability and willingness to contribute both the
incremental development cost and continuing operating cost
associated with the community spaces, amenities, or features;

(ii) Describe whether and how the project will promote energy
efficiency (in accordance with the requirements set forth in Section
III.C.3.j. of this program NOFA), including any plans to incorporate
energy efficiency features in the operation of the project through the
use of Energy Star labeled products and appliances and, if applicable,
innovative construction or rehabilitation methods or technologies to be
used that will promote efficient construction.
(iii) If you are proposing to develop a mixed-finance project by
developing additional units (i.e., in addition to the 202 units), a
description of any plans and actions you have taken to create such a
mixed-finance project with the use of Section 202 capital advance
funds, in combination with other funding sources. Provide the number of
non-Section 202 units to be included in the mixed-finance project (also
provide the number of additional units in the appropriate space on Form
HUD-92015-CA). Also, provide copies of any letters you have sent
seeking outside funding for the non-Section 202 units and any responses
thereto. Your response to this Exhibit will be used to rate your
application for Rating Factor 4.c., under Leveraging Resources.

Notes: (1) A proposal to develop a mixed-finance project for
additional units must occur at the application for fund reservation
stage. You cannot decide after selection that you want to do a
mixed-finance project for additional units. (2) If you propose to
develop a mixed-finance project for additional units, you must
complete the development of such a proposal. If you are later unable
to develop a mixed-finance project for additional units, you will
not be permitted to proceed with a Section 202 project without
additional units and your fund reservation will be canceled. This is
due to the fact that the project would have received points in the
rating of the application in consideration of the additional units
and, if selected for funding, a later change in the proposal to
exclude the additional units would alter the fairness of the
competition. (3) Section 202 capital advance amendment money will
not be approved for projects proposing mixed-financing for
additional units. (4) If approved for a reservation of capital
advance funds, you will be required to submit with your Firm
Commitment Application, the additional documents required by HUD for
mixed-finance proposals. (5) A mixed-finance project does not
include the development of a mixed-use project in which the Section
202 units are mortgaged separately from the other uses of the
structure.

(d) Evidence of site control and permissive zoning.
(i) Acceptable evidence of site control is limited to any one of
the following:
(A) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be at least 50 years with renewable provisions for 25 years,
except for sites on Indian trust land, in which case, the term of the
lease must be at least 50 years with no requirement for extensions;
(B) Contract of sale for the site that is free of any limitations
affecting the ability of the seller to deliver ownership to you after
you receive and accept a notice of Section 202 capital advance. (The
only condition for closing on the sale can be your receipt and
acceptance of the capital advance.) The contract of sale cannot require
closing earlier than the Section 202 closing;
(C) Option to purchase or for a long-term leasehold, which must
remain in effect for six months from the date on which the applications
are due, must state a firm price binding on the seller, and be
renewable at the end of the six-month period. The only condition on
which the option may be terminated is if you are not awarded a fund
reservation;
(D) If the site is covered by a mortgage under a HUD program,
(e.g., a previously funded Section 202 or Section 811 project or an
FHA-insured mortgage) you must submit evidence that consent to release
the site from the mortgage has been obtained or has been requested from
HUD (all required information in order for a decision on the request
for a partial release of security must have been submitted to the local
HUD office) and from the mortgagee, if other than HUD. Approval to
release the site from the mortgage must be done before the local HUD
office makes its selection recommendations to HUD Headquarters. Refer
to Chapter 16 of HUD Handbook

[[Page 14199]]

4350.REV-1, Multifamily Asset Management and Project Servicing, for
instructions on submitting requests to the local HUD office for partial
release of security from a mortgage under a HUD program; or
(E) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 202 capital advance.
Where HUD determines that time constraints of the funding round will
not permit you to obtain all of the required official actions (e.g.,
approval of Community Planning Boards) that are necessary to convey
publicly-owned sites, you may include in your application a letter from
the mayor or director of the appropriate local agency indicating that
conveyance or leasing of the site is acceptable without imposition of
additional covenants or restrictions, and only contingent on the
necessary approval action. Such a letter of commitment will be
considered sufficient evidence of site control.

Note: For this funding cycle, the existing installment contract
between the Village of Hanna City, Illinois and the General Services
Administration is deemed sufficient to constitute site control for
the purposes of the Section 202 program.

(ii) Whether you have title to the site, a contract of sale, an
option to purchase, or are acquiring a site from a public body, you
must provide evidence (a title policy or other acceptable evidence)
that the site is free of any limitations, restrictions, or reverters
which could adversely affect the use of the site for the proposed
project for the 40-year capital advance period under HUD's regulations
and requirements (e.g., reversion to seller if title is transferred).
If the title evidence contains restrictions or covenants, copies of the
restrictions or covenants must be submitted with the application. If
the site is subject to any such limitations, restrictions, or
reverters, the application will be rejected. Purchase money mortgages
that will be satisfied from capital advance funds are not considered to
be limitations or restrictions that would adversely affect the use of
the site. If the contract of sale or option agreement contains
provisions that allow a Sponsor not to purchase the property for
reasons such as environmental problems, failure of the site to pass
inspection, or the appraisal is less than the purchase price, then such
provisions are not objectionable and a Sponsor is allowed to terminate
the contract of sale or the option agreement.

Note: A proposed project site may not be acquired or optioned
from a general contractor (or its affiliate) that will construct the
Section 202 project or from any other development team member.

(iii) Evidence that the project, as proposed, is permissible under
applicable zoning ordinances or regulations or a statement of the
proposed action required to make the proposed project permissible and
the basis for the belief that the proposed action will be completed
successfully before the submission of the firm commitment application
(e.g., a summary of the results of any requests for rezoning and/or the
procedures for obtaining special or conditional use permits on land in
similar zoning classifications and the time required for such rezoning,
or preliminary indications of acceptability from zoning bodies, etc.).
(iv) Evidence of compliance with the URA requirement that the
seller has been provided, in writing, with the required information
regarding a voluntary, arm's length purchase transaction (i.e., (1)
applicant does not have the power of eminent domain and, therefore,
will not acquire the property if negotiations fail to result in an
amicable agreement, and (2) of the estimate of the fair market value of
the property).

Note: This information should have been provided before making
the purchase offer. However, in those cases where there is an
existing option or contract, the seller must be provided the
opportunity to withdraw from the agreement or transaction, without
penalty, after this information is provided.

(v) Narrative describing topographical and demographic aspects of
the site, the suitability of the site and area (as well as a
description of the characteristics of the neighborhood), how use of the
site will promote greater housing opportunities for minority elderly
and elderly persons with disabilities, and how use of the site will
affirmatively further fair housing.

Note: You can best demonstrate your commitment to affirmatively
furthering fair housing by describing how your proposed activities
will assist the jurisdiction in overcoming impediments to fair
housing choice identified in the applicable jurisdiction's Analysis
of Impediments (AI) to Fair Housing Choice, which is a component of
the jurisdiction's Consolidated Plan or any other planning document
that addresses fair housing issues. The applicable Consolidated Plan
and AI may be the community's, the county's, or the state's, to
which input should have been provided by local community
organizations, agencies in the community and residents of the
community. Alternatively, a document that addresses fair housing
issues and remedies to barriers to fair housing in the community
that was previously prepared by a local planning, or similar
organization, may be used. Applicable impediments could include the
need for improved housing quality and services for elderly minority
families, lack of affirmative marketing and outreach to minority
elderly persons, and the need for quality eldercare services within
areas of minority concentration when compared with the type and
quality of similar services and housing in nonminority areas.

(vi) A map showing the location of the site, the racial composition
of the neighborhood, and any areas of racial concentration.

Note: For this competition, when determining the racial and
ethnic composition of the neighborhood surrounding the proposed
site, use data from the 2000 Census of Population. Data from the
2000 Census may be found at: www.factfinder.census.gov/servlet/BasicFactsServlet.

(vii) A Phase I Environmental Site Assessment (ESA), in accordance
with the ASTM Standards E 1527-00, as amended, must be completed and
submitted with the application. In order for the Phase I ESA to be
acceptable, it must have been completed or updated no earlier than six
months prior to the application deadline date. Therefore, it is
important to start the site assessment process as soon after the
publication of the NOFA as possible. If the Phase I ESA indicates
possible presence of contamination and/or hazards, you must decide
whether to continue with this site or choose another site. Should you
choose another site, the same Phase I ESA process identified above must
be followed for the new site. If the property is to be acquired from
the FDIC/RTC, include a copy of the FDIC/RTC prepared Transaction
Screen Checklist or Phase I ESA and applicable documentation, per the
FDIC/RTC Environmental Guidelines. If you choose to continue with the
original site on which the Phase I ESA indicated contamination or
hazards, you must undertake a detailed Phase II ESA by an appropriate
professional. If the Phase II Assessment reveals site contamination,
you must submit the extent of the contamination and a plan for clean-up
of the site including a contract for remediation of the problem(s) and
an approval letter from the applicable federal, state, and/or local
agency with jurisdiction over the site to the local HUD office. The
Phase II and any necessary plans for clean-up do not have to be
submitted with the application but must be received by the local HUD
office by June 30, 2005. If it is not received by that date, the
application will be rejected.

[[Page 14200]]

Note: You must pay for the cost of any clean-up or remediation
which can be very expensive. See Note at Section
III.C.2.B(3)(c)(iii).

(viii) You must submit one of the following:
(A) If there is no pre-1978 structure on the site, a statement to
this effect, or
(B) If there is a pre-1978 structure on the site, an asbestos
report which is based on a thorough inspection to identify the location
and condition of asbestos throughout any structures.

Note: In those cases where suspect asbestos is found, it would
either be assumed to be asbestos or would require confirmatory
testing. If the asbestos report indicates the presence of asbestos,
or the presence of asbestos is assumed, and if the application is
approved, HUD will condition the approval on an appropriate mix of
asbestos abatement and an asbestos Operations and Maintenance Plan.

(ix) The letter you sent to the State/Tribal Historic Preservation
Officer (SHPO/THPO) initiating consultation with their office and
requesting their review of your determinations and findings with
respect to the historical significance of your proposed project.
Appendix B to this program section of the SuperNOFA contains a sample
letter that you may adapt and send to the SHPO/THPO.
(x) The SHPO/THPO response to your letter or a statement that you
have not received a response letter from the SHPO/THPO.
(2) Exhibit 5--Supportive Services Plan.
(a) A detailed description of the supportive services proposed to
be provided to the anticipated occupancy.
(b) A description of public or private sources of assistance that
reasonably could be expected to fund the proposed services.
(c) The manner in which such services will be provided to such
persons (i.e., on or off-site), including whether a service coordinator
will facilitate the adequate provision of such services, and how the
services will meet the identified needs of the residents.

Note: You may not require residents, as a condition of admission
or occupancy, to accept any supportive services.

d. Part IV--General Application Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications.
(a) A list of the applications, if any, you are submitting to any
other local HUD office in response to the FY 2005 Section 202 or
Section 811 NOFA. Indicate by local HUD office, the proposed location
by city and state and the number of units requested for each
application.
(b) Include a list of all FY2004 and prior year Section 202 and
Section 811 capital advance projects to which you are a party. Identify
each by project number and local HUD office and include the following
information:
(1) whether the project has initially closed and, if so, when;
(2) if the project was older than 24 months when it initially
closed (specify how old) or if older than 24 months now (specify how
old) and has not initially closed, provide the reasons for the delay in
closing;
(3) whether amendment money was or will be needed for any project
in (2) above; and,
(4) those projects which have not been finally closed.
(2) Exhibit 7: A statement that:
(a) identifies all persons (families, individuals, businesses and
nonprofit organizations) by race/minority group, and status as owners
or tenants occupying the property on the date of submission of the
application for a capital advance.
(b) indicates the estimated cost of relocation payments and other
services.
(c) identifies the staff organization that will carry out the
relocation activities.
(d) identifies all persons that have moved from the site within the
past 12 months.

Note: If any of the relocation costs will be funded from sources
other than the Section 202 Capital Advance, you must provide
evidence of a firm commitment of these funds. When evaluating
applications, HUD will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation, construction and other project
costs).

(3) Exhibit 8: Certifications and Resolutions. With the exception
of Form HUD-424CB and Form HUD-424CBW listed in the General Section of
the SuperNOFA, and OMB Circulars A-87 and A-21, you are required to
submit copies of the following:
(a) Standard Form 424--Application for Federal Assistance,
including a DUNS number, an indication of whether you are delinquent on
any Federal debt, and compliance with Executive Order 12372 (a
certification that you have submitted a copy of your application, if
required, to the State agency (Single Point of Contact) for state
review in accordance with Executive Order 12372). A copy of this form
and instructions on how to obtain a DUNS number are contained in the
online application and the General Section of the SuperNOFA.
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants. Although the information on this form will
not be considered in making funding decisions, it will assist the
federal government in ensuring that all qualified applicants have an
equal opportunity to compete for federal funding. A copy of this form
is contained in the online application and the General Section of the
SuperNOFA.
(c) Standard Form LLL--Disclosure of Lobbying Activities (if
applicable). A disclosure of activities conducted to influence any
federal transactions. A copy of this form is contained in the online
application and the General Section of the SuperNOFA.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employee Identification Numbers. A
disclosure of assistance from other government sources received in
connection with the project. A copy of this form is contained in the
online application and the General Section of the SuperNOFA.
(e) Form HUD-2991, Certification of Consistency with the
Consolidated Plan (Plan) for the jurisdiction in which the proposed
project will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the state or by the
unit of general local government if the project will be located within
the jurisdiction of the unit of general local government authorized to
use an abbreviated strategy, and if it is willing to prepare such a
Plan. All certifications must be made by the public official
responsible for submitting the Plan to HUD. The certifications must be
submitted as part of the application by the application submission
deadline date set forth in the program section of the SuperNOFA. The
Plan regulations are published in 24 CFR part 91. A copy of this form
is contained in the online application and the General Section of the
SuperNOFA.
(f) Form HUD-92041, Sponsor's Conflict of Interest Resolution. A
certified Board Resolution that no officer or director of the Sponsor
or Owner has or will have any financial interest in any contract with
the Owner or in any firm or corporation that has or will have a
contract with the Owner, including a current listing of all duly
qualified and sitting officers and directors by title and the beginning
and ending dates of each person's term. Refer to Section IV.B.3. for a
copy of this Resolution.
(g) Form HUD-92042, Sponsor's Resolution for Commitment to Project.
A certified Board Resolution acknowledging responsibilities of

[[Page 14201]]

sponsorship, long-term support of the project(s), your willingness to
assist the Owner to develop, own, manage and provide appropriate
services in connection with the proposed project, and that it reflects
the will of your membership. Also, it shall indicate your willingness
to fund the estimated start-up expenses, the Minimum Capital Investment
(one-half of one-percent of the HUD-approved capital advance, not to
exceed $10,000 or for national Sponsors, not to exceed $25,000), and
the estimated cost of any amenities or features (and operating costs
related thereto) that would not be covered by the approved capital
advance. Refer to Section IV.B.3. for a copy of this Resolution.
(h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC-
II Strategic Plan. A certification that the project is consistent with
the RC/EZ/EC-IIs strategic plan, is located within the RC/EZ/EC-II, and
serves RC/EZ/EC-II residents. (This certification is not required if
the project site(s) will not be located in an RC/EZ/EC-II.) A copy of
the RC/EZ/EC-II Certification form is contained in the online
application and the General Section of the SuperNOFA.
(i) Form HUD-2530, Previous Participation Certification. This form
must be submitted for the Sponsor and all of the Officers and Directors
of the Board of the Sponsor, including any Co-Sponsor, if applicable.
This form provides HUD with a certified report of all your previous
participation in HUD multifamily housing projects. The information is
used to determine if you meet the standards established to ensure that
all principal participants in HUD projects will honor their legal,
financial, and contractual obligations and are acceptable risks from
the underwriting standpoint of an insurer, lender or governmental
agency. Refer to Section IV.B.3. below for a copy of this form.
(j) Form HUD-96010, Logic Model. In addition to the Project
Development Timeline to be submitted in Exhibit 3(h) above, the
information provided in the Logic Model will be used in rating your
application for Rating Factor 5, Achieving Results and Program
Evaluation. A copy of this form is contained in the online application
and the General Section of the SuperNOFA.
(k) Form HUD-27300, Questionnaire for HUD's Initiative on Removal
of Regulatory Barriers. This form requires you to supply a reference,
URL or brief statement documenting the successful efforts in removing
barriers to affordable housing by the jurisdiction in which your
project will be located. This Questionnaire will be considered in the
rating of your application for Rating Factor 3.j. A copy of this form
is contained in the online application and the General Section.
(l) Form HUD-96011, Facsimile Transmittal to be used for faxing
third party letters and other documents for your electronic application
in accordance with the instructions in the General Section.
3. Required Forms. In addition to the required forms that are found
in the General Section as specified above, the following required forms
(HUD-92015-CA, HUD-92041, HUD-92042, and HUD-2530) are specific to the
Section 202 program.

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C. Submission Dates and Time

Your application must be submitted and received electronically by
Grants.gov no later than 11:59:59 p.m. Eastern time on May 31, 2005,
unless a waiver of the electronic delivery process has been approved by
HUD. Please refer to the General Section for instructions on applying
for a waiver. If a waiver is granted, you must submit an original and
four copies of your application on the application submission date
following the mailing and timely receipt instructions in the General
Section and Appendix A of this program NOFA. These instructions have
changed from the 2004 SuperNOFA.

D. Intergovernmental Review

1. State Review. This funding opportunity is subject to Executive
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.'' You
must contact your State's Single Point of Contact (SPOC) to find out
about and comply with the state's process under EO 12372. The names and
addresses of the SPOCs are listed in the Office of Management and
Budget's home page at http://www.whitehouse.gov/omb/grants/spoc.html.
If required by the state, the submission to the state needs to occur
before the Section 202 application submission date. It is recommended
that you provide the state with sufficient time to review the
application. Therefore, it is important that you consult with the SPOC
for State review timeframes and take that into account when submitting
the application.
2. HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have
an agreement to coordinate the administration of the agencies'
respective rental assistance programs. As a result, HUD is required to
notify RHS of applications for housing assistance it receives. This
notification gives RHS the opportunity to comment if it has concerns
about the demand for additional assisted housing and possible harm to
existing projects in the same housing market area. HUD will consider
RHS' comments in its review and application selection process.

E. Funding Restrictions

1. Ineligible Activities. Section 202 funds may not be used for:
a. Nursing homes;
b. Infirmaries;
c. Medical facilities;
d. Mobile homes;
e. Community centers;
f. Headquarters for organizations for the elderly;
g. Nonhousekeeping accommodations (e.g., central dining, but
without private kitchens and/or bathrooms in the residential units);
h. Refinancing of sponsor-owned facilities without rehabilitation,
i. Housing that you currently own or lease that is occupied by
elderly persons; and
j. Projects licensed or to be licensed as assisted living
facilities.

Note: You may propose to rehabilitate an existing currently-
owned or leased structure that does not already serve elderly
person, except that the refinancing of any federally-funded or
assisted project or project insured or guaranteed by a Federal
agency is not permissible under this Section 202 NOFA. HUD does not
consider it appropriate to utilize scarce program resources to
refinance projects that have already received some form of
assistance under a federal program. (For example, Section 202 or
Section 202/8 direct loan projects cannot be refinanced with capital
advances and project rental assistance.)

2. Application Limits (Units/Projects). Refer to Section III.C.3.b.
of this program section of the SuperNOFA for information applicable to
the limitations on the number of units you may apply for in a single
application and the project sizes.
3. Development Cost Limits. a. The following development cost
limits, adjusted by locality as described in Section IV.E.3.b. below
must be used to determine the capital advance amount to be reserved for
projects for the elderly. Note: The capital advance funds awarded for
this project are to be considered the total amount of funds that the
Department will provide for the development of this project. Amendment
funds will only be provided in exceptional circumstances (e.g., to
cover increased costs for construction delays due to litigation or
unforeseen environmental issues resulting in a change of sites) that
are clearly beyond your control. Otherwise, you are responsible for any
costs over and above the capital advance amount provided by the
Department as well as any costs associated with any excess amenities
and design features.
(1) The capital advance amount for the project attributable to
dwelling use (less the incremental development cost and the capitalized
operating costs associated with any excess amenities and design
features and other costs you must pay for) may not exceed:
Non-elevator structures: $42,980 per family unit without a bedroom;
$49,557 per family unit with one bedroom; $59,766 per family unit with
two bedrooms.
For elevator structures: $45,232 per family unit without a bedroom;
$51,849 per family unit with one bedroom; $63,049 per family unit with
two bedrooms.
(2) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the accessibility requirements of Sec. 891.120(b);
and the project design and cost standards of Sec. 891.120 and Sec.
891.210.
b. Increased development cost limits.
(1) HUD may increase the development cost limits set forth above,
by up to 140 percent in any geographic area where the cost levels
require, and may increase the development cost limits by up to 160
percent on a project-by-project basis. This increase may include
covering additional costs to make dwelling units accessible through
rehabilitation.

Note: In applying the applicable high cost percentage, the local
HUD Office may use a percentage that is higher or lower than that
which is assigned to the local HUD Office if it is needed to provide
a capital advance amount that is comparable to what it typically
costs to develop a Section 202 project in that area.

(2) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands, or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits provided in sections
IV.E.3.a.(1) and IV.E.3.b.(1) above, the amount of the capital advances
may be increased to compensate for such costs. The increase may not
exceed the limits established under this section (including any high
cost area adjustment) by more than 50 percent.
4. Commercial Facilities. A commercial facility for the benefit of
the residents may be located and operated in the Section 202 project.
However, the commercial facility cannot be funded with the use of
Section 202 capital advance or PRAC funds. The maximum amount of space
permitted for a commercial facility cannot exceed 10 percent of the
total project cost. An exception to this 10 percent limitation is if
the project involves acquisition or rehabilitation and the additional
space was incorporated in the existing structure at the time the
proposal was submitted to HUD. Commercial facilities are considered
public accommodations under Title III of the Americans with
Disabilities Act of 1990 (ADA), and thus must comply with all the
accessibility requirements of the ADA.
5. Expiration of Section 202 Funds. The Consolidated Appropriations
Act, 2005, requires HUD to obligate all Section 202 funds appropriated
for FY

[[Page 14211]]

2005 by September 30, 2008. Under 31 U.S.C. Section 1551, no funds can
be disbursed from this account after September 30, 2013. Under Section
202, obligation of funds occurs for both capital advances and project
rental assistance upon fund reservation and acceptance. If all funds
are not disbursed by HUD and expended by the project Owner by September
30, 2013, the funds, even though obligated, will expire and no further
disbursements can be made from this account. In submitting an
application you need to carefully consider whether your proposed
project can be completed through final capital advance closing no later
than September 30, 2013. Furthermore, all unexpended balances,
including any remaining balance on PRAC contracts, will be cancelled as
of October 1, 2013. Amounts needed to maintain PRAC payments for any
remaining term on the affected contracts beyond that date will have to
be funded from other current appropriations.
F. Other Submission Requirements:
1. Address for Submitting Applications. Applications must be
submitted electronically through the http://www.grants.gov Web site,
unless the applicant receives a waiver from the electronic application
submission requirement. See the General Section, Application Submission
and Receipt Procedures, for information on applying online and
requesting a waiver from the electronic application requirement. If you
apply for and receive a waiver from the electronic application
requirement, you must submit an original and four copies of your
completed application to the Director of the appropriate local HUD
office listed in Appendix A below.

Note: Do not use the listing in Attachment B to the General
Section of the SuperNOFA.

V. Application Review Information

A. Criteria

Policy Priorities. HUD encourages applicants to undertake specific
activities that will assist the Department in implementing its policy
priorities and which help the Department achieve its strategic goals
for FY 2005. Refer to the General Section of the SuperNOFA for
information regarding HUD's Strategic Goals and Policy Priorities. For
the Section 202 program, applicants who include work activities that
specifically address the policy priorities of encouraging accessible
design features by incorporating visitability standards and universal
design, removing barriers to affordable housing, and promoting energy
efficiency in design and operations will receive additional points. A
Notice pertaining to the removal of barriers to affordable housing was
published in the Federal Register and may be downloaded from the HUD
Web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
Rating Factors. HUD will rate applications that successfully
complete technical processing using the Rating Factors set forth below
and in accordance with the application submission requirements in this
program Section of the SuperNOFA. The maximum number of points an
application may receive under this program is 102. This includes two
(2) RC/EZ/EC-II bonus points, as described in the General Section of
the SuperNOFA and Section V.A.6. below.
1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (25 Points).
This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner. Submit information responding to this
factor in accordance with Application Submission Requirements in
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. of this program
section of the SuperNOFA. In rating this factor, HUD will consider the
extent to which your application demonstrates your ability to develop
and operate the proposed housing on a long-term basis, considering the
following:
a. (15 points). The scope, extent, and quality of your experience
in providing housing or related services to those proposed to be served
by the project and the scope of the proposed project (i.e., number of
units, services, relocation costs, development, and operation) in
relationship to your demonstrated development and management capacity
as well as your financial management capability.
b. (10 points). The scope, extent and quality of your experience in
providing housing or related services to minority persons or families
and your ties to the community at large and to the minority and elderly
communities in particular.
(1) (5 points). The scope, extent, and quality of your experience
in providing housing or related services to minority persons or
families.
(2) (5 points). The scope, extent, and quality of your ties to the
community at large and to the minority and elderly communities in
particular.
To earn the maximum number of points under sub-criteria (b)(1)
above, you must describe both your relationships over time with the
minority community and significant previous experience in providing
housing and/or supportive services to minorities generally and to
minority elderly in particular. For the purpose of this competition,
``significant previous experience'' means that the previous housing
assistance or related services to minorities, i.e., the percentage of
minorities being provided housing or related services in your current
developments, was equal to or greater than the percentage of minorities
in the jurisdiction where the previous housing or services occurred. To
earn the maximum number of points under sub-criteria (b)(2) above, you
should submit materials that demonstrate your efforts to make housing
available to the community at large and the minority and elderly
communities in particular. Examples of documents that may be submitted
to earn the maximum number of points under sub-criteria (b)(2) include
copies of your affirmative marketing plan and the advertising/outreach
materials you utilize to attract minority communities (including
limited English proficient communities), elderly community and the
community at large. Regarding your advertising/outreach materials, you
should identify when advertising/outreach materials are circulated,
whom they are circulated to, where they are circulated and how they are
circulated. Descriptions of other advertising/outreach efforts to the
minority (including limited English proficient communities) and elderly
communities and the dates and places of such advertising/outreach
efforts should also be included.
c. (-3 to -5 points). HUD will deduct (except if the delay was
beyond your control) 3 points if a fund reservation you received under
either the Section 202 Program of Supportive Housing for the Elderly or
the Section 811 Program of Supportive Housing for Persons with
Disabilities in FY 2000 or later has been extended beyond 24 months, 4
points if beyond 36 months, and 5 points if beyond 48 months. Examples
of such delays beyond your control include, but are not limited to,
initial closing delays that are: (1) Directly attributable to HUD, (2)
directly attributable to third party opposition, including litigation,
and (3) due to a disaster, as declared by the President of the United
States.
d. (-1 point). HUD will deduct 1 point if amendment money was
required as a result of the delay (except if the delay was beyond your
control).
2. Rating Factor 2: Need/Extent of the Problem (13 Points).
This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area.

[[Page 14212]]

Submit information responding to this factor in accordance with
Application Submission Requirements in Exhibits 4(a) and 4(b) of
Section IV.B. of this program section of the SuperNOFA. HUD will take
into consideration the following in evaluating this factor:
The extent of the need for the project in the area based on a
determination by the local HUD Office. In making this determination,
HUD will consider your evidence of need in the area, as well as other
economic, demographic, and housing market data available to the local
HUD office. The data should include a general assessment of the current
conditions in the market for the type of housing proposed, an estimate
of the demand for additional housing of the type proposed in the
applicable housing market area; as well as, information on the numbers
and types of existing comparable Federally assisted housing units for
the elderly (HUD and RHS), current occupancy in such housing and recent
market experience, comparable assisted housing for the elderly under
construction or for which fund reservations have been issued, and, in
accordance with an agreement between HUD and RHS, comments from RHS on
the demand for additional comparable subsidized housing and the
possible harm to existing projects in the same housing market areas.
The Department will also review more favorably those applications that
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how your proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
For all Section 202 projects that are determined to have sufficient
demand, HUD will rate your application based on the ratio of the number
of units in the proposed project to the estimate of unmet need for
housing assistance by the income eligible elderly households with
selected housing conditions. Unmet need is defined as the number of
very low-income elderly one-person renter households age 75 and older
with housing conditions problems, as of the 2000 Census minus the
number of project-based subsidized rental housing units (HUD, RHS, or
LIHTC) that are affordable to very low-income elderly provided in the
area since 1999. Units to be occupied by resident managers are not
counted. After HUD determines the estimate of unmet need and whether a
connection has been made between the project and community's
Consolidated Plan, Analysis of Impediments to Fair Housing Choice, or
other planning document, HUD will rate your application as follows:
a. (10 points). The area of the project has an unmet needs ratio of
15 percent or less; OR (5 points). The area of the project has an unmet
needs ratio of greater than 15 percent; OR (0 points). The area of the
proposed project has no unmet needs for housing assistance.
b. (3 points). The extent that a connection has been established
between the project and the community's Consolidated Plan, Analysis of
Impediments to Fair Housing Choice (AI) or other planning document that
analyzes fair housing issues and is prepared by a local planning or
similar organization.
3. Rating Factor 3: Soundness of Approach ( 45 Points).
This factor addresses the quality and effectiveness of your
proposal and the extent to which you involved elderly persons,
including elderly minority persons, in the development of the
application and will involve them in the development and operation of
the project, whether the jurisdiction in which your project will be
located has undertaken successful efforts to remove regulatory barriers
to affordable housing, and whether you will promote energy efficiency
in the design and operation of the proposed housing. There must be a
clear relationship between your proposed design, proposed activities,
the community's needs and purposes of the program funding for your
application to receive points for this factor. Submit information
responding to this factor in accordance with Application Submission
Requirements in Exhibits 3(f), 3(j), 4(c)(i), 4(c)(ii), 4(c)(iii),
4(d)(iii), 4(d)(v), 4(d)(vi), 5, and 8(k) of Section IV.B. of this
program section of the SuperNOFA. In evaluating this factor, HUD will
consider the following:
a. (20 points). The proximity or accessibility of the site to
shopping, medical facilities, transportation, places of worship,
recreational facilities, places of employment, and other necessary
services to the intended occupants; adequacy of utilities and streets;
freedom of the site from adverse environmental conditions; compliance
with site and neighborhood standards (24 CFR 891.125(a), (d) and (e)).
b. (-1 point). The site(s) is not permissively zoned for the
intended use.
c. (10 points). The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minority
elderly persons/families, and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c) by
examining relevant data in your application or in the local HUD Office.
Where appropriate, HUD may visit the site.
(1) The site will be deemed acceptable if it increases housing
choice and opportunity by expanding housing opportunities in non-
minority neighborhoods (if located in such a neighborhood). The term
``nonminority area'' is defined as one in which the minority population
is lower than 10 percent; or contributing to the revitalization of and
reinvestment in minority neighborhoods, including improvement of the
level, quality and affordability of services furnished to minority
elderly. You should refer to the Site and Neighborhood Standards
provisions of the regulations governing the Section 202 Supportive
Housing for the Elderly program (24 CFR 891.125(b) and (c)) when
considering sites for your project.
(2) For the purpose of this competition, the term ``minority
neighborhood (area of minority concentration)'' is defined as one where
any one of the following statistical conditions exists:
(a) The percentage of persons of a particular racial or ethnic
minority is at least 20 points higher than the minority's or
combination of minorities' percentage in the housing market area as a
whole;
(b) The neighborhood's total percentage of minority persons is at
least 20 points higher than the total percentage of minorities for the
housing market as a whole; or,
(c) In the case of a metropolitan area, the neighborhood's total
percentage of minority persons exceeds 50 percent of its population.
d. (2 points). The extent to which your proposed design will meet
the special physical needs of elderly persons.
e. (2 points). The extent to which the proposed size and unit mix
of the housing will enable you to manage and operate the housing
efficiently and ensure that the provision of supportive services will
be accomplished in an economical fashion.
f. (2 points). The extent to which the proposed design of the
housing will accommodate the provision of supportive services that are
expected to be needed, initially and over the useful life of the
housing, by the category or

[[Page 14213]]

categories of elderly persons the housing is intended to serve.
g. (3 points). The extent to which the proposed supportive services
meet the identified needs of the anticipated residents and that the
identified supportive services will be provided on a consistent, long-
term basis.
h. (1 point). The extent to which the proposed design incorporates
visitability standards and/or universal design in the construction or
rehabilitation of the project. Refer to the General Section of the
SuperNOFA for further information.
i. (2 points). Your involvement of elderly persons, particularly
minority elderly persons, in the development of the application and
your intent to involve elderly persons, particularly minority elderly
persons, in the development and operation of the project.
j. (2 points). The extent to which the jurisdiction in which your
project will be located has undertaken successful efforts to remove
regulatory barriers to affordable housing. (NOTE: To receive up to 2
points, the applicant must have submitted the optional Form HUD-27300,
Questionnaire for HUD's Initiative on Removal of Regulatory Barriers,
AND provided URL references or submitted the required documentary
evidence.) Refer to the General Section of the SuperNOFA for further
information.
k. (1 point) The extent to which you will promote energy efficiency
in the design and operation of the proposed housing. Refer to Section
III.C.3.j. of this NOFA.
4. Rating Factor 4: Leveraging Resources (5 Points).
This factor addresses your ability to secure other funding sources,
including funding sources to develop a mixed-finance project for
additional units for the elderly over and above the Section 202 units,
if proposed, and community resources that can be combined with HUD's
program resources to achieve program purposes. Submit information
responding to this factor in accordance with Application Submission
Requirements in Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), 4(c)(iii) and
5(b) of Section IV.B. of this NOFA.
a. (1 point). The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project.
b. (2 points). The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, and your demonstrated ability to enlist volunteers and
raise local funds.
c. (2 points). The extent of your plans to develop a mixed-finance
project for additional units for the elderly over and above the Section
202 units.
(1) (1 point). The proposed project involves mixed-financing for
additional units in which the non-Section 202 units represent 30
percent or less of the Section 202 units in the project; OR (2) (2
points). The proposed project involves mixed-financing for additional
units in which the non-Section 202 units represent over 30 percent of
the Section 202 units in the project.

Note: If you are proposing a mixed-financed project for
additional units over and above the Section 202 units, your
application may receive a maximum of 2 points under Rating Factor
4(c). Your application will receive either 1 or 2 points under this
Rating Factor, depending upon the number of non-Section 202 units to
be developed in the project. If your project will not involve mixed-
financing for additional units, no points will be assigned for
Rating Factor 4(c).

5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points)
This factor reflects HUD's goal to embrace high standards of
ethics, management and accountability and, as such, emphasizes HUD's
commitment to ensuring that you keep the promises made in your
application. This factor requires that you clearly identify the
benefits or outcomes of your project and develop an evaluation plan to
measure performance, which includes what you are going to measure, how
you are going to measure it, and the steps you will have in place to
make adjustments to your project development timeline should you not be
able to achieve any of the major milestones. Completion of Exhibit
8(j), Logic Model, will assist you in completing your response to this
rating factor. This rating factor also addresses the extent to which
your project will implement practical solutions that result in
residents achieving independent living, educational opportunities, and
improved living environments. Finally, this factor addresses the extent
to which the long-term viability of your project will be sustained for
the duration of the 40-year capital advance period. Submit information
responding to this factor in accordance with Application Submission
Requirements in Exhibits 3(e), 3(g), 3(h), 3(i), 6(b) and 8(j) of
Section IV.B. NOFA.
a. (5 points). The extent to which your project development
timeline is indicative of your full understanding of the development
process and will, therefore, result in the timely development of your
project.
b. (2 points). The extent to which your past performance evidences
that the proposed project will result in the timely development of the
project. Evidence of your past performance could include the
development of previous construction projects, including but not
limited to Section 202 and Section 811 projects.
c. (2 points). The extent to which your project will implement
practical solutions that will result in assisting residents in
achieving independent living, educational opportunities, outreach
regarding telemarketing fraud, and improved living environments.
d. (3 points). The extent to which you demonstrated that your
project will remain viable as housing with the availability of
supportive services for very low-income elderly persons for the 40-year
capital advance period.
6. Bonus Points (2 bonus points). Location of proposed site in an
RC/EZ/EC-II area, as described in the General Section. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in Exhibit 8(h) of Section IV.B. of
this NOFA.

B. Reviews and Selection Process

1. Review for Curable Deficiencies. You should ensure that your
application is complete before transmitting it to the following Web
site: http://www.grants.gov and, in case of a waiver of the electronic
submission requirement, that you have an original and four copies
before submitting it to the appropriate HUD office. Upon receipt of the
application by HUD staff, HUD will screen all applications to determine
if there are any curable deficiencies.
For applicants receiving a waiver to submit a paper application,
submitting fewer than the required original and four copies of the
application is not a curable deficiency and will cause your application
to be considered non-responsive to the NOFA and returned to you. A
curable deficiency is a missing Exhibit or portion of an Exhibit that
will not affect the rating of the application. Refer to the General
Section of the SuperNOFA for additional information regarding
procedures for corrections to deficient applications. The following is
a list of the only deficiencies that will be considered curable in a
Section 202 application:

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The local HUD office will notify you in writing if your application
is missing any of the above exhibits or portions of exhibits and will
provide you with a specified deadline to submit the information
required to cure the noted deficiencies. The items identified by an
asterisk (\*\) must be dated on or before the application submission
date. If an Exhibit or portion of an Exhibit listed above as curable is
not discovered as missing until technical processing, HUD will provide
you with a deadline to cure the deficiency.
2. Rating. HUD will review and rate your application in accordance
with the Reviews and Selection Process in the General Section of this
SuperNOFA except as described in 3. Appeal Process below. Your
application will be either rated or technically rejected at the end of
technical review. If your application meets all program eligibility
requirements after completion of technical review, including HUD
approval of you, the Section 202 applicant, based on HUD's evaluation
of the applicant's previous participation activities as reported on
Form HUD-2530, Previous Participation Certification, it will be rated
according to the rating factors in Section V.A. above.
3. Appeal Process. HUD will not reject your application based on
technical review without notifying you of the rejection with all the
reasons for rejection and providing you an opportunity to appeal. You
will have 14 calendar days from the date of HUD's written notice to
appeal a technical rejection to the local HUD office. In HUD's review
of any appeal, it should be noted that in conformance with its
regulations at 24 CFR part 4, subpart B, HUD will not consider any
unsolicited information that you, the applicant, may want to provide.
The local HUD office will make a determination on any appeals before
making its selection recommendations.
4. Ranking and Selection Procedures. Applications submitted in
response to the advertised metropolitan allocations or nonmetropolitan
allocations that have a total base score of 75 points or more (without
the addition of RC/EC/EZ-II bonus points) and meet all of the
applicable threshold requirements of the General Section of the
SuperNOFA and this program NOFA will be eligible for selection, and HUD
will place them in rank order per metropolitan or nonmetropolitan
allocation. These applications, after adding any bonus points for RC/
EC/EZ-II, will be selected based on rank order, up to and including the
last application that can be funded out of each HUD Multifamily Program
Center's metropolitan or nonmetropolitan allocation. HUD Multifamily
Program Centers will not skip over any applications in order to select
one based on the funds

[[Page 14215]]

remaining. After making the initial selections in each allocation area,
however, HUD Multifamily Program Centers may use any residual funds to
select the next rank-ordered application by reducing the number of
units by no more than 10 percent, rounded to the nearest whole number,
provided the reduction will not render the project infeasible. For this
purpose, however, HUD will not reduce the number of units in projects
of five units or less.
Once this process has been completed, HUD Multifamily Program
Centers may combine their unused metropolitan and nonmetropolitan funds
in order to select the next highest ranked application in either
category, using the unit reduction policy described above, if
necessary.
After the HUD Multifamily Program Centers have funded all possible
projects based on the process above, combined metropolitan and
nonmetropolitan residual funds from all HUD Multifamily Program Centers
within each Multifamily Hub will be combined. First, these funds will
be used to restore units to projects reduced by HUD Multifamily Program
Centers based on the above instructions. Second, additional
applications within each Multifamily Hub will be selected in rank order
with only one application selected per HUD Multifamily Program Center.
More than one application may be selected per HUD Multifamily Program
Center if there are no approvable applications in other HUD Multifamily
Program Centers within the Multifamily Hub. This process will continue
until there are no more approvable applications within the Multifamily
Hub that can be selected with the remaining funds. Applications may not
be skipped over to select one based on funds remaining. However, the
Multifamily Hub may use any remaining residual funds to select the next
highest rated application by reducing the number of units by no more
than 10 percent rounded to the nearest whole number, provided the
reduction will not render the project infeasible or result in the
project being less than five units.
Funds remaining after the Multifamily Hub selection process is
completed will be returned to Headquarters. HUD Headquarters will use
these residual funds first to restore units to projects reduced by HUD
Multifamily Program Centers or Multifamily Hubs as a result of the
instructions for using their residual funds. Second, HUD Headquarters
will use these funds for selecting applications based on HUD
Multifamily Program Centers' rankings, beginning with the highest rated
application nationwide. However, after restoring units to projects
where necessary, priority will be given to those applications for
projects in non-metropolitan areas, if necessary to meet the statutory
requirement of Section 202 of the Housing Act of 1959 pertaining to
Section 202 funding in nonmetropolitan areas. Only one application will
be selected per HUD Multifamily Program Center from the national
residual amount. If there are no approvable applications in other HUD
Multifamily Program Centers, the process will begin again with the
selection of the next highest rated application nationwide. This
process will continue until all approvable applications are selected
using the available remaining funds. HUD Headquarters may skip over a
higher-rated application in order to use as much of the available
remaining funds as possible.
5. HUD Error. In the event HUD commits an error that, when
corrected, would have resulted in the selection of an otherwise
eligible applicant during the funding round of the SuperNOFA, HUD may
select that applicant when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

1. Agreement Letter. If you are selected to receive a Section 202
fund reservation, you will receive an Agreement Letter that stipulates
the terms and conditions for the Section 202 fund reservation award as
well as the submission requirements following the fund reservation
award. The duration of the fund reservation award for the capital
advance is 18 months from the date of issuance of the fund reservation.
Immediately upon your acceptance of the Agreement Letter, you are
expected to begin work towards the submission of a Firm Commitment
Application, which is the next application submission stage. You are
required to submit a Firm Commitment Application to the local HUD
office within 180 days from the date of the Agreement Letter. Initial
closing of the capital advance and start of construction of the project
are expected to be accomplished within the duration of the fund
reservation award. Final closing of the capital advance is expected to
occur no later than six months after completion of project
construction.
2. Non-Selection Letter. If your application is approvable but
unfunded due to insufficient funds or receives a rating that is below
the minimum threshold score established for funding eligibility, you
will receive a letter to this effect.
3. Debriefing. Refer to the General Section of the SuperNOFA for
further information regarding debriefings, except that the request for
a debriefing must be made to the Director of Multifamily Housing in the
appropriate local HUD office.

B. Administrative and National Policy Requirements

1. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. Although the
Section 202 program is not subject to the provisions of 24 CFR 85.36(e)
as described in the corresponding paragraph in the General Section of
the SuperNOFA, you are required to comply with Executive Order 12432,
Minority Business Enterprise Development and Executive Order 11625,
Prescribing Additional Arrangements for Developing and Coordinating a
National Program for Minority Business Enterprise as they relate to the
encouragement of HUD grantees to utilize minority business enterprises.
2. Acquisition and Relocation. You must comply with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended (49 CFR part 24, and 24 CFR 891.155(e)) (URA), which
covers the acquisition of sites, with or without existing structures,
and with 24 CFR 8.4(b)(5) of the Section 504 regulations which
prohibits discrimination based on disability in determining the site or
location of a federally-assisted facility. However, you are exempt from
complying with the site acquisition requirements of the URA if you do
not have the power of eminent domain and prior to entering into a
contract of sale, option to purchase or any other method of obtaining
site control, you inform the seller of the land in writing: (1) that
you do not have the power of eminent domain and, therefore, you will
not acquire the property if negotiations fail to result in an amicable
agreement, and (2) of the estimate of the fair market value of the
property. An appraisal is not required to meet this requirement,
however, your files must include an explanation (with reasonable
evidence) of the basis for the estimate. Evidence of compliance with
this advance notice requirement must be included in Exhibit 4(d)(iv) of
your application.
3. Flood Disaster Protection Act of 1973 and Coastal Barrier
Resources Act. You must comply with the requirements under the Flood
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal
Barrier Resources Act (16 U.S.C. 3601).

[[Page 14216]]

C. Reporting

1. The Program Outcome Logic Model (Form HUD-96010) must be
completed indicating the results achieved against the proposed output
goal(s) and proposed outcomes(s) which you stated in your approved
application and agreed upon by HUD.
2. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner
of the Section 202 project to submit an annual financial statement for
the project. This financial statement must be audited by an Independent
Public Accountant who is a Certified Public Accountant or other person
accepted by HUD and filed electronically with HUD's Real Estate
Assessment Center (REAC) through the Financial Assessment Subsystem for
Multifamily Housing (MF-FASS). The submission of annual financial
statements is required throughout the 40-year term of the mortgage.
3. HUD requires that funded recipients collect racial and ethnic
beneficiary data. It has adopted the Office of Management and Budget's
Standards for the Collection of Racial and Ethnic Data. In view of
these requirements, you should use Form HUD-27061, Racial and Ethnic
Data Reporting Form (and instructions for its use), found at http://
www.hudclips.org, a comparable program form, or a comparable electronic
data system for this purpose.

VII. Agency Contact(s)

For Technical Assistance. For technical assistance in downloading
an application package from http://www.grants.gov, contact the
Grants.gov help desk at 800-518-Grants or by sending an email to
[email protected]. For programmatic information, you may contact the
appropriate local HUD office, or Evelyn Berry at HUD Headquarters at
(202) 708-3000 (this is not a toll-free number), or access the Internet
at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Persons with
hearing and speech impairments may access the above number via TTY by
calling the Federal Relay Service at 1-800-877-8339 (this is a toll-
free number).

VIII. Other Information

A. Field Office Workshop

HUD encourages minority organizations and grassroots organizations
(e.g., civic organizations, faith-communities and grassroots faith-
based and other community-based organizations) to participate in this
program and strongly recommends that prospective applicants attend the
local HUD office workshop. At the workshops, HUD will explain
application procedures and requirements, as well as address concerns
such as local market conditions, building codes and accessibility
requirements, contamination identification and remediation, historic
preservation, floodplain management, other environmental requirements,
displacement and relocation, zoning, and housing costs. If you are
interested in attending the workshop, make sure that your name, address
and telephone number are on the appropriate local HUD office's mailing
list so that you will be informed of the date, time and place of the
workshop. Persons with disabilities should call the appropriate local
HUD Office to assure that any necessary arrangements can be made to
enable their attendance and participation in the workshop.
If you cannot attend the workshop, call the appropriate local HUD
office if you have any questions concerning the submission of
applications to that particular office and to request any materials
distributed at the workshop.

B. Satellite Broadcast

HUD will hold an information broadcast via satellite for potential
applicants to learn more about the program and preparation of the
application. It is strongly recommended that potential applicants,
especially those who may be applying for Section 202 funding for the
first time, tune in to this broadcast, if at all possible. Copies of
the broadcast tapes are also available from the NOFA Information
Center. For more information about the date and time of the broadcast,
you should consult the HUD web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm.

C. Related Programs

Funding for a related program, Section 202 Demonstration Planning
Grant Program, is available to provide predevelopment grants to private
nonprofit organizations and consumer cooperatives in connection with
the development of housing under the Section 202 program. The
announcement of the availability of funding under this program will be
addressed in a separate NOFA.

D. Paperwork Reduction Act

The information collection requirements contained in this document
have been approved by the Office of Management and Budget (OMB) under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned
OMB control number 2502-0267. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 37.42 hours per annum per respondent for the application and
grant administration. This includes the time for collecting, reviewing,
and reporting the data for the application, semi-annual reports and
final report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits derived.

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Section 811 Program of Supportive Housing for Persons with Disabilities
(Section 811 Program)

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Housing
B. Funding Opportunity Title: Section 811 Supportive Housing for
Persons with Disabilities
C. Announcement Type: Initial announcement.
D. Funding Opportunity Number: OMB Approval Number: 2502-0462. The
Federal Register number for this NOFA is: FR-4950-N-20.
E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.181,
Section 811 Supportive Housing for Persons with Disabilities
F. Dates: Application Submission Date: May 24, 2005. Refer to
Section IV. below and the General Section for information on
application submission requirements.
G. Optional, Additional Overview Content Information: 1. Purpose of
the Program. This program provides funding for the development and
operation of supportive housing for very low-income persons with
disabilities who are at least 18 years old. If you receive funding
through this program, you must assure that supportive services are
identified and available.
2. Available Funds. Approximately $95.8 million in capital advance
funds, plus associated project rental assistance contract (PRAC) funds
and any carryover funds available.
3. Types of Funds. Capital advance funds will cover the cost of
developing the housing. PRAC funds will cover the difference between
the HUD-approved operating costs of the project and the tenants'
contributions toward rent (30 percent of their adjusted monthly
income).
4. Eligible Applicants. Nonprofit organizations that have a section
501(c)(3) tax exemption from the Internal Revenue Service. (See Section
VI.B.6. below of this program NOFA for further details and information
regarding the formation of the Owner corporation.)
5. Eligible Activities. New construction, rehabilitation, or
acquisition (with or without rehabilitation) of housing. (See Section
III.C.1. below of this program NOFA for further information.)
6. Match Requirements. None required.
7. Local HUD Offices. The local HUD office structure, for the
purpose of implementing the Section 811 program, consists of 18
Multifamily Hub Offices. Within the Multifamily Hubs, there are
Multifamily Program Centers with the xception of the New York Hub, the
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future
references shall use the term ``local HUD office'' unless a more
detailed description is necessary as in Limitations on Applications and
Ranking and Selection Procedures, below.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description. HUD provides capital advances and contracts
for project rental assistance in accordance with 24 CFR part 891.
Capital advances may be used for the construction or rehabilitation of
a structure or acquisition of a structure with or without
rehabilitation (including structures from the Federal Deposit Insurance
Corporation (FDIC)), to be developed into a variety of housing options
described in Section III.C. Capital advance funds bear no interest and
are based on development cost limits in Section IV.E.3. Repayment of
the capital advance is not required as long as the housing remains
available for occupancy by very low-income persons with disabilities
for at least 40 years.
PRAC funds are used to cover the difference between the tenants'
contributions toward rent (30 percent of adjusted income) and the HUD-
approved cost to operate the project.
B. Authority. 42 U.S.C. 8013 (Section 811 of the Cranston-Gonzalez
National Affordable Housing Act (Pub. L. 101-625, approved November 28,
1990)(NAHA), as amended by the Housing and Community Development Act of
1992) (Pub. L. 102-550, approved October 28, 1992)(HCD Act of 1992);
the Rescissions Act (Pub. L. 104-19, approved July 27, 1995); the
American Homeownership and Economic Opportunity Act of 2000 (Pub. L.
106-569, approved December 27, 2000) and the Consolidated
Appropriations Act, 2005, (Pub. L.108-447, approved December 8, 2004)
authorized a new supportive housing program for persons with
disabilities, and replaced assistance for persons with disabilities
previously covered by section 202 of the Housing Act of 1959 (section
202 continues, as amended by section 801 of the NAHA, and the HCD Act
of 1992, to authorize supportive housing for the elderly)).
C. Eligible Occupancy. You may propose a Section 811 project to
serve persons with physical disabilities, developmental disabilities,
chronic mental illness, or any combination of the three as defined in
24 CFR 891.305. In addition, you may request HUD approval to restrict
occupancy to a subcategory of one of these three defined categories
(e.g., HIV/AIDS is a subcategory of physical disability). If restricted
occupancy is approved, however, you cannot deny occupancy to any
otherwise qualified person that meets the definition of the overall
category of disability under which the subcategory falls.
D. Calculation of Fund Reservation. If selected, you will receive a
fund reservation that will consist of both a reservation of capital
advance funds and a reservation of contract authority (one year) and
budget authority (five years) for project rental assistance.
1. Capital advance funds. The reservation of capital advance funds
is based on a formula which, for an independent living project
(including condominiums), takes the development cost limit for the
appropriate building type (elevator, non-elevator) and unit size(s) and
multiplies it by the number of units of each size (including a unit for
a resident manager, if applicable) and then multiplies the result by
the high cost factor for the area. For a group home, the formula is
based on the number of persons with disabilities in the appropriate
disability category (excluding any unit for a resident manager since
such a unit is already incorporated in the development cost limit)
multiplied by the high cost factor for the area. The development cost
limits can be found in Section IV.E.3. of this program section of the
SuperNOFA.
2. PRAC funds. The PRAC contract authority is determined by
multiplying the number of units for residents with disabilities in an
independent living project or the number of residents with disabilities
in a group home by the appropriate operating cost standard. The PRAC
budget authority is determined by multiplying the PRAC contract
authority by 5 (years). The operating cost standards will be published
by Notice.

II. Award Information

A. Available Funds. For FY 2005, approximately $95.8 million is
available for capital advances for the Section 811 Program of
Supportive Housing for Persons with Disabilities. The Consolidated
Appropriations Act, 2005 (Pub. L. 108-447, approved December 8, 2004)
provides $240,000,000 for capital advances, including amendments to
capital advance contracts, for supportive housing for persons with
disabilities as authorized by section 811 of the National Affordable
Housing Act of 1990 (NAHA); for project rental assistance for
supportive housing for

[[Page 14229]]

persons with disabilities under section 811 of the NAHA, including
amendments to contracts for such assistance and renewal of expiring
contracts for such assistance for up to a one-year term and for tenant-
based rental assistance contracts and renewal of expiring contracts for
such assistance entered into pursuant to section 811 of the NAHA, and
$450,000to be transferred to the Working Capital Fund, all of which is
subject to a .8% across-the-board rescission pursuant to Public Law
108-447. $38,890,000 will be provided for tenant-based rental
assistance for persons with disabilities administered through public
housing agencies (PHAs) and nonprofit organizations under the
Mainstream Housing Opportunities for Persons with Disabilities Program
and $50,000,000 will be provided for one-year renewal costs of Section
811 rental assistance.
In accordance with the waiver authority provided in the
Consolidated Appropriations Act, 2005, the Secretary is waiving the
following statutory and regulatory provision: The term of the project
rental assistance contract is reduced from 20 years to 5 years. HUD
anticipates that at the end of the contract terms, renewals will be
approved subject to the availability of funds. In addition to this
provision, HUD will reserve project rental assistance contract funds
based on 75 percent rather than on 100 percent of the current operating
cost standards for approved units in order to take into account the
average tenant contribution toward rent.
The allocation formula used for Section 811 reflects the ``relevant
characteristics of prospective program participants,'' as specified in
24 CFR 791.402(a). The FY2005 formula consists of the following data
element from the 2000 Census: the number of non-institutionalized
persons age 16 to 64 with a disability. The data on disability status
were derived from answers to a two-part question that asked about the
existence of the following long-lasting conditions: (a) blindness,
deafness, or a severe vision or hearing impairment (sensory disability)
and (b) a condition that substantially limits one or more basic
physical activities, such as walking, climbing stairs, reaching,
lifting, or carrying (physical disability); and a four-part question
that asked if the individual had a physical, mental, or emotional
condition lasting 6 months or more that made it difficult to perform
certain activities. The four activity categories were: (a) Learning,
remembering, or concentrating (mental disability); (b) dressing,
bathing, or getting around inside the home (self-care disability); (c)
going outside the home alone to shop or visit a doctor's office (going
outside the home disability); and (d) working at a job or business
(employment disability).
Under the Section 811 Program, each local HUD office jurisdiction
receives sufficient capital advance funds for a minimum of 10 units.
The total amount of capital advance funds to support this minimum set-
aside is then subtracted from the total capital advance available. The
remainder is fair shared to each local HUD office jurisdiction whose
fair share would exceed the set-aside based on the allocation formula
fair share factors described below.
The fair share factors were developed by taking the count of
disabilities in the data element for each state, or state portion, of
each local HUD office jurisdiction as a percent of the data element
from the 2000 Census, described above, for the total United States. The
resulting percentage for each local HUD office is then adjusted to
reflect the relative cost of providing housing among the local HUD
office jurisdictions. The adjusted needs percentage for each local HUD
office is then multiplied by the total amount of capital advance funds
available nationwide.
The Section 811 capital advance funds have been allocated, based on
the formula above, to 51 local HUD offices as shown on the following
chart:

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B. Type of Award. Capital Advance and Project Rental Assistance
Contract Funds for new Section 811 applications.
C. Type of Assistance Instrument. The Agreement Letter stipulates
the terms and conditions for the Section 811 fund reservation award as
well as the submission requirements following the fund reservation
award. The duration of the fund reservation award for the capital
advance is 18 months from the date of issuance of the fund reservation.
D. Anticipated Start and Completion Date. Immediately upon your
acceptance of the Agreement Letter, you are expected to begin work
toward the submission of a Firm Commitment Application, which is the
next application submission stage. You are required to submit a Firm
Commitment Application to the local HUD office within 180 days from the
date of the Agreement Letter. Initial closing of the capital advance
and start of construction of the project are expected to be
accomplished within the duration of the fund reservation award as
indicated in the above paragraph regarding the Type of Assistance
Instrument. Final closing of this capital advance is expected to occur
no later than six months after completion of project construction.

III. Eligibility Information

A. Eligible Applicants: Nonprofit organizations with a section
501(c)(3) tax exemption from the Internal Revenue Service and who meet
the threshold requirements contained in the General Section of the
SuperNOFA and Section III.C.2. below are the only eligible applicants
for this program.
Applicant eligibility for purposes of applying for a Section 811
fund reservation under this NOFA has not changed; i.e., all Section 811
Sponsors and Co-Sponsors must be nonprofit organizations. However, the
Owner corporation, when later formed by the Sponsor, may be (1) a
single-purpose nonprofit organization that has tax-exempt status under
Section 501(c)(3) of the Internal Revenue Code (IRS) of 1986, OR (2)
for purposes of developing a mixed-finance project pursuant to the
statutory provision under Title VIII of the American Homeownership and
Economic Opportunity Act of 2000, a for-profit limited partnership with
a nonprofit organization that has tax exempt status under Section
501(c)(3) of the IRS code as the sole general partner.
See Section IV.E.2. below regarding limits on the total number of
units and projects for which you may apply for funding.
B. Cost Sharing or Matching: No cost sharing or match is required;
however, you are required to make a commitment to cover the estimated
start-up expenses, the minimum capital investment of one half of one
percent of the HUD-approved capital advance, not to exceed $10,000, and
any funds required in excess of the capital advance, including the
estimated cost of any amenities or features (and operating costs
related thereto) which are not covered by the capital advance. You must
make such a commitment by signing the form HUD-92042, Sponsor's
Resolution for Commitment to Project, in Exhibit 8(g) of the
application found in Section IV.B. below.
C. Other: 1. Eligible Activities. Section 811 capital advance funds
must be used to finance the development of housing through new
construction, rehabilitation, or acquisition with or without
rehabilitation. Capital advance funds may also be used in combination
with other non-Section 811 funding sources leveraged by a for-profit
limited partnership (of which a single-purpose nonprofit organization
with a 501(c)(3) tax exemption is the sole general partner) to develop
a mixed-finance project, including a mixed-finance project for
additional units over and above the Section 811 units. The development
of a mixed-use project in which the Section 811 units are mortgaged
separately from the other uses of the structure is not considered a
mixed-finance project. Project rental assistance funds are provided to
cover the difference between the HUD-approved operating costs and the
amount the residents pay (each resident pays 30 percent of adjusted
income). The types of housing that can be developed with Section 811
capital advance funds include independent living projects, dwelling
units in

[[Page 14233]]

multifamily housing developments, condominium and cooperative housing
and small group homes.

Note: For purposes of approving Section 811 capital advances,
HUD will consider proposals involving mixed-financing for additional
units over and above the Section 811 units if you have legal control
of an approvable site and the additional units do not cause the
project, as a whole, to exceed the project size limits if the
additional units will also house persons with disabilities (unless
your project will be an independent living project and you request
and receive HUD approval to exceed the project size limits (See
IV.B.2.c.(1)(d)(xii).) However, you must obtain funds to assist the
additional units with other than PRAC funds. HUD will not provide
PRAC funds for non-Section 811 units.

2. Threshold Criteria for Funding Consideration. In addition to the
threshold criteria outlined in the General Section of the SuperNOFA
(such as the inclusion of a DUN and Bradstreet Data Universal Numbering
System (DUNS) Number on the SF-424), the following threshold
requirements must be met:
a. Non-Responsive Application. Your application will be considered
non-responsive to the NOFA and will not be accepted for processing if
you:
(1) Submit less than the required number of copies (an original and
four copies are required if you requested and received approval for a
waiver of the electronic submission requirement). Refer to the General
Section of the SuperNOFA for information on application submission and
receipt procedures;
(2) Request more units than were allocated to the local HUD office
that will be reviewing your application (See the allocation chart in
Section II.A. above);
(3) Request less than the minimum number of units for persons with
disabilities in an independent living project (5 units) or a group home
(2 units);
(4) Request more than the maximum number of units for a group home
(6 units); or
(5) Request assistance for housing that you currently own or lease
that has been occupied by people with disabilities for longer than one
year prior to the application deadline date.
b. Other Criteria. (1) You, or a Co-Sponsor, must have experience
in providing housing or services to persons with disabilities.
(2) You and any Co-Sponsor must be eligible nonprofit organizations
with tax exempt status under Section 501(c)(3) of the Internal Revenue
Service code.
(3) Your application must contain evidence of site control or the
identification of a site. Section 811(d)(3) of the National Affordable
Housing Act requires you to provide either evidence of site control or
a reasonable assurance that you will have control of a site within six
months of the date of the Agreement Letter notifying you that you have
been selected to receive a Section 811 fund reservation. Accordingly,
you must include in your application, the required information
specified below for evidence of site control, or the required
information specified below under site identification as a reasonable
assurance that site control will be obtained within six months of the
date of the Agreement Letter. If you submit the required information
for an identified site(s), you must include a specific street address
for each identified site or the application will be rejected.
(a) Evidence of Site Control--If you have control of a site at the
time you submit your application, you must provide the information in
Exhibit 4(d) in IV.B. of this program section of the SuperNOFA relative
to site control; or
(b) Site Identification--If you do not have site control of one or
more of your sites, you must provide the information required in
Exhibit 4(e) in IV.B. of this program section of the SuperNOFA under
``Identification of a Site'' for any site not under control as a
reasonable assurance that site control will be obtained within six
months of fund reservation notification.
If your application contains evidence of site control where either
the evidence or the site is not approvable, your application will not
be rejected provided you indicate in your application that you are
willing to seek an alternate site and provide an assurance that site
control will be obtained within six months of fund reservation
notification. During the selection process, all applications with
acceptable evidence of site control for all proposed sites and all
proposed sites that have been found approvable will be grouped in
Category A. All applications that are submitted as ``site identified''
as well as those that are submitted with site control but the evidence
of control and/or site(s) are not approvable (if the Sponsor indicates
that it is willing to seek a different site if the proposed site is
unapprovable) will be grouped in Category B. All applications in
Category A will be selected before any applications are selected from
Category B. See Section V.B.4. for further information on the selection
process.
(c) Historic Preservation. If you submit an application with
evidence of site control, you are required to send a letter to the
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to
initiate consultation with their office and requests their review of
your determinations and findings with respect to the historical
significance of your proposed project. Appendix B to this program
section of the SuperNOFA contains a sample letter to the SHPO/THPO that
you may adapt for your use, if you so choose. You must include a copy
of your letter to the SHPO/THPO in your application. You must then also
include in your application either:
(i) The response letter(s) from the SHPO/THPO, or
(ii) A statement from you that you have not received a response
letter(s) from the SHPO/THPO.
(d) Contamination. HUD must determine if a proposed site contains
contamination and, if so, HUD must be satisfied that it is eliminated
to the extent necessary to meet non site-specific Federal, State or
local health standards. If you submit an application with evidence of
site control, you must assist HUD by doing the following:
(i) Phase I Environmental Site Assessment (ESA)--You must submit a
Phase I ESA, prepared in accordance with the ASTM Standards E 1527-00,
as amended, completed or updated no earlier than six months prior to
the application deadline date, in order for the application to be
considered as an application with site control. The Phase I ESA must be
completed and included in your application. Therefore, it is important
that you start the Phase I ESA process as soon after publication of the
SuperNOFA as possible. To help you choose an environmentally safe site,
HUD invites you to review the document ``Choosing An Environmentally
Safe Site'' which is available on HUD's web site at http://www.hud.gov/offices/adm/grants/fundsavail.cfm and the ``Supplemental Guidance,
Environmental Information'' in Appendix C to this program section of
the SuperNOFA.
(ii) Phase II ESA--If the Phase I ESA indicates the possible
presence of contamination and/or hazards, you must decide whether to
continue with this site or choose another site. Should you choose
another site, the same Phase I ESA process identified above must be
followed for the new site. However, if you choose to continue with the
original site on which the Phase I ESA indicated contamination or
hazards, you must undertake a detailed Phase II ESA by an appropriate
professional. In order for your application to be considered as an
application with site control, the Phase II must be received in the
local HUD office on or before June 23, 2005.
(iii) Clean-up--If the Phase II ESA reveals site contamination, the
extent of

[[Page 14234]]

the contamination and a plan for clean-up of the site must be submitted
to the local HUD office. The plan for clean-up must include a contract
for remediation of the problem(s) and an approval letter from the
applicable federal, state, and/or local agency with jurisdiction over
the site. In order for your application to be considered as an
application with site control, this information must be received by the
appropriate local HUD office on or before June 23, 2005.

(e) Asbestos. Asbestos is a hazardous substance commonly used in
building products until the late 1970s. Therefore, if you submit an
application with evidence of site control, you must submit one of the
following with your application:
(i) If there is no pre-1978 structure on the site, a statement to
this effect, or
(ii) If there is a pre-1978 structure on the site, an asbestos
report which is based on a thorough inspection to identify the location
and condition of asbestos throughout any structures. In those cases
where suspect asbestos is found, it would either be assumed to be
asbestos or would require confirmatory testing. If the asbestos report
indicates the presence of asbestos or the presence of asbestos is
assumed, and if the application is approved, HUD will condition the
approval on an appropriate mix of asbestos abatement and an asbestos
Operations and Maintenance Plan.
(4) There must be a market need for the number of units proposed in
the area of the project location.
(5) Your application must contain a Supportive Services Plan and a
Certification from the appropriate state or local agency that the
Supportive Services Plan is well designed to address the individual
health, mental health and other needs of persons with disabilities who
will live in your proposed project. Exhibit 5 in Section IV.B. of this
program section of the SuperNOFA, below, outlines the information that
must be in the Supportive Services Plan. You must submit one copy of
your Supportive Services Plan to the appropriate State or local agency
well in advance of the application submission deadline date for the
state or local agency to review your Supportive Services Plan and
complete the Supportive Services Certification and return it to you so
that you can include it in the application you submit to HUD.
(i) HUD will reject your application if the Supportive Services
Certification:
A Is not submitted with your application and is not submitted to
HUD within the 14-day cure period; or
B Indicates that the provision of supportive services is not well
designed to address the individual health, mental health and other
needs of persons with disabilities who will live in your project; or
C Indicates that the provision of supportive services will not
enhance independent living success or promote the dignity of the
persons with disabilities who will live in your proposed project.
(ii) In addition, if the agency completing the certification will
be a major funding or referral source for your proposed project or be
responsible for licensing the project, HUD will reject your application
if either the agency's Supportive Services Certification indicates--or,
where the agency fails to complete item 3 or 4 of the certification,
HUD determines that:
A You failed to demonstrate that supportive services will be
available on a consistent, long-term basis; and/or
B The proposed housing is not consistent with state or local agency
plans/policies addressing the housing needs of people with
disabilities.
Any prospective resident of a Section 811 project who believes he/
she needs supportive services must be given the choice to be
responsible for acquiring his/her own services or to take part in your
Supportive Services Plan which must be designed to meet the individual
needs of each resident.
You must not require residents to accept any supportive services as
a condition of occupancy or admission.
(6) Delinquent Federal Debt. Refer to the General Section of the
SuperNOFA for information regarding delinquent federal debt.
3. Program Requirements. By signing Form HUD-92016-CA, Supportive
Housing for Persons with Disabilities Section 811, Application for
Capital Advance Summary Information, you are certifying that you will
comply with the program requirements listed in the General Section of
the SuperNOFA as well as the following requirements:
a. Statutory and Regulatory Requirements. In addition to the
statutory, regulatory, threshold and public policy requirements listed
in the General Section of the SuperNOFA, you must comply with all
statutory and regulatory requirements listed in Sections I and III of
this program NOFA.
b. Project Size Limits. (1) Independent living project. The minimum
number of units for persons with disabilities that can be applied for
in one application is five units for persons with disabilities. All of
the units are not required to be in one structure and they may be on
scattered sites. The maximum number of persons with disabilities that
can be housed in an independent living project on one or adjacent sites
is 14 plus one additional one-or two-bedroom unit for a resident
manager, if necessary. If the proposed independent living project will
be located on a site already containing housing for persons with
disabilities or on an adjacent site containing such housing, the total
number of persons with disabilities housed in both the existing and the
proposed project cannot exceed 14.
(2) Exception to project size limit for an independent living
project. If you are submitting an application for an independent living
project with site control, you may request an exception to the above
project size limit by providing the information required in Exhibit
4(d)(xii) of Section IV.B. below in this program section of the
SuperNOFA.
(3) Group home. The minimum number of persons with disabilities
that can reside in a group home is two, and the maximum number is six.
There are no exceptions to the maximum project size limit for a group
home. An additional one-bedroom unit can be provided for a resident
manager. Only one person per bedroom is allowed, unless two residents
choose to share one bedroom or a resident determines he/she needs
another person to share his/her bedroom. If you are applying for more
than one group home, they cannot be located on the same or adjacent
sites.
(4) Condominium Units. Condominium units are treated the same as
units in an independent living project except that you cannot request
an additional condominium unit for a resident manager.
c. Minimum Capital Investment. If selected, you must provide a
minimum capital investment of one-half of one percent of the HUD-
approved capital advance amount, not to exceed a maximum of $10,000 in
accordance with 24 CFR 891.145.
d. Accessibility. Your project must meet accessibility requirements
published at 24 CFR 891.120, 24 CFR 891.310 and Section 504 of the

[[Page 14235]]

Rehabilitation Act of 1973, and, if new construction, the design and
construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100. In addition, 24 CFR
8.4(b)(5) prohibits the selection of a site or location which has the
purpose or effect of excluding persons with disabilities from the
Federally assisted program or activity. HUD will award higher points to
applications that add accessible design features beyond those required
under civil rights laws and regulations. Refer to Section V.A. below
and the General Section of the SuperNOFA for information regarding the
policy priority of encouraging accessible design.
e. Conducting Business in Accordance With Core Values and Ethical
Standards. You are not subject to the requirements of 24 CFR parts 84
and 85 as outlined in the General Section of the SuperNOFA except for
the disposition of real property, which may be subject to 24 CFR Part
84. However, you are still subject to the core values and ethical
standards as they relate to the conflict of interest provisions in 24
CFR 891.130. To ensure compliance with the program's conflict of
interest provisions, you are required to sign a Conflict of Interest
Resolution and include it in your Section 811 application. Further, if
awarded a Section 811 fund reservation, the officers, directors, board
members, trustees, stockholders and authorized agents of the Section
811 Sponsor and Owner entities will be required to submit to HUD
individual certifications regarding compliance with HUD's conflict of
interest requirements.
f. National Environmental Policy Act. You must comply with the
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and
applicable related environmental authorities at 24 CFR 50.4, HUD's
programmatic implementing regulations at 24 CFR part 50 and 24 CFR
891.155(b), especially, but not limited to, the provision of
information to HUD at 24 CFR 50.31(b), and you must comply with any
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
Under 24 CFR Part 50, HUD has the responsibility for conducting the
environmental reviews. HUD cannot approve any site for which you have
site control unless it first completes the environmental review. In
rare cases where HUD is not able to complete the environmental review,
it is due to a complex environmental issue that could not be resolved
during the time period allocated for application processing. Thus, if
you submit an application with evidence of site control, HUD requires
you to attempt to obtain comments from the State/Tribal Historic
Preservation Officer (see Exhibit 4(d)(ix) of Section IV.B. below) to
help HUD complete the environmental review on time. It is also why HUD
may contact you for additional environmental information. So that you
can review the type of information that HUD needs for its preparation
of the environmental review as well as the type of information requests
that HUD may make to you, you are invited to go to the following web
site to view the HUD form 4128, including the Sample Field Notes
Checklist, which HUD uses to record the environmental review:
www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
g. Lead-Based Paint. You must comply with the requirements of the
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and
implementing regulations at 24 CFR part 35.
h. Executive Order 13202, Preservation of Open Competition and
Government Neutrality Towards Government Contractors' Labor Relations
on Federal and Federally Funded Construction Projects. Refer to the
General Section of the SuperNOFA for information regarding Executive
Order 13202.
i. Fair Housing Requirements. Refer to the General Section of the
SuperNOFA for information regarding fair housing requirements.
j. Economic Opportunities for Low and Very Low-Income Persons
(Section 3). You must comply with Section 3 of the Housing and Urban
Development Act of 1968, U.S.C. 1701u (Economic Opportunities for Low
and Very Low-Income Persons) and its implementing regulations at 24 CFR
part 135. You must ensure that training, employment and other economic
opportunities shall, to the greatest extent feasible, be directed
toward low and very low-income persons, particularly those who are
recipients of government assistance for housing and to business
concerns which provide economic opportunities to low and very-low
income persons. To comply with Section 3 requirements you are hereby
certifying that you will strongly encourage your general contractor and
subcontractors to participate in local apprenticeship programs or
training programs registered or certified by the Department of Labor's
Office of Apprenticeship, Training, Employer and Labor Services or
recognized State Apprenticeship Agency.
k. Design and Cost Standards. You must comply with HUD's Section
811 project design and cost standards (24 CFR 891.120 and 891.310), the
Uniform Federal Accessibility Standards (24 CFR 40.7), Section 504 of
the Rehabilitation Act of 1973 and HUD's implementing regulations at 24
CFR part 8, and for covered multifamily dwellings designed and
constructed for first occupancy after March 13, 1991, the design and
construction requirements of the Fair Housing Act and HUD's
implementing regulations at 24 CFR part 100, and, where applicable, the
Americans with Disabilities Act of 1990.
HUD has adopted a wide-ranging energy action plan for improving
energy efficiency in all program areas. As a first step in implementing
the energy plan, HUD, the Environmental Protection Agency (EPA) and the
Department of Energy (DoE) have signed a joint partnership to promote
energy efficiency in HUD's affordable housing efforts and programs. The
purpose of the Energy Star partnership is to promote energy efficiency
of the affordable housing stock, but also to help protect the
environment. Although it is not a requirement, you are nonetheless
encouraged to promote energy efficiency in design and operations and
your application will receive one (1) point if you describe your plans
for doing so in the proposed project. You are especially urged to
purchase and use Energy Star-labeled products. Program activities can
include developing Energy Star promotional and information materials,
outreach to low- and moderate-income renters on the benefits and
savings when using Energy Star products and appliances, and promoting
the designation of community buildings and homes as Energy Star
compliant. For further information about Energy Star, see http://www.energystar.gov or call 888-STAR-YES (1-888-782-7937) or for the
hearing-impaired, 888-588-9920 TTY.
l. Formation of Owner Corporation. You must form an ``Owner''
entity (in accordance with 24 CFR 891.305) after issuance of the
capital advance fund reservation and must cause the Owner entity to
file a request for determination of eligibility and a request for
capital advance, and must provide sufficient resources to the Owner
entity to ensure the development and long-term operation of the
project, including capitalizing the Owner entity at firm commitment
processing in an amount sufficient to meet its obligations in
connection with the project over and above the capital advance amount.
m. Davis-Bacon. You must comply with the Davis-Bacon Requirements
(42 U.S.C. 8013(j)(6)) and the Contract Work

[[Page 14236]]

Hours and Safety Standards Act in accordance with 24 CFR 891.155(d).

IV. Application and Submission Information

A. Address to Request Application Package. All information required
to complete and return a valid application is included in the General
Section and this program section of the SuperNOFA, including the
appendices. Copies of the General Section, this program section, the
required forms, and appendices, are available and may be downloaded
from the Grants.gov Web site at www.Grants.gov.
You may request general information, copies of the General Section
and program section of the SuperNOFA (including appendices), and
required forms from the NOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) Monday through Friday, except on federal holidays. When
requesting information, please refer to the name of the program you are
interested in.
B. Content and Form of Application Submission. The exhibits to be
included in your application are contained in the body of this program
section of the SuperNOFA below. There will not be a separate
Application Kit provided this year. Before preparing your application,
you should carefully review the requirements of the regulations (24 CFR
Part 891) and general program instructions in Handbook 4571.2, Section
811 Capital Advance Program for Housing Persons with Disabilities.
Note: Section 1001 of Title 18 of the United States Code (Criminal Code
and Criminal Procedure, 72 Stat. 967) applies to all information
supplied in the application submission. (18 U.S.C. 1001, among other
things, provides that whoever knowingly and willfully makes or uses a
document or writing containing any false, fictitious, fraudulent
statement or entry, in any matter within the jurisdiction of any
department or agency of the United States, shall be fined not more than
$10,000 or imprisoned for not more than five years, or both.)
The Application for a Section 811 Capital Advance consists of four
parts with a total of eight Exhibits. Included with the eight Exhibits
are prescribed forms, certifications and resolutions. The components of
the Application are:
Part 1--Application Form for Section 811 Supportive Housing--
Capital Advance (Exhibit 1).
Part 2--Your Ability To Develop and Operate the Proposed Project
(Exhibits 2 and 3).
Part 3--The Need for Supportive Housing for the Target Population
in the Area to be Served, Site Control and/or Identification of Site,
Suitability of Site, Adequacy of the Provision of Supportive Services
and of the Proposed Project (Exhibits 4 and 5).
Part 4--General Application Requirements, Certifications and
Resolutions (Exhibits 6 through 8).
Appendix A--Listing of Local HUD Offices.
Appendix B--Letter Requesting SHPO/THPO Review.
Appendix C--Supplemental to Choosing An Environmentally Safe Site.
Your application must include all of the information, materials,
forms, and exhibits listed below (unless you were selected for a
Section 811 fund reservation within the last three funding cycles). If
you qualify for this exception, you are not required to submit the
information described in Exhibit 2(a), (b), and (c), which are the
articles of incorporation (or other organizational documents), by-laws,
and the IRS tax exemption, respectively. If there has been a change in
any of these documents since your previous HUD approval, you must
submit the updated information in your application. The local HUD
office will verify your indication of previous HUD approval by checking
the project number and approval status with the appropriate local HUD
office based on information submitted.
In addition to this relief of paperwork burden in preparing
applications, you are able to use information and exhibits previously
prepared for prior applications under Section 811, Section 202, or
other funding programs. Examples of exhibits that may be readily
adapted or amended to decrease the burden of application preparation
include, among others, those on previous participation in the Section
202 or Section 811 programs, your experience in the provision of
housing and services, supportive services plans, community ties, and
experience serving minorities.
For programmatic information, you MUST contact the appropriate
local HUD office about the submission of applications within the
jurisdiction of that Office. (as well as information relating to the
Phase I Environmental Site Assessment, Exhibit 4(d)(vii).)

Note: You may apply for a scattered site project in one
application.

Please submit your application using the following format provided
in this program section of the SuperNOFA. Unless you received a waiver
of the electronic application submission, you must number the pages of
each file, narratives and other attached files. Include the name of
your organization and your DUNS number on the header of each document.
1. Table of Contents (This is also to be used as a checklist to
assist you in submitting a complete application. For applicants who
received a waiver of the electronic application submission, after your
application is complete, you must insert the page number after each
Exhibit or portion of the Exhibit item listed below.)
a. Part I--Application Form for Section 811 Supportive
Housing--Capital Advance
(1) Exhibit 1: Form HUD-92016-CA, Supportive Housing for Persons
with Disabilities Section 811, Application for Capital Advance Summary
Information.
b. Part II--Your Ability to Develop and Operate the Proposed
Project
(1) Exhibit 2: Your Legal Status
(a) Articles of Incorporation (or other organizational documents).
(b) By-laws.
(c) IRS Tax Exemption Ruling. (Exception: See Exhibit to Determine
if You May be Exempt from Submitting These Documents.)
(d) The number of people on your board and the number of board
members who have disabilities.
(2) Exhibit 3: Your purpose, community(ties) and experience:
(a) Purpose(s), current activities, how long you have been in
existence.
(b) Ties to the community at large, to the target population, and
description of geographic areas served.
(c) Local government support for project.
(d) Letters of support for your organization and for the proposed
project.
(e) Housing and/or supportive services experience.
(f) Efforts to involve target population.
(g) Description of practical solutions to be implemented.
(h) Project Development Timeline.
(i) Description of how project will remain viable.
(i) if service funds are depleted.
(ii) for State-funded services, if State changes policy.
(iii) if the need for project changes.
(j) Identification/coordination with other organizations.
(k) Description of consultation with Continuum of Care
organizations.
(l) Description of efforts to remove barriers to affordable
housing.

[[Page 14237]]

c. Part III--The Need for Supportive Housing for the Target Population
in the Area to be Served, Site Control and/or Identification of Site
and Suitability of Site, Adequacy of the Provision of Supportive
Services and of the Proposed Project
(1) Exhibit 4: Project information including:
(a) Evidence of need for project.
(b) How project will benefit target population and community.
(c) A narrative description of the project, including:
(i) Building design.
(ii) Whether and how project will promote energy efficiency.
(iii) If applicable, description of plans and actions to create a
mixed-finance project for additional units and the number of additional
units.
Evidence of Site Control
(d) Evidence of site control and permissive zoning (If you do not
have site control, skip to.
(e) Identification of a Site below):
(i) Site control document(s).
(ii) Evidence site is free of limitations, restrictions, or
reverters.
(iii) Evidence of permissive zoning or statement of proposed action
required to make project permissible.
(iv) Evidence of compliance with the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (URA)
site notification requirement.
(v) Narrative topographical/demographic description of site/area
suitability, how site will promote greater housing opportunities for
minorities/target population.
(vi) Racial composition/concentration map of site.
(vii) Phase I Environmental Site Assessment.
(viii) Asbestos Statement or Report.
(ix) Letter to State/Tribal Historic Preservation Officer (SHPO/
THPO).
(x) Response from SHPO/THPO or statement that SHPO/THPO failed to
respond.
(xi) Willingness to seek an alternatesite.
(xii) Request for exception to project size limits (if
applicable)--why site was selected and (ILP with site control only):
(A) Preference/acceptance of people with disabilities to live in
proposed housing.
(B) Increased number of people warranted by market conditions in
area.
(C) Compatibility of project with other residential development and
population density of the area.
(D) Increased number of people will not prohibit successful
integration into the community.
(E) Marketability of project in the community.
(F) Project size consistent with State and/or local policies
governing similar housing.
(G) Willingness to have application processed at project size
limit.
(e) Identification of a Site.
(i) Location of site.
(ii) Steps undertaken to identify site; what must be done to obtain
site control.
(iii) Whether site is properly zoned.
(iv) Status of the sale of the site.
(v) Whether the site would involve relocation.
(2) Exhibit 5: Supportive Services Plan:
(a) Description of occupancy.
(b) Request for approval to limit occupancy, if applicable,
including:
(i) Description of population to which occupancy will be limited.
(ii) Why it is necessary to limit occupancy, including:
(A) How Section 811 program goals willstill be achieved.
(B) Why housing and services needs cannot be met ina more
integrated setting.
(iii) Experience in providing housing and/or supportive services to
proposed population.
(iv) How you will ensure occupants will be integrated into
neighborhood and community.
(c) Supportive services needs of proposed population.
(d) List of community service providers with letters of intent.
(e) Evidence of each service provider's capability and experience.
(f) Extent of State and local agency involvement in project.
(g) Letter indicating your commitment to make services available or
coordinate their availability.
(h) How residents will be afforded employment opportunities.
(i) Whether project will includemanager's unit.
(j) Statement that you will not condition occupancy on the
resident's acceptance of supportive services.
d. Part IV--General Application Requirements, Certifications and
Resolutions
(1) Exhibit 6: Other Applications:
(a) A list of applications, if any, you are submitting to any other
local HUD Office in response to the FY 2005 Section 202 or Section 811
NOFA, and required information about each.
(b) A list of all FY 2004 and prior year Section 202 or Section 811
projects to which you are a party and the required information about
each.
(2) Exhibit 7: Applies to applications with site control only:
A statement that:
(a) Identifies all persons occupying property on application
submission date.
(b) Indicates estimated cost of relocation payments/other services.
(c) Identifies staff organization that will carry out relocation
activities.
(d) Identifies all persons who have moved from site within past 12
months.
(3) Exhibit 8: Certifications and Resolutions:
(a) Standard Form 424, Application for Federal Assistance.
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants.
(c) Standard Form LLL, Disclosure of Lobbying Activities, if
applicable.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report.
(e) Form HUD-2991, Certification of Consistency with the
Consolidated Plan.
(f) Form HUD-92041, Sponsor's Conflict of Interest Resolution.
(g) Form HUD-92042, Sponsor's Resolution for Commitment to Project.
(h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC-
II Strategic Plan.
(i) Form HUD-2530, Previous Participation Certification.
(j) Form HUD-92043, Certification for Provision of Supportive
Services.
(k) Form HUD-96010, Logic Model.
(l) Form HUD-27300, Questionnaire for HUD's Initiative on Removal
of Regulatory Barriers, including any required documentation or URL
references.
(m) Form HUD-96011, Facsimile Transmittal, see the General Section
for instructions.

2. General Applications Requirements

a. Part I--Application Form For Section 811 Supportive Housing--Capital
Advance
(1) Exhibit 1--Form HUD-92016-CA, Supportive Housing for Persons
with Disabilities Section 811 Application for Capital Advance Summary
Information. Refer to Section IV.B.3. of this program section for a
copy of this form.
b. Part II--Your Ability to Develop and Operate the Proposed Project
(1) Exhibit 2--Evidence of your legal status (Nonprofit with
501(c)(3) IRS tax exemption)(If another organization(s) is co-
sponsoring the application with you, each Co-Sponsor must also submit
the following):
(a) Articles of Incorporation, constitution, or other
organizational documents.
(b) By-laws.
(c) IRS tax exemption ruling (this must be submitted by all
Sponsors, including churches).

[[Page 14238]]

(Exception: If you received a section 811 fund reservation within
the last three funding cycles, you are not required to submit the
documents described in (a), (b), and (c) above. Instead, submit the
project number of the latest application and the local HUD office to
which it was submitted. If there have been any modifications or
additions to the subject documents, indicate such, and submit the
new material.)

(d) The number of people on your board and the number of board
members who have disabilities.
(2) Exhibit 3--Your purpose, community ties and experience:
(a) A description of your purpose(s), current activities, and how
long you have been in existence.
(b) A description of your ties to the community in which your
project will be located and to the minority and disability communities
in particular, including a description of the specific geographic
area(s) in which you have served.
(c) A description of local government support for the project
(including financial assistance, donation of land, provision of
services, etc.).
(d) Letters of support for your organization and for the proposed
project from organizations familiar with the housing and supportive
services needs of the target population (e.g., the local center for
independent living, the Statewide Independent Living Council) that you
expect to serve in the proposed project.
(e) A description of your housing and/or supportive services
experience. The description should include any rental housing projects
(including any integrated housing developments) and/or supportive
services facilities that you sponsored, own and/or operate, your past
or current involvement in any programs other than housing that
demonstrates your management capabilities (including financial
management) and experience, your experience in serving the target
population (persons with disabilities and minorities); and the reasons
for receiving any increases in fund reservations for developing and/or
operating previously funded Section 202 or Section 811 projects. The
description should include data on the facilities and services
provided, the racial/ethnic composition of the populations served, if
available, and information and testimonials from residents or community
leaders on the quality of the activities. Examples of activities that
could be described include housing counseling, nutrition and food
services, special housing referral, screening and information projects.
(f) A description of your efforts to involve members of the target
population (persons with disabilities including minority persons with
disabilities and persons with disabilities similar to those of the
prospective residents) in the development of the application as well as
your intent to involve the target population in the development and
operation of the project.
(g) A description of the practical solutions you will implement
which will enable residents of your project to achieve independent
living and economic empowerment. In addition, describe the educational
opportunities you will provide for the residents and how you will
provide them. This description should include the activities you will
undertake to improve computer access, literacy and employment
opportunities (e.g., provide programs that can teach residents how to
use computers to become educated as well as achieve economic self-
sufficiency through job training and placement). And, finally, describe
how your proposed project will be an improved living environment for
the residents when compared to their previous place of residence.
(h) Describe your plan for completing the proposed project. Include
a project development timeline which lists the major development stages
for the project with associated dates that must be met in order to get
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the
project, including final closing. Completion of Exhibit 8(l), Logic
Model, will assist you in completing your response to this Exhibit.
(i) Describe how you will ensure that your proposed project will
remain viable as housing with the availability of supportive services
for the target population for the 40-year capital advance period. This
description should address the measures you would take should any of
the following occur:
(i) funding for any of the needed supportive services becomes
depleted;
(ii) if, for any state-funded services for your project, the state
changes its policy regarding the provision of supportive services to
projects such as the one you propose; or
(iii) if the need for housing for the population you will be
serving wanes over time, causing vacancies in your project.
(j) A description of the steps you took to coordinate your
application with other organizations (e.g., the local center for
independent living) that will not be directly involved in your project
but with which you share common goals and objectives, to complement
and/or support the proposed project so that the project will provide a
comprehensive and holistic solution to the needs of persons with
disabilities.
(k) A description of your efforts to consult with Continuum of Care
organizations in the community where the project will be located about
the ways you can assist persons with disabilities who are chronically
homeless as defined in the General Section of the SuperNOFA.
(l) A description of the successful efforts the jurisdiction in
which your project will be located has taken in removing regulatory
barriers to affordable housing. To obtain up to 2 points for this
policy priority, you must complete the optional Form HUD-27300, sbull
I11``Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers'' in Exhibit 8(l) of the application AND provide the necessary
URL references or submit the documentary evidence.
c. Part III--The Need for Supportive Housing for the Target Population,
Site Control and/or Identification of Site and Suitability of Site,
Adequacy of the Provision of Supportive Services and of the Proposed
Project
(1) Exhibit 4--Need and Project Information
(a) Evidence of need for supportive housing. Include a description
of the proposed population and evidence demonstrating sustained
effective demand for supportive housing for the proposed population in
the market area to be served, taking into consideration the occupancy
and vacancy conditions in existing comparable subsidized housing for
persons with disabilities, state or local needs assessments of persons
with disabilities in the area, the types of supportive services
arrangements currently available in the area, and the use of such
services as evidenced by data from local social service agencies. Also,
a description of how information in the community's or (where
applicable) the State's Consolidated Plan, Analysis of Impediments to
Fair Housing Choice (AI) or other planning document that analyzes fair
housing issues was used in documenting the need for the project.
(b) A description of how the proposed project will benefit the
target population and the community in which it will be located.
(c) Description of the project.
(i) Narrative description of the building(s) including the number
and type of structure(s), number of units with bedroom distribution if

[[Page 14239]]

independent living units including dwelling units in multifamily
housing developments, condominiums and cooperatives, number of bedrooms
if group home, number of residents with disabilities, and any resident
manager per structure; identification of all commercial and community
spaces, amenities or features planned for the housing and a description
of how the spaces, amenities, or features will be used, and the extent
to which they are necessary to accommodate the needs of the proposed
residents. A narrative description of the building design (both
interior and exterior), including any special design features, as well
as any features that incorporate visitability standards and universal
design. Also include a description of how the design of the proposed
project will facilitate the integration of the residents into the
surrounding community and promote the ability of the residents to live
as independently as possible.

Note: If the community spaces, amenities, or features do not
comply with the project design and cost standards of 24 CFR 891.120
(a) and (c), and the special project standards of 24 CFR 891.310
(a), you must demonstrate your ability and willingness to contribute
both the incremental development cost and continuing operating cost
associated with the community spaces, amenities, or features;

(ii) Describe whether and how the project will promote energy
efficiency (in accordance with the requirements set forth in Section
III.C.3.k. of this program NOFA), including any plans to incorporate
energy efficiency features in the operation of the project through the
use of Energy Star labeled products and appliances and, if applicable,
innovative construction or rehabilitation methods or technologies to be
used that will promote efficient construction.
(iii) For site control applications, if you are proposing to
develop a mixed-finance project by developing additional units (i.e.,
in addition to the 811 units), a description of any plans and actions
you have taken to create such a mixed-finance project with the use of
Section 811 capital advance funds, in combination with other funding
sources. Provide the number of non-Section 811 units to be included in
the mixed-finance project (also provide the number of additional units
in the appropriate space on Form HUD-92016-CA). Also, provide copies of
any letters you have sent seeking outside funding for the non-Section
811 units and any responses thereto. Your response to this Exhibit will
be used to rate your application for Rating Factor 4.c. under
Leveraging Resources.

Notes: (1) A proposal to develop a mixed-finance project for
additional units must occur at the application for fund reservation
stage. You cannot decide after selection that you want to do a
mixed-finance project for additional units. (2) If you propose to
develop a mixed-finance project for additional units, you must
complete the development of such a proposal. If you are later unable
to develop a mixed-finance project for additional units, you will
not be permitted to proceed with a Section 811 project without
additional units and your fund reservation will be canceled. This is
due to the fact that the project would have received points in the
rating of the application in consideration of the additional units
and, if selected for funding, a later change in the proposal to
exclude the additional units would alter the fairness of the
competition. (3) Section 811 capital advance amendment money will
not be approved for projects proposing mixed-financing for
additional units. (4) If approved for a reservation of capital
advance funds, you will be required to submit with your Firm
Commitment Application, the additional documents required by HUD for
mixed-finance proposals. (5) A mixed-finance project does not
include the development of a mixed-use project in which the Section
811 units are mortgaged separately from the other uses of the
structure. (6) For a Section 811 mixed-finance project, the
additional units cannot cause the project to exceed the project size
limit for the type of project proposed, unless you request and
receive HUD approval to exceed the project size limit if the project
will be an independent living project (See IV.B.2.c.(1)(d)(xii).) or
the additional units will house people who do not have a disability.

(d) Evidence of site control and permissive zoning.

Note: If you are applying for Section 811 funding without
control of any or all of your proposed sites, you must provide the
information under (e) Identification of a Site below for any site
you are submitting without evidence of control of that site.

(i) Acceptable evidence of site control is limited to any one of
the following:
(A) Deed or long-term leasehold which evidences that you have title
to or a leasehold interest in the site. If a leasehold, the term of the
lease must be 50 years with renewable provisions for 25 years except
for sites on Indian trust land, in which case, the term of the lease
must be at least 50 years with no requirements for extensions;
(B) Contract of sale for the site that is free of any limitations
affecting the ability of the seller to deliver ownership to you after
you receive and accept a notice of Section 811 capital advance. (The
only condition for closing on the sale can be your receipt and
acceptance of the capital advance.) The contract of sale cannot require
closing earlier than the Section 811 closing;
(C) Option to purchase or for a long-term leasehold, which must
remain in effect for six months from the date on which the applications
are due, must state a firm price binding on the seller, and be
renewable at the end of the sixth month period. The only condition on
which the option may be terminated is if you are not awarded a fund
reservation;
(D) If the site is covered by a mortgage under a HUD program,
(e.g., a previously funded Section 202 or Section 811 project or an
FHA-insured mortgage) you must submit evidence that consent to release
the site from the mortgage has been obtained or has been requested from
HUD (all required information in order for a decision on the request
for a partial release of security must have been submitted to the local
HUD office) and from the mortgagee, if other than HUD Approval to
release the site from the mortgage must be done before the local HUD
office makes its selection recommendations to HUD Headquarters. Refer
to Chapter 16 of HUD Handbook 4350.1 Rev-1, Multifamily Asset
Management and Project Servicing, for instructions on submitting
requests to the local HUD Office for partial release of security from a
mortgage under a HUD program; or
(E) For sites to be acquired from a public body, evidence is needed
that the public body possesses clear title to the site and has entered
into a legally binding agreement to lease or convey the site to you
after you receive and accept a notice of Section 811 capital advance.
Where HUD determines that time constraints of the funding round will
not permit you to obtain all of the required official actions (e.g.,
approval of Community of Planning Boards) that are necessary to convey
publicly-owned sites, you may include in your application a letter from
the mayor or director of the appropriate local agency indicating that
conveyance or leasing of the site is acceptable without imposition of
additional covenants or restrictions, and only contingent on the
necessary approval action. Such a letter of commitment will be
considered sufficient evidence of site control.
(ii) Whether you have title to the site, a contract of sale, an
option to purchase, or are acquiring a site from a public body, you
must provide evidence (a title policy or other acceptable evidence)
that the site is free of any limitations, restrictions, or reverters
which could adversely affect the use of the site for the proposed
project for the 40-year capital advance period under HUD's regulations
and requirements (e.g., reversion to seller if title is transferred).
If the title evidence contains restrictions or covenants, copies of the
restrictions

[[Page 14240]]

or covenants must be submitted with the application. If the site is
subject to any such limitations, restrictions, or reverters, the site
will be rejected and the application will be considered a ``site
identified'' application. Purchase money mortgages that will be
satisfied from capital advance funds are not considered to be
limitations or restrictions that would adversely affect the use of the
site. If the contract of sale or option agreement contains provisions
that allow a Sponsor not to purchase the property for reasons such as
environmental problems, failure of the site to pass inspection, or the
appraisal is less than the purchase price, then such provisions are not
objectionable and a Sponsor is allowed to terminate the contract of
sale or the option agreement.

Note: A proposed project site may not be acquired or optioned
from a general contractor (or its affiliate) that will construct the
Section 811 project or from any other development team member.

(iii) Evidence that the project, as proposed, is permissible under
applicable zoning ordinances or regulations, or a statement of the
proposed action required to make the proposed project permissible and
the basis for the belief that the proposed action will be completed
successfully before the submission of the firm commitment application
(e.g., a summary of the results of any requests for rezoning and/or the
procedures for obtaining special or conditional use permits on land in
similar zoning classifications and the time required for such rezoning,
or preliminary indications of acceptability from zoning bodies, etc.).

Note: You should be aware that under certain circumstances the
Fair Housing Act requires localities to make reasonable
accommodations to their zoning ordinances or regulations to offer
persons with disabilities an opportunity to live in an area of their
choice. If you are relying upon a theory of reasonable accommodation
to satisfy the zoning requirement,then you must clearly articulate
the basis for your reasonable accommodation theory.

(iv) Evidence of compliance with the URA requirement that the
seller has been provided, in writing, with the required information
regarding a voluntary, arm's length purchase transaction (i.e., (1)
applicant does not have the power of eminent domain and, therefore,
will not acquire the property if negotiations fail to result in an
amicable agreement, and (2) of the estimate of the fair market value of
the property).

(v) Narrative describing topographical and demographic aspects of
the site, the suitability of the site and area (as well as a
description of the characteristics of the neighborhood), how use of the
site will promote greater housing opportunities for minority persons
with disabilities, and how use of the site will affirmatively further
fair housing.

Note: You can best demonstrate your commitment to affirmatively
furthering fair housing by describing how your proposed activities
will assist the jurisdiction in overcoming impediments to fair
housing choice identified in the applicable jurisdiction's Analysis
of Impediments (AI) to Fair Housing Choice, which is a component of
the jurisdiction's Consolidated Plan or any other planning document
that addresses fair housing issues. The applicable Consolidated Plan
and AI may be the community's, the county's, or the state's, to
which input should have been provided by local community
organizations, agencies in the community and residents of the
community. Alternatively, a document that addresses fair housing
issues and remedies to barriers to fair housing in the community
that was previously prepared by a local planning, or similar
organization, may be used. Applicable impediments could include a
lack of units that are accessible to persons with disabilities, a
lack of transportation services or other assistance that would serve
persons with disabilities, or the need for improved quality and
services for all persons with disabilities.

(vi) A map showing the location of the site, the racial composition
of the neighborhood, and any areas of racial concentration.

Note: For this competition, when determining the racial and
ethnic composition of the neighborhood surrounding the proposed
site, use data from the 2000 Census of Population. Data from the
2000 Census may be found at www.factfinder.census.gov/servlet/BasicFactsServlet.

(vii) A Phase I Environmental Site Assessment (ESA), in accordance
with the ASTM Standards E 1527-00, as amended, must be completed and
submitted with the application. In order for the Phase I ESA to be
acceptable, it must have been completed or updated no earlier than six
months prior to the application submission date. Therefore, it is
important to start the site assessment process as soon after the
publication of the NOFA as possible. If the Phase I ESA indicates
possible presence of contamination and/or hazards, you must decide
whether to continue with this site or choose another site. Should you
choose another site, the same Phase I ESA process identified above must
be followed for the new site. If the property is to be acquired from
the FDIC/RTC, include a copy of the FDIC/RTC prepared Transaction
Screen Checklist or Phase I ESA and applicable documentation, per the
FDIC/RTC Environmental Guidelines. If you choose to continue with the
original site on which the Phase I ESA indicated contamination or
hazards, you must undertake a detailed Phase II ESA by an appropriate
professional. If the Phase II Assessment reveals site contamination,
your must submit the extent of the contamination and a plan for clean-
up of the site including a contract for remediation of the problem(s)
and an approval letter from the applicable federal, state and/or local
agency with jurisdiction over the site to the local HUD office. The
Phase II and any necessary plans for clean-up do not have to be
submitted with the application but must be received in the local HUD
office by June 23, 2005. If it is not received by that date, the site
will be rejected and the application will be placed in Category B for
selection purposes.

Note: You must pay for the cost of any clean-up or remediation
which can be very expensive. [See Note at Section III.C.2.ciii.]

(viii) If you submit an application with evidence of site control,
you must submit one of the following:
(A) If there is no pre-1978 structure on the site, a statement to
this effect, or
(B) If there is a pre-1978 structure on the site, an asbestos
report which is based on a thorough inspection to identify the location
and condition of asbestos throughout any structures. Note: In those
cases where suspect asbestos is found, it would either be assumed to be
asbestos or would require confirmatory testing. If the asbestos report
indicates the presence of asbestos, or the presence of asbestos is
assumed, and if the application is approved, HUD will condition the
approval on an appropriate mix of asbestos abatement and an asbestos
Operations and Maintenance Plan.
(ix) The letter you sent to the State/Tribal Historic Preservation
Officer (SHPO/ THPO) initiating consultation with their office and
requesting their review of your determinations and findings with
respect to the historical significance of your proposed project.
Appendix B to this program section of the SuperNOFA contains a sample
letter that you mayadapt and send to the SHPO/THPO.
(x) The SHPO/THPO response to your letter or a statement that you
have not

[[Page 14241]]

received a response letter from the SHPO/THPO.
(xi) A statement that you are willing to seek a different site if
the preferred site is unapprovable and that site control will be
obtained within six months of notification of fund reservation.
(xii) If an exception to the project size limits is being
requested, describe why the site was selected and demonstrate the
following: (Only for applications for independent living projects and
condominium units [not group homes] with site control)
(A) People with disabilities have indicated their acceptance or
preference to live in housing with as many units/people as proposed for
the project.
(B) The increased number of units/people is warranted by the market
conditions in the area in which the project will be located.
(C) Your project is compatible with other residential development
and the population density of the area in which the project is to be
located.
(D) The increased number of people will not prohibit their
successful integration into the community.
(E) The project is marketable in the community.
(F) The size of the project is consistent with state and/or local
policies governing similar housing for the proposed population.
(G) A statement that you are willing to have your application
processed at the project size limit should HUD not approve the
exception.
(e) Identification of a Site. If you have identified a site, but do
not have it under control, you must submit the following information:

Note: If an application is submitted without evidence of site
control and does not provide a specific street address for the
identified site(s) (e.g., only an indication that the project will
be developed in a particular part of town but a site(s) has not been
chosen) the application will be rejected.

(i) A description of the location of the site, including its street
address, its unit number (if condominium), neighborhood/community
characteristics (to include racial and ethnic data), amenities,
adjacent housing and/or facilities, how the site will promote greater
housing opportunities for minority persons with disabilities and
affirmatively further fair housing. You can best demonstrate your
commitment to affirmatively furthering fair housing by describing how
your proposed activities will assist the jurisdiction in overcoming
impediments to fair housing choice identified in the community's AI or
any other planning document that addresses fair housing issues.
Examples of the applicable impediments include the need for improved
housing quality and services for minority persons with disabilities and
the need for quality services for persons with disabilities within the
type and quality of similar services and housing in minority areas.
(ii) A description of the activities undertaken to identify the
site, as well as what actions must be taken to obtain control of the
site, if approved for funding.
(iii) An indication as to whether the site is properly zoned. If it
is not, an indication of the actions necessary for proper zoning and
whether these can be accomplished within six months of fund reservation
award, if approved for funding.
(iv) A status of the sale of the site.
(v) An indication as to whether the site would involve relocation.
(2) Exhibit 5--Supportive Services Plan

Note: Your supportive services plan and the Supportive Services
Certification (Exhibit 8(k)) must be sent to the appropriate state
or local agency (identified by the local HUD office) far enough in
advance of the application deadline date so that the agency can
review the plan, complete the certification and return both to you
for inclusion in your application to HUD.

(a) A detailed description of whether the housing is expected to
serve persons with physical disabilities, developmental disabilities,
or chronic mental illness or any combination of the three. Include how
and from whom/where persons will be referred and admitted for occupancy
in the project. You may, with the approval of the Secretary, restrict
occupancy within housing developed under the SuperNOFA to a subcategory
of one of the three main categories of disability noted above (e.g.,
AIDS is a subcategory of physical disability). However, the Owner must
permit occupancy by any qualified person with a disability that
qualifies under the applicable main category of disability.
(b) If requesting approval to restrict occupancy, also submit the
following:
(i) A description of the population of persons with disabilities to
which occupancy will be limited.
(ii) An explanation of why it is necessary to restrict occupancy of
the proposed project(s) to the population described in (i) above,
including the following:
(A) An explanation of how restricting occupancy to a subcategory of
persons with disabilities promotes the goals of the Section 811
program.
(B) An explanation of why the housing and/or service needs of this
population cannot be met in a more integrated setting.
(iii) A description of your experience in providing housing and/or
supportive services to proposed occupants.
(iv) A description of how you will ensure that occupants of the
proposed project will be integrated into the neighborhood and
community.
(c) A detailed description of the supportive service needs of the
persons with disabilities that the housing is expected to serve.
(d) A list of community service providers, (including consumer-
controlled providers), including letters of intent to provide services
to proposed residents from as many potential providers as possible.
(e) The evidence of each service provider's capability and
experience in providing such supportive services (even if you will be
the service provider).
(f) Identification of the extent of state and/or local agency
involvement in the project (i.e., funding for the provision of
supportive services, referral of residents, or licensing the project).
If there will be any state or local agency involvement, a description
of the state/local agency's philosophy/policy concerning housing for
the population to be served and a demonstration that your application
is consistent with state and/or local agency plans and policies
governing the development and operation of housing for persons with
disabilities.
(g) If you will be making any supportive services available to the
residents or will be coordinating the availability of any supportive
services, a letter providing:
(i) A description of the supportive services that you will make
available to the residents or, if you will be coordinating the
availability of any supportive services, a description of the
supportive service(s) and how the coordination will be implemented;
(ii) An assurance that any supportive services that you will make
available to the residents will be based on their individual needs; and
(iii) A commitment to make the supportive services available or
coordinate their availability for the life of the project.
(h) A description of how the residents will be afforded
opportunities for employment.
(i) An indication as to whether the project will include a unit for
a resident manager.
(j) A statement that you will not condition admission or occupancy
on the resident's acceptance of any supportive services.

[[Page 14242]]

d. Part IV--General Application Requirements, Certifications and
Resolutions

(1) Exhibit 6: Other Applications
(a) A list of the applications, if any, you are submitting to any
other local HUD office in response to the FY 2005 Section 202 or
Section 811 NOFA. Indicate by local HUD office, the proposed location
by city and state and the number of units requested for each
application.
(b) Include a list of all FY2004 and prior year Section 202 and
Section 811 capital advance projects to which you are a party. Identify
each by project number and local HUD office and include the following
information:
(1) whether the project has initially closed and, if so, when;
(2) if the project was older than 24 months when it initially
closed (specify how old) or if older than 24 months now (specify how
old) and has not initially closed, provide the reasons for the delay in
closing;
(3) whether amendment money was or will be needed for any project
in (2) above; and,
(4) those projects which have not been finally closed.
(2) Exhibit 7: A statement that: (applicable to applications with
site control only)
(a) identifies all persons (families, individuals, businesses and
nonprofit organizations) by race/minority group, and status as owners
or tenants occupying the property on the date of submission of the
application for a capital advance.
(b) indicates the estimated cost of relocation payments and other
services.
(c) identifies the staff organization that will carry out the
relocation activities.
(d) identifies all persons that have moved from the site within the
past 12 months.

[Note: If any of the relocation costs will be funded from
sources other than the section 811 capital advance, you must provide
evidence of a firm commitment of these funds. When evaluating
applications, HUD will consider the total cost of proposals (i.e.,
cost of site acquisition, relocation, construction and other project
costs).]

(3) Exhibit 8: Certifications and Resolutions--With the exception
of Form HUD-424CB and Form HUD-424CBW listed in the General Section of
the SuperNOFA, and OMB Circulars A-87 and A-21, you are required to
submit copies of the following:
(a) Standard Form 424--Application for Federal Assistance,
including a DUNS number, an indication of whether you are delinquent on
any federal debt, and compliance with Executive Order 12372 (a
certification that you have submitted a copy of your application, if
required, to the State agency (Single Point of Contact) for state
review in accordance with Executive Order 12372). A copy of this form
and instructions on how to obtain a DUNS number are contained in the
online application and the General Section of the SuperNOFA.
(b) Standard Form 424 Supplement, Survey on Ensuring Equal
Opportunity for Applicants. Although the information on this form will
not be considered in making funding decisions, it will assist the
federal government in ensuring that all qualified applicants have an
equal opportunity to compete for federal funding. A copy of this form
is contained in the online application and the General Section of the
NOFA.
(c) Standard Form LLL--Disclosure of Lobbying Activities (if
applicable). A disclosure of activities conducted to influence any
federal transactions. A copy of this form is contained in the online
application and the General Section of the SuperNOFA.
(d) Form HUD-2880, Applicant/Recipient Disclosure/Update Report,
including Social Security and Employee Identification Numbers. A
disclosure of assistance from other government sources received in
connection with the project. A copy of this form is contained in the
online application and the General Section of the SuperNOFA.
(e) Form HUD-2991, Certification of Consistency with the
Consolidated Plan (Plan), for the jurisdiction in which the proposed
project will be located. The certification must be made by the unit of
general local government if it is required to have, or has, a complete
Plan. Otherwise, the certification may be made by the state, or by the
unit of general local government if the project will be located within
the jurisdiction of the unit of general local government authorized to
use an abbreviated strategy, and if it is willing to prepare such a
Plan. All certifications must be made by the public official
responsible for submitting the Plan to HUD. The certifications must be
submitted as part of the application by the application submission
deadline date set forth in this program section of the SuperNOFA. The
Plan regulations are published in 24 CFR part 91. A copy of this form
is contained in the online application and the General Section of the
SuperNOFA.
(f) Form HUD-92041, Sponsor's Conflict of Interest Resolution. A
certified Board Resolution that no officer or director of the Sponsor
or Owner has or will have any financial interest in any contract with
the Owner or in any firm or corporation that has or will have a
contract with the Owner, including a current listing of all duly
qualified and sitting officers and directors by title and the beginning
and ending dates of each person's term. Refer to Section IV.B.3. below
for a copy of this Resolution.
(g) Form HUD-92042, Sponsor's Resolution for Commitment to Project.
A certified Board Resolution acknowledging responsibilities of
sponsorship, long-term support of the project(s), your willingness to
assist the Owner to develop, own, manage and provide appropriate
services in connection with the proposed project, and that it reflects
the will of your membership. Also, it shall indicate your willingness
to fund the estimated start-up expenses, the Minimum Capital Investment
(one-half of one-percent of the HUD-approved capital advance, not to
exceed $10,000), and the estimated cost of any amenities or features
(and operating costs related thereto) that would not be covered by the
approved capital advance. Refer to Section IV.B.3.below for a copy of
this Resolution.
(h) Form HUD-2990, Certification of Consistency with the RC/EZ/EC
Strategic Plan. A certification that the project is consistent with the
RC/EZ/EC-IIs strategic plan, is located within the RC/EZ/EC-II, and
serves RC/EZ/EC-II residents. (This certification is not required if
the project site(s) will not be located in an RC/EZ/ECII.) A copy of
the RC/EZ/EC-II Certification form is contained in the online
application and the General Section of the SuperNOFA.
(i) Form HUD-2530, Previous ParticipationCertification. This form
must be submitted for the Sponsor and all of the Officers and Directors
of the Board of the Sponsor, including any Co-Sponsor, if applicable.
This form provides HUD with a certified report of all your previous
participation in HUD multifamily housing projects. The information is
used to determine if you meet the standards established to ensure that
all principal participants in HUD projects will honor their legal,
financial and contractual obligations and are acceptable risks from the
underwriting standpoint of an insurer, lender or governmental agency.
Refer to Section IV.B.3. below for a copy of this form.
(j) Form HUD-92043, Certification for Provision of Supportive
Services. A certification from the appropriate state or local agency
(identified in the application or obtained from the local HUD office),
indicating whether the:
(i) Provision of supportive services is well designed to serve the
needs of

[[Page 14243]]

persons with disabilities the housing is expected to serve;
(ii) The provision of supportive services will enhance independent
living success and promote the dignity of those who will access your
proposed project;
(iii) Supportive services will be available on a consistent, long-
term basis; and
(iv) Proposed housing is consistent with state or local plans and
policies addressing the housing needs of people with disabilities if
the state or local agency will provide funding for the provision of
supportive services, refer residents to the project or license the
project. (The name, address, and telephone number of the appropriate
agency can also be obtained from the appropriate local HUD Office.)
Refer to Section IV.B.3. below for a copy of this form.
(k) Form HUD-96010, Logic Model. In addition to the Project
Development Timeline to be submitted in Exhibit 3(h) above, the
information provided in the Logic Model will be used in rating your
application for Rating Factor 5, Achieving Results and Program
Evaluation. A copy of this form is contained in the online application
and the General Section of the NOFA.
(l) Form HUD-27300, Questionnaire for HUD's Initiative on Removal
of Regulatory Barriers. This form requires you to supply a reference,
URL or brief statement documenting the successful efforts in removing
barriers to affordable housing by the jurisdiction in which your
project will be located. This Questionnaire will be considered in the
rating of your application for Rating Factor 3.j. A copy of this form
is contained in the online application and the General Section of the
NOFA.
3. Required Forms. In addition to the required forms that are found
in the General Section as specified above, the following required forms
(HUD-92016-CA, HUD-92041, HUD-92042, HUD-2530, and HUD-92043) are
specific to the Section 811 program.

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C. Submission Dates and Time. Your application must be submitted
and received electronically by Grants.gov no later than 11:59:59 PM
eastern time on the application submission date, unless a waiver of the
electronic delivery

[[Page 14254]]

process has been approved by HUD. Please refer to the General Section
for instructions on applying for a waiver. If a waiver is granted you
must submit an original and four copies of your application on the
application submission date following the mailing and timely receipt
instructions in the General Section and Appendix A of this NOFA. These
instructions have changed from the 2004 SuperNOFA.
D. Intergovernmental Review. 1. State Review. This funding
opportunity is subject to Executive Order (EO) 12372,
``Intergovernmental Review of Federal Programs.'' You must contact your
State's Single Point of Contact (SPOC) to find out about and comply
with the state's process under EO 12372. The names and addresses of the
SPOCs are listed in the Office of Management and Budget's web site at
http://www.whitehouse.gov/omb/grants/spoc.html. If required by the
state, the submission to the state needs to occur before the Section
811 application due date. It is recommended that you provide the state
with sufficient time to review the application. Therefore, it is
important that you consult with the SPOC for state review time frames
and take that into account when submitting the application.
2. HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have
an agreement to coordinate the administration of the agencies'
respective rental assistance programs. As a result, HUD is required to
notify RHS of applications for housing assistance it receives. This
notification gives RHS the opportunity to comment if it has concerns
about the demand for additional assisted housing and possible harm to
existing projects in the same housing market area. HUD will consider
RHS comments in its review and application selection process.
E. Funding Restrictions: 1. Ineligible Activities. Section 811
funds may not be used for any of the following:
a. Supportive Services
b. Housing that you currently own or lease that has been occupied
by people with disabilities for longer than one year prior to the
application deadline date;
c. Nursing homes, infirmaries and medical facilities;
d. Transitional housing;
e. Mobile homes;
f. Intermediate care facilities;
g. Assisted living facilities;
h. Community centers, with or without special components for use by
persons with disabilities;
i. Sheltered workshops and centers for persons with disabilities;
j. Headquarters for organizations for persons with disabilities;
and
k. Refinancing of Sponsor-owned facilities without rehabilitation.

Note: You may propose to rehabilitate an existing currently-
owned or leased structure (if the structure already serves persons
with disabilities, it cannot have operated as housing for persons
with disabilities for longer than one year prior to the application
deadline date) , however, the refinancing of any federally funded or
assisted project or project insured or guaranteed by a federal
agency is not permissible under this Section 811 NOFA. HUD does not
consider it appropriate to utilize scarce program resources to
refinance projects that have already received some form of
assistance under a federal program or that have been operating as
housing for persons with disabilities for longer than one year prior
to the application deadline date. (For example, Section 202, Section
202/8 or Section 202/PAC direct loan projects cannot be refinanced
with capital advances and project rental assistance.)

2. Application Limits (Units/Projects). A Sponsor or Co-Sponsor may
not apply for more than 70 units of housing or 4 projects (whichever is
less) for persons with disabilities in a single Hub or more than 10
percent of the total units allocated to all local HUD offices.
Affiliated entities (organizations that are branches or offshoots of a
parent organization) that submit separate applications are considered a
single entity for the purpose of these limits. In addition, no single
application may propose more units in a given local HUD office than
allocated for the Section 811 program in that local HUD office. If the
proposed project will be an independent living project, your
application must request at least five units for persons with
disabilities, not necessarily in one structure. If your proposed
project will be a group home, you must request at least two units for
persons with disabilities per group home. If your proposed project will
be a combination of an independent living project and a group home,
your application must request at least the minimum number of units for
each project type (i.e., 5 units for an independent living project and
2 units for a group home).
3. Development Cost Limits.
a. The following development cost limits, adjusted by locality as
described in Section IV.E.3.b. below must be used to determine the
capital advance amount reserved for projects for persons with
disabilities.

Note: The capital advance funds awarded for this project are to
be considered the total amount of funds that the Department will
provide for the development of this project. Amendment funds will
only be provided in exceptional circumstances (e.g., to cover
increased costs for construction delays due to litigation or
unforeseen environmental issues resulting in a change of sites) that
are clearly beyond your control. Otherwise, you are responsible for
any costs over and above the capital advance amount provided by the
Department as well as any costs associated with any excess amenities
and design features.

(1) For independent living projects and dwelling units in
multifamily housing developments, condominium and cooperative housing:
The capital advance amount for the project attributable to dwelling use
(less the incremental development cost and the capitalized operating
costs associated with any excess amenities and design features and
other costs you must pay for) may not exceed:
Non-elevator structures:

$42,980 per family unit without a bedroom;
$49,557 per family unit with one bedroom;
$59,766 per family unit with two bedrooms;
$76,501 per family unit with three bedrooms;
$85,225 per family unit with four bedrooms.
For elevator structures:

$45,232 per family unit without a bedroom;
$51,849 per family unit with one bedroom;
$63,049 per family unit with two bedrooms;
$81,563 per family unit with three bedrooms;
$89,531 per family unit with four bedrooms.
(2) For group homes only (the development cost limits are capped by
type of occupancy and number of person with disabilities):

Type of Disability
------------------------------------------------------------------------
Chronic
Residents Physical/ mental
Developmental illness
------------------------------------------------------------------------
2........................................... $172,303 $166,325
3........................................... 185,287 178,860
4........................................... 198,273 189,995
5........................................... 211,257 201,130
6........................................... 224,228 212,265
------------------------------------------------------------------------

(3) These cost limits reflect those costs reasonable and necessary
to develop a project of modest design that complies with HUD minimum
property standards; the minimum group home requirements of 24 CFR
891.310(a) (if applicable); the accessibility requirements of 24 CFR
891.120(b) and 891.310(b); and the project design and cost standards of
24 CFR 891.120.
b. Increased development cost limits.
(1) HUD may increase the development cost limits set forth above,

[[Page 14255]]

by up to 140 percent in any geographic area where the cost levels
require, and may increase the development cost limits by up to 160
percent on a project-by-project basis. This increase may include
covering additional costs to make dwelling units accessible through
rehabilitation.

Note: In applying the applicable high cost percentage, the local
HUD office may use a percentage that is higher or lower than that
which is assigned to the local HUD office if it is needed to provide
a capital advance amount that is comparable to what it typically
costs to develop a Section 811 project in that area.

(2) If HUD finds that high construction costs in Alaska, Guam, the
Virgin Islands or Hawaii make it infeasible to construct dwellings,
without the sacrifice of sound standards of construction, design, and
livability, within the development cost limits provided in Section
IV.E.3.a.(1) and IV.E.3.b.(1) above, the amount of capital advances may
be increased to compensate for such costs. The increase may not exceed
the limits established under this section (including any high cost area
adjustment) by more than 50 percent.
(3) For group homes only, local HUD offices may approve increases
in the development cost limits in Section IV.E.3.a.(2), above, in areas
where you can provide sufficient documentation that high land costs
limit or prohibit project feasibility. An example of acceptable
documentation is evidence of at least three land sales that have
actually taken place (listed prices for land are not acceptable) within
the last two years in the area where your project is to be built. The
average cost of the documented sales must exceed ten percent of the
development cost limit for your project in order for an increase to be
considered.
4. Commercial Facilities. A commercial facility for the benefit of
the residents may be located and operated in the Section 811 project.
However, the commercial facility cannot be funded with the use of
Section 811 capital advance or PRAC funds. The maximum amount of space
permitted for a commercial facility cannot exceed 10 percent of the
total project cost. An exception to this 10 percent limitation is if
the project involves acquisition or rehabilitation and the additional
space was incorporated in the existing structure at the time the
proposal was submitted to HUD. Commercial facilities are considered
public accommodations under Title III of the Americans with
Disabilities Act of 1990 (ADA), and thus must comply with all the
accessibility requirements of the ADA.
5. Expiration of Section 811 Funds. The Consolidated Appropriations
Act, 2005, requires HUD to obligate all Section 811 funds appropriated
for FY 2005 by September 30, 2008. Under 31 U.S.C. 1551, no funds can
be disbursed from this account after September 30, 2013. Under Section
811, obligation of funds occurs for both capital advances and project
rental assistance upon fund reservation and acceptance. If all funds
are not disbursed by HUD and expended by the project Owner by September
30, 2013, the funds, even though obligated, will expire and no further
disbursements can be made from this account. In submitting an
application, you need to carefully consider whether your proposed
project can be completed through final capital advance closing no later
than September 30, 2013. Furthermore, all unexpended balances,
including any remaining balance on PRAC contracts, will be cancelled as
of October 1, 2013. Amounts needed to maintain PRAC payments for any
remaining term on the affected contracts beyond that date will have to
be funded from other current appropriations.
F. Other Submission Requirements:
Address for Submitting Applications. Applications must be submitted
electronically through the www.Grants.gov web site, unless the
applicant receives a waiver from the electronic submission requirement.
See the General Section, Application Submission and Receipt Procedures,
for information on applying online and requesting a waiver from the
electronic application requirement. If you apply for and receive a
waiver from the electronic application requirement, you must submit an
original and four copies of your completed application to the Director
of the appropriate local HUD office listed in Appendix A below. Note:
Do not use the listing in Attachment B to the General Section of the
SuperNOFA.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant
Organizational Staff (30 Points)

This factor addresses the extent to which you have the
organizational resources to successfully implement the proposed
activities in a timely manner. Submit information responding to this
factor in accordance with Application Submission Requirements in
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. of this program
section of the SuperNOFA. In rating this factor, HUD will consider the
extent to which your application demonstrates your ability to develop
and operate the proposed housing on a long-term basis, considering the
following:
a. (15 points) The scope, extent, and quality of your experience in
providing housing or related services to those proposed to be served by
the project and the scope of the proposed project (i.e., number of
units, services, relocation costs, development, and operation) in
relationship to your demonstrated development and management capacity
as well as your financial management capability.
b. (10 points) The scope, extent, and quality of your experience in
providing housing or related services to minority persons or families
and your ties to the community at large and to the minority and
disability communities in particular.
(1) (5 points) The scope, extent, and quality of your experience in
providing housing or related services to minority persons or families.
(2) (5 points) The scope, extent, and quality of your ties to the
community at large and to the minority and disability communities in
particular.

[[Page 14256]]

To earn the maximum number of points under subcriteria (b)(1)
above, you must describe both your relationships over time with the
minority community and significant previous experience in providing
housing and/or supportive services to minorities generally and to
minority persons with disabilities, in particular. For the purpose of
this competition, ``significant previous experience'' means that the
previous housing assistance or related services to minorities, i.e.,
the percentage of minorities being provided housing or related services
in your current developments, was equal to or greater than the
percentage of minorities in the jurisdiction where the previous housing
or services occurred. To earn the maximum number of points under
subcriteria (b)(2) above, you should submit materials that demonstrate
your efforts to make housing available to the community at large and
the minority and disable communities in particular. Examples of
documents that may be submitted to earn the maximum number of points
under subcriteria (b)(2), include copies of your affirmative marketing
plan and the advertising/outreach materials you utilize to attract
minority communities (including limited English proficient
communities), disable community and the community at large. Regarding
your advertising/outreach materials, you should identify when
advertising/outreach materials are circulated, whom they are circulated
to, where they are circulated and how they are circulated. Descriptions
of other advertising/outreach efforts to the minority (including
limited English proficient communities) and disable communities and the
dates and places of such advertising/outreach efforts should also be
included.
c. (-3 to -5 points) HUD will deduct (except if the delay was
beyond your control) 3 points if a fund reservation you received under
either the Section 811 program of Supportive Housing for Persons with
Disabilities or the Section 202 program of Supportive Housing for the
Elderly in FY2000 or later has been extended beyond 24 months, 4 points
if beyond 36 points, and 5 points if beyond 48 months. Examples of
delays beyond your control include, but are not limited to, initial
closing delays that are: (1) directly attributable to HUD, (2) directly
attributable to third party opposition, including litigation, and (3)
due to a disaster, as declared by the President of the United States.
d. (-1 point) HUD will deduct 1 point if amendment money was
required as a result of the delay (except if the delay was beyond your
control).
e. (5 points) You have experience in developing integrated housing
and/or the proposed project will be an integrated housing model (e.g.,
condominium units scattered within one or more buildings or non-
contiguous independent living units on scattered sites).

2. Rating Factor 2: Need/Extent of the Problem (13 Points)

This factor addresses the extent to which there is a need for
funding the proposed activities to address a documented problem in the
target area. Submit information responding to this factor in accordance
with Application Submission Requirements in Exhibits 4(a) and 4(b) of
Section IV.B. of this program section of the SuperNOFA. HUD will
consider the following in evaluating this factor:
The extent of the need for the project in the area based on a
determination by the local HUD office. In making this determination,
HUD will consider your evidence of need in the area, as well as other
economic, demographic, and housing market data available to the local
HUD office. The data should include a general assessment of the current
conditions in the market for the type of housing proposed, an estimate
of the demand for additional housing of the type proposed in the
applicable housing market area; as well as, information on the numbers
and types of existing comparable subsidized housing for persons with
disabilities, current occupancy in such housing and recent market
experience, comparable subsidized housing for persons with disabilities
under construction or for which fund reservations have been issued,
and, in accordance with an agreement between HUD and RHS, comments from
RHS on the demand for additional comparable subsidized housing and the
possible harm to existing projects in the same housing market area. The
Department also will review more favorably those applications which
establish a connection between the proposed project and the community's
Analysis of Impediments to Fair Housing Choice (AI) or other planning
document that analyzes fair housing issues and is prepared by a local
planning or similar organization. You must show how the proposed
project will address an impediment to fair housing choice described in
the AI or meet a need identified in the other type of planning
document.
For all Section 811 projects that are determined to have sufficient
demand, HUD will rate your application based on the ratio of the number
of units in the proposed project to the estimate of unmet need for
housing assistance by the income eligible disabled households with
selected housing conditions. Unmet need is defined as the number of
very low-income disabled one-person renter households age 18 and older
with housing conditions problems, as of the 2000 Census minus the
number of project-based subsidized rental housing units (HUD, RHS, or
LIHTC) that are affordable to very low-income disabled provided in the
area since 1999. Units to be occupied by resident managers are not
counted. After HUD determines the estimate of unmet need and whether a
connection has been made between the project and community's
Consolidated Plan, Analysis of Impediments to Fair Housing Choice, or
other planning document, HUD will rate your application as follows:
a. (10 points) The area of the project has an unmet ratio of 15
percent or less; Or (0 points) The area of the proposed has no unmet
needs for housing assistance.
b. (3 points) The extent that a connection has been established
between the project and the community's Consolidated Plan, Analysis of
Impediments to Fair Housing Choice (AI) or other planning document that
analyzes fair housing issues and is prepared by a local planning or
similar organization.

3. Rating Factor 3: Soundness of Approach (40 Points)

This factor addresses the quality and effectiveness of your
proposal, the extent to which you involved persons with disabilities,
including minority persons with disabilities, in the development of the
application and will involve them in the development and operation of
the project, the extent to which you coordinated your application with
other organizations, including local independent living centers, with
which you share common goals and objectives and are working toward
meeting these objectives in a holistic and comprehensive manner,
whether you consulted with Continuum of Care organizations to address
efforts to assist persons with disabilities who are chronically
homeless as defined in the General Section, whether the jurisdiction in
which your project will be located has undertaken successful efforts to
remove regulatory barriers to affordable housing, and whether you will
promote energy efficiency in the design and operation of the proposed
housing. There must be a clear relationship between the proposed

[[Page 14257]]

design, the proposed activities, the community's needs and purposes of
the program funding for your application to receive points for this
factor. Submit information responding to this factor in accordance with
Application Submission Requirements in Exhibits 2(d), 3(f), 3(j), 3(k),
3(l), 4(c)(i), 4(c)(ii), 4(c)(iii), 4(d)(iii), 4(d)(v), 4(d)(vi),
4(e)(i), 5, and 8(l) of Section IV.B. of this NOFA. In evaluating this
factor, HUD will consider the following:
a. (14 points) Site approvability--The proximity or accessibility
of the site to shopping, medical facilities, transportation, places of
worship, recreational facilities, places of employment, and other
necessary services to the intended occupants; adequacy of utilities and
streets, and freedom of the site from adverse environmental conditions
(based on site visit for site control projects only); and compliance
with site and neighborhood standards in 24 CFR 891.125(a), (d), and (e)
and 24 CFR 891.320. Sites where amenities are accessible other than by
project residence or private vehicle will be rated more favorably;
b. (-1 point) One or more of your proposed sites is not
permissively zoned for the intended use.
c. (10 points) The suitability of the site from the standpoints of
promoting a greater choice of housing opportunities for minorities and
persons with disabilities and affirmatively furthering fair housing. In
reviewing this criterion, HUD will assess whether the site meets the
site and neighborhood standards at 24 CFR 891.125(b) and (c) by
examining relevant data in your application or in the local HUD office.
If appropriate, HUD may visit the site.
(1) The site will be deemed acceptable if it increases housing
choice and opportunity by expanding housing opportunities in non-
minority neighborhoods (if located in such a neighborhood). The term
``non-minority area'' is defined as one in which the minority
population is lower than 10 percent; or contributing to the
revitalization of and reinvestment in minority neighborhoods, including
improvement of the level, quality and affordability of services
furnished to minority persons with disabilities. You should refer to
the Site and Neighborhood Standards provisions of the regulations
governing the Section 811 Supportive Housing Program (24 CFR 891.125(b)
and (c)) when considering sites for your projects.
(2) For the purpose of this competition, the term ``minority
neighborhood (area of minority concentration)'' is defined as one where
any one of the following statistical conditions exists:
(a) The percentage of persons of a particular racial or ethnic
minority is at least 20 points higher than the minority's or
combination of minorities' percentage in that housing market as a
whole;
(b) The neighborhood's total percentage of minority persons is at
least 20 points higher than the total percentage of minorities for the
housing market area as a whole; or
(c) In the case of a metropolitan area, the neighborhood's total
percentage of minority persons exceeds 50 percent of its population.
d. (2 points) The extent to which the proposed design of the
project (exterior and interior) and its placement in the neighborhood
will meet the individual needs of the residents and will facilitate
their integration into the surrounding community and promote their
ability to live as independently as possible.
e. (1 point) The extent to which the proposed design incorporates
visitability standards and universal design in the construction or
rehabilitation of the project. Refer to the General Section of the
SuperNOFA for further information.
f. (4 points) Your board is comprised of persons with disabilities.
g. (3 points) You involved persons with disabilities (including
minority persons with disabilities) in the development of the
application, and will involve persons with disabilities (including
minority persons with disabilities) in the development and operation of
the project.
h. (2 points) The extent to which you coordinated your application
with other organizations (including local independent living centers; a
list of such can be obtained from the local HUD office) that will not
be directly participating in your project, but with which you share
common goals and objectives and are working toward meeting these goals
and objectives in a holistic and comprehensive manner.
i. (1 point) You consulted with the Continuum of Care organizations
in the community in which your proposed project will be located and
have developed ways in which the proposed project will assist persons
with disabilities who have been experiencing chronic homelessness
become more productive members of society. Refer to the General Section
of the SuperNOFA for further information.
j. (2 points) The extent to which the jurisdiction in which your
project will be located has undertaken successful efforts to remove
regulatory barriers to affordable housing. (NOTE: To receive up to 2
points, the applicant must have submitted the optional Form HUD-27300,
Questionnaire for HUD's Initiative on Removal of Regulatory Barriers,
AND provided URL references or submitted the required documentary
evidence.)
k. (1 point) The extent to which you will promote energy efficiency
in the design and operation of the proposed housing. Refer to Section
III.C.3.k. of this program NOFA.

4. Rating Factor 4: Leveraging Resources (5 Points)

This factor addresses your ability to secure other funding sources,
including funding sources to develop a mixed-finance project for
additional units over and above the Section 811 units, if proposed, and
community resources that can be combined with HUD's program resources
to achieve program purposes. Submit information responding to this
factor in accordance with Application Submission Requirements in
Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), 4(c)(iii) and 5(f) of Section
IV.B. of this program section of the SuperNOFA.
a. (1 point) The extent of local government support (including
financial assistance, donation of land, provision of services, etc.)
for the project.
b. (2 points) The extent of your activities in the community,
including previous experience in serving the area where the project is
to be located, and your demonstrated ability to enlist volunteers and
raise local funds.
c. (2 points) The extent of your plans to develop a mixed-finance
project for additional units over and above the Section 811 units.
(1) (1 point) The proposed project involves mixed-financing for
additional units in which the non-Section 811 units represent 30
percent or less of the Section 811 units in the project; OR
(2) (2 points) The proposed project involves mixed-financing for
additional units in which the non-Section 811 units represent over 30
percent of the Section 811 units in the project.

Note: If you are proposing a mixed-finance project for
additional units over and above the Section 811 units, your
application may receive a maximum of 2 points under Rating Factor
4(c). Your application will receive either 1 or 2 points under this
Rating Factor, depending upon the number of non-Section 811 units to
be developed in the project. If your project will not involve mixed-
financing for additional units, no points will be assigned for
Rating Factor 4(c).

[[Page 14258]]

5. Rating Factor 5: Achieving Results and Program Evaluation (12
Points)

This factor reflects HUD's goal to embrace high standards of
ethics, management and accountability and, as such, emphasizes HUD's
commitment to ensuring that you keep the promises made in your
application. This factor requires that you clearly identify the
benefits or outcomes of your project and develop an evaluation plan to
measure performance, which includes what you are going to measure, how
you are going to measure it, and the steps you will have in place to
make adjustments to your project development timeline should you not be
able to achieve any of the major milestones. Completion of Exhibit
8(k), Logic Model, will assist you in completing your response to this
rating factor. This rating factor also addresses the extent to which
your project will implement practical solutions that result in
residents achieving independent living, economic empowerment,
educational opportunities and improved living environments. Finally,
this factor addresses the extent to which the long-term viability of
your project will be sustained for the duration of the 40-year capital
advance period. Submit information responding to this factor in
accordance with Application Submission Requirements in Exhibits 3(e),
3(g), 3(h), 3(i), 6(b), and 8(k) of Section IV.B. of this program
section of the SuperNOFA.
a. (5 points) The extent to which your project development timeline
is indicative of your full understanding of the development process and
will, therefore, result in the timely development of your project.
b. (2 points) The extent to which your past performance evidences
that the proposed project will result in the timely development of the
project. Evidence of your past performances could include the
development of previous construction projects, including but not
limited to Section 202 or Section 811 projects.
c. (2 points) The extent to which your project will implement
practical solutions that will result in assisting residents in
achieving independent living, economic empowerment, educational
opportunities, and improved living environments (e.g., activities that
will improve computer access, literacy and employment opportunities).
d. (3 points) The extent to which you demonstrated that your
project will remain viable as housing with the availability of
supportive services for very low income persons with disabilities for
the 40-year capital advance period.
6. Bonus Points (2 bonus points). Location of proposed site in an
RC/EZ/EC-II area, as described in the General Section. Submit the
information responding to the bonus points in accordance with the
Application Submission Requirements in Exhibit 8(i) of Section IV.B. of
this NOFA.
B. Reviews and Selection Process: 1. Review for Curable
Deficiencies. You should ensure that your application is complete
before transmitting it to the following web site: www.grants.gov/Apply
and, in the case of a waiver of the electronic submission requirement,
that you have an original and four copies before submitting it to the
appropriate local HUD office. Upon receipt of the application by HUD
staff, HUD will screen all applications to determine if there are any
curable deficiencies. For applicants receiving a waiver to submit a
paper application, submitting fewer than the required original and four
copies of the application is not a curable deficiency and will cause
your application to be considered non-responsive to the NOFA and
returned to you. A curable deficiency is a missing Exhibit or portion
of an Exhibit that will not affect the rating of the application. Refer
to the General Section for additional information regarding procedures
for corrections to deficient applications. The following is a list of
the only deficiencies that will be considered curable in a Section 811
application:

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[GRAPHIC] [TIFF OMITTED] TN21MR05.303

The local HUD office will notify you in writing if your application
is missing any of the above exhibits or portions of exhibits and will
provide you with a specified deadline to submit the information
required to cure the noted deficiencies. The items identified by an
asterisk (*) must be dated on or before the application submission
date. If an Exhibit or portion of an Exhibit listed above as curable is
not discovered as missing until technical processing, HUD will provide
you with a deadline to cure the deficiency.
2. Rating. HUD will review and rate your application in accordance
with the Reviews and Selection Process in the General Section of the
SuperNOFA except as described in 3. Appeal Process below. Your
application will be either rated or technically rejected at the end of
technical review. If your application meets all program eligibility
requirements after completion of technical review, including HUD
approval of you, the Section 811 applicant, based on HUD's evaluation
of the applicant's previous participation activities as reported on
Form HUD-2530, Previous Participation Certification, it will be rated
according to the rating factors in Section V.A. above.
3. Appeal Process. HUD will not reject your application based on
technical review without notifying you of the rejection with all the
reasons for rejection and providing you an opportunity to appeal. You
will have 14 calendar days from the date of HUD's written notice to
appeal a technical rejection to the local HUD office. In HUD's review
of any appeal, it should be noted that in conformance with its
regulations at 24 CFR part 4, subpart B, HUD will not consider any
unsolicited information that you, the applicant, may want to provide.
The local HUD office will make a determination on any appeals before
making its selection recommendations.
4. Ranking and Selection Procedures. Applications that have a total
base score of 75 points or more (without the addition of RC/EC/EZ-II
bonus points) and meet all of the applicable threshold requirements in
the General Section of the SuperNOFA and this program NOFA will be
eligible for selection and will be placed in rank order in two
categories; Category A and Category B. Category A will consist of
approvable applications that contain acceptable evidence of control of
all proposed sites and all proposed sites have been found approvable.
Category B will consist of

[[Page 14260]]

the following approvable applications: (a) Those that were submitted
with identified sites; (b) those that were submitted with evidence of
site control where the evidence and/or any of the proposed sites were
found unapprovable provided you indicate your willingness to locate
another site(s) should the proposed site(s) be found unapprovable; and
(c) those that were submitted with a combination of sites under control
and identified sites. Each HUD Multifamily Program Center will select
applications, after adding any bonus points for RC/EC/EZ-II, based on
rank order, from Category A first that most closely approximates the
capital advance authority available in its allocation. If capital
advance authority remains after selecting all approvable applications
from Category A, each HUD Multifamily Program Center shall then select
applications, in rank order, from Category B that most closely
approximates the capital advance authority remaining in its allocation.
HUD Multifamily Program Centers will not skip over any applications in
order to select one based on the funds remaining. After making the
initial selections from the applicable category, however, HUD
Multifamily Program Centers may use any residual funds to select the
next rank-ordered application in that category by reducing the number
of units by no more than 10 percent, rounded to the nearest whole
number, provided the reduction will not render the project infeasible.
For this purpose, however, HUD will not reduce the number of units in
projects of five units or less.
After the HUD Multifamily Program Centers have funded all possible
projects based on the process above, residual funds from all HUD
Multifamily Program Centers within each Multifamily Hub will be
combined. First, these funds will be used to restore units to projects
reduced by HUD Multifamily Program Centers based on the above
instructions. Second, additional approvable applications within each
Multifamily Hub will be selected in rank order, first from Category A,
and if sufficient funds remain, from Category B, with only one
application selected per HUD Multifamily Program Center. More than one
application may be selected per HUD Multifamily Program Center if there
are no approvable applications in other HUD Multifamily Program Centers
within the Multifamily Hub. This process will continue until there are
no more approvable applications within the Multifamily Hub that can be
selected with the remaining funds. Applications may not be skipped over
to select one based on funds remaining. However, the Multifamily Hub
may use any remaining residual funds to select the next rank-ordered
application in the applicable category by reducing the number of units
by no more than 10 percent rounded to the nearest whole number,
provided the reduction will not render the project infeasible or result
in the project being less than 5 units.
Funds remaining after the Multifamily Hub selection process is
completed will be returned to Headquarters. HUD Headquarters will use
these residual funds first to restore units to projects reduced by HUD
Multifamily Program Center or Multifamily Hub as a result of the
instructions for using their residual funds. Second, HUD Headquarters
will use these funds for selecting applications based on HUD Program
Centers' rankings, beginning with the highest rated application
nationwide in Category A. Only one application will be selected per HUD
Multifamily Program Center in Category A from the national residual
amount, excluding the Columbia Multifamily Program Center, already
funded. If there are no approvable applications in Category A in other
HUD Multifamily Program Centers, then the next highest rated
application in Category B in another HUD Multifamily Program Center
will be selected, excluding the Columbia Multifamily Program Center,
already funded. This process will begin again with the selection of the
next highest rated application in Category A nationwide. Once each HUD
Multifamily Program Center that has approvable applications in Category
A receives another selection then the next highest rated application in
Category B will be selected. This process will continue until all
approvable applications are selected using the available remaining
funds. Headquarters may skip over a higher rated application in order
to use as much of the available remaining funds as possible.
5. HUD Error. In the event HUD commits an error that, when
corrected, would have resulted in the selection of an otherwise
eligible applicant during the funding round of the SuperNOFA, HUD may
select that applicant when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

1. Agreement Letter. If you are selected to receive a Section 811
fund reservation, you will receive an Agreement Letter that stipulates
the terms and conditions for the Section 811 fund reservation award as
well as the submission requirements following the fund reservation
award. The duration of the fund reservation award for the capital
advance is 18 months from the date of issuance of the fund reservation.
Immediately upon your acceptance of the Agreement Letter, you are
expected to begin work towards the submission of a Firm Commitment
Application, which is the next application submission stage. You are
required to submit a Firm Commitment Application to the local HUD
office within 180 days from the date of the Agreement Letter. Initial
closing of the capital advance and start of construction of the project
are expected to be accomplished within the duration of the fund
reservation award. Final closing of the capital advance is expected to
occur no later than six months after completion of project
construction.
2. Non-selection Letter. If your application is approvable but
unfunded due to insufficient funds or receives a rating that is below
the minimum threshold score established for funding eligibility, you
will receive a letter to this effect.
3. Debriefing. Refer to the General Section for further information
regarding debriefings except that the request must be made to the
Director of Multifamily Housing in the appropriate local HUD office.

B. Administrative and National Policy Requirements

1. Ensuring the Participation of Small Businesses, Small
Disadvantaged Businesses, and Women-Owned Businesses. Although the
Section 811 program is not subject to the provisions of 24 CFR 85.36(e)
as described in the corresponding paragraph in the General Section of
the SuperNOFA, you are required to comply with Executive Order 12432,
Minority Business Enterprise Development and Executive Order 11625,
Prescribing Additional Arrangements for Developing and Coordinating a
National Program for Minority Business Enterprise as they relate to the
encouragement of HUD grantees to utilize minority business enterprises.
2. Acquisition and Relocation. You must comply with the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended (49 CFR part 24 and 24 CFR part 891.155(e)) (URA),
which covers the acquisition of sites, with or without existing
structures, and with 24 CFR 8.4(b)(5) of the Section 504 regulations
which prohibits discrimination based on disability in determining the
site or location of a federally-assisted facility. However, you are
exempt from

[[Page 14261]]

complying with the site acquisition requirements of the URA if you do
not have the power of eminent domain and prior to entering into a
contract of sale, option to purchase or any other method of obtaining
site control, you inform the seller of the land in writing: (1) That
you do not have the power of eminent domain and, therefore, you will
not acquire the property if negotiations fail to result in an amicable
agreement, and (2) of the estimate of the fair market value of the
property. An appraisal is not required to meet this requirement;
however, your files must include an explanation, (with reasonable
evidence) of the basis for the estimate. Evidence of compliance with
this advance notice requirement must be included in Exhibit 4(d)(iv) of
your application.
3. Flood Disaster Protection Act of 1973 and Coastal Barriers
Resources Act. You must comply with the requirements under the Flood
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal
Barrier Resources Act (16 U.S.C. 3601).

C. Reporting

1. The Program Outcome Logic Model (Form HUD-96010) must be
completed indicating the results achieved against the proposed output
goal(s) and proposed outcome(s) which you stated in your approved
application and agreed upon by HUD.
2. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner
of the Section 811 project to submit an annual financial statement for
the project. This financial statement must be audited by an Independent
Public Accountant who is a Certified Public Accountant or other person
accepted by HUD and filed electronically with HUD's Real Estate
Assessment Center (REAC) through the Financial Assessment Subsystem for
Multifamily Housing (MF-FASS). The submission of annual financial
statements is required throughout the 40-year term of the mortgage.
3. HUD requires that funded recipients collect racial and ethnic
beneficiary data. It has adopted the Office of Management and Budget's
Standards for the Collection of Racial and Ethnic Data. In view of
these requirements, you should use Form HUD-27061, Racial and Ethnic
Data Reporting Form (and instructions for its use), found at:
www.hudclips.org, a comparable program form, or a comparable electronic
data system for this purpose.

VII. Agency Contact(s)

For Technical Assistance. For technical assistance in downloading
an application package from http://www.grants.gov/Apply, contact the
Grants.gov help desk at 800-518-Grants or by sending an email to
[email protected]. For programmatic information, you may contact the
appropriate local HUD office, or Frank Tolliver at HUD Headquarters at
(202) 708-3000 (this is not a toll-free number), or access the Internet
at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm. Persons with
hearing and speech impairments may access the above number via TTY by
calling the toll-free Federal Relay Service at 800-877-8339.

VIII. Other Information

A. Field Office Workshop. HUD encourages minority organizations and
grassroots organizations (e.g., civic organizations, faith-communities
and grassroots faith-based and other community-based organizations) to
participate in this program and strongly recommends prospective
applicants attend the local HUD office workshop. At the workshops, HUD
will explain application procedures and requirements, as well as
address concerns such as local market conditions, building codes and
accessibility requirements, contamination identification and
remediation, historic preservation, floodplain management, other
environmental requirements, displacement and relocation, zoning, and
housing costs. If you are interested in attending the workshop, make
sure that your name, address and telephone number are on the
appropriate local HUD office's mailing list so that you will be
informed of the date, time and place of the workshop. Persons with
disabilities should call the appropriate local HUD office to assure
that any necessary arrangements can be made to enable their attendance
and participation in the workshop.
If you cannot attend the workshop, call the appropriate local HUD
office if you have any questions regarding the submission of
applications to that particular office and to request any materials
distributed at the workshop.
B. Satellite Broadcast. HUD will hold an information broadcast via
satellite for potential applicants to learn more about the program and
preparation of the application. It is strongly recommended that
potential applicants, especially those who may be applying for Section
811 funding for the first time, tune in to this broadcast, if at all
possible. Copies of the broadcast tapes are also available from the
NOFA Information Center. For more information about the date and time
of the broadcast, you should consult the HUD web site at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
C. Related Programs. Section 811 funding for tenant-based
assistance is administered by public housing agencies and nonprofit
organizations through the Mainstream Housing Opportunities for Persons
with Disabilities Program.
D. Paperwork Reduction Act. The information collection requirements
contained in this document have been approved by the Office of
Management and Budget (OMB) under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501-3520) and assigned OMB control number 2502-0462. In
accordance with the Paperwork Reduction Act, HUD may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless the collection displays a currently valid OMB
number. Public reporting burden for the collection of information is
estimated to average 35.92 hours per annum per respondent for the
application and grant administration. This includes the time for
collecting, reviewing, and reporting the data for the application,
semi-annual reports and final report. The information will be used for
grantee selection and monitoring the administration of funds. Response
to this request for information is required in order to receive the
benefits derived.

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[[Page 14273]]

Continuum of Care Homeless Assistance Programs

Overview Information

A. Federal Agency Name: Department of Housing and Urban
Development, Office of Community Planning and Development.
B. Funding Opportunity Title: Funding Availability for Continuum of
Care (CoC) Homeless Assistance Programs.
C. Announcement Type: Initial Announcement.
D. Funding Opportunity Number: The Federal Register number is FR-
4950-N-15. The OMB Approval number is pending.
E. Catalog of Federal Domestic Assistance (CFDA) Numbers:
1. 14.235, Supportive Housing Program (SHP)
2. 14.238, Shelter Plus Care (S+C) and
3. 14.249, Section 8 Moderate Rehabilitation Single Room Occupancy
(SRO).
F. Dates: Application Submission Date: Applications should be
submitted no later than June 10, 2005. Please see the General Section
for detailed instructions and Section IV of this NOFA for application
submission and timely receipt requirements.
G. Additional Overview Content Information:
1. Purpose of the Programs: The purpose of the CoC Homeless
Assistance Programs is to assist homeless persons to move to self-
sufficiency and permanent housing.
2. Available Funds: Approximately $1 billion is available for
funding.
3. Eligible Applicants: The program summary chart in Section
III.A.3 identifies the eligible applicants for each of the three
programs under the CoC Homeless Assistance Programs.
4. Match: Matching funds are required from local, state, federal or
private resources.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

1. Overview
a. The purpose of the CoC Homeless Assistance Programs is to reduce
the incidence of homelessness in CoC communities by assisting homeless
individuals and families to move to self-sufficiency and permanent
housing. Projects that sustain current successful interventions and
fill gaps in locally developed CoC systems will be funded. To help meet
the Administration's goal of ending chronic homelessness, priority will
be placed on programs that target the supportive housing needs of
chronically homeless persons.
2. The authorizing legislation and implementing regulations for all
programs covered by this NOFA are outlined on the chart in Section
III.A.3. HUD published a proposed rule updating the Supportive Housing
Program at 69 FR 43488 on July 20, 2004 and is currently considering
the public comments received. HUD expects to publish a final rule based
on the proposed rule and comments in 2005. If a final rule is published
before announcement of awards under this NOFA, the new final rule will
apply to those awards.
3. Changes for 2005. These changes include, but are not limited to,
the following:
A. CoC Hold Harmless Amount. This is the total of the one-year
amount of all SHP projects eligible for renewal. CoC's shall receive
the higher of: (1) the preliminary pro rata need (PRN) or (2) the CoC
hold harmless amount. In the past, HUD awarded a renewal adjustment
when the amount needed to fund all eligible renewals for one year
exceeded the preliminary pro rata need. An unintended consequence of
this policy resulted in CoCs having to request renewal of projects that
in their judgment did not best reflect the current needs of the
community. CoCs receiving the CoC hold harmless amount will now have
the opportunity to reallocate their PRN funds in order to create new
permanent supportive housing projects. This will provide them with the
same flexibility that CoCs without excessive SHP renewals have. See
Section V.A.2.b of this program section for this significant change.
b. Samaritan Housing Initiative. The Samaritan Initiative (formerly
known as the Permanent Housing Bonus) will be integrated into this NOFA
as part of the larger CoC process and is only for projects serving
exclusively chronically homeless persons. It is 15 percent of a CoC's
preliminary PRN amount or $6 million, whichever is less. Applicants may
use no more than 20 percent of this bonus for case management costs.
See Section V.A.2.b(3) for additional information on this subject.
c. Grant Terms. The grant terms for all newly proposed SHP projects
are two (2) or three (3) years. See Section II.A.3 for additional
information on this subject.
d. Participant Eligibility for Permanent Housing. The only persons
who may be served by permanent housing projects (both new and renewal)
are those who come from the streets, emergency shelters, or
transitional housing. People who are currently housed but may become
homeless within seven days, remain eligible for transitional housing
and emergency shelters. Please see Section III.C.2.a(3) and the
Questions and Answers Supplement for further information.
e. Pro Rata Need. Any project not falling fully within the 40 need
point range will receive 10 need points. Please see Section V.A.2.b(4)
for more information.
f. Fair Market Rent (FMR) Updates. HUD will select projects using
the FMRs in place at the time of application. HUD will then apply the
FMRs in place at the time of award. See V.A.2.b(3) for more
information.
g. Conducting Business In Accordance with Core Values and Ethical
Standards. All applicants will be required, prior to entering into an
agreement with HUD, to submit a copy of their Code of Conduct. Refer to
the General Section for detailed instructions regarding this
requirement.
h. Form HUD 96010, Logic Model. Applicants must submit a Logic
Model for each project, new and renewal. Refer to the General Section
for instructions and a copy of this form.
i. CoC Planning Process Organizations. A description of the ``level
of participation'' has been included for the list of organizations
involved in your CoC planning efforts. See Exhibit 1, Form HUD-40076
CoC-B.
j. The Discharge Planning Policy narrative has been replaced with a
chart. See Exhibit 1, Form HUD-40076 CoC-D.
k. The Service Activity Chart has been streamlined to reflect an
inventory of supportive services and the agencies providing these
services. The description of planned services and how participants
access/receive assistance is no longer required. See Exhibit 1, Form
HUD-40076 CoC-F.
l. The Housing Gaps Analysis Chart has been eliminated. That
information is now reported in the Housing Activity Charts, which have
been substantially revised. See Exhibit 1, Form HUD-40076 CoC-G.
m. Participation in Energy Star. Form HUD-40076 CoC-H has been
changed to capture CoCs' efforts to promote energy efficiency in HUD
assisted programs. See Exhibit 1.
n. The Homeless Management Information System (HMIS) Section has
been revised to capture more information on HMIS implementation
efforts. See Exhibit 1, Form HUD-40076 CoC-J.
o. The Project Priorities Section has been updated to include a
Reallocation Chart and required narrative response.

[[Page 14274]]

See Exhibit 1, Form HUD-40076 CoC-K.
p. The Continuum of Care Use of Other Resources Chart has been
eliminated.
q. Audits. The Reporting Section has been updated to reflect the
requirement for annual audits for those grantees that expend more than
$500,000 in Federal funds. See Section VI.C for additional information
on this subject.
r. Appropriate Discharge Planning and Coordination and Integration
of Mainstream Programs are still required, but the Special Project
Certifications have been eliminated.
s. The ``Housing Emphasis'' scoring has been increased from 10 to
12 points. See Section V.A.2.a.(5) for additional information on this
subject.
t. The ``Performance Measurement'' scoring has been increased from
5 to 8 points. See Section V.A.2.a.(6) for additional information on
this subject.
u. The ``Leveraging Supplemental Resources'' scoring has been
reduced from 13 to 8 points. See Section V.A.2.a.(4) for additional
information on this subject.
v. The ``Questions and Answers Supplement'' should be thoroughly
reviewed and is now available on the web at www.hud.gov/offices/adm/grants/fundsavail.cfm. Please see Section IV.A.
4. Developing and Coordinating CoC Systems: Developing a CoC system
should be an inclusive process that brings together participants from
the state, local, private and nonprofit sectors to assist homeless
persons. It should be coordinated and consistent with the community's
larger effort of developing a HUD required Consolidated Plan. The
Consolidated Plan serves as the vehicle for a community to
comprehensively identify each of its needs and to coordinate a plan of
action for addressing them. State and local 10-year plans to end
chronic homelessness must be aligned with (if not identical to) the CoC
plan to end chronic homelessness. For a community to successfully
address the complex and interrelated problems related to homelessness,
the community must marshal its varied resources--community and economic
development resources, social service resources, housing and homeless
assistance resources--and use them in a coordinated and effective
manner.
5. CoC Components. A CoC system consists of five basic components:
a. A system of outreach and assessment for determining the needs
and conditions of an individual or family who is homeless;
b. Emergency shelters with appropriate supportive services to help
ensure that homeless individuals and families receive adequate
emergency shelter and referral to necessary service providers or
housing search counselors;
c. Transitional housing with appropriate supportive services to
help those homeless individuals and families who are not prepared to
make the transition to permanent housing and independent living; and
d. Permanent housing, or permanent supportive housing, to help meet
the long-term needs of homeless individuals and families.
e. Prevention strategies play an integral role in a community's
plan to eliminate homelessness. By law, prevention activities are
ineligible activities in the three programs for which funds are awarded
in this competition but are eligible for funding under the Emergency
Shelter Grants block grant program.
6. CoC Planning Process. A CoC system is developed through a
community-wide or region-wide process involving nonprofit organizations
(including those representing persons with disabilities), government
agencies, public housing authorities, community and faith-based
organizations, other homeless providers, housing developers and service
providers, private businesses and business associations, law
enforcement agencies, private funding providers, and homeless or
formerly homeless persons. A CoC system should address the specific
needs of each homeless subpopulation: those experiencing chronic
homelessness, veterans, persons with serious mental illnesses, persons
with substance abuse issues, persons with HIV/AIDS, persons with co-
occurring diagnoses (may include diagnoses of multiple physical
disabilities or multiple mental disabilities or a combination of these
two types), victims of domestic violence, youth, and any others. To
ensure that the CoC system addresses the needs of homeless veterans, it
is particularly important that you involve veteran service
organizations with specific experience in serving homeless veterans.
7. CoC Funding is provided through the programs briefly described
below. Please refer to the CoC Homeless Assistance Programs Chart in
Section III.A.3 for a more detailed description of each program:
a. The Supportive Housing Program (SHP) provides funding for the
development of transitional and permanent supportive housing and
services that help homeless persons transition from homelessness to
living as independently as possible. Some services are also funded to
assist in achieving the goal of self-sufficiency.
b. The Shelter Plus Care (S+C) Program provides funding for rental
assistance and requires grantees to identify service dollars. This
gives applicants flexibility in devising appropriate housing and
supportive services for homeless persons with disabilities.
c. The Section 8 Moderate Rehabilitation Single Room Occupancy
(SRO) Program provides rental assistance on behalf of homeless
individuals in connection with the moderate rehabilitation of SRO
dwellings.
8. Glossary of Terms: a. Applicant. An entity that applies to HUD
for funds. See the CoC Homeless Assistance Programs Chart in Section
III.A.3 for a list of entities that are eligible. An applicant must
submit a SF-424. If selected for funding, the applicant becomes the
grantee and is responsible for the overall management of the grant,
including drawing grant funds and distributing them to project
sponsors. The applicant is also responsible for supervision of project
sponsor compliance with grant requirements. The applicant may also be a
project sponsor.
b. Applicant Certification. The form, required by law, in which an
applicant certifies that it will adhere to certain statutory
requirements, such as the Civil Rights Act of 1964.
c. Chronically Homeless Person. An unaccompanied homeless
individual with a disabling condition who has either been continuously
homeless for a year or more OR has had at least four (4) episodes of
homelessness in the past three (3) years. A disabling condition is
defined as ``a diagnosable substance use disorder, serious mental
illness, developmental disability, or chronic physical illness or
disability, including the co-occurrence of two or more of these
conditions.'' In defining the chronically homeless, the term
``homeless'' means ``a person sleeping in a place not meant for human
habitation (e.g., living on the streets) or in an emergency homeless
shelter.''
d. Consolidated Plan. A long-term housing and community development
plan developed by state and local governments and approved by HUD. The
Consolidated Plan contains information on homeless populations and
should be coordinated with the CoC plan. It can be a source of
information for the Unmet Need sections of the Housing Activities
Chart. The plan contains both narratives and maps, the latter developed
by localities using software provided by HUD.

[[Page 14275]]

e. Consolidated Plan Certification. The form, required by law, in
which a state or local official certifies that the proposed activities
or projects are consistent with the jurisdiction's Consolidated Plan
and, if the applicant is a state or unit of local government, that the
jurisdiction is following its Consolidated Plan.
f. Continuum of Care. A collaborative funding approach that helps
communities plan for and provide a full range of emergency,
transitional, and permanent housing and service resources to address
the various needs of homeless persons.
g. Current Inventory. A complete listing of the community's
existing beds and supportive services.
h. Homeless Management Information Systems (HMIS). An HMIS is a
computerized data collection application designed to capture client-
level information over time on the characteristics and service needs of
men, women, and children experiencing homelessness, while also
protecting client confidentiality. It is designed to aggregate client-
level data to generate an unduplicated count of clients served within a
community's system of homeless services. An HMIS may also cover a
statewide or regional area, and include several CoCs. The HMIS can
provide data on client characteristics and service utilization.
i. Homeless Person means a person sleeping in a place not meant for
human habitation or in an emergency shelter; and a person in
transitional housing for homeless persons who originally came from the
street or an emergency shelter. For a more detailed discussion, see the
Questions and Answers Supplement available on the web at www.hud.gov/offices/adm/grants/fundsavail.cfm. The programs covered by this NOFA
are not for populations who are at risk of becoming homeless.
j. NOFA. Notice of Funding Availability, published in the Federal
Register to announce available funds and application requirements.
k. Private Nonprofit Status. Private nonprofit status is documented
by submitting either: (1) a copy of the Internal Revenue Service (IRS)
ruling providing tax-exempt status under Section 501(c)(3) of the IRS
Code; or (2) documentation showing that the applicant is a certified
United Way agency; or (3) a certification from a designated official of
the organization that no part of the net earnings of the organization
inures to the benefit of any member, founder, contributor, or
individual; that the organization has a voluntary board; that the
organization practices nondiscrimination in the provision of
assistance; and that the organization has a functioning accounting
system that provides for each of the following (mention each in the
certification):
(1) Accurate, current and complete disclosure of the financial
results of each federally sponsored project.
(2) Records that identify adequately the source and application of
funds for federally sponsored activities.
(3) Effective control over and accountability for all funds,
property and other assets.
(4) Comparison of outlays with budget amounts.
(5) Written procedures to minimize the time elapsing between the
transfer of funds to the recipient from the U.S. Treasury and the use
of the funds for program purposes.
(6) Written procedures for determining the reasonableness,
allocability and allowability of costs.
(7) Accounting records, including cost accounting records, which
are supported by source documentation.
1. Public Nonprofit Status. Public nonprofit status is documented
for community mental health centers by including a letter or other
document from an authorized official stating that the organization is a
public nonprofit organization.
m. Project Sponsor. The organization that is responsible for
carrying out the proposed project activities. A project sponsor does
not submit a SF-424, unless it is also the applicant. To be eligible to
be a project sponsor, you must meet the same program eligibility
standards as applicants do, as outlined in Section III.A.3, except in
the Sponsor-based rental assistance (SRA) component of the S+C Program.
Eligible sponsors for the SRA component are statutorily precluded from
also applying for S+C funding.
n. SF 424. The application cover sheet required to be submitted by
applicants requesting HUD Federal Assistance.
o. Safe Haven. A Safe Haven is a form of supportive housing funded
and administered under the Supportive Housing Program serving hard-to-
reach homeless persons with severe mental illness and other
debilitating behavioral conditions who are on the streets and have been
unwilling or unable to participate in supportive services. Safe Havens
may be transitional supportive housing, or permanent supportive housing
if it has the characteristics of permanent housing and requires
participants to sign a lease.
9. Applicant Roles and Responsibilities. An applicant will be
responsible for the overall management and administration of a
particular grant, including drawing down the grant funds, distributing
them to the project sponsors, overseeing project sponsors, collecting
and disseminating community-level data, and reporting to HUD.
Applicants can submit applications for projects on behalf of project
sponsors, who will actually carry out the proposed project activities.
Applicants can also carry out their own projects. In these cases, the
applicant is responsible for both administering and managing a grant
(as the grantee) and carrying out the project activities (as the
project sponsor).

II. Award Information

A. Amount Allocated. Approximately $1 billion is available for this CoC
competition in FY 2005. Any unobligated funds from previous CoC
competitions or additional funds that may become available as a result
of deobligations or recaptures from previous awards or budget transfers
may be used in addition to FY 2005 appropriations to fund applications
submitted in response to this NOFA. The FY 2005 Consolidated
Appropriations Act requires HUD to obligate all CoC homeless assistance
funds by September 30, 2007. These funds will remain available for
expenditure for five (5) years following that date, except as provided
by the 2005 Consolidated Appropriations Act, including up to $20
million awarded for the Section 8 Moderate Rehabilitation Single Room
Occupancy (SRO) Program to be available until expended. The funds
available for the CoC competition can be used under any of the three
programs that can assist in creating community systems for combating
homelessness.

1. Distribution of Funds: As in previous NOFAs for the CoC Homeless
Assistance Programs, HUD will not specify amounts for each of the three
programs this year. Instead, the distribution of funds among the three
programs will depend largely on locally determined priorities and
overall demand.
a. Permanent Housing Requirement. Local priorities notwithstanding,
the FY 2005 Consolidated Appropriations Act requires that not less than
30 percent of this year's Homeless Assistance Grants (HAG)
appropriation, excluding amounts provided for one-year renewals under
the Shelter Plus Care Program, must be used for permanent housing
projects for all homeless populations.
b. Chronic Homelessness Requirement. The Administration has
established as a policy priority the goal of ending chronic
homelessness. CoCs

[[Page 14276]]

are strongly encouraged to use the funds available in this NOFA to
target persons experiencing chronic homelessness in their communities.
HUD encourages communities to select projects that will contribute to
the achievement of this important goal. CoCs should work closely with
appropriate state and local governments and interagency councils on
homelessness that are establishing their own ten-year plan for
eliminating chronic homelessness. All these efforts should be
coordinated and consistent with the community's HUD Consolidated Plan
as well as the CoC's plan to end chronic homelessness. To work towards
this goal, HUD is targeting the Samaritan Initiative for projects that
exclusively serve individuals who are experiencing chronic
homelessness. In addition, at least 10 percent of the appropriation
will be awarded to new or renewal, transitional or permanent housing
projects where at least 70 percent of the project's clients are
expected to be chronically homeless (as defined by HUD) immediately
prior to entry into the project. Housing projects include: SHP
transitional housing, permanent housing and Safe Havens; S+C; and SRO
projects. Since the housing funding allocation set-aside requirements
are expected to continue in future competitions and may affect project
funding selections, you are strongly encouraged to begin planning for
new housing projects, particularly those serving individuals
experiencing chronic homelessness, and include them as part of your
submission in this competition. See Section V.B.3.a and V.B.3.b of this
NOFA for additional information on the permanent housing and chronic
homeless requirements.
c. Lower-rated SHP Renewals. HUD reserves the authority to
conditionally select for one year of funding lower-rated eligible SHP
renewal projects that are assigned 40 need points in a CoC application
receiving at least 25 points under the CoC scoring factor that would
not otherwise receive funding for these projects. (See Section V.A.2.a
and V.A.2.b of this NOFA for information on project rating and
scoring.) Therefore, the projects must receive a minimum score of 65
points. Although these lower-rated SHP renewal projects will have
scored below the otherwise recognized funding line, their funding
allows homeless persons to continue to be served and move towards self-
sufficiency. Not renewing these projects would likely result in the
closure of these projects and displacement of the homeless people being
served.
2. Prioritizing Projects for Funding. Project priority decisions
are best made by members of the local community, including local
government and community and faith-based organizations, which represent
the various economic, housing and social resources within that
community. For example, if HUD has funds available only to award 8 of
10 proposed projects, then it will award funding to the first 8
eligible projects listed, except as may be necessary to achieve the 30
percent overall permanent housing and the 10 percent chronic
homelessness requirements; see Section V.B.3.a. and V.B.3.b. of this
NOFA for additional information. In such cases, higher priority non-
permanent housing projects may be de-selected to fund lower priority
permanent housing projects and housing projects predominantly serving
those persons experiencing chronic homelessness.
3. Grant Term. See chart in Section III.A.3. of this NOFA for
information on the term of assistance for each of the three CoC
programs covered in this NOFA.

III. Eligibility Information

A. Eligible Applicants

1. Eligible applicants for each program are those identified in the
following chart.
2. Renewal Applicants. As a project applicant, you are eligible to
apply for renewal of a grant only if you have executed a grant
agreement for the project directly with HUD for SHP or S+C programs
under a CoC NOFA. If you are a project sponsor or sub-recipient who has
not signed such an agreement, you are not eligible to apply for renewal
of these projects.

3.--Continuum of Care Homeless Assistance Programs
----------------------------------------------------------------------------------------------------------------
Elements Supportive housing Shelter plus care Section 8 SRO
----------------------------------------------------------------------------------------------------------------
AUTHORIZING LEGISLATION.............. Subtitle C of Title IV Subtitle F of Title IV Section 441 of the
of the McKinney-Vento of the McKinney-Vento McKinney-Vento
Homeless Assistance Homeless Assistance Homeless Assistance
Act, 42 U.S.C. 11381. Act, 42 U.S.C. 11403. Act, 42 U.S.C. 11401.
IMPLEMENTING REGULATIONS............. 24 CFR part 583........ 24 CFR part 582........ 24 CFR part 882,
subpart H, except that
all persons receiving
rental assistance must
meet the McKinney-
Vento definition of
homelessness.
ELIGIBLE APPLICANT(S)................ [sbull] States......... [sbull] States......... [sbull] PHAs
[sbull] Units of [sbull] Units of [sbull] Private
general local general local nonprofit
government. government. organizations.
[sbull] Special purpose [sbull] PHAs...........
units of government,
e.g. PHAs.
[sbull] Private
nonprofit
organizations.
[sbull] Community
Mental Health Centers
that are public
nonprofit
organizations.
ELIGIBLE COMPONENTST................. [sbull] Transitional [sbull] Tenant-based [sbull] SRO housing.
housing. housing.
[sbull] Permanent [sbull] Sponsor-based
housing for disabled housing.
persons only. [sbull] Project-based
[sbull] Supportive housing.
services not in [sbull] SRO-based
conjunction with housing.
supportive housing.
[sbull] Safe Havens....
[sbull] Innovative
supportive housing.
[sbull] Homeless Mngt.
Info. System (HMIS).

[[Page 14277]]

ELIGIBLE ACTIVITIES (See footnotes [sbull] Acquisition.... [sbull] Rental [sbull] Rental
1,2 and 3). [sbull] Rehabilitation. assistance. assistance.
[sbull] New
construction.
[sbull] Leasing........
[sbull] Operating costs
[sbull] Supportive
services.
ELIGIBLE POPULATIONS (See footnote 2) [sbull] Homeless [sbull] Homeless [sbull] Homeless
individuals and disabled individuals. individuals.
families. [sbull] Homeless
disabled individuals &
their families.
POPULATIONS GIVEN SPECIAL [sbull] Homeless [sbull] Homeless [sbull] N/A.
CONSIDERATION. persons with persons who are
disabilities. seriously mentally
[sbull] Homeless ill, Have chronic
families with children. problems with alcohol
and/or drugs, Have
AIDS & related
diseases..
INITIAL TERM OF ASSISTANCE........... 2 or 3 years for new 5 years: TRA, SRA, and 10 years.
SHP 1, 2 or 3 years PRA if no rehab, 10
for new HMIS. years: SRO, and PRA
with rehab.
----------------------------------------------------------------------------------------------------------------
Footnote 1: Homeless prevention activities are statutorily ineligible under these programs.
Footnote 2: Persons at risk of homelessness are statutorily ineligible for assistance under these programs.
Footnote 3: Acquisition, construction, rehabilitation, leasing, and operating costs for emergency shelters are
statutorily ineligible for assistance under Shelter Plus Care and Section 8 SRO.

B. Matching (Cost Sharing)

You must match Supportive Housing Program funds provided for
acquisition, rehabilitation, and new construction with an equal amount
of cash from other sources. Since SHP by statute can pay no more than
75 percent of the total operating budget for supportive housing, you
must provide at least a 25 percent cash match of the total annual
operating costs. In addition, for all SHP funding for supportive
services and Homeless Management Information Systems (HMIS) you must
provide a 25 percent cash match. This means that of the total
supportive services budget line item, no more than 80 percent may be
from SHP grant funds. The cash source may be your agency, other Federal
programs, state and local governments, or private resources.
You must match rental assistance provided through the Shelter Plus
Care Program in the aggregate with supportive services. Shelter Plus
Care requires a dollar for dollar match; the recipient's match source
can be cash or in kind from any of the sources above.
Documentation of the match requirement must be maintained in the
grantee's financial records on a grant-specific basis.

C. Other

1. Eligible Activities. Eligible activities for the SHP, S+C, and
SRO Programs are outlined in the preceding CoC Homeless Assistance
Programs Chart at Section III.A.3.
2. Threshold Requirements. a. Project Eligibility Threshold. HUD
will review projects to determine if they meet the following
eligibility threshold requirements. If HUD determines the following
standards are not met by a specific project or activity, the project or
activity will be rejected from the competition.
(1) Applicants and sponsors must meet the eligibility requirements
of the specific program as described in program regulations and provide
evidence of eligibility and appropriate certifications as specified by
the attachments in Section VIII.
(2) The population to be served must meet the eligibility
requirements of the specific program as described in the program
regulations and the application must clearly establish eligibility of
program participants to be served pertaining to homelessness and
disability status.
(3) New this year, the only persons who may be served by new and
renewal permanent housing projects are those who come from the streets,
emergency shelters, or transitional housing. As participants leave
currently operating projects, participants who meet this new
eligibility standard must replace them.
(4) Projects that involve rehabilitation or new construction must
meet the accessibility requirements of Section 504 of the
Rehabilitation Act of 1973, the design and construction requirements of
the Fair Housing Act and the accessibility requirements of the
Americans with Disabilities Act, as applicable.
(5) The project must be cost-effective, including costs associated
with construction, operations and supportive services with such costs
not deviating substantially from the norm in that locale for the type
of structure or kind of activity.
(6) For those applicants applying for the Innovative component of
SHP, whether or not a project is considered innovative will be
determined on the basis that the particular approach proposed is new
and can be replicated.
(7) S+C renewal applications that are not submitted as part of a
CoC application will not be considered as eligible for funding.
(8) Under the Sponsor-based rental assistance S+C component, an
applicant must subcontract the funding awarded with an eligible
sponsor: a private nonprofit organization or a community mental health
agency established as a public nonprofit organization, that owns or
leases the housing where participants will reside..
(9) For the Section 8 SRO program, only individuals meeting HUD's
definition of homeless are eligible to receive rental assistance.
Therefore, any individual occupying a unit at commencement of the
unit's rehabilitation will not receive rental assistance if they return
to their unit (or any other) upon completion of its rehabilitation.
(10) Applicants agree to participate in a local HMIS system when it
is implemented in their community.
b. Project Quality Threshold. HUD will review projects to determine
if they meet the following quality threshold requirements. A S+C or SHP
project renewal will be considered as having met these requirements
through its previously approved grant application unless information to
the contrary is received. The housing and services proposed must be
appropriate to the needs of the program participants and

[[Page 14278]]

the community. HUD will assess the following:
(1) The type, scale and general location of the housing fit the
needs of the participants and that the housing is readily accessible to
community amenities.
(2) That the vast majority of the proposed participants come from
the streets or homeless shelters or transitional housing for homeless
persons.
(3) The type, scale and location of the supportive services fit the
needs of the participants and the mode of transportation to those
services is described.
(4) The specific plan for ensuring clients will be individually
assisted to obtain the benefits of the mainstream health, social
service, and employment programs for which they are eligible is
provided.
(5) How participants are helped to obtain and remain in permanent
housing is described.
(6) How participants are assisted to both increase their incomes
and live independently is provided.
(7) Applicants and sponsors must evidence satisfactory performance
for existing grant(s).
c. Project Renewal Threshold. Your local needs analysis process
must consider the need to continue funding for projects expiring in
calendar year 2006. HUD will not fund competitive renewals out of order
on the priority list except as may be necessary to achieve the 30
percent overall permanent housing requirement and the 10 percent
requirement for individuals experiencing chronic homelessness
requirement. It is important that SHP renewals and S+C non-competitive
renewals meet minimum project eligibility, capacity and performance
standards identified in this NOFA or they will be rejected from
consideration for either competitive or non-competitive funding.
d. Civil Rights Thresholds: Applicants and the project sponsors
must be in compliance with applicable civil rights laws and Executive
Orders, and must meet the threshold requirements of the General
Section.
(1) Projects funded under this NOFA shall operate in a fashion that
does not deprive any individual of any right protected by the Fair
Housing Act (42 U.S.C. 3601-19), Section 504 of the Rehabilitation Act
of 1973 (29 U.S.C. 794), the Americans with Disabilities Act of 1990
(42 U.S.C. 12101 et seq.), Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d) or the Age Discrimination Act of 1975 (42 U.S.C. 6101).
(2) Local Resident Employment. To the extent that any housing
assistance (including rental assistance) funded through this NOFA is
used for housing rehabilitation (including reduction and abatement of
lead-based paint hazards, but excluding routine maintenance, repair,
and replacement) or housing construction, then it is subject to section
3 of the Housing and Urban Rehabilitation Act of 1968, and the
implementing regulations at 24 CFR part 135. Section 3, as amended,
requires that economic opportunities generated by certain HUD financial
assistance for housing and community development programs shall, to the
greatest extent feasible, be given to low- and very low-income persons,
particularly those who are recipients of government assistance for
housing, and to businesses that provide economic opportunities for
these persons.
(3) Relocation. The SHP, S+C, and SRO programs are subject to the
requirements of the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970, as amended (URA). These requirements
are explained in HUD Handbook 1378, Tenant Assistance, Relocation and
Real Property Acquisition. Also see General Section.
(4) Environmental Reviews. All CoC assistance is subject to the
National Environmental Policy Act and applicable related Federal
environmental authorities. Conditional selection of projects under the
CoC Homeless Assistance competition is subject to the environmental
review requirements of 24 CFR 582.230, 583.230 and 882.804(c), as
applicable. The recipient, its project partners and their contractors
may not acquire, rehabilitate, convert, lease (under S+C/TRA where
participants are required to live in a particular structure or area as
described in Section III.C.3.e(3)(a)), repair, dispose of, demolish or
construct property for a project under this CoC NOFA, or commit or
expend HUD or local funds for such eligible activities, until the
responsible entity has completed the environmental review procedures
required by Part 58 and the environmental certification and Request for
Release of Funds (RROF) have been approved or HUD has performed an
environmental review under Part 50 and the recipient has received HUD
approval of the property. The expenditure or commitment of Continuum of
Care assistance or nonfederal funds for such activities prior to this
HUD approval may result in the denial of assistance for the project
under consideration.
3. Program Requirements. a. CoC Geographic Area. In deciding what
geographic area you will cover in your CoC strategy, you should be
aware that the single most important factor in being awarded funding
under this competition will be the strength of your CoC strategy when
measured against the CoC rating factors described in this NOFA. When
you determine what jurisdictions to include in your CoC strategy area,
include only those jurisdictions that are fully involved in the
development and implementation of the CoC strategy.
The more jurisdictions you include in the CoC strategy area, the
larger the pro rata need share that will be allocated to the strategy
area (as described in Section V.B.2.b. of this NOFA). If you are a
rural county, you may wish to consider working with larger groups of
contiguous counties to develop a region-wide or multi-county CoC
strategy covering the combined service areas of these counties. The
areas covered by CoC strategies should not overlap.
b. Expiring/Extended Grants. If your SHP or S+C Program grant will
be expiring in calendar year 2006, or if your S+C Program grant has
been extended beyond its original five-year term and is projected to
run out of funds in FY 2006, you must apply as a renewal under this CoC
NOFA to get continued funding.
c. Coordination with Mainstream Resources. If your project is
selected for funding as a result of the competition, you will be
required to coordinate and integrate your homeless program with other
mainstream (non-homeless targeted) health, social services, and
employment programs for which homeless populations may be eligible,
including Medicaid, Children's Health Insurance Program, Temporary
Assistance for Needy Families, Food Stamps, and services funded through
the Mental Health Block Grant and Substance Abuse Block Grant,
Workforce Investment Act, Welfare-to-Work grant program and Veterans
Health Care.
d. Prevention Strategies and Discharge Policies. In addition, as a
condition for award, any governmental entity serving as an applicant
must agree to develop and implement, to the maximum extent practical
and where appropriate, policies and protocols for the discharge of
persons from publicly funded institutions or systems of care (such as
health care facilities, foster care or other youth facilities, or
correction programs and institutions) in order to prevent such
discharge from immediately resulting in homelessness for such persons.
While the state or local governmental entity having

[[Page 14279]]

jurisdiction in the area of the Continuum's application has the formal
responsibility to enact the discharge policy, the Continuum is expected
to actively involve itself in the planning and implementation of the
discharge policy. This condition for award is intended to emphasize
that states and units of general local government are primarily
responsible for the care of these individuals, and to forestall
attempts to use scarce McKinney-Vento Act homeless assistance funds to
assist such persons in lieu of state and local resources.
e. Program-Specific Requirements. Please be advised that where an
applicant for the SHP funding is a state or unit of general local
government that utilizes one or more nonprofit organizations to
administer the homeless assistance project(s), administrative funds
provided as part of the SHP grant must be passed on to the nonprofit
organization(s) in proportion to the administrative burden borne by
them for the SHP project(s). HUD will consider states or units of
general local government that pass on at least 50 percent of the
administrative funds made available under the grant as having met this
requirement. This requirement does not apply to either the SRO Program,
since only PHAs administer the SRO rental assistance, or to the S+C
Program, since paying the costs associated with the administration of
these grants is ineligible by regulation.

(1) SHP--New Projects

(a) Please note that the grant term for new SHP projects is two (2)
or three (3) years.
(b) HUD will require recordation of a HUD-approved use and
repayment covenant (a form may be obtained from your field office) for
all grants of funds for acquisition, rehabilitation or new
construction. The covenant will enforce the use and repayment
requirements found at section 423(b)(1) and (c) of the McKinney-Vento
Act and must be approved by HUD counsel before execution and
recordation. Proof of recordation must be provided to HUD counsel
before funds for rehabilitation or new construction may be drawn down.
(c) All project sponsors must meet applicant eligibility standards
as described in Section III.A.3. As in past years, HUD will review
sponsor eligibility as part of the selection process. Project sponsors
are required to submit evidence of their eligibility with the
application (See Section IV.B.1.(3)(a).

(2) SHP--Renewal Projects

(a) For the renewal of a SHP project, you may request funding for
one (1), two (2) or three (3) years.
(b) The total request for each renewable project cannot exceed the
average yearly amount received in your current grant for that project,
plus up to five percent for administration. Projects proposing both to
renew the existing project and expand the number of units or number of
participants receiving services must submit a new project proposal for
the expansion portion of the project. HMIS activities being renewed
should be included on the HMIS budget chart.
(c) HUD will recapture SHP grant funds remaining unspent at the end
of the previous grant period when it renews a grant.

(3) S+C--New Projects

(a) A project may not include more than one component, e.g.,
combining Tenant-based Rental Assistance (TRA) with Sponsor-based
Rental Assistance (SRA) is prohibited within the same grant. Under the
TRA component, in order to help provide supportive services or for the
purposes of controlling housing costs, a grantee may require
participants to live in a particular structure for the first year of
assistance or to live in a particular area for the entire rental
assistance period. Where this option is exercised, an environmental
review and clearance must be performed prior to any commitment to lease
a particular structure or unit for participant occupancy as described
in Section III.C.2.d.(4), Environmental Reviews.
(b) S+C/SRO Component. If you are a state or a unit of general
local government, you must subcontract with a Public Housing Authority
to administer the S+C assistance. Also, no single project may contain
more than 100 units.
(c) S+C SRA Component. Project sponsors must submit proof of their
eligibility to serve as a project sponsor.

(4) S+C Renewal Projects

HUD encourages the consolidation of appropriate S+C renewal grants
when the grants are under the same grantee, same component and expire
in the same year. However, renewal requests for expiring S+C grants
should still be listed individually on the CoC priority list and will
be awarded as individual renewal grants. Where the grantee wishes to
consolidate the renewal grants, this action may be subsequently
accomplished by the field office at the point of renewal grant
agreement execution. The field office will receive instructions for
this process in the S+C Operating Procedures guidance for 2005 awards.
(a) For the renewal of a S+C project, including S+C SROs, the grant
term will be one (1) year, as specified by Congress. For the renewal of
S+C rental assistance that is Tenant-based (TRA), Sponsor-based (SRA)
or Project-based (PRA), you may request up to the amount determined by
multiplying the number of units under lease at the time of your
application for renewal funding by the applicable 2005 Fair Market
Rent(s) by 12 months. Current FMRs can be found at www.hudclips.org.
For S+C grants having been awarded one year of renewal funding in 2004,
the number of units requested for renewal this year must not exceed the
number of units funded in 2004. As is the case with SHP, HUD will
recapture S+C grant funds remaining unspent at the end of the previous
grant period when it renews a grant. The one-year term of non-
competitively awarded S+C renewal projects may not be extended.
(b) The renewal of S+C SROs expiring in 2006 will also be non-
competitively awarded under this NOFA. For the renewal of S+C SRO
rental assistance, you may request up to the amount determined by
multiplying the number of units under contract at the time of your
application for renewal funding by the contract rent at the time of
expiration by 12 months.
(c) Under the FY 2005 Consolidated Appropriations Act, eligible S+C
Program grants whose terms are expiring in 2006, and S+C Program grants
that have been extended beyond their original five-year terms but which
are projected to run out of funds in 2006, will be renewed for one year
provided that they are determined to be needed by the CoC as evidenced
by their inclusion on the priority chart. These projects must also
demonstrate that their applicant and sponsor meet eligibility, capacity
and performance requirements described in Section V.A.1 of this NOFA.
Non-competitive S+C renewals should be submitted by the application
deadline. These S+C renewal projects will not count against a
continuum's pro rata need amount, but should be numbered, continuing
the priority sequence, on the CoC Priority Chart. On the other hand, no
community hold harmless amount will be computed for any CoC using S+C
renewal amounts since these projects are being funded outside of the
competition.

[[Page 14280]]

(5) Section 8 Moderate Rehabilitation SRO Program--New Projects

As an applicant, the following limitations apply to the Section 8
SRO program:
(a) Under section 8(e)(2) of the United States Housing Act of 1937,
no single project may contain more than 100 assisted units.
(b) Under 24 CFR 882.802, applicants that are private nonprofit
organizations must subcontract with a Public Housing Authority to
administer the SRO assistance.
(c) Under section 8(e)(2) of the United States Housing Act of 1937
and 24 CFR 882.802, rehabilitation must involve a minimum expenditure
of $3,000 for a unit, including its prorated share of work to be
accomplished on common areas or systems, to upgrade conditions to
comply with the Physical Condition Standards.
(d) Under section 441(e) of the McKinney-Vento Act and 24 CFR
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit
each year to take into account changes in construction costs. This cost
limitation applies to rehabilitation that is compensated for in a
Housing Assistance Payments (HAP) Contract. For purposes of Fiscal Year
2005 funding, the cost limitation is raised from $19,500 to $20,000 per
unit to take into account increases in construction costs during the
past 12-month period.
(e) The SRO Program is subject to the Federal standards at 24 CFR
part 882, subpart H.
(f) Individuals assisted through the SRO Program must meet the
definition of homeless individual found at section 103 of the McKinney-
Vento Act.
(g) Resources outside the program pay for the rehabilitation, and
rehabilitation financing. The rental assistance covers operating
expenses of the SRO housing, including debt service for rehabilitation
financing. Units may contain food preparation or sanitary facilities or
both.

(6) Section 8 Moderate Rehabilitation SRO Program--Renewals

This program section of the NOFA is not applicable to the renewal
of funding under the Section 8 SRO program. The renewal of expiring
Section 8 SRO projects is not part of the competitive CoC NOFA process.
Rather, expiring Section 8 SROs will be identified at the beginning of
the applicable year by the public housing authority and HUD field
office. One-year renewal funds for expiring Section 8 SRO HAP contracts
will be provided by HUD under a separate, non-competitive process. For
further guidance on Section 8 SRO renewals, please contact your local
HUD field office.
f. Timeliness Standards. As an applicant, you are expected to
initiate your approved projects promptly in accordance with Section
VI.A of this NOFA. In addition, HUD will take action if you fail to
satisfy the following timeliness standards:
(1) SHP: HUD will deselect your award if you do not demonstrate
site control within one (1) year of the date of your grant award
letter, as required by the McKinney-Vento Act (see 42 U.S.C.
11386(a)(3)) and implemented in program regulations at 24 CFR
583.320(a). Subsequent loss of site control beyond the 12-month
statutory limit will be cause for cancellation of the award and
recapture of funds. HUD may deobligate SHP funds if the following
additional timeliness standards are not met:
(a) You must begin construction activities within eighteen (18)
months of the date of HUD's grant award letter and complete them within
thirty-six (36) months after that notification.
(b) For activities that cannot begin until construction activities
are completed, such as supportive service or operating activities that
will be conducted within the building being rehabilitated or newly
constructed, you must begin these activities within three (3) months
after you complete construction.
(c) You must begin all activities that may proceed independent of
construction activities, including HMIS, within twelve (12) months of
the date of HUD's grant award letter. HUD may reduce a grant agreement
term to one (1) year where implementation delays have reduced the
amount of funds that reasonably can be used in the original term.
(2) S+C Except SRO Component. HUD may deobligate S+C funds if you
do not meet the following timeliness standards:
(a) For Tenant-based Rental Assistance, for Sponsor-based Rental
Assistance, and for Project-based Rental Assistance without
rehabilitation, you must start the rental assistance within twelve (12)
months of the date of HUD's grant award letter.
(b) For Project-based Rental Assistance with rehabilitation, you
must complete the rehabilitation within twelve (12) months of the date
of HUD's grant award letter.
(3) Section 8 Moderate Rehabilitation SRO Program and SRO Component
of the S+C Program. For projects carried out under the Section 8 SRO
program and the SRO component of the S+C program, the rehabilitation
work must be completed and the HAP contract executed within twelve (12)
months of execution of the Annual Contributions Contract. HUD may
reduce the number of units or the amount of the annual contribution
commitment if, in HUD's determination, the Public Housing Authority
fails to demonstrate a good faith effort to adhere to this schedule.

IV. Application and Submission Information

A. Addresses to Request Application Package. A checklist of forms
needed to complete the application is provided. Exhibits 1-4 and the
Applicant Certifications are attachments as described in Section VIII
below. The Exhibits, Geographic Codes, Initial Pro Rata Need Amounts,
Applicant Certifications, and the Questions and Answers Supplement can
be accessed at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. An
applicant may also obtain a copy of the SuperNOFA by calling the NOFA
Information Center at 1-800-HUD-8929 (voice) (this is a toll free
number) or you may download it from the web site at http://www.grants.gov. Please note that all sections of the SuperNOFA are
critical and must be carefully reviewed to ensure your application can
be considered for funding.
B. Content and Form of Application Submission. The only option for
submitting a viable application under this NOFA is to submit the entire
Continuum of Care application, with all of its projects, together in a
single package mailed to HUD. Each application will consist of one
Continuum of Care Exhibit and submissions from one or more applicants
and project sponsors. Although HUD will accept an application for a
project exclusive of participation in any community-wide or region-wide
CoC development process, projects will receive few, if any, points
under the CoC rating factors and are very unlikely to be funded. To
ensure that no applicant is afforded an advantage in the rating of the
CoC element (described in Section V.A.2.a.) HUD is establishing a
limitation of 30 pages, excluding required multiple page tables or
charts but including any attachments, on the length of Exhibit 1 of any
application submitted in response to this NOFA. HUD will not consider
the contents of any pages exceeding this limit when rating the
Continuum of Care element of any application. Please note Exhibit 1, as
well as Exhibits 2-4, should only include the actual application
questions and responses being provided and should not include the HUD
application instructions or any blank tables and

[[Page 14281]]

charts. The General Section contains certifications that the applicant
will comply with fair housing and civil rights requirements, program
regulations, and other Federal requirements, and (where applicable)
that the proposed activities are consistent with the HUD-approved
Consolidated Plan of the applicable state or unit of general local
government. Attachment 7 to this NOFA contains program-specific
Applicant Certifications.
1. Application Submission Requirements:
a. A completed application will include one Exhibit 1 (CoC) and any
number of Exhibits 2 (SHP New), 2R (SHP Renewal), 3 (S+C New), 3R (S+C
Renewal) and 4 (SRO New), depending on the number of projects and type
of programs proposed for funding. For example, if you were proposing
five SHP Renewal projects and one S+C New project, then you would
submit one Exhibit 1, five Exhibits 2R and one Exhibit 3. No submission
would be necessary for Exhibit 4 because funding is not being requested
under the Section 8 SRO program in this example. Refer to Assembly
Order below for full assembling instructions.
b. Assembly Order: Each CoC must submit the entire CoC application,
with all of its parts, in a single package to HUD. There are three
separate sections to a CoC submission: The CoC Exhibit 1, all applicant
documentation, and all project documentation. The application must be
assembled in the following order:
(1) Section I--Exhibit 1 Narrative and Charts
(a) Exhibit 1, the CoC plan with Forms CoC-A through N;
(b) HUD-27300, Questionnaire for HUD's Initiative on Removal of
Regulatory Barriers;
(c) HUD 2993, Acknowledgment of Application Receipt; and
(d) HUD 2994, Client Comments and Suggestions (optional).
(2) Section II--Applicant Documentation
(a) SF-424 Application for Federal Assistance. Submit one SF-424
for each applicant in the Continuum. Attached to each SF-424 must be a
list of all the applicant's projects in priority number order, with
project name and requested amount. Each SF-424 must also include the
applicant's DUNS number. Please see the General Section for more
information on obtaining a DUNS number. The SF-424 SUPP, Survey on
Ensuring Equal Opportunity for Applicants, is for private nonprofits
applicants only and completion/submission of this survey is voluntary.
Additionally, each applicant must attach the following documentation
(i-v) to its SF-424:
(i) Documentation of Applicant Eligibility. Only applicants for new
projects must include documentation of eligibility as defined in the
chart in Section III.A.3. Also, see Section I.A.8.k. & l. of this NOFA
for information on the documentation required to validate non-profit
status.
(ii) SF-LLL, Disclosure of Lobbying Activities, where applicable.
(iii) Applicant Code of Conduct. (New applicants and applicants
awarded HUD funding prior to 2005).
(iv) HUD 40076-CoC, Applicant Certifications, located in Attachment
7 of this NOFA.
(3) Section III--Project Documentation: Each project applying under
Exhibits 2-4 must be submitted in its priority list order with all
required forms for that exhibit. The following documentation must be
included after each project submission:
(a) Documentation of Sponsor Eligibility. Only sponsors for new
projects must include documentation of eligibility as defined in the
chart in Section III.A.3. See also Section I.A.8.m. for information on
the documentation required to validate sponsor eligibility.
(b) HUD-96010, Logic Model;
(c) HUD-2880, Applicant/Recipient Disclosure/Update Report;
(d) HUD-2991, Certification of Consistency with the Consolidated
Plan; and
(e) SF 424-SUPP, Survey on Ensuring Equal Opportunity for
Applicants (for private nonprofit applicants only--completion of survey
is voluntary).
2. Assembly Format
a. The standard font to be used for narratives is Times New Roman,
size 12 (pitch). Number all pages within each exhibit sequentially and
insert tabs marking each exhibit. For Exhibit 1, CoC narrative, number
pages from 1 up to 30 using letter suffixes where appropriate to
indicate pages that do not count toward the 30 page limit as per the
instructions for completing the CoC narrative. For example, the first
page of a 4 page project leveraging chart would be numbered 23 while
the next 3 pages of the chart would be numbered 23-A, 23-B, and 23-C.
b. Please use a two-hole punch to insert holes at the top of your
application.
c. Please do not bind your application, since this impedes
processing.
C. Submission Dates and Times: 1. Application Submission Date. Your
completed application should be submitted on or before June 10, 2005 to
the addresses shown below. HUD will not accept faxed or hand delivered
applications.
a. Timeliness. Your application will be considered timely filed if
your application is postmarked on or before 11:59:59 on the application
submission date and received by HUD on or within fifteen (15) days of
the application submission date. Applicants mailing their applications
must take their application to a post office to get a receipt of
mailing that provides the date and time the package was submitted to
the USPS. Postal Service rules now require that large packages must be
brought to a postal facility for mailing. In many areas, the USPS has
made a practice of returning to the sender, large packages that have
been dropped in a mail collection box. Paper copy applications
submitted to the USPS by the submission date and time and received by
HUD no later than 15 days after the established submission date will
receive funding consideration. Applicants should request a receipt for
mailing their application submission, which shows the date and time it
was received by the Postal Service. If the USPS does not have a receipt
showing a digital time stamp to record the submission time, HUD will
also accept USPS Form 3817, Certificate of Mailing, date stamped by the
Postal Service. Applicants may use any type of mail service provided by
the USPS to have their application package delivered to HUD in time to
meet the timely submission requirements. Applicants whose applications
are determined to be late, who cannot furnish HUD with a receipt from
the USPS that verifies the package was submitted to the USPS prior to
the submission due date and time, will not receive funding. If your
application is sent by overnight delivery or express mail, other than
the United States Postal Service, your application will be timely filed
if it is placed in transit with the overnight/express mail service on
or before the application due date. Applicants should retain a receipt
from these services showing that it was submitted for delivery by the
application submission date and time.
b. Field Office Copies. The HUD Field Office must also receive one
copy of your application, with the same due date and timely filed
requirements as described in Section IV.C.1.a above. The General
Section provides for a process to use the HUD Field Office copy of the
application when a portion may be missing from the HUD Headquarters
copy. To supplement that guidance, in the rare event that a CoC's
entire

[[Page 14282]]

application is not received at HUD Headquarters on time, HUD may
similarly request proof that the Headquarters and Field Office copy was
timely filed and, if so, may use the copy received by the Field Office
for review.
D. Intergovernmental Review. Not applicable. This funding
opportunity is not subject to Executive Order (EO) 12372.
E. Funding Restrictions. Funding Restrictions are outlined in
Sections V.B.3.a and V.B.3.b.
F. Other Submission Requirements:

1. Addresses for Submitting Applications

a. To HUD Headquarters. Submit your original completed application
(the application with the original signed documentation) and one
additional copy of Exhibit 1 only to: HUD Headquarters, Robert C.
Weaver Building, 451 Seventh Street, SW., Room 7270, Washington, DC
20410, Attention: Continuum of Care Programs.
b. To the Appropriate CPD Field Office. Also submit one copy of
your completed application to the Community Planning and Development
Division of the appropriate HUD Field Office for your jurisdiction.
Please see the General Section for Field Office addresses.
2. Security Procedures. HUD recommends that applications be mailed
or shipped express using the United States Postal Service (USPS).
However, applications shipped via United Parcel Service (UPS), FedEX,
DHL, or Falcon Carrier will also be accepted. Due to HUD security
regulations, no other delivery service is permitted into HUD
Headquarters without escort. You must, therefore, use one of the four
carriers listed above. HUD will not be responsible if a carrier other
than one of the named carriers is unable to deliver your application.

V. Application Review Information

A. Criteria. Your application will receive a higher score under the
CoC scoring factors if the application demonstrates the achievement of
three basic goals:

--One, that you have provided maximum participation in the planning
process by nonprofit organizations (including those representing
persons with disabilities), government agencies, public housing
authorities, faith-based and other community-based organizations, other
homeless providers, housing developers and service providers, private
businesses and business associations, law enforcement agencies, funding
providers, and homeless or formerly homeless persons. Also, you ensure
that other 10 year plans within your CoC's geographic area are aligned
with the CoC plan;
--Two, that you have created, maintained, and built upon a community-
wide inventory of housing and services for homeless families and
individuals (both HUD and non-HUD funded); identified the full spectrum
of needs of homeless families and individuals; and coordinated efforts
to fill gaps between the current inventory and existing needs. This
coordinated effort must appropriately address all aspects of the
continuum, especially permanent housing; and
--Three, that you have instituted a CoC-wide strategy to coordinate
homeless assistance with mainstream health, social services and
employment programs for which homeless individuals and families may be
eligible. These programs include, but are not limited to, Medicaid,
Children's Health Insurance Program, Temporary Assistance for Needy
Families, Food Stamps, and services funded through the Mental Health
Block Grant and Substance Abuse Block Grant, Workforce Investment Act,
Welfare-to-Work grant program, and Veterans Health Care.

1. Applicant and sponsor eligibility, capacity and performance: HUD
will review applications to ensure that the applicant and project
sponsor meet the eligibility and capacity standards outlined in this
section. If HUD determines these standards are not met, the project
will be rejected from the competition. The eligibility, capacity and
performance standards are as follows:
a. You must be eligible to apply for the specific program.
b. You must demonstrate ability to carry out the project(s). With
respect to each proposed project, this means that, in addition to
knowledge of and experience with homelessness in general, the
organization carrying out the project, its employees, or its partners,
must have the necessary experience and knowledge to carry out the
specific activities proposed, such as housing development, housing
management, and service delivery.
c. If you or the project sponsor is a current or past recipient of
assistance under a HUD McKinney-Vento Act program, there must have been
no delay in meeting applicable program timeliness standards unless HUD
determines the delay in project implementation is beyond your or the
project sponsor's control, there are no serious unresolved HUD
monitoring finding, and no outstanding audit finding of a material
nature regarding the administration of the program.
2. Review, Rating and Conditional Selection. HUD will use the same
review, rating, and conditional selection process for all three
programs (SHP, S+C and SRO). The standard factors for award identified
in the General Section have been modified in this NOFA as described
below. Only the factors described in this NOFA--Continuum of Care and
Need--will be used to assign points. Paragraphs 2a and 2b in this
section describe selection factors. Up to 100 points will be assigned
using these factors, including rating points for HUD's policy priority
of ending chronic homelessness by 2012; and the policy priority for
removing regulatory barriers to affordable housing (see Section
V.A.2.a.(1)(c) and (d) below on both policy priorities). There are no
bonus points for proposing projects in an RC/EZ/EC-IIs.
a. Continuum of Care. HUD will award up to 60 points as follows:
(1) Process and Strategy: HUD will award up to 17 points based on
the extent to which your application demonstrates:
(a) The existence of a coordinated and inclusive community process,
including organizational structure(s), for developing and implementing
a CoC strategy which includes nonprofit organizations (such as veterans
service organizations, organizations representing persons with
disabilities, faith-based and other community-based organizations, and
other groups serving homeless and other low-income persons), state and
local governmental agencies, public housing authorities, housing
developers and service providers, law enforcement, hospital and medical
entities, funding providers, local businesses and business
associations, and homeless or formerly homeless persons; and
(b) That a well-defined and comprehensive strategy has been
developed which addresses the components of a CoC system (i.e.,
prevention, outreach, intake, and assessment; emergency shelter;
transitional housing; permanent independent housing; and permanent
supportive housing) and that strategy has been designed to serve all
homeless subpopulations in the community (e.g., seriously mentally ill,
persons with multiple diagnoses, veterans, persons with HIV/AIDS),
including those persons living in emergency shelters, supportive
housing for homeless persons, or in places not designed for,

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or ordinarily used as, a regular sleeping accommodation for human
beings.
(c) The existence of a realistic strategy for ending chronic
homelessness that establishes past performance, future goals and action
steps. It should be aligned with other 10-year plans in the community
to eliminate chronic homelessness (if applicable), and the local HUD
Consolidated Plan.
(d) A local plan and/or existing policy to remove regulatory
barriers to the production of affordable housing. As provided for in
the General Section, HUD will award up to 2 points, within the 17
points for this rating factor, based on the extent that the CoC's
application demonstrates a local plan to remove regulatory barriers to
affordable housing. Applicable activities include the support of state
and local efforts to streamline processes, eliminate redundant
requirements, statutes, regulations, and codes that impede the
availability of affordable housing. The response (one questionnaire per
CoC) should be submitted for consideration as a completed HUD Form
27300, Questionnaire for HUD's Initiative on Removal of Regulatory
Barriers. The continuum should submit the questionnaire for the local
jurisdiction where the majority of its CoC assistance will be provided.
Please identify the name of the jurisdiction reported on the top of the
first page of the returned questionnaire. This questionnaire can be
found in the attachments to the General Section and should be submitted
with Exhibit 1.
(e) Participation in Energy Star. In keeping with the
Administration's policy priority of promoting energy efficient housing
while protecting the environment, applicants applying for new
construction or rehabilitation funding, who maintain housing or
community facilities or provide services in those facilities, are
encouraged to promote energy efficiency and are specifically encouraged
to purchase and use Energy Star labeled products. Refer to the General
Section for detailed information.
(f) Your Continuum's progress in working with the appropriate local
government entity to develop and implement a discharge policy for
persons leaving publicly funded institutions or systems of care (such
as health care facilities, foster care or other youth facilities, or
correction programs and institutions) in order to prevent such
discharge from immediately resulting in homelessness for such persons.
(2) HMIS Implementation. HUD will award up to 5 points based upon
the extent to which your application demonstrates progress in the
planning, implementation and operation of an HMIS system covering at a
minimum all street outreach, emergency shelters and transitional
housing programs so that a reliable, unduplicated count of homeless
persons on the street and in shelters may be conducted.
(3) Gaps and Priorities: HUD will award up to 10 points based on
the extent to which your application:
(a) Describes the gap analysis performed, uses reliable information
and sources that are presented completely and accurately; and
(b) Proposes projects that are not inconsistent with the unmet need
described in the CoC strategy, describes a fair project selection
process, explains how gaps identified through the analysis are being
addressed, and correctly completes the priority chart.
(4) Leveraging Supplemental Resources: HUD will award up to 8
points based on the extent to which your application demonstrates
leveraging of funds requested under this NOFA with other resources,
including private, other public, and mainstream services and housing
programs, for proposed projects and ongoing efforts. To achieve the
highest rating for this factor, applicants must evidence explicit
Continuum-wide strategies to coordinate homeless assistance with
mainstream health, social services and employment programs for which
homeless populations may be eligible, and to use those benefits as
appropriate and practicable to help offset supportive service costs of
the programs that would otherwise be paid for with HUD funding. These
include, but are not limited to, Medicaid, Children's Health Insurance
Program, Temporary Assistance for Needy Families, Food Stamps, and
services funding through the Mental Health Block Grant and Substance
Abuse Block Grant, Workforce Investment Act, the Welfare-to-Work grant
program, and Veterans Health Care.
(5) Emphasis on Housing Activities: HUD will award up to 12 points
based upon the relationship between funds requested for housing
activities (i.e., transitional and permanent) and funds requested for
supportive service activities among projects assigned 40 need points
(excluding S+C renewals). Points will be awarded on a sliding scale
with the Continuums with the highest percentage of approvable requests
for funds for housing activities receiving the highest points. HUD will
count as housing activity all approvable requests for funds for rental
assistance and approvable requests for funds for acquisition,
rehabilitation, construction, leasing and operations when used in
connection with housing. HMIS costs and administrative costs will be
excluded from this calculation as either a housing or supportive
service cost.
(6) Performance Measurement: HUD will award up to 8 points based
upon the CoC's progress in reducing homelessness. This will be measured
by program participants' success in moving to and maintaining permanent
housing as reported in the most recent APR. HUD will also be assessing
the extent to which participants successfully become employed and
access mainstream programs. These measures emphasize HUD's
determination to assess grantees' performance in the prior program year
and to determine if they are meeting the overall goal of the Homeless
Assistance Grants under which they are funded. Both housing and
supportive services only projects will be assessed, using the data
submitted in the Exhibit 1 CoC Project Performance on Form HUD 40076
CoC-M.
b. Need: HUD will award up to 40 points for need. There is a three-
step approach to determining the need scores to be awarded to projects
(1) Step 1--HUD's Determination of preliminary pro rata need: To
determine the homeless assistance need of a particular jurisdiction,
HUD will use nationally available data, including the following factors
as used in the Emergency Shelter Grants (ESG) program; data on poverty,
housing overcrowding, population, age of housing, and growth lag.
Applying those factors to a particular jurisdiction provides an
estimate of the relative need index for that jurisdiction compared to
other jurisdictions applying for assistance under this NOFA.
(2) Step 2--Determining CoC hold harmless pro rata need: In CoCs
where the total amount needed to fund, for one year, all SHP grants
eligible for renewal in this competition exceeds the preliminary pro
rata need amount for that CoC, the CoC will receive this higher amount,
referred to as the CoC hold harmless amount. This adjustment was
formerly known as the renewal bonus. SHP grants eligible for renewal
are those that expire between January 1, 2006 and December 31, 2006. No
adjustment will be made for S+C renewals. To provide communities with
maximum flexibility in addressing current needs, CoCs have the
discretion to not fund or to reduce one or more SHP renewal project
applications and still receive the benefit of the hold harmless amount
if the CoC proposes to use that amount of reduced renewal funds for new
permanent supportive housing projects. . Please be advised

[[Page 14284]]

that the new projects (and the renewal dollars attached) proposed
through this reallocation are subject to the competitive process, i.e.,
the CoC must score above the national funding line for the projects to
be funded.
(3) Step 3--Samaritan Housing Initiative: Formerly referred to as
the Permanent Housing Bonus, this special incentive to promote
permanent supportive housing for the chronically homeless is provided
to CoC systems that place an eligible, new permanent housing project in
the number one priority position on the priority list. If the number
one priority project qualifies as an eligible, new permanent housing
project exclusively serving the chronically homeless, then the full
amount of that project's eligible housing activities, up to a maximum
15 percent of the CoC's preliminary pro rata need, will be added to the
pro rata need amount for the Continuum. The only eligible activities
that will be counted toward this bonus are housing activities and for
SHP, case management, and administration. Applicants may use no more
than 20 percent of this bonus for case management costs. Please note:
any amount of the proposed project exceeds the limitations described
above will be applied against the pro rata need for the CoC. For the
SHP program, housing activities are acquisition, new construction,
rehabilitation, leasing of housing and operating costs when used in
connection with housing. S+C and SRO rental assistance are defined as
housing activities and are eligible under the incentive as well. HMIS
costs will be excluded from this calculation as either a housing or
supportive service cost.
The dollar amount determined after application of each of these
steps, as applicable, is referred to as the ``final pro rata need
amount.'' Please be advised that the final funding amount awarded to
Shelter Plus Care or Section 8 SRO projects may be different from the
requested amount due to changes in the FMRs. HUD will apply FMR changes
after selection.
(4) Awarding need points to projects: Once HUD establishes the
final pro rata need, HUD will apply it against the priority project
list in the application. Starting from the highest priority project,
HUD will proceed down the list to award need points to each project.
Any project not falling fully within the 40 point need range will
receive 10 need points. Thereafter, HUD will proceed further down the
priority project list and award 10 points for need to each project if
it falls fully within the ``second level'' of pro rata need amount for
that CoC. The ``second level'' is the amount between the pro rata need
and twice the pro rata need for the CoC. Remaining projects each
receive 5 points. If the projects for the Continuum are not
prioritized, then all projects will receive 0 points for Need.
B. Reviews and Selection Process. 1. Review, Rating and Ranking.
HUD may employ rating panels to review and rate applications. See the
General Section for more information on rating panels. Two types of
reviews will be conducted--threshold review and selection factor (CoC
and Need) rating. Applicant and Sponsor Eligibility and Capacity as
well as Project Eligibility and Project Quality are threshold reviews.
Threshold reviews are explained in Section III.C.2 of this NOFA, which
covers eligible applicants and projects. HUD will add the score for the
CoC to the Need score to obtain a total score for each project. The
projects will then be ranked nationally from highest to lowest
according to the total combined score.
2. Conditional Selection and Adjustments to Funding. a. Conditional
Selection. Whether a project is conditionally selected, as described in
Section VI.A, will depend on its overall ranking compared to others,
except that HUD reserves the right to select lower rated eligible
projects in order to meet the 30 percent overall permanent housing
requirement, as well as the 10 percent chronic homeless requirement.
Projects that are included in the 10 percent chronic homeless
requirement may also be part of the 30 percent overall permanent
housing requirement. (See Section V.B.3 for additional selection
considerations regarding these requirements.)
When insufficient funds remain to fund all projects in the
competition having the same total score, HUD will first fund permanent
housing projects if necessary to achieve the 30 percent overall
permanent housing requirement. HUD will then fund non-permanent
housing, safe haven-TH and transitional housing projects that
predominantly serve individuals experiencing chronic homelessness in
order to achieve the 10 percent chronic homeless requirement. HUD will
then break ties among the remaining projects with the same total score
by comparing scores received by the projects for each of the following
scoring factors, in the order shown: Need, Overall CoC score, CoC
Process and Strategy, CoC Gaps and Priorities, CoC Supplemental
Resources, Housing Emphasis and Performance. The final tie-breaking
factor is the priority number of the competing projects on the
applicable CoC priority list(s).
HUD has determined that the Congressional goal of enhancing
homeless data collection at the CoC level is best achieved by assisting
CoCs seeking dedicated Homeless Management Information Systems (HMIS)
to receive Supportive Housing Program funds. To this end, HUD reserves
the right to fund for at least one year lower rated eligible dedicated
HMIS projects receiving 40 need points and at least 25 Continuum
points.
b. Adjustments to Funding: HUD has determined that geographic
diversity is an appropriate consideration in selecting homeless
assistance projects in the competition. HUD believes that geographic
diversity can be achieved best by awarding grants to as many CoCs as
possible. To this end, in instances where any of the 50 States, the
District of Columbia, the Commonwealth of Puerto Rico, Guam, the
Northern Mariana Islands, the Virgin Islands, and American Samoa does
not have at least one funded CoC, HUD reserves the right to fund
eligible project(s) receiving 40 Need points in the CoC with the
highest total score in that jurisdiction. To qualify for funding, the
total score for these first level projects on the CoC priority list
must be at least 65 points. In the case of two or more CoCs with the
same total score, HUD will use the tie-breaking rules described above.
In addition, if the highest priority project passing threshold
requirements within a CoC fails to meet the criteria for receiving 40
Need points, HUD reserves the right to reduce the total requested
amount for that project to allow it to qualify for 40 Need points. If
you do not submit clear project priority designations for the Continuum
or if HUD, at its sole discretion, cannot determine the CoC's priority
designations, then HUD will give all such projects 0 Need points. If
the CoC requests a new permanent housing project as the highest
priority, and HUD determines that it is not a permanent housing
project, HUD reserves the right to not award funds to that project
rather than reclassify the component. The intent of this provision is
to preserve PRN for lower ranking projects. Finally, if the total
amount that would be awarded for first level projects in a CoC exceeds
the final pro rata need amount for that CoC, the lowest priority first
level project being selected for funding will be reduced to the amount
that is wholly within the higher need level. HUD may otherwise adjust
funding of applications in accordance with the provisions of the
General Section. In addition, HUD reserves the right to ensure that a
project that is applying for, and eligible for, selection under this
competition is not awarded funds that

[[Page 14285]]

duplicate activities. If the geography included in your CoC strategy
substantially overlaps that of another application, projects within the
CoC application that receive the highest CoC score will be eligible for
up to 40 Need points. Projects in the competing CoC application with
the lower CoC score will receive 0 need points. In no case will the
same geographical area be used more than one time in assigning Need
points. The local HUD Field Office can help you determine if any of the
areas proposed for inclusion by your CoC system is also likely to be
claimed under another CoC system in this competition.
3. Additional Selection Considerations. HUD also will apply the
limitations on funding described below in making conditional
selections.
a. Thirty Percent Permanent Housing Requirement. In accordance with
the appropriation for homeless assistance grants in the Fiscal Year
2005 Consolidated Appropriations Act, HUD will use not less than 30
percent of the total FY 2005 Homeless Assistance Grants appropriation,
excluding amounts provided for renewals under the S+C Program, to fund
projects that meet the definition of permanent housing. Projects
meeting the definition of permanent housing for this purpose are:
(1) New and renewal projects under the SHP that are designated as
either permanent housing for homeless persons with disabilities or Safe
Haven projects designated as having the characteristics of permanent
housing for homeless persons with disabilities, including having leases
with all program participants. All such permanent housing projects
chosen for this purpose must have received at least 10 Need points, and
must be submitted as part of a CoC application receiving at least 25
points under the CoC scoring factor. However, no CoC applicant may
receive more than 30 percent of its pro rata need, up to $3 million,
for ``second-level'' permanent housing projects assigned 10 Need points
that are selected for funding under this procedure. (See Section
V.A.2.b (4) for definition of ``second-level''.) HUD will award no less
than 30 percent of the total FY 2005 Homeless Assistance Grants
appropriation, excluding amounts for S+C renewals, for permanent
housing projects unless an insufficient number of approvable permanent
housing projects are submitted. In order to meet this permanent housing
funding requirement and stay within the total funding amount available,
initially selected Supportive Service Only (SSO) and non-permanent
housing projects will be deselected if necessary to add an adequate
number of permanent housing projects, even if they are lower scoring
housing projects. HUD will, if necessary, first proceed to de-select
new SSO projects initially selected, starting with lowest scoring new
projects and proceeding to higher scoring new SSO projects initially
selected. If the funding line is still exceeded, HUD will proceed to
de-select the lowest scoring new non-permanent housing projects
initially selected and proceed to higher scoring new non-permanent
housing projects. Finally, if the funding line is still exceeded HUD
will proceed to de-select SSO and then other non-permanent housing
renewal projects until all selected projects are within the funding
line.
(2) New S+C projects; and
(3) SRO projects.
b. Ten Percent Housing for Chronic Homeless Requirement: HUD has
implemented a requirement that at least 10 percent of the appropriation
must be awarded for projects predominantly serving individuals
experiencing chronic homelessness. To be considered predominantly
serving chronically homeless people, at least 70 percent of the persons
served in this project must meet HUD's definition of chronic
homelessness. Permanent housing, transitional and safe haven housing
projects, whether new or renewal, that commit to predominantly serving
persons experiencing chronic homelessness will be counted for this
purpose. To meet this requirement, HUD will also include permanent
housing projects selected for the 30 percent requirement that
predominantly serve chronically homeless persons. S+C renewals will
then be screened to count projects predominantly serving chronically
homeless persons. If the 10 percent requirement is not yet met,
permanent, transitional and safe haven housing projects below the
funding line that predominantly serve chronically homeless persons will
also be selected to achieve this requirement.
c. Distribution of Selections: In accordance with section 429 of
the McKinney-Vento Act, HUD will award Supportive Housing Program funds
as follows: not less than 25 percent for projects that primarily serve
homeless families with children; not less than 25 percent for projects
that primarily serve homeless persons with disabilities; and not less
than 10 percent for supportive services not provided in conjunction
with supportive housing. After projects are rated and ranked, based on
the factors described above, HUD will determine if the conditionally
selected projects achieve these minimum percentages. If not, HUD will
skip higher-ranked projects in order to achieve these minimum
percentages.
In accordance with section 463(a) of the McKinney-Vento Act, as
amended by the Housing and Community Development Act of 1992, at least
10 percent of S+C funds will be awarded for each of the four components
of the program: Tenant-based Rental Assistance; Sponsor-based Rental
Assistance; Project-based Rental Assistance; and Single Room Occupancy
(provided there are sufficient numbers of approvable projects to
achieve these percentages). After projects are rated and ranked, based
on the factors described above, HUD will determine if the conditionally
selected projects achieve these minimum percentages. If necessary, HUD
will skip higher-ranked projects in order to achieve these minimum
percentages.
In accordance with section 455(b) of the McKinney-Vento Act, no
more than 10 percent of the assistance made available for S+C in any
fiscal year may be used for programs located within any one unit of
general local government. In accordance with section 441(c) of the
McKinney-Vento Act, no city or urban county may have SRO Section 8
projects receiving a total of more than 10 percent of the assistance
made available under this program. HUD is defining the 10 percent
availability this fiscal year as $10 million for S+C and $10 million
for Section 8 SRO. However, if the amount awarded under either of these
two programs exceeds $100 million, then the amount awarded to any one
unit of general local government (for purposes of the S+C Program) or
city or urban county (for the purposes of the Section 8 SRO Program)
could be up to 10 percent of the actual total amount awarded for that
program.
Lastly, HUD reserves the right to reduce the amount of a grant if
necessary to ensure that no more than 10 percent of assistance made
available under this NOFA will be awarded for projects located within
any one unit of general local government or within the geographic area
covered by any one Continuum of Care. If HUD exercises a right it has
reserved under this NOFA, that right will be exercised uniformly across
all applications received in response to this NOFA.
4. Corrections to Deficient Applications. The General Section
provides the procedures for corrections to deficient applications.

[[Page 14286]]

VI. Award Administration Information

A. Award Notices

1. Action on Conditionally Selected Applications. HUD will notify
conditionally selected applicants in writing. HUD may subsequently
request them to submit additional project information, which may
include documentation to show the project is financially feasible;
documentation of firm commitments for cash match; documentation showing
site control; information necessary for HUD to perform an environmental
review; a copy of your Code of Conduct; and such other documentation as
specified by HUD in writing to the applicant, that confirms or
clarifies information provided in the application. HUD will notify SHP,
SRO, S+C and S+C/SRO applicants of the deadline for submission of such
information. If an applicant is unable to meet any conditions for fund
award within the specified timeframe, HUD reserves the right not to
award funds to the applicant and add them to funds available for the
next competition for the applicable program.
2. Applicant Debriefing: See the General Section for applicant
debriefing procedures.
3. Appeals Process: Applicants may appeal the results of HUD's
review and selection process if they believe a HUD error has occurred.
Appeals must be submitted in writing to the Assistant Secretary for
Community Planning and Development and must state what HUD error the
applicant believes has occurred.

B. Administrative and National Policy Requirements

1. Administrative Requirements. a. The Government Performance and
Results Act (GPRA) require Federal agencies to measure the performance
of their programs. HUD captures this information not only from
monitoring visits and APRs, but also on the data gathered in annual
competitions. For example, the description of methods used in
determining the project priority order submitted in Exhibit 1, Form HUD
40076 CoC-K, Project Priorities Chart, provides verification that
projects are performing satisfactorily and are effectively addressing
the needs for which they were designed. HUD's homeless assistance
programs are measured in 2005 by the objective to ``end chronic
homelessness and to move homeless families and individuals to permanent
housing.'' This objective has a number of measurable indicators, five
of which relate directly to the Continuum of Care homeless assistance
programs. These five indicators are:
(1) At least 386 functioning CoC communities or 93 percent of our
continuums will have a Homeless Management Information System (HMIS) in
2005. This information is collected via Exhibit 1, Form HUD 40076 CoC-
J, HMIS;
(2) The number of persons experiencing chronic homelessness
declines by up to 50 percent by FY 2008. This information is captured
in Exhibit 1, Form HUD 40076 CoC-I, Homeless Population and
Subpopulations Chart;
(3) The percentage of formerly homeless individuals who remain
housed in HUD permanent housing projects for at least 6 months will be
70 percent. Stability in this permanent housing is addressed in Exhibit
1, Form HUD 40076 CoC-M, CoC Project Performance;
(4) The percentage of homeless persons who have moved from HUD
transitional housing to a form of permanent housing will be 60 percent.
The success of transitional housing is addressed in Exhibit 1, Form HUD
40076 CoC-M, CoC Project Performance; and
(5) The employment rate of persons exiting HUD homeless assistance
projects will be 10 percentage points greater than the employment rate
of those entering. Obtaining employment is addressed in Exhibit 1, Form
HUD 40076 CoC-M, Project Performance Chart.
b. To achieve this objective and each of these measurable
indicators, HUD needs your community's help. The emphasis in this
year's competition on housing chronically homeless persons, using HUD
funds for transitional and especially permanent housing, helping
clients access mainstream service programs and jobs, and implementing
HMIS are all aligned with this GPRA objective and its performance
indicators.
2. Sanctions. Should HUD determine, in its sole discretion, that
sufficient evidence exists to confirm that the entity responsible for
convening and managing the CoC process in a community has failed to
follow locally established or accepted procedures governing the conduct
of that process or has failed to provide for a fair process, including
a project priority selection process that gives equal consideration to
projects proposed by nonprofit organizations, HUD reserves the
authority to impose sanctions up to and including a prohibition on that
entity and the individuals comprising that entity from participating in
that capacity in the future. In making this determination, HUD will
consider as evidence court proceedings and decisions, or the
determinations of other independent and impartial review bodies. This
authority cannot be exercised until after a description of procedural
safeguards, including an opportunity for comment and appeal, and the
specific process and procedures for imposing a prohibition or
debarment, have been published in the Federal Register.
C. Reporting: Once conditionally selected applications advance to
full award and execution of a grant agreement, grantees are required to
submit an Annual Progress Report (APR) and a completed Logic Model
showing outputs and outcomes achieved for the year to both HUD
Headquarters and the respective Field Office each year. Also, Grantees
who expend $500,000 or more in a year in Federal awards are reminded
they must have a single or program-specific audit for that year in
accordance with the provisions of 24 CFR 45 and OMB Circular No. A-133.
The APR for HUD's competitive homeless programs provides information to
HUD necessary for program monitoring and evaluation. A key element that
has been recently added to the APR is measuring the incidence of
chronic homelessness and your Continuum's progress in moving
individuals into permanent housing. The process of gathering and
analyzing the information needed to complete the APR also assists local
projects with their own program evaluation. The APR is the mechanism
used by HUD Headquarters and Field Offices to review the performance of
funding recipients on an annual basis. The reports permit HUD to
understand what types of clients are being served in its homeless
assistance programs and what the programs' success rate is in helping
homeless families and individuals achieve residential stability and
increase their skills and/or incomes. For the SHP and S+C programs, the
APR also reports to HUD the amount of local match that has been
provided to fulfill statutory and regulatory requirements. The
Department has used the reports to monitor grant execution and to
evaluate the eligibility of the population being served and housed, as
well as the supportive services offered to the participants. The APR
helps identify how effective the grantee has been in helping program
participants achieve residential stability, greater self-determination,
and increase skills or income which are our program goals and
objectives. This also allows the

[[Page 14287]]

grantee to revise or set goals for the next year.

VII. Agency Contacts

A. For Further Information. You may contact the HUD Field Office
serving your area, at the telephone number shown in the General
Section, or you may contact the NOFA Information Center at 1-800-483-
8929 or by Internet at: http://www.hud.gov. Individuals who are
hearing-or speech-impaired should use the Information Relay Service at
1-800-877-8339 (these are toll-free numbers).
B. For Technical Assistance. Before the application deadline, HUD
staff will be available to provide you with general guidance. HUD
staff, however, cannot provide you with guidance in actually preparing
your application. HUD Field Office staff also will be available to help
you identify organizations in your community that are involved in
developing the CoC system. Following conditional selection of
applications, HUD staff will be available to assist selected applicants
in clarifying or confirming information that is a prerequisite to the
offer of a grant agreement or Annual Contributions Contract by HUD.
However, between the application deadline and the announcement of
conditional selections, HUD will accept no information that would
improve the substantive quality of your application pertinent to HUD's
funding decision.
C. Satellite Broadcast. HUD will hold one or more information
broadcasts via satellite for potential applicants to learn more about
the program and preparation of the application. Viewing of these
broadcasts, which will provide critical information on the application
process, is highly recommended. For more information about the date and
time of the broadcast, you should consult the HUD Web site at http://www.hud.gov.

VIII. Other Information

A. Paperwork Reduction Act

The information collection requirements contained in this document
have been submitted to the Office of Management and Budget (OMB) for
approval under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520) and OMB approval is pending. In accordance with the Paperwork
Reduction Act, HUD may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless the
collection displays a currently valid OMB control number. Public
reporting burden for the collection of information is estimated to
average 44 hours per annum per respondent for the application and grant
administration. This includes the time for collecting, reviewing, and
reporting the data for the application, semi-annual reports and final
report. The information will be used for grantee selection and
monitoring the administration of funds. Response to this request for
information is required in order to receive the benefits to be derived.
B. This final section lists the attachments that are critical to
the application process. Please see Section IV.B.1.b of this NOFA for a
complete description of the forms and certifications required and the
order of assembly. In addition to applicant and sponsor documentation
of eligibility, please provide:

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[FR Doc. 05-5041 Filed 3-18-05; 8:45 am]
BILLING CODE 4210-32-P